Vol. 85 Monday, No. 56 March 23, 2020

Pages 16227–16518

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 85, No. 56

Monday, March 23, 2020

Agency for Healthcare Research and Quality Defense Department NOTICES See Defense Acquisition Regulations System Supplemental Evidence and Data Request: See Engineers Corps Platelet-Rich Plasma for Wound Care in the Medicare NOTICES Population, 16362–16364 Meetings: Defense Advisory Committee on Military Personnel Agricultural Marketing Service Testing; Cancellation, 16331 RULES Peanut Promotion, Research, and Information Order: Drug Enforcement Administration Primary Peanut-Producing States and Adjustment of PROPOSED RULES Membership, 16229–16231 Controls To Enhance the Cultivation of Marihuana for PROPOSED RULES Research in the United States, 16292–16307 Free and Restricted Percentages for the 2019–20 Crop Year: Tart Cherries Grown in the States of Michigan, et al., Economic Development Administration 16273–16278 NOTICES Agriculture Department Trade Adjustment Assistance; Determinations, 16325 See Agricultural Marketing Service See Commodity Credit Corporation Education Department See Food and Nutrition Service PROPOSED RULES See Rural Housing Service Proposed Waiver and Extension of the Project Period for See The U.S. Codex Office the Predominantly Black Institutions Competitive Grant NOTICES Program, 16307–16309 Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 16313 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Centers for Disease Control and Prevention Generic Clearance for the Collection of Qualitative NOTICES Feedback on Agency Service Delivery, 16331–16332 Agency Information Collection Activities; Proposals, Written Application for the Independent Living Services Submissions, and Approvals, 16364–16368 for Older Individuals Who Are Blind Program, 16332

Coast Guard Energy Department RULES See Federal Energy Regulatory Commission Safety Zone: Pacific Ocean, Hilo Harbor, HI—Lightering Operations, Engineers Corps 16267–16270 PROPOSED RULES Commerce Department Use of Reservoir Projects for Domestic, Municipal and Industrial Water Supply; Withdrawal, 16307 See Economic Development Administration See Foreign-Trade Zones Board See International Trade Administration Environmental Protection Agency See National Oceanic and Atmospheric Administration RULES Approval and Promulgation of State Air Quality Plans for Commodity Credit Corporation Designated Facilities and Pollutants: RULES New Mexico and Albuquerque-Bernalillo County, New Agriculture Risk Coverage and Price Loss Coverage Mexico; Control of Emissions From Existing Other Programs and Noninsured Crop Assistance Program; Solid Waste Incineration Units, 16270 Correction, 16231–16232 PROPOSED RULES Air Quality State Implementation Plans; Approvals and Comptroller of the Currency Promulgations: RULES Ohio; Technical Amendment, 16309–16310 Regulatory Capital Rule: NOTICES Money Market Mutual Fund Liquidity Facility, 16232– Call for Submissions: 16237 Safer Choice Partner of the Year Awards, 16334–16335 Certain New Chemicals: Defense Acquisition Regulations System Receipt and Status Information for February 2020, 16335– NOTICES 16340 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Equal Employment Opportunity Commission Defense Federal Acquisition Regulation Supplement; NOTICES Subcontracting Policies and Procedures, 16330– Agency Information Collection Activities; Proposals, 16331 Submissions, and Approvals, 16340–16349

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Federal Aviation Administration Food and Nutrition Service RULES PROPOSED RULES Airworthiness Directives: Simplifying Meal Service and Monitoring Requirements in The Boeing Company Airplanes, 16237–16239 the National School Lunch and School Breakfast Standard Instrument Approach Procedures, and Takeoff Programs, 16273 Minimums and Obstacle Departure Procedures; Miscellaneous Amendments, 16240–16245 Foreign-Trade Zones Board PROPOSED RULES NOTICES Airworthiness Directives: Proposed Production Activity: Airbus Helicopters, 16279–16281 Traxys Cometals USA, LLC, Foreign-Trade Zone 158, Bombardier, Inc., Airplanes, 16284–16286 Jackson, MS, 16326 Leonardo S.p.A (type certificate previously held by Agusta S.p.A) Helicopters, 16281–16284 Health and Human Services Department Amendment and Removal of Air Traffic Service Routes: See Agency for Healthcare Research and Quality Eastern United States, 16289–16292 See Centers for Disease Control and Prevention Amendment of V–55, V–271, T–215, and T–265, and See Food and Drug Administration Revocation of V–215 and V–450: See Inspector General Office, Health and Human Services in the Vicinity of Muskegon, MI, 16287–16289 Department NOTICES See National Institutes of Health Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Pandemic and All-Hazards Preparedness and Advancing Aircraft Registration, 16452 Innovation Act, 16372 Federal Bureau of Investigation Homeland Security Department NOTICES Agency Information Collection Activities; Proposals, See Coast Guard Submissions, and Approvals, 16386–16387 See Federal Emergency Management Agency See Transportation Security Administration Federal Deposit Insurance Corporation RULES Inspector General Office, Health and Human Services Regulatory Capital Rule: Department Money Market Mutual Fund Liquidity Facility, 16232– NOTICES 16237 Statement of Organization, Functions, and Delegations of Authority, 16372–16375 Federal Emergency Management Agency RULES Interior Department Final Flood Elevation Determinations, 16270–16271 See Land Management Bureau See National Park Service Federal Energy Regulatory Commission NOTICES Internal Revenue Service Combined Filings, 16333–16334 RULES Complaint: Covered Asset Acquisitions, 16245–16267 City of Goose Creek v. South Carolina Public Service Authority, 16332–16333 International Trade Administration Records Governing Off-the-Record Communications, 16334 NOTICES Antidumping or Countervailing Duty Investigations, Orders, Federal Reserve System or Reviews: RULES Circular Welded Carbon Quality Steel Pipe From the Regulatory Capital Rule: People’s Republic of China, 16328 Money Market Mutual Fund Liquidity Facility, 16232– Ferrovanadium From the Republic of Korea, 16326–16328 16237 Lightweight Thermal Paper From the People’s Republic Federal Trade Commission of China, 16328–16329 NOTICES Privacy Act; Systems of Records, 16349–16361 International Trade Commission NOTICES Food and Drug Administration Complaint: NOTICES Certain Spa Pumps, Jet Pump Housings, Pedicure Spas, Agency Information Collection Activities; Proposals, Components Thereof, and Products Containing the Submissions, and Approvals: Same, 16385–16386 Combination Products: How to Prepare a Pre-Request for Designation, 16369–16370 Justice Department Guidance: See Drug Enforcement Administration Policy for Temporary Compounding of Certain Alcohol- See Federal Bureau of Investigation Based Hand Sanitizer Products During the Public Health Emergency, 16370–16372 Land Management Bureau Meetings: NOTICES Blood Products Advisory Committee; Postponed, 16368– Plats of Survey: 16369 Alaska, 16377

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National Credit Union Administration Meetings: NOTICES Advisory Committee on the Medical Uses of Isotopes, Agency Information Collection Activities; Proposals, 16389 Submissions, and Approvals, 16387 Personnel Management Office National Institutes of Health NOTICES NOTICES Agency Information Collection Activities; Proposals, Meetings: Submissions, and Approvals: Center for Scientific Review, 16375–16376 Application for Court-Ordered Benefits for Former National Cancer Institute; Cancellation, 16376 Spouses, 16395 National Institute on Aging, 16376–16377 Application for Deferred or Postponed Retirement: National Library of Medicine, 16376 Federal Employees Retirement System, 16390–16391 Office of the Director, 16376 Civil Service Retirement System Survivor Annuitant Express Pay Application for Death Benefits, 16393– 16394 National Oceanic and Atmospheric Administration Death Benefit Payment Rollover Election, 16391–16392 RULES Designation of Beneficiary: Civil Service Retirement Fisheries of the Exclusive Economic Zone Off Alaska: System, 16390 Pacific Cod by Catcher Vessels Using Trawl Gear in the Former Spouse Survivor Annuity Election, Information Bering Sea and Aleutian Islands Management Area, on Electing a Survivor Annuity for Your Former 16272 Spouse, 16394 Pollock in Statistical Area 620 in the Gulf of Alaska, Information and Instructions on Your Reconsideration 16271–16272 Rights, 16393 PROPOSED RULES Self-Certification of Full-Time School Attendance for the Fisheries of the Exclusive Economic Zone Off Alaska: School Year; Information and Instructions for Reclassifying Sculpin Species in the Groundfish Fisheries Completing the Self-Certification of Full-Time School of the Bering Sea and Aleutian Islands and the Gulf Attendance for the School Year, 16394–16395 of Alaska, 16310–16312 We Need Important Information About Your Eligibility NOTICES Application: for Social Security Disability Benefits, 16389–16390 We Need the Social Security Number of the Person Marine Mammals; File No. 23672, 16329–16330 Named Below, 16392–16393 National Park Service Pipeline and Hazardous Materials Safety Administration NOTICES NOTICES Inventory Completion: Hazardous Materials: Baylor University’s Mayborn Museum Complex, Termination of M-Number and R-Number Approvals (Formerly Baylor University’s Strecker Museum; Issued Without an Expiration Date, 16452–16454 formerly Baylor University Museum), Waco, TX; Correction, 16378 Postal Regulatory Commission Illinois State Museum, Springfield, IL, 16379–16380 NOTICES Los Angeles County Museum of Natural History, Los Complaint Proceeding, 16396–16398 Angeles, CA; Correction, 16382–16383 Office of the State Archaeologist, University of Iowa, Postal Service Iowa City, IA, 16378–16379 NOTICES Pueblo Grande Museum, Phoenix, AZ, 16383–16385 Meetings; Sunshine Act, 16398 National Register of Historic Places: Pending Nominations and Related Actions, 16382 Presidential Documents Repatriation of Cultural Items: EXECUTIVE ORDERS U.S. Department of Agriculture, Forest Service, Tongass Health and Human Services: National Forest, Petersburg, AK, 16380–16382 COVID–19 Transmission, Response Efforts; Health and Medical Resource Prioritization and Allocation (EO 13909), 16227–16228 National Science Foundation NOTICES Rural Housing Service Meetings: NOTICES Advisory Committee for Environmental Research and Agency Information Collection Activities; Proposals, Education, 16387 Submissions, and Approvals, 16324–16325 Request for Applications: Nuclear Regulatory Commission Housing Preservation Grants for Fiscal Year 2020, 16314– PROPOSED RULES 16324 Backfitting, Forward Fitting, and Issue Finality Guidance, 16278–16279 Securities and Exchange Commission NOTICES NOTICES Agency Information Collection Activities; Proposals, Joint Industry Plan: Submissions, and Approvals: Filing of the Twentieth Amendment to the National Licensee Event Report; Correction, 16387–16388 Market System Plan To Address Extraordinary Inspections, Tests, Analyses, and Acceptance Criteria: Market Volatility by Cboe BYX Exchange, Inc., Cboe Southern Nuclear Operating Co., Inc., Vogtle Electric BZX Exchange, Inc., Cboe EDGA Exchange, Inc., et Generating Plant, Units 3 and 4, 16388–16389 al., 16408–16428

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Self-Regulatory Organizations; Proposed Rule Changes: Transportation Security Administration New York Stock Exchange, LLC, 16406–16408, 16436– RULES 16439 Security Training for Surface Transportation Employees, NYSE American, LLC, 16400–16406, 16430–16434 16456–16517 NYSE Arca, Inc., 16398–16400, 16439–16450 NYSE Chicago, Inc., 16434–16436 Treasury Department NYSE National, Inc., 16428–16430 See Comptroller of the Currency See Internal Revenue Service Small Business Administration NOTICES Agency Information Collection Activities; Proposals, Veterans Affairs Department Submissions, and Approvals, 16450 NOTICES Meetings: Surface Transportation Board Special Medical Advisory Group; Cancellation, 16454 NOTICES Meetings: Rail Energy Transportation Advisory Committee, 16450 Separate Parts In This Issue Quarterly Rail Cost Adjustment Factor, 16450

The U.S. Codex Office Part II NOTICES Homeland Security Department, Transportation Security Meetings: Administration, 16456–16517 Codex Alimentarius Commission, 16314

Trade Representative, Office of United States NOTICES Reader Aids Public Hearing: Consult the Reader Aids section at the end of this issue for Negotiating Objectives for a United States-Republic of phone numbers, online resources, finding aids, and notice Kenya Trade Agreement, 16450–16452 of recently enacted public laws. To subscribe to the Federal Register Table of Contents Transportation Department electronic mailing list, go to https://public.govdelivery.com/ See Federal Aviation Administration accounts/USGPOOFR/subscriber/new, enter your e-mail See Pipeline and Hazardous Materials Safety address, then follow the instructions to join, leave, or Administration manage your subscription.

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CFR PARTS AFFECTED IN THIS ISSUE

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

3 CFR Executive Orders: 13909...... 16227 7 CFR 1216...... 16229 1412...... 16231 1437...... 16231 Proposed Rules: 210...... 16273 215...... 16273 220...... 16273 226...... 16273 235...... 16273 930...... 16273 10 CFR Proposed Rules: Ch. I ...... 16278 12 CFR 3...... 16232 217...... 16232 324...... 16232 14 CFR 39...... 16237 97 (2 documents) ...... 16240, 16243 Proposed Rules: 39 (3 documents) ...... 16279, 16281, 16284 71 (2 documents) ...... 16287, 16289 21 CFR Proposed Rules: 1301...... 16292 1318...... 16292 26 CFR 1...... 16245 33 CFR 165...... 16267 Proposed Rules: 209...... 16307 34 CFR Proposed Rules: Ch. III ...... 16307 40 CFR 62...... 16270 Proposed Rules: 52...... 16309 44 CFR 67...... 16270 49 CFR 1500...... 16456 1520...... 16456 1570...... 16456 1580...... 16456 1582...... 16456 1584...... 16456 50 CFR 679 (2 documents) ...... 16271, 16272 Proposed Rules: 679...... 16310

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Federal Register Presidential Documents Vol. 85, No. 56

Monday, March 23, 2020

Title 3— Executive Order 13909 of March 18, 2020

The President Prioritizing and Allocating Health and Medical Resources to Respond to the Spread of COVID–19

By the authority vested in me as President by the Constitution and the laws of the United States of America, including the Defense Production Act of 1950, as amended (50 U.S.C. 4501 et seq.) (the ‘‘Act’’), and section 301 of title 3, United States Code, it is hereby ordered as follows: Section 1. Policy and Findings. On March 13, 2020, I declared a national emergency recognizing the threat that the novel (new) coronavirus known as SARS–CoV–2 poses to our national security. In recognizing the public health risk, I noted that on March 11, 2020, the World Health Organization announced that the outbreak of COVID–19 (the disease caused by SARS– CoV–2) can be characterized as a pandemic. I also noted that while the Federal Government, along with State and local governments, have taken preventive and proactive measures to slow the spread of the virus and to treat those affected, the spread of COVID–19 within our Nation’s commu- nities threatens to strain our Nation’s healthcare system. To ensure that our healthcare system is able to surge capacity and capability to respond to the spread of COVID–19, it is critical that all health and medical resources needed to respond to the spread of COVID–19 are properly distributed to the Nation’s healthcare system and others that need them most at this time. Accordingly, I find that health and medical resources needed to respond to the spread of COVID–19, including personal protective equipment and ventilators, meet the criteria specified in section 101(b) of the Act (50 U.S.C. 4511(b)). Under the delegation of authority provided in this order, the Secretary of Health and Human Services may identify additional specific health and medical resources that meet the criteria of section 101(b). Sec. 2. Priorities and Allocation of Medical Resources. (a) Notwithstanding Executive Order 13603 of March 16, 2012 (National Defense Resource Preparedness), the authority of the President conferred by section 101 of the Act to require performance of contracts or orders (other than contracts of employment) to promote the national defense over performance of any other contracts or orders, to allocate materials, services, and facilities as deemed necessary or appropriate to promote the national defense, and to implement the Act in subchapter III of chapter 55 of title 50, United States Code, is delegated to the Secretary of Health and Human Services with respect to all health and medical resources needed to respond to the spread of COVID–19 within the United States. (b) The Secretary of Health and Human Services may use the authority under section 101 of the Act to determine, in consultation with the Secretary of Commerce and the heads of other executive departments and agencies as appropriate, the proper nationwide priorities and allocation of all health and medical resources, including controlling the distribution of such mate- rials (including applicable services) in the civilian market, for responding to the spread of COVID–19 within the United States. (c) The Secretary of Health and Human Services shall issue such orders and adopt and revise appropriate rules and regulations as may be necessary to implement this order.

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Sec. 3. General Provisions. (a) Nothing in this order shall be construed to impair or otherwise affect: (i) the authority granted by law to an executive department or agency, or the head thereof; or (ii) the functions of the Director of the Office of Management and Budget relating to budgetary, administrative, or legislative proposals. (b) This order shall be implemented consistent with applicable law and subject to the availability of appropriations. (c) This order is not intended to, and does not, create any right or benefit, substantive or procedural, enforceable at law or in equity by any party against the United States, its departments, agencies, or entities, its officers, employees, or agents, or any other person.

THE WHITE HOUSE, March 18, 2020.

[FR Doc. 2020–06161 Filed 3–20–20; 8:45 am] Billing code 3295–F0–P

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Rules and Regulations Federal Register Vol. 85, No. 56

Monday, March 23, 2020

This section of the FEDERAL REGISTER benefits of available regulatory obligation imposed in connection with contains regulatory documents having general alternatives and, if regulation is an order, shall be filed within two years applicability and legal effect, most of which necessary, to select regulatory after the effective date of an order, are keyed to and codified in the Code of approaches that maximize net benefits provision, or obligation subject to Federal Regulations, which is published under (including potential economic, challenge in the petition. The petitioner 50 titles pursuant to 44 U.S.C. 1510. environmental, public health and safety will have the opportunity for a hearing The Code of Federal Regulations is sold by effects, distributive impacts and equity). on the petition. Thereafter, USDA will the Superintendent of Documents. Executive Order 13563 emphasizes the issue a ruling on the petition. The 1996 importance of quantifying both costs Act provides that the district court of and benefits, reducing costs, the United States for any district in DEPARTMENT OF AGRICULTURE harmonizing rules and promoting which the petitioner resides or conducts flexibility. This final rule falls within a business shall have the jurisdiction to Agricultural Marketing Service category of regulatory actions that the review a final ruling on the petition, if Office of Management and Budget the petitioner files a complaint for that 7 CFR Part 1216 (OMB) exempted from Executive Order purpose not later than 20 days after the [Document Number AMS–SC–19–0073] 12866 review. Additionally, because date of the entry of USDA’s final ruling. this rule does not meet the definition of Background Peanut Promotion, Research, and a significant regulatory action it does Information Order; Amendment to not trigger the requirements contained This final rule adds the State of Primary Peanut-Producing States and in Executive Order 13771. See OMB’s Missouri as a primary peanut-producing Adjustment of Membership Memorandum titled ‘‘Interim Guidance State under the Order. According to the Implementing Section 2 of the Executive Order, primary peanut-producing states AGENCY: Agricultural Marketing Service, Order of January 30, 2017, titled must maintain a 3-year average USDA. ‘Reducing Regulation and Controlling production of at least 10,000 tons of ACTION: Final rule. Regulatory Costs’ ’’ (February 2, 2017). peanuts to maintain this classification. Missouri’s peanut production meets this SUMMARY: This rule adds the State of Executive Order 13175 requirement. Missouri as a primary peanut-producing This final rule has been reviewed in The Order is administered by the State under the Peanut Promotion, accordance with the requirements of Board with oversight by USDA. Primary Research, and Information Order Executive Order 13175, Consultation peanut-producing states have seats on (Order). The Order is administered by and Coordination with Indian Tribal the Board. This final rule adds one the National Peanut Board (Board) with Governments. The review reveals that producer member and alternate seat to oversight by the U.S. Department of this regulation will not have substantial the Board to represent the State of Agriculture (USDA). This rule also adds and direct effects on Tribal governments Missouri. Board members and alternates a producer member and alternate and would not have significant Tribal are nominated by producers or producer member to the Board to represent the implications. groups. This final rule ensures that the State of Missouri. The Board Board’s representation reflects changes Executive Order 12988 recommended this action to ensure the in the geographical distribution of the Board’s representation reflects changes In addition, this final rule has been production of peanuts covered by the in the geographical distribution of the reviewed under Executive Order 12988, Order. production of peanuts. Civil Justice Reform. It is not intended The Order became effective on July to have retroactive effect. Section 524 of 30, 1999. Pursuant to the Order, the DATES: Effective April 22, 2020. the 1996 Act (7 U.S.C. 7423) provides Board administers a nationally- FOR FURTHER INFORMATION CONTACT: that it shall not affect or preempt any coordinated program of promotion, Jeanette Palmer, Marketing Specialist, other Federal or State law authorizing research and information designed to Promotion and Economics Division, promotion or research relating to an strengthen the position of peanuts in the Specialty Crops Program, AMS, USDA, agricultural commodity. market place and to develop, maintain Stop 0244, 1400 Independence Avenue Pursuant to the Congressional Review and expand the demand for peanuts in SW, Room 1406–S, Washington, DC Act (5 U.S.C. 801 et seq.), the Office of the United States. Under the program, 20250–0244; telephone: (202) 720–9915; Information and Regulatory Affairs assessments are levied on all farmers facsimile: (202) 205–2800; or electronic designated this rule as not a major rule, stock peanuts sold. Assessments are mail: [email protected]. as defined by 5 U.S.C. 804(2). levied at a rate of $3.55 per ton for SUPPLEMENTARY INFORMATION: This rule Under section 519 of the 1996 Act (7 Segregation 1 peanuts and $1.25 per ton affecting the Order (7 CFR part 1216) is U.S.C. 7418), a person subject to an for Segregation 2 and 3 peanuts, as those authorized under the Commodity order may file a written petition with terms are defined in § 996.13(b)–(d) of Promotion, Research, and Information USDA stating that an order, any title 7. The assessments are remitted to Act of 1996 (1996 Act) (7 U.S.C. 7411– provision of an order, or any obligation the Board by handlers and, for peanuts 7425). imposed in connection with an order, is under loan, by the Commodity Credit not established in accordance with the Corporation. Executive Orders 12866, 13563, and law, and request a modification of an The Order distinguishes between the 13771 order or an exemption from an order. terms ‘‘minor peanut-producing states’’ Executive Orders 12866 and 13563 Any petition filed challenging an order, and ‘‘primary peanut-producing states’’ direct agencies to assess all costs and any provision of an order, or any for purposes of Board representation

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and voting at meetings. Section 1216.21 Final Regulatory Flexibility Act percent of the 3-year average quantity, currently defines primary peanut- Analysis followed by Alabama (10.3 percent), producing states as Alabama, Arkansas, In accordance with the Regulatory Texas (9.6 percent), Florida (9.3 Florida, Georgia, Mississippi, New Flexibility Act (RFA) (5 U.S.C. 601– percent), North Carolina (6.7 percent), Mexico, North Carolina, Oklahoma, 612), AMS is required to examine the South Carolina (6.0 percent), South Carolina, Texas and Virginia. impact of the rule on small entities. Mississippi (2.3 percent), Arkansas (2.1 These States must maintain a 3-year Accordingly, AMS has considered the percent), Virginia (1.6 percent), with average production of at least 10,000 economic impact of this action on small Oklahoma and New Mexico both under tons of peanuts. All other peanut- entities. one percent. This final rule amends §§ 1216.15, producing States are defined as minor The purpose of the RFA is to fit 1216.21 and 1216.40 to add the State of peanut-producing States in § 1217.15. regulatory actions to the scale of Missouri as a primary peanut-producing Pursuant to § 1216.40(b), at least once businesses subject to such actions so State and to add a member and alternate in each five-year period, the Board must that small businesses will not be to the Board to represent Missouri. review the geographical distribution of disproportionately burdened. The Small Pursuant to the Order, primary peanut- Business Administration (SBA) defines, peanuts in the United States and make producing States must maintain a 3-year a recommendation to the Secretary of in 13 CFR part 121, small agricultural average production of at least 10,000 Agriculture (Secretary) to continue the producers as those having annual tons of peanuts. Missouri’s peanut program without change or recommend receipts of no more than $1 million and production meets this requirement. This that changes should be made in the small agricultural service firms final rule ensures that the Board’s number of representatives on the Board (handlers) as those having annual representation reflects changes in the to reflect changes in the geographical receipts of no more than $30 million. geographical distribution of the distribution of the production of According to the Board, there were production of peanuts covered under peanuts. approximately 8,126 producers and 34 the Order. This action is authorized handlers of peanuts who were subject to Board Recommendation under § 1216.40(b) and section 515(b)(3) the program in 2018. of the 1996 Act. As required by the Order, the Board Most producers would be classified as Regarding the economic impact of this met and reviewed the geographical small agricultural production businesses rule on affected entities, this rule distribution of peanuts. According to under the criteria established by the imposes no costs on producers or data from the USDA’s Federal State SBA (no more than $1 million in annual handlers. The changes define the State Inspection Service, for the years 2016, sales). USDA’s National Agricultural of Missouri as a primary peanut- 2017 and 2018, 9,552, 13,059 and Statistics Service (NASS) reports that producing State based on recent 12,597 tons of peanuts were inspected the crop values of the peanuts produced production data and add a seat on the in Missouri, respectively. Based on this in the top 11 peanut-producing states in Board for the State of Missouri. data, the 3-year average annual peanut the years 2016 through 2018 were $1.09 With regard to alternatives, the Board production for Missouri totals 11,736 billion, $1.63 billion and $1.16 billion, reviewed the peanut production for all tons per year, which exceeds the respectively. The 3-year crop average the minor peanut-producing States and requirement in the Order of maintaining was $1.29 billion. With a 2018 crop determined that Missouri was the only a 3-year average of 10,000 tons per year value of $1.16 billion and a total of State so designated that met the Order’s to be considered a primary peanut- 8,126 producers, average peanut sales requirement for a 3-year average peanut producing State. per producer were approximately production of at least 10,000 tons in $142,000. With a 2015–2018 average order to qualify to become a primary Based on Federal State Inspection crop value of $1.29 billion, average sales peanut-producing State. Service data, the Board voted per producer were approximately In accordance with the Paperwork unanimously on August 28, 2019, to add $159,000. Both figures are well below Reduction Act of 1995 (44 U.S.C. Missouri as a primary peanut-producing the $1 million threshold for a small Chapter 35), the background form (AD– State under the Order. Accordingly, one producer, providing strong evidence 755), which represents the information producer member and one alternate that most peanut producers are small collection and recordkeeping member will be added to the Board to businesses. requirements that will be imposed by represent the State of Missouri. For the 34 handlers, the average this rule, was previously approved These changes help ensure that the annual peanut crop value per handler under OMB control number 0581–0093. Board’s representation reflects changes from 2016 to 2018 ranged from $32 Adding a producer member and in the geographical distribution of the million to $48 million, with a 3-year alternate to represent the State of production of peanuts. Accordingly, this average of $38 million. With average Missouri on the Board requires four final rule amends §§ 1216.15 and sales figures moderately higher than the additional producers to submit 1216.21 to add the State of Missouri as small business threshold size of $30 background forms (AD–755) to USDA a primary peanut-producing State. Prior million, it appears that a number of once every three years in order to be to the changes made in this rule, the handlers are small businesses and there considered for appointment to the Board could be composed or no more are also a number that are large Board. The Secretary requires two than 12 peanut producers and their businesses—no definitive statement can names to be submitted for each open alternates. This final rule also revises be made. seat on the Board. The public reporting § 1216.40(a) to specify that the Board The pounds of U.S. peanut burden is estimated to increase the total can be composed of no more than 13 production from the 11-primary peanut- burden hours for this information peanut producer members and their producing states for 2016 through 2018 collection by less than one hour. This alternates. Further, § 1216.40(a)(1) is are 5.58 billion, 7.12 billion and 5.46 additional burden will be included in revised to provide that 12 Board billion, respectively. The 3-year average the existing information collection members and their alternates represent was 6.05 billion pounds. Computations approved for use under OMB control primary peanut-producing states, up based on NASS data show that Georgia number 0581–0093. In addition, serving from 11. was the largest producer, with 50.8 on the Board is optional, and the burden

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of submitting the background form continue to benefit from Board activities ■ 3. Revise § 1216.21 to read as follows: would be offset by the benefits of under the Order. additional representation on the Board. Two commenters expressed concern § 1216.21 Primary peanut-producing states. As with all Federal promotion regarding the use of taxpayer dollars to programs, reports and forms are fund the peanut Order. However, the Primary peanut-producing states periodically reviewed to reduce Order, which is authorized under the means Alabama, Arkansas, Florida, information requirements and 1996 Act and administered by the Board Georgia, Mississippi, Missouri, New duplication by industry and public for the benefit of the peanut industry, is Mexico, North Carolina, Oklahoma, sector agencies. USDA has not funded through assessments paid by South Carolina, Texas and Virginia, identified any relevant Federal rules peanut producers, as described in the Provided, these states maintain a 3-year that duplicate, overlap, or conflict with Final Regulatory Flexibility Analysis average production of at least 10,000 this rule. section of this document. The peanut tons of peanuts. AMS is committed to complying with program does not receive taxpayer ■ 4. Amend § 1216.40 by revising the E-Government Act, to promote the funds. Further, AMS charges the Board paragraph (a) introductory text and use of the internet and other user fees for administrative oversight of paragraph (a)(1) to read as follows: the program. information technologies to provide § 1216.40 Establishment and membership. increased opportunities for citizen One commenter suggested that access to Government information and Missouri should not be added to the (a) Establishment of a National services, and for other purposes. Board because it produces a small Peanut Board. There is hereby amount of peanuts. However, as established a National Peanut Board, Regarding outreach efforts, the Board described in the proposed rule, Missouri hereinafter called the Board, composed discussed Missouri’s peanut production maintained a three-year average of no more than 13 peanut producers level at its December 4–5, 2018 meeting. production of at least 10,000 tons of and alternates, appointed by the All the Board’s meetings are open to the peanuts, qualifying it as a primary Secretary from nominations as follows: public and interested persons are peanut-producing State under the Order (1) Twelve members and alternates. invited to participate and express their and producer membership on the Board. One member and one alternate shall be views. The Board notified the primary Therefore, Missouri is being added as a appointed from each primary peanut- peanut-producing States (Georgia, primary peanut-producing State on the producing state, who are producers and Alabama, Texas, Florida, North Board. USDA has considered all whose nominations have been Carolina, South Carolina, Mississippi, comments received and has not made submitted by certified peanut producer Arkansas, Virginia, Oklahoma and New any changes to the rule as proposed organizations within a primary peanut- Mexico) of Missouri’s production based on those comments. producing state. numbers by disseminating information After consideration of all relevant * * * * * through the Board’s weekly newsletter, matters presented, including the which is titled News in a Nutshell. The information and recommendation Dated: March 10, 2020. Board voted on August 28, 2019, to submitted by the Board and other Bruce Summers, recommend adding the State of Missouri available information, it is hereby found Administrator, Agricultural Marketing as a primary peanut-producing state. that this rule, as hereinafter set forth, is Service. A proposed rule concerning this consistent with and will effectuate the [FR Doc. 2020–05224 Filed 3–20–20; 8:45 am] action was published in the Federal purposes of the 1996 Act. BILLING CODE 3410–02–P Register on December 2, 2019 (84 FR 65929). A 30-day comment period List of Subjects in 7 CFR Part 1216 ending on January 2, 2020, was Administrative practice and DEPARTMENT OF AGRICULTURE provided to allow interested persons to procedure, Advertising, Consumer respond to the proposal. information, Marketing agreements, Commodity Credit Corporation Analysis of Comments Reporting and recordkeeping requirements, Peanut promotion. 7 CFR Parts 1412 and 1437 Four comments were received in For the reasons set forth in the [Docket No. CCC–2019–0005; Docket ID response to the proposed rule. Two preamble, amend 7 CFR part 1216 as FSA–2019–0008] comments support the proposal. The follows: other two comments expressed concern RIN 0560–AI45; 0560–AI48 about the use of taxpayer dollars to fund PART 1216—PEANUT PROMOTION, Agriculture Risk Coverage and Price the peanut Order. RESEARCH, AND INFORMATION Loss Coverage Programs and Both commenters in support of the ORDER Noninsured Crop Assistance Program; proposal pointed out that the Board’s Correction activities are fully funded by peanut ■ 1. The authority citation for 7 CFR farmers and not by taxpayers. These part 1216 continues to read as follows: AGENCY: Commodity Credit Corporation commenters explained that the Order Authority: 7 U.S.C. 7411–7425; 7 U.S.C. and Farm Service Agency, USDA. supports activities that benefit the entire 7401. ACTION: Correcting amendment. peanut industry, such as research to ■ 2. Revise § 1216.15 to read as follows: reduce production costs and improve SUMMARY: This document corrects quality and yield, and research about § 1216.15 Minor peanut-producing states. regulations that were published in the nutrition. One commenter stated that Minor peanut-producing states means Federal Register on September 3, 2019, Missouri served on the Board as the at- all peanut-producing states with the and March 2, 2020. The rules revised large producer member in 2019, and exception of Alabama, Arkansas, the Agriculture Risk Coverage (ARC) that its average production over the last Florida, Georgia, Mississippi, Missouri, and Price Loss Coverage (PLC) Programs three years justifies its addition to the New Mexico, North Carolina, and Noninsured Crop Assistance list of primary producing States. Both Oklahoma, South Carolina, Texas and Program (NAP) to implement changes commenters agree that farmers will Virginia. required by the Agriculture

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Improvement Act of 2018 (the 2018 Authority: 7 U.S.C. 1508b, 7911–7912, records of production acceptable to FSA Farm Bill). There were errors in three of 7916, 8702, 8711–8712, 8751–8752, and 15 may include: the definitions in ARC and PLC program U.S.C. 714b and 714c. * * * * * rule. The Commodity Credit Corporation (CCC) is also correcting one Subpart D—ARC and PLC Contract Robert Stephenson, sentence in the NAP rule. Terms and Enrollment Provisions for Executive Vice President, Commodity Credit Corporation. DATES: Effective March 23, 2020. Covered Commodities In accordance: FOR FURTHER INFORMATION CONTACT: ■ Mary Ann Ball; telephone: (202) 720– 2. Amend § 1412.3 as follows: Richard Fordyce, 4283, email address: maryann.ball@ ■ a. Revise the definition of ‘‘ARC Administrator, Farm Service Agency. usda.gov. Persons with disabilities who guarantee’’; [FR Doc. 2020–05399 Filed 3–20–20; 8:45 am] require alternative means for ■ b. In the definition of ‘‘Benchmark BILLING CODE 3410–05–P communication should contact the revenue for ARC–IC’’, remove the word USDA Target Center at (202) 720–2600 ‘‘allcovered’’ and add the words ‘‘all (voice only). covered’’ in its place; and DEPARTMENT OF TREASURY SUPPLEMENTARY INFORMATION: ■ c. In the definition of ‘‘Temperate Office of the Comptroller of the Correcting Amendment to Regulations japonica rice’’, revise paragraph (2). Currency The ARC and PLC final rule was The revisions read as follows: published in the Federal Register on 12 CFR Part 3 September 3, 2019 (84 FR 45877– § 1412.3 Definitions. [Docket No. OCC–2020–0011] 45895). CCC made an error in the * * * * * definitions of ‘‘ARC guarantee,’’ ARC guarantee is calculated for a crop RIN 1557–AE83 ‘‘Benchmark revenue for ARC–IC,’’ and year for a covered commodity, and is ‘‘Temperate japonica rice’’ in the final FEDERAL RESERVE SYSTEM equal to 86 percent of the benchmark rule. In the definition for ARC revenue for ARC–CO and ARC–IC, as guarantee, the phrase ‘‘86 percent of the 12 CFR Part 217 benchmark revenue’’ was removed the defined in this part. first time it appeared in the definition, * * * * * [Regulation Q; Docket No. R–1705] but it should have been specified as the Temperate japonica rice *** RIN 7100–AF79 second occurrence in the definition that (2) Establishment of a reference price was no longer needed. In the definition FEDERAL DEPOSIT INSURANCE equal to the medium grain rice reference for Benchmark revenue for ARC–IC, CORPORATION there was a typo. In the definition of price multiplied by the ratio obtained by Temperate japonica rice, paragraph (2) dividing: 12 CFR Part 324 needed to be changed to be consistent (i) The simple average of the with section 1106 of the 2018 Farm Bill. marketing year average price of medium RIN 3064–AF41 This rule corrects those errors. grain rice from the 2012 through 2016 Regulatory Capital Rule: Money Market The NAP final rule was published in crop years, by Mutual Fund Liquidity Facility the Federal Register on March 2, 2020 (ii) The simple average of the AGENCY: (85 FR 12213–12221). The last sentence marketing year average price of all rice Board of Governors of the needs to be revised in § 1437.8(a) in Federal Reserve System (Board), Office from the 2012 through 2016 crop years; NAP regulation. of the Comptroller of the Currency and (OCC), and Federal Deposit Insurance List of Subjects * * * * * Corporation (FDIC). 7 CFR Part 1412 ACTION: PART 1437—NONINSURED CROP Interim final rule and request for comment. Cotton, Feed grains, Oilseeds, DISASTER ASSISTANCE PROGRAM Peanuts, Price support programs, SUMMARY: Reporting and recordkeeping To provide liquidity to the ■ 3. The authority citation for part 1437 requirements, Rice, Soil conservation, money market sector to help stabilize continues to read as follows: Wheat. the financial system, the Board of Authority: 7 U.S.C. 1501–1508 and 7333; Governors of the Federal Reserve 7 CFR Part 1437 15 U.S.C. 714–714m; 19 U.S.C. 2497, and 48 System authorized the Federal Reserve Acreage allotments, Agricultural U.S.C. 1469a. Bank of Boston to establish the Money commodities, Crop insurance, Disaster Market Mutual Fund Liquidity Facility assistance, Fraud, Penalties, Reporting Subpart A—General Provisions (MMLF), pursuant to section 13(3) of the and recordkeeping requirements. Federal Reserve Act. Under the MMLF, For the reasons discussed above, CCC ■ 4. Amend § 1437.8 by revising the last the Federal Reserve Bank of Boston will corrects 7 CFR parts 1412 and 1437 as sentence in paragraph (a) introductory extend non-recourse loans to eligible follows: text to read as follows: financial institutions to purchase certain types of assets from money market PART 1412—AGRICULTURE RISK § 1437.8 Records. mutual funds (MMFs). To facilitate this COVERAGE, PRICE LOSS COVERAGE, Federal Reserve lending program, the (a) * * * Certifications must be Board, OCC and FDIC (together, the AND COTTON TRANSITION accompanied by a record of production; ASSISTANCE PROGRAMS agencies) are adopting this interim final rule to allow banking organizations to ■ 1. The authority citation for part 1412 neutralize the regulatory capital effects continues to read as follows: of participating in the program. This

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treatment would extend to the change, including any business or impaired, TTY, (202) 649–5597. Upon community bank leverage ratio. personal information provided such as arrival, visitors will be required to DATES: The interim final rule is effective name and address information, email present valid government-issued photo March 23, 2020. Comments on the addresses, or phone numbers. identification and submit to security interim final rule must be received no Comments received, including screening in order to inspect comments. later than May 7, 2020. attachments and other supporting Board: You may submit comments, ADDRESSES: materials, are part of the public record identified by Docket No.R–1705; RIN OCC: Commenters are encouraged to and subject to public disclosure. Do not 7100–AF79, by any of the following submit comments through the Federal include any information in your methods: • eRulemaking Portal or email, if possible. comment or supporting materials that Agency website: http:// Please use the title ‘‘Regulatory Capital you consider confidential or www.federalreserve.gov. Follow the inappropriate for public disclosure. Rule: Money Market Mutual Fund instructions for submitting comments at You may review comments and other Liquidity Facility’’ to facilitate the http://www.federalreserve.gov/ related materials that pertain to this organization and distribution of the generalinfo/foia/ProposedRegs.cfm. rulemaking action by any of the • Email: regs.comments@ comments. You may submit comments following methods: by any of the following methods: • federalreserve.gov. Include docket and • Viewing Comments Electronically— RIN numbers in the subject line of the Federal eRulemaking Portal— Regulations.gov Classic or Regulations.gov Classic or message. Regulations.gov Beta: Regulations.gov • Regulations.gov Beta: FAX: (202) 452–3819 or (202) 452– Classic: Go to https:// 3102. Regulations.gov Classic: Go to https:// www.regulations.gov/. Enter ‘‘Docket ID www.regulations.gov/. Enter ‘‘Docket ID • Mail: Ann E. Misback, Secretary, OCC–2020–0011’’ in the Search box and Board of Governors of the Federal OCC–2020–0011’’ in the Search Box and click ‘‘Search.’’ Click on ‘‘Open Docket Reserve System, 20th Street and click ‘‘Search.’’ Click on ‘‘Comment Folder’’ on the right side of the screen. Constitution Avenue NW, Washington, Now’’ to submit public comments. For Comments and supporting materials can DC 20551. help with submitting effective be viewed and filtered by clicking on All public comments will be made comments please click on ‘‘View ‘‘View all documents and comments in available on the Board’s website at Commenter’s Checklist.’’ Click on the this docket’’ and then using the filtering http://www.federalreserve.gov/ ‘‘Help’’ tab on the Regulations.gov home tools on the left side of the screen. Click generalinfo/foia/ProposedRegs.cfm as page to get information on using on the ‘‘Help’’ tab on the Regulations.gov, including instructions Regulations.gov home page to get submitted, unless modified for technical for submitting public comments. information on using Regulations.gov. reasons or to remove personally Regulations.gov Beta: Go to https:// The docket may be viewed after the identifiable information at the beta.regulations.gov/ or click ‘‘Visit close of the comment period in the same commenter’s request. Accordingly, New Regulations.gov Site’’ from the manner as during the comment period. comments will not be edited to remove Regulations.gov Classic homepage. Regulations.gov Beta: Go to https:// any identifying or contact information. Enter ‘‘Docket ID OCC–2020–0011’’ in beta.regulations.gov/ or click ‘‘Visit Public comments may also be viewed the Search Box and click ‘‘Search.’’ New Regulations.gov Site’’ from the electronically or in paper in Room 146, Public comments can be submitted via Regulations.gov Classic homepage. 1709 New York Avenue NW, the ‘‘Comment’’ box below the Enter ‘‘Docket ID OCC–2020–0011’’ in Washington, DC 20006, between 9:00 displayed document information or by the Search Box and click ‘‘Search.’’ a.m. and 5:00 p.m. on weekdays. For clicking on the document title and then Click on the ‘‘Comments’’ tab. security reasons, the Board requires that clicking the ‘‘Comment’’ box on the top- Comments can be viewed and filtered visitors make an appointment to inspect left side of the screen. For help with by clicking on the ‘‘Sort By’’ drop-down comments. You may do so by calling submitting effective comments please on the right side of the screen or the (202) 452–3684. click on ‘‘Commenter’s Checklist.’’ For ‘‘Refine Results’’ options on the left side FDIC: You may submit comments, assistance with the Regulations.gov Beta of the screen. Supporting materials can identified by RIN 3064–AF41, by any of site, please call (877) 378–5457 (toll be viewed by clicking on the the following methods: free) or (703) 454–9859 Monday–Friday, ‘‘Documents’’ tab and filtered by • Agency website: http:// 9 a.m.–5 p.m. ET or email regulations@ clicking on the ‘‘Sort By’’ drop-down on www.fdic.gov/regulations/laws/federal. erulemakinghelpdesk.com. the right side of the screen or the Follow instructions for submitting • Email: regs.comments@ ‘‘Refine Results’’ options on the left side comments on the Agency website. occ.treas.gov. of the screen.’’ For assistance with the • Email: [email protected]. • Mail: Chief Counsel’s Office, Regulations.gov Beta site, please call Include ‘‘RIN 3064–AF41’’ on the Attention: Comment Processing, Office (877) 378–5457 (toll free) or (703) 454– subject line of the message. of the Comptroller of the Currency, 400 9859 Monday-Friday, 9 a.m.–5 p.m. ET • Mail: Robert E. Feldman, Executive 7th Street SW, Suite 3E–218, or email regulations@ Secretary, Attention: Comments/RIN Washington, DC 20219. erulemakinghelpdesk.com. 3064–AF41, Federal Deposit Insurance • Hand Delivery/Courier: 400 7th The docket may be viewed after the Corporation, 550 17th Street NW, Street SW, Suite 3E–218, Washington, close of the comment period in the same Washington, DC 20429. DC 20219. manner as during the comment period. • Hand Delivery/Courier: Comments • Fax: (571) 465–4326. • Viewing Comments Personally: You may be hand delivered to the guard Instructions: You must include may personally inspect comments at the station at the rear of the 550 17th Street ‘‘OCC’’ as the agency name and ‘‘Docket OCC, 400 7th Street SW, Washington, Building (located on F Street) on ID OCC–2020–0011’’ in your comment. DC 20219. For security reasons, the OCC business days between 7 a.m. and 5 p.m. In general, the OCC will enter all requires that visitors make an All comments received must include the comments received into the docket and appointment to inspect comments. You agency name (FDIC) and RIN 3064– publish the comments on the may do so by calling (202) 649–6700 or, AF41 and will be posted without change Regulations.gov website without for persons who are deaf or hearing to http://www.fdic.gov/regulations/laws/

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federal, including any personal financial markets have put increasing The agencies have determined that information provided. liquidity pressure on money market the current leverage and risk-based FOR FURTHER INFORMATION CONTACT: mutual funds. Given these pressures, capital requirements for the assets OCC: Margot Schwadron, Director, or money market mutual funds have been acquired by a banking organization as Benjamin Pegg, Risk Expert, Capital and faced with redemption requests from part of the MMLF do not reflect the Regulatory Policy, (202) 649–6370; or clients with immediate cash needs. The substantial protections provided to the Carl Kaminski, Special Counsel, or money market mutual funds may need organization by the Federal Reserve Kevin Korzeniewski, Counsel, Chief to sell a significant number of assets to Bank of Boston in connection with the Counsel’s Office, (202) 649–5490, for meet these redemption requests, which facility.3 Because of the non-recourse persons who are deaf or hearing could further increase market pressures. nature of the Federal Reserve’s impaired, TTY, (202) 649–5597, Office In order to prevent the disruption in extension of credit to the banking of the Comptroller of the Currency, 400 the money markets from destabilizing organization, the organization is not 7th Street SW, Washington, DC 20219. the financial system, on March 19, 2020, exposed to credit or market risk from Board: Anna Lee Hewko, Associate the Board, with approval of the the assets purchased by the banking Director, (202) 530–6360, Constance Secretary of the Treasury, authorized organization and pledged to the Federal Horsley, Deputy Associate Director, the Federal Reserve Bank of Boston to Reserve. Therefore, the agencies believe (202) 452–5239, Juan Climent, Manager, establish the MMLF, pursuant to section that it would be appropriate to exclude 1 (202) 460 2180, Division of Supervision 13(3) of the Federal Reserve Act. Under the effects of purchasing assets through and Regulation; Benjamin McDonough, the MMLF, the Federal Reserve Bank of the MMLF from a banking Assistant General Counsel, (202) 452– Boston will extend non-recourse loans organization’s regulatory capital.4 2036, Asad Kudiya, Senior Counsel, to eligible borrowers to purchase assets Specifically, the interim final rule (202) 475–6358, or Mary Watkins, from money market mutual funds. would permit banking organizations to Senior Attorney, (202) 452–3722, Legal Assets purchased from MMFs will be exclude non-recourse exposures Division, Board of Governors of the posted as collateral to the Federal acquired as part of the MMLF from a Federal Reserve System, 20th Street and Reserve Bank of Boston (eligible banking organization’s total leverage Constitution Avenue NW, Washington, collateral). Eligible borrowers under the exposure, average total consolidated DC 20551. Users of Telecommunication MMLF include certain banking assets, advanced approaches-total risk- Device for Deaf (TDD) only, call (202) organizations subject to the agencies’ weighted assets, and standardized total 2 263–4869. capital rule, such as depository risk-weighted assets, as applicable.5 FDIC: Bobby R. Bean, Associate institutions and depository institution The agencies seek comment on all Director, [email protected]; Benedetto holding companies. Eligible collateral aspects of this interim final rule. Bosco, Chief, Capital Policy Section, under the MMLF includes U.S. Questions: Discuss the advantages [email protected]; Noah Cuttler, Senior Treasuries and fully guaranteed agency and disadvantages of neutralizing the Policy Analyst, [email protected]; securities, securities issued by effects of participating in the MMLF on [email protected]; Capital government-sponsored enterprises, and regulatory capital requirements. How Markets Branch, Division of Risk certain types of commercial paper. does the proposed approach support the Management Supervision, (202) 898– To facilitate this Federal Reserve objectives of the facility? What other 6888; or Michael Phillips, Counsel, lending program, the agencies are steps could be taken to support the [email protected]; Catherine Wood, adopting this interim final rule to allow objectives of the facility? How does the Counsel, [email protected]; Supervision banking organizations to neutralize the proposed approach sufficiently support and Legislation Branch, Legal Division, effects of purchasing assets through the the objectives of safety and soundness? program on risk-based and leverage Federal Deposit Insurance Corporation, IV. Administrative Law Matters 550 17th Street NW, Washington, DC capital ratios. 20429. For the hearing impaired only, III. The Interim Final Rule A. Administrative Procedure Act Telecommunication Device for the Deaf The agencies’ capital rule requires The agencies are issuing the interim (TDD), (800) 925–4618. banking organizations to comply with final rule without prior notice and the SUPPLEMENTARY INFORMATION: risk-based and leverage capital opportunity for public comment and the requirements, which are expressed as a delayed effective date ordinarily Table of Contents prescribed by the Administrative ratio of regulatory capital to assets. Risk- 6 I. Background based requirements are based on risk- Procedure Act (APA). Pursuant to II. The Interim Final Rule weighted assets, whereas leverage section 553(b)(B) of the APA, general IV. Administrative Law Matters requirements are based on a measure of notice and the opportunity for public A. Administrative Procedure Act total consolidated assets or total comment are not required with respect B. Congressional Review Act to a rulemaking when an ‘‘agency for C. Paperwork Reduction Act leverage exposure. Participation in the MMLF will affect the balance sheet of a good cause finds (and incorporates the D. Regulatory Flexibility Act finding and a brief statement of reasons E. Riegle Community Development and banking organization because the Regulatory Improvement Act of 1994 banking organization must acquire and therefor in the rules issued) that notice F. Use of Plain Language hold assets (that is, eligible collateral G. Unfunded Mandates 3 On September 26, 2008, the Board published an pledged to the Federal Reserve Bank of interim final rule that provided the same regulatory I. Background Boston) on its balance sheet. As a result, capital treatment for assets purchased through the a banking organization that participates Asset-Backed Commercial Paper Money Market Recent events have significantly and in the MMLF could potentially be Mutual Fund Liquidity Facility. 73 FR 55706 (Sept. adversely impacted global financial subject to increased capital 26, 2008). markets. The spread of the Coronavirus 4 This includes assets purchased beginning on requirements. March 19, 2020, and pledged to the Federal Reserve Disease 2019 (COVID–2019) has slowed Bank of Boston in connection with this facility. economic activity in many countries, 1 12 U.S.C. 343(3). 5 This treatment would extend to the community including the United States. In 2 See 12 CFR part 3 (OCC); 12 CFR part 217 bank leverage ratio. particular, sudden disruptions in (Board); 12 CFR part 324 (FDIC). 6 5 U.S.C. 553.

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and public procedure thereon are The Congressional Review Act defines risk-weighted assets, as applicable, for impracticable, unnecessary, or contrary a ‘‘major rule’’ as any rule that the purposes of the Call Reports, the change to the public interest.’’ 7 Administrator of the Office of should be minimal and result in a zero The agencies believe that the public Information and Regulatory Affairs of net change in hourly burden under the interest is best served by implementing the OMB finds has resulted in or is agencies’ information collections. the interim final rule immediately upon likely to result in (A) an annual effect Submissions will, however, be made by publication in the Federal Register. As on the economy of $100,000,000 or the agencies to OMB. The changes to the discussed above, the spread of COVID– more; (B) a major increase in costs or Call Reports and their related 19 has slowed economic activity in prices for consumers, individual instructions will be addressed in a many countries, including the United industries, Federal, State, or local separate Federal Register notice. States. In particular, sudden disruptions government agencies or geographic Similarly, the Board will address in financial markets have put increasing regions, or (C) significant adverse effects corresponding changes to the liquidity pressure on MMFs. Given on competition, employment, information collected on the FR Y–9C these pressures, MMFs have been faced investment, productivity, innovation, or (FR Y–9; OMB No. 7100–0128) as part with redemption requests from clients on the ability of United States-based of a separate Federal Register notice. with immediate cash needs. The MMFs enterprises to compete with foreign- may need to sell a significant number of based enterprises in domestic and D. Regulatory Flexibility Act assets to meet these redemption export markets.13 The Regulatory Flexibility Act requests, which could further increase For the same reasons set forth above, (RFA) 15 requires an agency to consider market pressures. the agencies are adopting the interim whether the rules it proposes will have In order to prevent the disruption in final rule without the delayed effective a significant economic impact on a the money markets from destabilizing date generally prescribed under the substantial number of small entities.16 the financial system, on March 18, 2020, Congressional Review Act. The delayed The RFA applies only to rules for which the Board, with approval of the effective date required by the an agency publishes a general notice of Secretary of the Treasury, authorized Congressional Review Act does not proposed rulemaking pursuant to 5 the Federal Reserve Bank of Boston to apply to any rule for which an agency U.S.C. 553(b). As discussed previously, establish the MMLF, and this interim for good cause finds (and incorporates consistent with section 553(b)(B) of the final rule will facilitate this Federal the finding and a brief statement of APA, the agencies have determined for Reserve lending program. For these reasons therefor in the rule issued) that good cause that general notice and reasons, the agencies find that there is notice and public procedure thereon are opportunity for public comment is good cause consistent with the public impracticable, unnecessary, or contrary unnecessary, and therefore the agencies interest to issue the rule without to the public interest.14 In light of are not issuing a notice of proposed advance notice and comment.8 current market uncertainty, the agencies rulemaking. Accordingly, the agencies The APA also requires a 30-day believe that delaying the effective date have concluded that the RFA’s delayed effective date, except for (1) of the rule would be contrary to the requirements relating to initial and final substantive rules which grant or public interest. regulatory flexibility analysis do not recognize an exemption or relieve a As required by the Congressional apply. restriction; (2) interpretative rules and Review Act, the agencies will submit Nevertheless, the agencies seek statements of policy; or (3) as otherwise the final rule and other appropriate comment on whether, and the extent to provided by the agency for good cause.9 reports to Congress and the Government which, the interim final rule would Because the rules relieve a restriction, Accountability Office for review. affect a significant number of small the interim final rule is exempt from the entities. APA’s delayed effective date C. Paperwork Reduction Act requirement.10 The Paperwork Reduction Act of 1995 E. Riegle Community Development and While the agencies believe that there (44 U.S.C. 3501–3521) (PRA) states that Regulatory Improvement Act of 1994 is good cause to issue the rule without no agency may conduct or sponsor, nor Pursuant to section 302(a) of the advance notice and comment and with is the respondent required to respond Riegle Community Development and an immediate effective date, the to, an information collection unless it Regulatory Improvement Act agencies are interested in the views of displays a currently valid OMB control (RCDRIA),17 in determining the effective the public and requests comment on all number. The interim final rule affects date and administrative compliance aspects of the interim final rule. the agencies’ current information requirements for new regulations that B. Congressional Review Act collections for the Consolidated Reports impose additional reporting, disclosure, of Condition and Income (Call Reports) or other requirements on insured For purposes of Congressional Review (FFIEC 031, FFIEC 041, and FFIEC 051). depository institutions (IDIs), each Act, the OMB makes a determination as The OMB control numbers for the Federal banking agency must consider, to whether a final rule constitutes a agencies are: OCC OMB No. 1557–0081; consistent with the principle of safety ‘‘major’’ rule.11 If a rule is deemed a Board OMB No. 7100–0036; and FDIC and soundness and the public interest, ‘‘major rule’’ by the Office of OMB No. 3064–0052. The Board has any administrative burdens that such Management and Budget (OMB), the reviewed this interim final rule regulations would place on depository Congressional Review Act generally pursuant to authority delegated by the institutions, including small depository provides that the rule may not take OMB. institutions, and customers of effect until at least 60 days following its Although there is a substantive publication.12 change to the actual calculation of total 15 5 U.S.C. 601 et seq. leverage exposure, total consolidated 16 Under regulations issued by the Small Business 7 5 U.S.C. 553(b)(3)(A). assets, standardized total risk-weighted Administration, a small entity includes a depository 8 5 U.S.C. 553(b)(B); 553(d)(3). institution, bank holding company, or savings and 9 5 U.S.C. 553(d). assets, and advanced approaches total loan holding company with total assets of $600 10 5 U.S.C. 553(d)(1). million or less and trust companies with total assets 11 5 U.S.C. 801 et seq. 13 5 U.S.C. 804(2). of $41.5 million or less. See 13 CFR 121.201. 12 5 U.S.C. 801(a)(3). 14 5 U.S.C. 808. 17 12 U.S.C. 4802(a).

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depository institutions, as well as the a general notice of proposed rulemaking federal savings association’s liability benefits of such regulations. In addition, was not published. See 2 U.S.C. 1532(a). under the facility must be reduced by section 302(b) of RCDRIA requires new Therefore, because the OCC has found the purchase price of the assets acquired regulations and amendments to good cause to dispense with notice and with funds advanced from the facility. regulations that impose additional comment for this interim final rule, the Board of Governors of the Federal reporting, disclosures, or other new OCC has not prepared an economic Reserve System requirements on IDIs generally to take analysis of the rule under the UMRA. effect on the first day of a calendar 12 CFR Chapter II List of Subjects quarter that begins on or after the date Authority and Issuance on which the regulations are published 12 CFR Part 3 For the reasons stated in the joint in final form, with certain exceptions, Administrative practice and including for good cause.18 For the preamble, the Board of Governors of the procedure, Capital, Federal savings Federal Reserve System amends 12 CFR reasons described above, the agencies associations, National banks, Risk. find good cause exists under section 302 chapter II as follows: of RCDRIA to publish this interim final 12 CFR Part 217 PART 217—CAPITAL ADEQUACY OF rule with an immediate effective date. Administrative practice and BANK HOLDING COMPANIES, As such, the final rule will be procedure, Banks, Banking, Federal SAVINGS AND LOAN HOLDING effective on March 23, 2020. Reserve System, Holding companies, COMPANIES, AND STATE MEMBER Nevertheless, the agencies seek Reporting and recordkeeping BANKS (REGULATION Q) comment on RCDRIA. requirements, Risk, Securities. ■ F. Use of Plain Language 3. The authority citation for part 217 12 CFR Part 324 continues to read as follows: Section 722 of the Gramm-Leach- Administrative practice and Bliley Act 19 requires the Federal Authority: 12 U.S.C. 248(a), 321–338a, procedure, Banks, banking, Reporting 481–486, 1462a, 1467a, 1818, 1828, 1831n, banking agencies to use plain language and recordkeeping requirements, 1831o, 1831p–1, 1831w, 1835, 1844(b), 1851, in all proposed and final rules Savings associations. 3904, 3906–3909, 4808, 5365, 5368, 5371 and published after January 1, 2000. The 5371n note. agencies have sought to present the DEPARTMENT OF THE TREASURY interim final rule in a simple and Office of the Comptroller of the Subpart G—Transition Provisions straightforward manner. The agencies Currency ■ invite comments on whether there are 4. Add § 217.302 to read as follows: 12 CFR Chapter I additional steps it could take to make § 217.302 Exposures Related the Money the rule easier to understand. For Authority and Issuance Market Mutual Fund Liquidity Facility. example: • For the reasons stated in the joint Notwithstanding any other section of Have we organized the material to this part, a Board-regulated institution suit your needs? If not, how could this preamble, the Office of the Comptroller of the Currency amends part 3 of may exclude exposures acquired material be better organized? pursuant to a non-recourse loan that is • Are the requirements in the chapter I of Title 12, Code of Federal Regulations as follows: provided as part of the Money Market regulation clearly stated? If not, how Mutual Fund Liquidity Facility, could the regulation be more clearly PART 3—CAPITAL ADEQUACY announced by the Board on March 18, stated? STANDARDS 2020, from total leverage exposure, • Does the regulation contain average total consolidated assets, language or jargon that is not clear? If ■ 1. The authority citation for part 3 advanced approaches total risk- so, which language requires continues to read as follows: weighted assets, and standardized total clarification? risk-weighted assets, as applicable. For • Would a different format (grouping Authority: 12 U.S.C. 93a, 161, 1462, the purpose of this provision, a board- and order of sections, use of headings, 1462a, 1463, 1464, 1818, 1828(n), 1828 note, 1831n note, 1835, 3907, 3909, and regulated institution’s liability under paragraphing) make the regulation 5412(b)(2)(B). the facility must be reduced by the easier to understand? If so, what purchase price of the assets acquired changes to the format would make the Subpart G—Transition Provisions with funds advanced from the facility. regulation easier to understand? What else could we do to make the regulation ■ 2. Add § 3.302 to read as follows: FEDERAL DEPOSIT INSURANCE easier to understand? CORPORATION § 3.302 Exposures Related the Money G. Unfunded Mandates Market Mutual Fund Liquidity Facility. 12 CFR Chapter III As a general matter, the Unfunded Notwithstanding any other section of Authority and Issuance Mandates Act of 1995 (UMRA), 2 U.S.C. this part, a national bank or federal For the reasons set forth in the joint 1531 et seq., requires the preparation of savings association may exclude preamble, chapter III of title 12 of the a budgetary impact statement before exposures acquired pursuant to a non- Code of Federal Regulations is amended promulgating a rule that includes a recourse loan that is provided as part of as follows: Federal mandate that may result in the the Money Market Mutual Fund expenditure by State, local, and tribal Liquidity Facility, announced by the PART 324—CAPITAL ADEQUACY OF governments, in the aggregate, or by the Board on March 18, 2020, from total FDIC-SUPERVISED INSTITUTIONS private sector, of $100 million or more leverage exposure, average total in any one year. However, the UMRA consolidated assets, advanced ■ 5. The authority citation for part 324 does not apply to final rules for which approaches total risk-weighted assets, continues to read as follows: and standardized total risk-weighted Authority: 12 U.S.C. 1815(a), 1815(b), 18 12 U.S.C. 4802. assets, as applicable. For the purpose of 1816, 1818(a), 1818(b), 1818(c), 1818(t), 19 12 U.S.C. 4809. this provision, a national bank’s or 1819(Tenth), 1828(c), 1828(d), 1828(i),

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1828(n), 1828(o), 1831o, 1835, 3907, 3909, SUMMARY: The FAA is adopting a new the regulatory evaluation, any 4808; 5371; 5412; Pub. L. 102–233, 105 Stat. airworthiness directive (AD) for all The comments received, and other 1761, 1789, 1790 (12 U.S.C. 1831n note); Pub. Boeing Company Model 787–8, 787–9, information. The street address for L. 102–242, 105 Stat. 2236, 2355, as amended and 787–10 airplanes. This AD requires Docket Operations is listed above. by Pub. L. 103–325, 108 Stat. 2160, 2233 (12 Comments will be available in the AD U.S.C. 1828 note); Pub. L. 102–242, 105 Stat. repetitive cycling of the airplane 2236, 2386, as amended by Pub. L. 102–550, electrical power. This AD was prompted docket shortly after receipt. 106 Stat. 3672, 4089 (12 U.S.C. 1828 note); by a report that the stale-data FOR FURTHER INFORMATION CONTACT: Joe Pub. L. 111–203, 124 Stat. 1376, 1887 (15 monitoring function of the common core Salemeh, Aerospace Engineer, Systems U.S.C. 78o–7 note). system (CCS) may be lost when and Equipment Section, FAA, Seattle continuously powered on for 51 days. ACO Branch, 2200 South 216th St., Des Subpart G—Transition Provisions This could lead to undetected or Moines, WA 98198; phone and fax: 206– unannunciated loss of common data 231–3536; email: [email protected]. ■ 6. Add § 324.302 to read as follows: network (CDN) message age validation, SUPPLEMENTARY INFORMATION: § 324.302 Exposures Related the Money combined with a CDN switch failure. Market Mutual Fund Liquidity Facility. The FAA is issuing this AD to address Discussion Notwithstanding any other section of the unsafe condition on these products. The FAA has received a report this part, an FDIC-supervised institution DATES: This AD is effective April 7, indicating that the stale-data monitoring may exclude exposures acquired 2020. function of CCS may be lost when pursuant to a non-recourse loan that is The Director of the Federal Register continuously powered on for 51 days. provided as part of the Money Market approved the incorporation by reference This could lead to undetected or Mutual Fund Liquidity Facility, of a certain publication listed in this AD unannunciated loss of CDN message age announced by the Federal Reserve on as of April 7, 2020. validation, combined with a CDN March 18, 2020, from total leverage The FAA must receive comments on switch failure. The CDN handles all the exposure, average total consolidated this AD by May 7, 2020. flight-critical data (including airspeed, assets, advanced approaches total risk- ADDRESSES: You may send comments, altitude, attitude, and engine operation), weighted assets, and standardized total using the procedures found in 14 CFR and several potentially catastrophic risk-weighted assets, as applicable. 11.43 and 11.45, by any of the following failure scenarios can result from this For the purpose of this provision, an methods: situation. Potential consequences • include: FDIC-supervised institution’s liability Federal eRulemaking Portal: Go to • under the facility must be reduced by https://www.regulations.gov. Follow the Display of misleading primary the purchase price of the assets acquired instructions for submitting comments. attitude data for both pilots. • Display of misleading altitude on with funds advanced from the facility. • Fax: 202–493–2251. both pilots’ primary flight displays • Mail: U.S. Department of Morris R. Morgan, (PFDs). Transportation, Docket Operations, M– • Display of misleading airspeed data First Deputy Comptroller, Comptroller of the 30, West Building Ground Floor, Room Currency. on both pilots’ PFDs, without W12–140, 1200 New Jersey Avenue SE, annunciation of failure, coupled with By order of the Board of Governors of the Washington, DC 20590. Federal Reserve System. the loss of stall warning, or over-speed • Hand Delivery: Deliver to Mail Ann E. Misback, warning. address above between 9 a.m. and 5 • Display of misleading engine Secretary of the Board. p.m., Monday through Friday, except Federal Deposit Insurance Corporation. operating indications on both engines. Federal holidays. The potential loss of the stale-data By order of the Board of Directors. For service information identified in monitoring function of the CCS when Dated at Washington, DC, on March 19, this final rule, contact Boeing 2020. continuously powered on for 51 days, if Commercial Airplanes, Attention: not addressed, could result in erroneous Robert E. Feldman, Contractual & Data Services (C&DS), flight-critical data being routed and Executive Secretary. 2600 Westminster Blvd., MC 110–SK57, displayed as valid data, which could [FR Doc. 2020–06156 Filed 3–19–20; 3:00 pm] Seal Beach, CA 90740–5600; telephone reduce the ability of the flightcrew to BILLING CODE 6210–01–P 562–797–1717; internet https:// maintain the safe flight and landing of www.myboeingfleet.com. You may view the airplane. this referenced service information at DEPARTMENT OF TRANSPORTATION the FAA, Transport Standards Branch, Related Service Information Under 1 2200 South 216th St., Des Moines, WA. CFR Part 51 Federal Aviation Administration For information on the availability of The FAA reviewed Boeing Alert this material at the FAA, call 206–231– Service Bulletin B787–81205– 14 CFR Part 39 3195. It is also available on the internet SB420045–00, Issue 002, dated February at https://www.regulations.gov by [Docket No. FAA–2020–0205; Product 14, 2020. The service information Identifier 2020–NM–024–AD; Amendment searching for and locating Docket No. describes procedures for repetitive 39–19883; AD 2020–06–14] FAA–2020–0205. cycling of the airplane electrical power. Examining the AD Docket This service information is reasonably RIN 2120–AA64 available because the interested parties You may examine the AD docket on have access to it through their normal Airworthiness Directives; The Boeing the internet at https:// Company Airplanes course of business or by the means www.regulations.gov by searching for identified in the ADDRESSES section. AGENCY: and locating Docket No. FAA–2020– Federal Aviation FAA’s Determination Administration (FAA), DOT. 0205; or in person at Docket Operations between 9 a.m. and 5 p.m., Monday The FAA is issuing this AD because ACTION: Final rule; request for through Friday, except Federal holidays. the agency evaluated all the relevant comments. The AD docket contains this final rule, information and determined the unsafe

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condition described previously is likely data monitoring function of the CCS FAA will also post a report to exist or develop in other products of may be lost when continuously powered summarizing each substantive verbal the same type design. on for 51 days. This could lead to contact the agency receives about this undetected or unannunciated loss of final rule. AD Requirements CDN message age validation, combined This AD requires accomplishing the with a CDN switch failure. This Confidential Business Information actions identified as ‘‘RC’’ (required for condition, if not addressed, could result Confidential Business Information compliance) in the Accomplishment in erroneous flight-critical data being (CBI) is commercial or financial Instructions of Boeing Alert Service routed and displayed as valid data, information that is both customarily and Bulletin B787–81205–SB420045–00, which could reduce the ability of the actually treated as private by its owner. Issue 002, dated February 14, 2020, flightcrew to maintain the safe flight Under the Freedom of Information Act described previously, except for any and landing of the airplane. Given the (FOIA) (5 U.S.C. 552), CBI is exempt differences identified as exceptions in significance of the risk presented by this from public disclosure. If your the regulatory text of this AD. unsafe condition, the unsafe condition comments responsive to this AD contain For information on the procedures must be immediately addressed. commercial or financial information and compliance times, see this service Accordingly, notice and opportunity that is customarily treated as private, information at https:// for prior public comment are that you actually treat as private, and www.regulations.gov by searching for impracticable and contrary to the public that is relevant or responsive to this AD, and locating Docket No. FAA–2020– interest pursuant to 5 U.S.C. it is important that you clearly designate 0205. 553(b)(3)(B). In addition, for the reasons the submitted comments as CBI. Please stated above, the FAA finds that good Interim Action mark each page of your submission cause exists pursuant to 5 U.S.C. 553(d) containing CBI as ‘‘PROPIN.’’ The FAA The FAA considers this AD interim for making this amendment effective in will treat such marked submissions as action. If final action is later identified, less than 30 days. confidential under the FOIA, and they the FAA might consider further will not be placed in the public docket rulemaking then. Comments Invited This AD is a final rule that involves of this AD. Submissions containing CBI Justification For Immediate Adoption requirements affecting flight safety and should be sent to Joe Salemeh, and Determination of the Effective Date was not preceded by notice and an Aerospace Engineer, Systems and Section 553(b)(3)(B) of the opportunity for public comment. Equipment Section, FAA, Seattle ACO Administrative Procedure Act (APA) (5 However, the FAA invites you to send Branch, 2200 South 216th St., Des U.S.C.) authorizes agencies to dispense any written data, views, or arguments Moines, WA 98198; phone and fax: 206– with notice and comment procedures about this final rule. Send your 231–3536; email: [email protected]. for rules when the agency, for ‘‘good comments to an address listed under the Any commentary that the FAA receives cause,’’ finds that those procedures are ADDRESSES section. Include the docket that is not specifically designated as CBI ‘‘impracticable, unnecessary, or contrary number FAA–2020–0205 and Product will be placed in the public docket for to the public interest.’’ Under this Identifier 2020–NM–024–AD at the this rulemaking. section, an agency, upon finding good beginning of your comments. The FAA Regulatory Flexibility Act (RFA) cause, may issue a final rule without specifically invites comments on the seeking comment prior to the overall regulatory, economic, The requirements of the RFA do not rulemaking. Similarly, Section 553(d) of environmental, and energy aspects of apply when an agency finds good cause the APA authorizes agencies to make this final rule. The FAA will consider pursuant to 5 U.S.C. 553 to adopt a rule rules effective in less than thirty days, all comments received by the closing without prior notice and comment. upon a finding of good cause. date and may amend this final rule Because the FAA has determined that it An unsafe condition exists that because of those comments. has good cause to adopt this rule requires the immediate adoption of this Except for Confidential Business without notice and comment, RFA AD without providing an opportunity Information as described in the analysis is not required. for public comments prior to adoption. following paragraph, and other Costs of Compliance The FAA has found that the risk to the information as described in 14 CFR flying public justifies foregoing notice 11.35, the FAA will post all comments The FAA estimates that this AD and comment prior to adoption of this received, without change, to https:// affects 196 airplanes of U.S. registry. rule because, as described in the www.regulations.gov, including any The FAA estimates the following costs Discussion section of this AD, the stale- personal information you provide. The to comply with this AD:

ESTIMATED COSTS

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

Power cycling ...... 1 work-hour × $85 per hour = $85 per $0 $85 per cycle ...... $16,660 per cycle. cycle.

Authority for This Rulemaking Aviation Programs’’ describes in more that section, Congress charges the FAA detail the scope of the Agency’s with promoting safe flight of civil Title 49 of the United States Code authority. aircraft in air commerce by prescribing specifies the FAA’s authority to issue The FAA is issuing this rulemaking regulations for practices, methods, and rules on aviation safety. Subtitle I, under the authority described in procedures the Administrator finds section 106, describes the authority of Subtitle VII, Part A, Subpart III, Section necessary for safety in air commerce. the FAA Administrator. ‘‘Subtitle VII: 44701: ‘‘General requirements.’’ Under This regulation is within the scope of

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that authority because it addresses an loss of common data network (CDN) message of paragraphs (j)(4)(i) and (ii) of this AD unsafe condition that is likely to exist or age validation, combined with a CDN switch apply. develop on products identified in this failure. The FAA is issuing this AD to (i) The steps labeled as RC, including rulemaking action. address this condition, which could result in substeps under an RC step and any figures erroneous flight-critical data being routed identified in an RC step, must be done to Regulatory Findings and displayed as valid data, and could comply with the AD. If a step or substep is reduce the ability of the flightcrew to This AD will not have federalism labeled ‘‘RC Exempt,’’ then the RC maintain the safe flight and landing of the requirement is removed from that step or implications under Executive Order airplane. 13132. This AD will not have a substep. An AMOC is required for any deviations to RC steps, including substeps substantial direct effect on the States, on (f) Compliance Comply with this AD within the and identified figures. the relationship between the national (ii) Steps not labeled as RC may be government and the States, or on the compliance times specified, unless already done. deviated from using accepted methods in distribution of power and accordance with the operator’s maintenance responsibilities among the various (g) Required Actions or inspection program without obtaining levels of government. Except as specified by paragraph (h) of this approval of an AMOC, provided the RC steps, For the reasons discussed above, I AD: At the applicable times specified in including substeps and identified figures, can certify that this AD: paragraph 5., ‘‘Compliance,’’ of Boeing Alert still be done as specified, and the airplane (1) Is not a ‘‘significant regulatory Service Bulletin B787–81205–SB420045–00, can be put back in an airworthy condition. action’’ under Executive Order 12866, Issue 002, dated February 14, 2020, do all and applicable actions identified as ‘‘RC’’ (k) Related Information (2) Will not affect intrastate aviation (required for compliance) in, and in (1) For more information about this AD, in Alaska. accordance with, the Accomplishment contact Joe Salemeh, Aerospace Engineer, Instructions of Boeing Alert Service Bulletin Systems and Equipment Section, FAA, List of Subjects in 14 CFR Part 39 B787–81205–SB420045–00, Issue 002, dated Seattle ACO Branch, 2200 South 216th St., February 14, 2020. Air transportation, Aircraft, Aviation Des Moines, WA 98198; phone and fax: 206– safety, Incorporation by reference, (h) Exception to Service Information 231–3536; email: [email protected]. Safety. Specifications (2) Service information identified in this Where Boeing Alert Service Bulletin B787– AD that is not incorporated by reference is Adoption of the Amendment 81205–SB420045–00, Issue 002, dated available at the addresses specified in Accordingly, under the authority February 14, 2020, uses the phrase ‘‘the Issue paragraphs (l)(3) and (4) of this AD. delegated to me by the Administrator, 2 date of this service bulletin,’’ this AD (l) Material Incorporated by Reference requires using ‘‘the effective date of this AD.’’ the FAA amends 14 CFR part 39 as (1) The Director of the Federal Register follows: (i) Credit for Previous Actions approved the incorporation by reference This paragraph provides credit for the (IBR) of the service information listed in this PART 39—AIRWORTHINESS actions specified in paragraph (g) of this AD, paragraph under 5 U.S.C. 552(a) and 1 CFR DIRECTIVES if those actions were performed before the part 51. effective date of this AD using Boeing Alert ■ 1. The authority citation for part 39 (2) You must use this service information Service Bulletin B787–81205–SB420045–00, as applicable to do the actions required by continues to read as follows: Issue 001, dated January 28, 2020. this AD, unless the AD specifies otherwise. Authority: 49 U.S.C. 106(g), 40113, 44701. (j) Alternative Methods of Compliance (i) Boeing Alert Service Bulletin B787– (AMOCs) 81205–SB420045–00, Issue 002, dated § 39.13 [Amended] (1) The Manager, Seattle ACO Branch, February 14, 2020. ■ 2. The FAA amends § 39.13 by adding FAA, has the authority to approve AMOCs (ii) [Reserved] the following new airworthiness for this AD, if requested using the procedures (3) For service information identified in directive (AD): found in 14 CFR 39.19. In accordance with this AD, contact Boeing Commercial 14 CFR 39.19, send your request to your Airplanes, Attention: Contractual & Data 2020–06–14 The Boeing Company: Services (C&DS), 2600 Westminster Blvd., Amendment 39–19883; Docket No. principal inspector or local Flight Standards MC 110–SK57, Seal Beach, CA 90740–5600; FAA–2020–0205; Product Identifier District Office, as appropriate. If sending telephone 562–797–1717; internet https:// 2020–NM–024–AD. information directly to the manager of the certification office, send it to the attention of www.myboeingfleet.com. (a) Effective Date the person identified in paragraph (k)(1) of (4) You may view this service information This AD is effective April 7, 2020. this AD. Information may be emailed to: 9- at the FAA, Transport Standards Branch, [email protected]. 2200 South 216th St., Des Moines, WA. For (b) Affected ADs (2) Before using any approved AMOC, information on the availability of this None. notify your appropriate principal inspector, material at the FAA, call 206–231–3195. or lacking a principal inspector, the manager (5) You may view this service information (c) Applicability of the local flight standards district office/ that is incorporated by reference at the This AD applies to all The Boeing certificate holding district office. National Archives and Records Company Model 787–8, 787–9, and 787–10 (3) An AMOC that provides an acceptable Administration (NARA). For information on airplanes, certificated in any category. level of safety may be used for any repair, the availability of this material at NARA, modification, or alteration required by this email [email protected], or go to: https:// (d) Subject AD if it is approved by The Boeing Company www.archives.gov/federal-register/cfr/ibr- Organization Designation Authorization Air Transport Association (ATA) of locations.html. America Code 42, Integrated Modular (ODA) that has been authorized by the Avionics. Manager, Seattle ACO Branch, FAA, to make Issued on March 17, 2020. those findings. To be approved, the repair Gaetano A. Sciortino, (e) Unsafe Condition method, modification deviation, or alteration Deputy Director for Strategic Initiatives, This AD was prompted by a report that the deviation must meet the certification basis of Compliance & Airworthiness Division, stale-data monitoring function of the the airplane, and the approval must Aircraft Certification Service. common core system (CCS) may be lost when specifically refer to this AD. continuously powered on for 51 days. This (4) For service information that contains [FR Doc. 2020–06092 Filed 3–18–20; 4:15 pm] could lead to undetected or unannunciated steps that are labeled as RC, the provisions BILLING CODE 4910–13–P

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DEPARTMENT OF TRANSPORTATION Availability The Rule Federal Aviation Administration All SIAPs and Takeoff Minimums and This amendment to 14 CFR part 97 is ODPs are available online free of charge. effective upon publication of each 14 CFR Part 97 Visit the National Flight Data Center separate SIAP and Takeoff Minimums online at nfdc.faa.gov to register. and ODP as amended in the transmittal. [Docket No. 31302; Amdt. No. 3896] Additionally, individual SIAP and For safety and timeliness of change Takeoff Minimums and ODP copies may considerations, this amendment Standard Instrument Approach be obtained from the FAA Air Traffic incorporates only specific changes Procedures, and Takeoff Minimums Organization Service Area in which the contained for each SIAP and Takeoff and Obstacle Departure Procedures; affected airport is located. Minimums and ODP as modified by FDC permanent NOTAMs. Miscellaneous Amendments FOR FURTHER INFORMATION CONTACT: The SIAPs and Takeoff Minimums AGENCY: Federal Aviation Thomas J. Nichols, Flight Procedures and ODPs, as modified by FDC Administration (FAA), DOT. and Airspace Group, Flight Technologies and Procedures Division, permanent NOTAM, and contained in ACTION: Final rule. Flight Standards Service, Federal this amendment are based on the criteria contained in the U.S. Standard SUMMARY: Aviation Administration. Mailing This rule amends, suspends, for Terminal Instrument Procedures or removes Standard Instrument Address: FAA Mike Monroney Aeronautical Center, Flight Procedures (TERPS). In developing these changes to Approach Procedures (SIAPs) and SIAPs and Takeoff Minimums and associated Takeoff Minimums and and Airspace Group, 6500 South MacArthur Blvd., Registry Bldg. 29, ODPs, the TERPS criteria were applied Obstacle Departure Procedures for only to specific conditions existing at operations at certain airports. These Room 104, Oklahoma City, OK 73169. Telephone: (405) 954–4164. the affected airports. All SIAP regulatory actions are needed because of amendments in this rule have been the adoption of new or revised criteria, SUPPLEMENTARY INFORMATION: This rule previously issued by the FAA in a FDC or because of changes occurring in the amends Title 14, Code of Federal NOTAM as an emergency action of National Airspace System, such as the Regulations, Part 97 (14 CFR part 97) by immediate flight safety relating directly commissioning of new navigational amending the referenced SIAPs. The to published aeronautical charts. facilities, adding new obstacles, or complete regulatory description of each The circumstances that created the changing air traffic requirements. These SIAP is listed on the appropriate FAA changes are designed to provide for the need for these SIAP and Takeoff Form 8260, as modified by the National Minimums and ODP amendments safe and efficient use of the navigable Flight Data Center (NFDC)/Permanent airspace and to promote safe flight require making them effective in less Notice to Airmen (P–NOTAM), and is than 30 days. operations under instrument flight rules incorporated by reference under 5 at the affected airports. U.S.C. 552(a), 1 CFR part 51, and 14 Because of the close and immediate DATES: This rule is effective March 23, CFR 97.20. The large number of SIAPs, relationship between these SIAPs, 2020. The compliance date for each their complex nature, and the need for Takeoff Minimums and ODPs, and SIAP, associated Takeoff Minimums, a special format make their verbatim safety in air commerce, I find that notice and ODP is specified in the amendatory publication in the Federal Register and public procedure under 5 U.S.C. provisions. expensive and impractical. Further, 553(b) are impracticable and contrary to The incorporation by reference of airmen do not use the regulatory text of the public interest and, where certain publications listed in the the SIAPs, but refer to their graphic applicable, under 5 U.S.C. 553(d), good regulations is approved by the Director depiction on charts printed by cause exists for making these SIAPs effective in less than 30 days. of the Federal Register as of March 23, publishers of aeronautical materials. 2020. Thus, the advantages of incorporation The FAA has determined that this ADDRESSES: Availability of matter by reference are realized and regulation only involves an established incorporated by reference in the publication of the complete description body of technical regulations for which amendment is as follows: of each SIAP contained on FAA form frequent and routine amendments are documents is unnecessary. necessary to keep them operationally For Examination current. It, therefore—(1) is not a This amendment provides the affected 1. U.S. Department of Transportation, ‘‘significant regulatory action’’ under CFR sections, and specifies the SIAPs Docket Ops–M30, 1200 New Jersey Executive Order 12866; (2) is not a and Takeoff Minimums and ODPs with Avenue SE, West Bldg., Ground Floor, ‘‘significant rule’’ under DOT regulatory their applicable effective dates. This Washington, DC 20590–0001; Policies and Procedures (44 FR 11034; amendment also identifies the airport 2. The FAA Air Traffic Organization February 26, 1979); and (3) does not and its location, the procedure and the Service Area in which the affected warrant preparation of a regulatory amendment number. airport is located; evaluation as the anticipated impact is 3. The office of Aeronautical Availability and Summary of Material so minimal. For the same reason, the Navigation Products, 6500 South Incorporated by Reference FAA certifies that this amendment will MacArthur Blvd., Oklahoma City, OK not have a significant economic impact 73169 or, The material incorporated by on a substantial number of small entities 4. The National Archives and Records reference is publicly available as listed under the criteria of the Regulatory Administration (NARA). in the ADDRESSES section. Flexibility Act. For information on the availability of The material incorporated by List of Subjects in 14 CFR Part 97 this material at NARA, email reference describes SIAPs, Takeoff [email protected] or go to: https:// Minimums and ODPs as identified in Air Traffic Control, Airports, www.archives.gov/federal-register/cfr/ the amendatory language for part 97 of Incorporation by reference, Navigation ibr-locations.html. this final rule. (Air).

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Issued in Washington, DC, on March 3, ODPs, effective at 0901 UTC on the ■ 2. Part 97 is amended to read as 2020. dates specified, as follows: follows: Rick Domingo, By amending: § 97.23 VOR, VOR/ Executive Director, Flight Standards Service. PART 97—STANDARD INSTRUMENT DME, VOR or TACAN, and VOR/DME APPROACH PROCEDURES or TACAN; § 97.25 LOC, LOC/DME, Adoption of the Amendment LDA, LDA/DME, SDF, SDF/DME; ■ § 97.27 NDB, NDB/DME; § 97.29 ILS, Accordingly, pursuant to the 1. The authority citation for part 97 ILS/DME, MLS, MLS/DME, MLS/RNAV; authority delegated to me, Title 14, continues to read as follows: § 97.31 RADAR SIAPs; § 97.33 RNAV Code of Federal regulations, Part 97, (14 Authority: 49 U.S.C. 106(f), 106(g), 40103, SIAPs; and § 97.35 COPTER SIAPs, CFR part 97), is amended by amending 40106, 40113, 40114, 40120, 44502, 44514, Identified as follows: Standard Instrument Approach 44701, 44719, 44721–44722. Procedures and Takeoff Minimums and * * * Effective Upon Publication

AIRAC date State City Airport FDC No. FDC Date Subject

23–Apr–20 ...... MI Marquette ...... Sawyer Intl ...... 0/0497 3/2/20 ILS OR LOC RWY 1, Amdt 1A. 23–Apr–20 ...... MI Marquette ...... Sawyer Intl ...... 0/0498 3/2/20 RNAV (GPS) RWY 1, Amdt 1. 23–Apr–20 ...... LA Mansfield ...... C E ’Rusty’ Williams ...... 0/0852 3/3/20 RNAV (GPS) RWY 18, Orig-B. 23–Apr–20 ...... MN Owatonna ...... Owatonna Degner Rgnl .. 0/1181 3/3/20 VOR RWY 12, Amdt 10A. 23–Apr–20 ...... MN Owatonna ...... Owatonna Degner Rgnl .. 0/1182 3/2/20 RNAV (GPS) RWY 12, Amdt 1A. 23–Apr–20 ...... ND Dickinson ...... Dickinson–Theodore 0/1183 3/2/20 VOR–A, Amdt 6. Roosevelt Rgnl. 23–Apr–20 ...... ND Dickinson ...... Dickinson–Theodore 0/1184 3/2/20 RNAV (GPS) RWY 14, Amdt 1. Roosevelt Rgnl. 23–Apr–20 ...... ND Dickinson ...... Dickinson–Theodore 0/1185 3/2/20 RNAV (GPS) RWY 32, Amdt 2A. Roosevelt Rgnl. 23–Apr–20 ...... TX Fort Worth ...... Fort Worth Meacham Intl 0/1186 3/3/20 ILS OR LOC RWY 34, Amdt 2. 23–Apr–20 ...... SD Winner ...... Winner Rgnl ...... 0/1187 3/2/20 RNAV (GPS) RWY 13, Orig-B. 23–Apr–20 ...... CO Hayden ...... Yampa Valley ...... 0/1211 3/3/20 VOR/DME–B, Amdt 1. 23–Apr–20 ...... MT Kalispell ...... Glacier Park Intl ...... 0/1212 3/3/20 VOR/DME RWY 30, Amdt 10A. 23–Apr–20 ...... PA Altoona ...... Altoona-Blair County ...... 0/1226 3/3/20 RNAV (GPS) RWY 21, Amdt 1C. 23–Apr–20 ...... PA Altoona ...... Altoona-Blair County...... 0/1227 3/3/20 RNAV (GPS) Y RWY 3, Amdt 1A. 23–Apr–20 ...... FL Fort Pierce ...... Treasure Coast Intl ...... 0/1228 3/3/20 RNAV (GPS) RWY 14, Amdt 2B. 23–Apr–20 ...... FL Fort Pierce ...... Treasure Coast Intl...... 0/1229 3/3/20 RNAV (GPS) RWY 28L, Amdt 1B. 23–Apr–20 ...... FL Fort Pierce ...... Treasure Coast Intl ...... 0/1230 3/3/20 RNAV (GPS) RWY 32, Amdt 1C. 23–Apr–20 ...... FL Fort Pierce ...... Treasure Coast Intl ...... 0/1231 3/3/20 VOR/DME RWY 14, Amdt 9C. 23–Apr–20 ...... NJ Trenton ...... Trenton Mercer ...... 0/1232 3/3/20 RNAV (GPS) RWY 16, Orig-B. 23–Apr–20 ...... NJ Trenton ...... Trenton Mercer ...... 0/1233 3/3/20 RNAV (GPS) RWY 34, Orig-D. 23–Apr–20 ...... NJ Trenton ...... Trenton Mercer ...... 0/1234 3/3/20 ILS OR LOC RWY 6, Amdt 10D. 23–Apr–20 ...... NJ Trenton ...... Trenton Mercer ...... 0/1235 3/3/20 RNAV (GPS) Z RWY 6, Orig-C. 23–Apr–20 ...... NJ Trenton ...... Trenton Mercer ...... 0/1236 3/3/20 VOR OR GPS–A, Amdt 11A. 23–Apr–20 ...... WA Deer Park ...... Deer Park ...... 0/2108 3/3/20 NDB–A, Amdt 2B. 23–Apr–20 ...... WA Deer Park ...... Deer Park ...... 0/2109 3/3/20 RNAV (GPS) RWY 34, Orig-A. 23–Apr–20 ...... MN Glencoe ...... Glencoe Muni ...... 0/2120 3/3/20 NDB RWY 31, Amdt 1. 23–Apr–20 ...... OH Lorain/Elyria ...... Lorain County Rgnl ...... 0/4427 2/19/20 VOR–A, Amdt 3. 23–Apr–20 ...... TX Dallas ...... Addison ...... 0/4428 2/19/20 RNAV (GPS) RWY 15, Amdt 1A. 23–Apr–20 ...... TX Dallas ...... Addison ...... 0/4429 2/19/20 ILS OR LOC RWY 15, Amdt 11A. 23–Apr–20 ...... AR Hope ...... Hope Muni ...... 0/4431 2/19/20 RNAV (GPS) RWY 16, Orig-A. 23–Apr–20 ...... PA Doylestown ...... Doylestown ...... 0/4435 2/14/20 RNAV (GPS) RWY 5, Orig-B. 23–Apr–20 ...... PA Doylestown ...... Doylestown ...... 0/4436 2/14/20 RNAV (GPS) RWY 23, Amdt 1B. 23–Apr–20 ...... TN Tullahoma ...... Tullahoma Rgnl Arpt/Wm 0/5063 2/18/20 RNAV (GPS) RWY 36, Amdt 1B. Northern Field. 23–Apr–20 ...... TN Tullahoma ...... Tullahoma Rgnl Arpt/Wm 0/5064 2/18/20 RNAV (GPS) RWY 24, Amdt 1B. Northern Field. 23–Apr–20 ...... TN Tullahoma ...... Tullahoma Rgnl Arpt/Wm 0/5065 2/18/20 RNAV (GPS) RWY 18, Amdt 1B. Northern Field. 23–Apr–20 ...... TN Springfield ...... Springfield Robertson 0/5066 2/18/20 RNAV (GPS) RWY 4, Amdt 1B. County. 23–Apr–20 ...... TN Springfield ...... Springfield Robertson 0/5067 2/18/20 RNAV (GPS) RWY 22, Amdt 1B. County. 23–Apr–20 ...... GA Eastman ...... Heart Of Georgia Rgnl .... 0/5068 2/18/20 VOR/DME–A, Amdt 8. 23–Apr–20 ...... MS Columbus/W Point/ Golden Triangle Rgnl ...... 0/5069 2/18/20 ILS OR LOC RWY 18, Amdt 8A. Starkville. 23–Apr–20 ...... FL Orlando ...... Orlando Sanford Intl ...... 0/5070 2/18/20 ILS OR LOC RWY 9L, Amdt 4A. 23–Apr–20 ...... FL Orlando ...... Orlando Sanford Intl ...... 0/5071 2/18/20 RNAV (GPS) RWY 18, Orig-C. 23–Apr–20 ...... FL Orlando ...... Orlando Sanford Intl ...... 0/5072 2/18/20 RNAV (GPS) RWY 27L, Orig-A. 23–Apr–20 ...... MD Baltimore ...... Baltimore/Washington Intl 0/5073 2/18/20 ILS OR LOC RWY 15L, Amdt 4. Thurgood Marshall. 23–Apr–20 ...... MN Thief River Falls ...... Thief River Falls Rgnl ..... 0/5076 2/19/20 RNAV (GPS) RWY 13, Orig-A. 23–Apr–20 ...... MN Thief River Falls ...... Thief River Falls Rgnl ..... 0/5077 2/19/20 RNAV (GPS) RWY 31, Orig-A. 23–Apr–20 ...... MN Thief River Falls ...... Thief River Falls Rgnl ..... 0/5078 2/19/20 VOR RWY 31, Amdt 8D.

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AIRAC date State City Airport FDC No. FDC Date Subject

23–Apr–20 ...... MN Rochester ...... Rochester Intl ...... 0/5079 2/19/20 VOR RWY 20, Amdt 14A. 23–Apr–20 ...... MN Rochester ...... Rochester Intl ...... 0/5080 2/19/20 VOR RWY 2, Amdt 17A. 23–Apr–20 ...... NE Scribner ...... Scribner State ...... 0/5081 2/19/20 VOR/DME RWY 35, Amdt 2B. 23–Apr–20 ...... ND Bismarck ...... Bismarck Muni ...... 0/5082 2/19/20 ILS OR LOC RWY 13, Amdt 4. 23–Apr–20 ...... ND Bismarck ...... Bismarck Muni ...... 0/5083 2/19/20 RNAV (GPS) RWY 3, Amdt 2A. 23–Apr–20 ...... ND Bismarck ...... Bismarck Muni ...... 0/5084 2/19/20 RNAV (GPS) RWY 13, Orig-A. 23–Apr–20 ...... ND Bismarck ...... Bismarck Muni ...... 0/5085 2/19/20 RNAV (GPS) RWY 31, Amdt 1B. 23–Apr–20 ...... ND Bismarck ...... Bismarck Muni ...... 0/5086 2/19/20 VOR–A, Amdt 21. 23–Apr–20 ...... IA Fort Madison ...... Fort Madison Muni ...... 0/5087 2/19/20 VOR/DME–A, Amdt 7A. 23–Apr–20 ...... WI Menomonie ...... Menomonie Muni-Score 0/5090 2/19/20 VOR/DME RWY 27, Amdt 1. Field. 23–Apr–20 ...... MT Great Falls ...... Great Falls Intl ...... 0/5095 2/19/20 VOR/DME RWY 3, Amdt 17A. 23–Apr–20 ...... CA Bakersfield ...... Meadows Field ...... 0/5096 2/19/20 VOR–A, Orig-A. 23–Apr–20 ...... WA Walla Walla ...... Walla Walla Rgnl ...... 0/5097 2/19/20 VOR/DME RWY 2, Orig-B. 23–Apr–20 ...... CA Red Bluff ...... Red Bluff Muni ...... 0/5098 2/19/20 VOR/DME RWY 15, Amdt 8A. 23–Apr–20 ...... CA Red Bluff ...... Red Bluff Muni ...... 0/5099 2/19/20 VOR RWY 33, Amdt 8A. 23–Apr–20 ...... AL Mobile ...... Mobile Downtown ...... 0/5886 2/19/20 VOR RWY 18, Amdt 2A. 23–Apr–20 ...... AL Mobile ...... Mobile Downtown ...... 0/5887 2/19/20 VOR RWY 14, Amdt 8A. 23–Apr–20 ...... MA Beverly ...... Beverly Rgnl ...... 0/5888 2/19/20 VOR RWY 16, Amdt 5D. 23–Apr–20 ...... TX Houston ...... William P Hobby ...... 0/5889 2/19/20 RNAV (GPS) RWY 17, Amdt 1A. 23–Apr–20 ...... TX Houston ...... William P Hobby ...... 0/5890 2/19/20 RNAV (GPS) RWY 22, Amdt 2B. 23–Apr–20 ...... TX Houston ...... William P Hobby ...... 0/5891 2/19/20 RNAV (GPS) RWY 35, Amdt 1B. 23–Apr–20 ...... GA Waycross ...... Waycross-Ware County .. 0/5900 2/19/20 VOR–A, Amdt 9. 23–Apr–20 ...... MN Austin ...... Austin Muni ...... 0/6450 2/21/20 ILS OR LOC RWY 35, Amdt 1B. 23–Apr–20 ...... TX Dallas ...... Dallas Executive ...... 0/6451 2/21/20 VOR/DME RWY 17, Amdt 1. 23–Apr–20 ...... TX Dallas ...... Dallas Executive ...... 0/6452 2/21/20 RNAV (GPS) RWY 35, Orig. 23–Apr–20 ...... MO Jefferson City ...... Jefferson City Memorial .. 0/6454 2/21/20 RNAV (GPS) RWY 12, Amdt 1A. 23–Apr–20 ...... MO Jefferson City ...... Jefferson City Memorial .. 0/6455 2/21/20 RNAV (GPS) RWY 30, Orig-A. 23–Apr–20 ...... FL Daytona Beach ...... Daytona Beach Intl ...... 0/6527 2/20/20 RNAV (GPS) RWY 7L, Amdt 1B. 23–Apr–20 ...... FL Daytona Beach ...... Daytona Beach Intl ...... 0/6528 2/20/20 RNAV (GPS) RWY 16, Amdt 1C. 23–Apr–20 ...... TX Abilene ...... Abilene Rgnl ...... 0/6651 2/21/20 VOR OR GPS–A, Amdt 8A. 23–Apr–20 ...... FL Palm Coast ...... Flagler Executive ...... 0/6660 2/20/20 RNAV (GPS) RWY 6, Amdt 2. 23–Apr–20 ...... FL Palm Coast ...... Flagler Executive ...... 0/6661 2/20/20 RNAV (GPS) RWY 24, Amdt 1. 23–Apr–20 ...... FL Palm Coast ...... Flagler Executive ...... 0/6662 2/20/20 RNAV (GPS) RWY 29, Amdt 1. 23–Apr–20 ...... IN La Porte ...... La Porte Muni ...... 0/7323 2/21/20 VOR–A, Amdt 7B. 23–Apr–20 ...... IN La Porte ...... La Porte Muni ...... 0/7325 2/21/20 RNAV (GPS) RWY 2, Amdt 1B. 23–Apr–20 ...... IN La Porte ...... La Porte Muni ...... 0/7326 2/21/20 RNAV (GPS) RWY 20, Amdt 1A. 23–Apr–20 ...... AZ Phoenix ...... Phoenix Sky Harbor Intl.. 0/7649 2/24/20 ILS OR LOC/DME RWY 7L, Amdt 11A. 23–Apr–20 ...... AZ Phoenix ...... Phoenix Sky Harbor Intl .. 0/7650 2/24/20 ILS OR LOC RWY 7R, Amdt 2B. 23–Apr–20 ...... AZ Phoenix ...... Phoenix Sky Harbor Intl.. 0/7652 2/24/20 ILS OR LOC RWY 25L, Amdt 1G. 23–Apr–20 ...... AZ Phoenix ...... Phoenix Sky Harbor Intl .. 0/7653 2/24/20 RNAV (GPS) Y RWY 7L, Amdt 1A. 23–Apr–20 ...... AZ Phoenix ...... Phoenix Sky Harbor Intl .. 0/7654 2/24/20 RNAV (GPS) Y RWY 7R, Amdt 1A. 23–Apr–20 ...... AZ Phoenix ...... Phoenix Sky Harbor Intl .. 0/7655 2/24/20 RNAV (GPS) Y RWY 8, Amdt 1. 23–Apr–20 ...... AZ Phoenix ...... Phoenix Sky Harbor Intl .. 0/7656 2/24/20 RNAV (GPS) Y RWY 25L, Amdt 1A. 23–Apr–20 ...... AZ Phoenix ...... Phoenix Sky Harbor Intl .. 0/7657 2/24/20 RNAV (GPS) Y RWY 25R, Amdt 2B. 23–Apr–20 ...... AZ Phoenix ...... Phoenix Sky Harbor Intl .. 0/7658 2/24/20 RNAV (GPS) Y RWY 26, Amdt 2A. 23–Apr–20 ...... AZ Phoenix ...... Phoenix Sky Harbor Intl .. 0/7745 2/24/20 ILS OR LOC RWY 8, Orig-D. 23–Apr–20 ...... NY Buffalo ...... Buffalo Niagara Intl ...... 0/8412 2/26/20 RNAV (GPS) RWY 14, Amdt 2B. 23–Apr–20 ...... NY Buffalo ...... Buffalo Niagara Intl ...... 0/8413 2/26/20 RNAV (GPS) RWY 32, Amdt 2A. 23–Apr–20 ...... PA Johnstown ...... John Murtha Johnstown- 0/8416 2/26/20 RNAV (GPS) RWY 5, Amdt 2A. Cambria Co. 23–Apr–20 ...... PA Johnstown ...... John Murtha Johnstown- 0/8417 2/26/20 RNAV (GPS) RWY 23, Amdt 2A. Cambria Co. 23–Apr–20 ...... UT Panguitch ...... Panguitch Muni ...... 0/8930 2/25/20 RNAV (GPS) RWY 36, Orig. 23–Apr–20 ...... UT Panguitch ...... Panguitch Muni ...... 0/8931 2/25/20 RNAV (GPS) RWY 18, Orig. 23–Apr–20 ...... OK Perry ...... Perry Muni ...... 0/9176 2/25/20 VOR RWY 17, Amdt 3C. 23–Apr–20 ...... IL Decatur ...... Decatur ...... 0/9213 2/25/20 RNAV (GPS) RWY 12, Orig-A. 23–Apr–20 ...... IL Decatur ...... Decatur ...... 0/9214 2/25/20 RNAV (GPS) RWY 6, Orig-B. 23–Apr–20 ...... SD Watertown ...... Watertown Rgnl ...... 0/9219 2/25/20 VOR OR TACAN RWY 17, Amdt 17. 23–Apr–20 ...... SD Watertown ...... Watertown Rgnl ...... 0/9220 2/25/20 RNAV (GPS) RWY 17, Orig. 23–Apr–20 ...... SD Watertown ...... Watertown Rgnl ...... 0/9221 2/25/20 RNAV (GPS) RWY 30, Amdt 1. 23–Apr–20 ...... CO Steamboat Springs ...... Steamboat Springs/Bob 0/9226 2/26/20 VOR/DME–C, Amdt 1B. Adams Field. 23–Apr–20 ...... CO Steamboat Springs ...... Steamboat Springs/Bob 0/9227 2/26/20 RNAV (GPS)-E, Orig-A. Adams Field. 23–Apr–20 ...... NE Kearney ...... Kearney Rgnl ...... 0/9319 2/26/20 VOR RWY 18, Amdt 14.

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AIRAC date State City Airport FDC No. FDC Date Subject

23–Apr–20 ...... AR Lake Village ...... Lake Village Muni ...... 0/9320 2/26/20 VOR–A, Amdt 8B. 23–Apr–20 ...... KS Liberal ...... Liberal Mid-America Rgnl 0/9631 3/2/20 VOR RWY 4, Amdt 3. 23–Apr–20 ...... KS Liberal ...... Liberal Mid-America Rgnl 0/9632 3/2/20 VOR/DME RWY 17, Amdt 4. 23–Apr–20 ...... MN Buffalo ...... Buffalo Muni ...... 0/9633 2/26/20 VOR–A, Orig. 23–Apr–20 ...... TX Beeville ...... Beeville Muni ...... 0/9634 2/26/20 VOR/DME RWY 12, Amdt 6A. 23–Apr–20 ...... FL Marianna ...... Marianna Muni ...... 0/9684 2/26/20 VOR–A, Amdt 12A. 23–Apr–20 ...... FL Marianna ...... Marianna Muni ...... 0/9685 2/26/20 VOR–B, Amdt 5A. 23–Apr–20 ...... FL Marianna ...... Marianna Muni ...... 0/9686 2/26/20 NDB–C, Amdt 4B. 23–Apr–20 ...... MI Iron Mountain Kingsford Ford ...... 0/9687 2/26/20 LOC/DME BC RWY 19, Amdt 13A. 23–Apr–20 ...... MI Iron Mountain Kingsford Ford ...... 0/9688 2/26/20 RNAV (GPS) RWY 1, Orig-A. 23–Apr–20 ...... MI Iron Mountain Kingsford Ford ...... 0/9689 2/26/20 RNAV (GPS) RWY 19, Orig-A. 23–Apr–20 ...... MI Iron Mountain Kingsford Ford ...... 0/9690 2/26/20 VOR RWY 31, Amdt 16A. 23–Apr–20 ...... MA Hyannis ...... Barnstable Muni- 0/9691 2/26/20 RNAV (GPS) RWY 15, Orig-B. Boardman/Polando Field. 23–Apr–20 ...... MA Hyannis ...... Barnstable Muni- 0/9692 2/26/20 RNAV (GPS) RWY 6, Orig-A. Boardman/Polando Field. 23–Apr–20 ...... MA Hyannis ...... Barnstable Muni- 0/9693 2/26/20 RNAV (GPS) RWY 24, Amdt 1. Boardman/Polando Field. 23–Apr–20 ...... MA Hyannis ...... Barnstable Muni- 0/9694 2/26/20 RNAV (GPS) RWY 33, Orig-B. Boardman/Polando Field. 23–Apr–20 ...... NY New York ...... Laguardia ...... 0/9903 2/14/20 ILS OR LOC RWY 4, Amdt 37A. 23–Apr–20 ...... FL Miami ...... Miami-Opa Locka Execu- 0/9974 2/27/20 ILS OR LOC RWY 27R, Amdt tive. 1C.

[FR Doc. 2020–05868 Filed 3–20–20; 8:45 am] DATES: This rule is effective March 23, individual SIAP and Takeoff Minimums BILLING CODE 4910–13–P 2020. The compliance date for each and ODP copies may be obtained from SIAP, associated Takeoff Minimums, the FAA Air Traffic Organization and ODP is specified in the amendatory Service Area in which the affected DEPARTMENT OF TRANSPORTATION provisions. airport is located. The incorporation by reference of Federal Aviation Administration FOR FURTHER INFORMATION CONTACT: certain publications listed in the Thomas J. Nichols, Flight Procedures regulations is approved by the Director 14 CFR Part 97 and Airspace Group, Flight of the Federal Register as of March 23, Technologies and Procedures Division, [Docket No. 31301; Amdt. No. 3895] 2020. Flight Standards Service, Federal ADDRESSES: Availability of matters Aviation Administration. Mailing Standard Instrument Approach incorporated by reference in the Address: FAA Mike Monroney Procedures, and Takeoff Minimums amendment is as follows: Aeronautical Center, Flight Procedures and Obstacle Departure Procedures; For Examination and Airspace Group, 6500 South Miscellaneous Amendments MacArthur Blvd., Registry Bldg. 29, 1. U.S. Department of Transportation, Room 104, Oklahoma City, OK 73169. AGENCY: Federal Aviation Docket Ops–M30, 1200 New Jersey Telephone: (405) 954–4164. Administration (FAA), DOT. Avenue SE, West Bldg., Ground Floor, ACTION: Final rule. Washington, DC 20590–0001. SUPPLEMENTARY INFORMATION: This rule 2. The FAA Air Traffic Organization amends Title 14 of the Code of Federal SUMMARY: This rule establishes, amends, Service Area in which the affected Regulations, Part 97 (14 CFR part 97), by suspends, or removes Standard airport is located; establishing, amending, suspending, or Instrument Approach Procedures 3. The office of Aeronautical removes SIAPS, Takeoff Minimums (SIAPs) and associated Takeoff Navigation Products, 6500 South and/or ODPS. The complete regulatory Minimums and Obstacle Departure MacArthur Blvd., Oklahoma City, OK description of each SIAP and its Procedures (ODPs) for operations at 73169 or, associated Takeoff Minimums or ODP certain airports. These regulatory 4. The National Archives and Records for an identified airport is listed on FAA actions are needed because of the Administration (NARA). For form documents which are incorporated adoption of new or revised criteria, or information on the availability of this by reference in this amendment under 5 because of changes occurring in the material at NARA, email fedreg.legal@ U.S.C. 552(a), 1 CFR part 51, and 14 National Airspace System, such as the nara.gov or go to: https:// CFR part 97.20. The applicable FAA commissioning of new navigational www.archives.gov/federal-register/cfr/ forms are FAA Forms 8260–3, 8260–4, facilities, adding new obstacles, or ibr-locations.html . 8260–5, 8260–15A, and 8260–15B when changing air traffic requirements. These required by an entry on 8260–15A. changes are designed to provide safe Availability The large number of SIAPs, Takeoff and efficient use of the navigable All SIAPs and Takeoff Minimums and Minimums and ODPs,their complex airspace and to promote safe flight ODPs are available online free of charge. nature, and the need for a special format operations under instrument flight rules Visit the National Flight Data Center at make publication in the Federal at the affected airports. nfdc.faa.gov to register. Additionally, Register expensive and impractical.

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Further, airmen do not use the good cause exists for making some West Memphis, AR, West Memphis Muni, regulatory text of the SIAPs, Takeoff SIAPs effective in less than 30 days. ILS OR LOC RWY 17, Amdt 5B Minimums or ODPs, but instead refer to The FAA has determined that this Fort Huachuca Sierra Vista, AZ, Sierra Vista regulation only involves an established Muni-Libby AAF, TACAN RWY 8, Amdt their graphic depiction on charts 1B printed by publishers of aeronautical body of technical regulations for which Fort Huachuca Sierra Vista, AZ, Sierra Vista materials. Thus, the advantages of frequent and routine amendments are Muni-Libby AAF, TACAN RWY 26, Amdt incorporation by reference are realized necessary to keep them operationally 1B and publication of the complete current. It, therefore—(1) is not a Chico, CA, Chico Muni, Takeoff Minimums description of each SIAP, Takeoff ‘‘significant regulatory action’’ under and Obstacle DP, Amdt 7 Minimums and ODP listed on FAA form Executive Order 12866;(2) is not a Modesto, CA, Modesto City-Co-Harry Sham documents is unnecessary. This ‘‘significant rule’’ under DOT Fld, ILS OR LOC RWY 28R, Amdt 15 Modesto, CA, Modesto City-Co-Harry Sham amendment provides the affected CFR Regulatory Policies and Procedures (44 Fld, RNAV (GPS) RWY 28R, Amdt 1 sections and specifies the types of FR 11034; February 26,1979); and Modesto, CA, Modesto City-Co-Harry Sham SIAPs, Takeoff Minimums and ODPs (3)does not warrant preparation of a Fld, VOR RWY 28R, Amdt 1 with their applicable effective dates. regulatory evaluation as the anticipated Paso Robles, CA, Paso Robles Muni, PASO This amendment also identifies the impact is so minimal. For the same ROBLES ONE, Graphic DP airport and its location, the procedure, reason, the FAA certifies that this Paso Robles, CA, Paso Robles Muni, Takeoff and the amendment number. amendment will not have a significant Minimums and Obstacle DP, Amdt 2 economic impact on a substantial Sacramento, CA, Sacramento Intl, Takeoff Availability and Summary of Material Minimums and Obstacle DP, Amdt 1A number of small entities under the Incorporated by Reference Live Oak, FL, Suwannee County, RNAV criteria of the Regulatory Flexibility Act. (GPS) RWY 25, Orig-C The material incorporated by List of Subjects in 14 CFR Part 97 Perry, FL, Perry-Foley, Takeoff Minimums reference is publicly available as listed and Obstacle DP, Amdt 1B in the ADDRESSES section. Air Traffic Control, Airports, Clarion, IA, Clarion Muni, NDB RWY 14, The material incorporated by Incorporation by reference, Navigation Amdt 4A, CANCELLED (Air). Council Bluffs, IA, Council Bluffs Muni, ILS reference describes SIAPS, Takeoff OR LOC RWY 36, Amdt 1B Minimums and/or ODPS as identified in Issued in Washington, DC, on March 6, Independence, IA, James H Connell Fld at the amendatory language for part 97 of 2020. Independence Muni, RNAV (GPS) RWY 18, this final rule. Rick Domingo, Amdt 1A Executive Director, Flight Standards Service. Independence, IA, James H Connell Fld at The Rule Independence Muni, RNAV (GPS) RWY 36, This amendment to 14 CFR part 97 is Adoption of the Amendment Amdt 1A effective upon publication of each Independence, IA, James H Connell Fld at Accordingly, pursuant to the Independence Muni, Takeoff Minimums separate SIAP, Takeoff Minimums and authority delegated to me, Title 14, and Obstacle DP, Amdt 5A ODP as Amended in the transmittal. Code of Federal Regulations, Part 97 (14 Mapleton, IA, James G Whiting Memorial Some SIAP and Takeoff Minimums and CFR part 97) is amended by Field, RNAV (GPS) RWY 20, Orig-C textual ODP amendments may have establishing, amending, suspending, or Sheldon, IA, Sheldon Rgnl, RNAV (GPS) been issued previously by the FAA in a removing Standard Instrument RWY 33, Amdt 1D Flight Data Center (FDC) Notice to Approach Procedures and/or Takeoff Spencer, IA, Spencer Muni, RNAV (GPS) Airmen (NOTAM) as an emergency Minimums and Obstacle Departure RWY 12, Orig-A action of immediate flight safety relating Urbana, IL, Frasca Field, VOR–A, Amdt 11B Procedures effective at 0901 UTC on the Harper, KS, Harper Muni, RNAV (GPS)–A, directly to published aeronautical dates specified, as follows: Orig charts. Harper, KS, Harper Muni, VOR OR GPS–B, The circumstances that created the PART 97—STANDARD INSTRUMENT Amdt 1B, CANCELLED need for some SIAP and Takeoff APPROACH PROCEDURES Independence, KS, Independence Muni, ILS Minimums and ODP amendments may OR LOC RWY 35, Amdt 2A ■ 1. The authority citation for part 97 require making them effective in less Independence, KS, Independence Muni, continues to read as follows: than 30 days. For the remaining SIAPs VOR–A, Amdt 3A Authority: 49 U.S.C. 106(f), 106(g), 40103, Kingman, KS, Kingman Airport—Clyde and Takeoff Minimums and ODPs, an Cessna Field, Takeoff Minimums and effective date at least 30 days after 40106, 40113, 40114, 40120, 44502, 44514, 44701, 44719, 44721–44722. Obstacle DP, Orig-B publication is provided. Harlan, KY, Tucker-Guthrie Memorial, RNAV Further, the SIAPs and Takeoff ■ 2. Part 97 is amended to read as (GPS)–A, Amdt 1 Minimums and ODPs contained in this follows: Shreveport, LA, Shreveport Downtown, Takeoff Minimums and Obstacle DP, Amdt amendment are based on the criteria Effective 23 April 2020 contained in the U.S. Standard for 4 Laurel, MS, Hesler-Noble Field, VOR–A, Baltimore, MD, Baltimore/Washington Intl Terminal Instrument Procedures Amdt 6 Thurgood Marshall, Takeoff Minimums (TERPS). In developing these SIAPs and Lebanon, NH, Lebanon Muni, RNAV (GPS) and Obstacle DP, Amdt 10A Takeoff Minimums and ODPs, the RWY 18, Amdt 1 Augusta, ME, Augusta State, RNAV (GPS)–B, TERPS criteria were applied to the Hudson, NY, Columbia County, NDB–A, Orig-C, CANCELLED conditions existing or anticipated at the Amdt 4B, CANCELLED Augusta, ME, Augusta State, Takeoff affected airports. Because of the close New Castle, PA, New Castle Muni, NDB RWY Minimums and Obstacle DP, Amdt 4 and immediate relationship between 23, Amdt 3C, CANCELLED Battle Creek, MI, W K Kellogg, NDB RWY these SIAPs, Takeoff Minimums and Viroqua, WI, Viroqua Muni, Takeoff 23R, Amdt 19A, CANCELLED ODPs, and safety in air commerce, I find Minimums and Obstacle DP, Amdt 2 Austin, MN, Austin Muni, RNAV (GPS) RWY 35, Amdt 2A that notice and public procedure under Effective 21 May 2020 Mahnomen, MN, Mahnomen County, RNAV 5 U.S.C. 553(b) are impracticable and Marianna, AR, Marianna/Lee County-Steve (GPS) RWY 17, Amdt 1A contrary to the public interest and, Edwards Field, RNAV (GPS) RWY 36, Mahnomen, MN, Mahnomen County, RNAV where applicable, under 5 U.S.C 553(d), Amdt 1B (GPS) RWY 35, Amdt 1A

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Pine River, MN, Pine River Rgnl, NDB RWY Applicability dates: For dates of section 901(m) are not implicated in 34, Amdt 2A applicability, see §§ 1.704– such a situation because if the same Staples, MN, Staples Muni, NDB RWY 14, 1(b)(1)(ii)(b)(4), 1.901(m)–1(b), group takes into account the gains on Amdt 3C 1.901(m)–2(f), 1.901(m)–3(d), 1.901(m)– the RFAs up front and then, in the Tarkio, MO, Gould Peterson Muni, Takeoff future recognizes offsetting cost Minimums and Obstacle DP, Amdt 1 4(g), 1.901(m)–5(i), 1.901(m)–6(d), Trenton, MO, Trenton Muni, NDB RWY 18, 1.901(m)–7(g), and 1.901(m)–8(e). recovery items on those assets, over Amdt 7D, CANCELLED FOR FURTHER INFORMATION CONTACT: time, the U.S. income tax base is Trenton, MO, Trenton Muni, NDB RWY 36, Jeffrey L. Parry at (202) 317–6936 (not unchanged. Amdt 10B, CANCELLED a toll-free number). The Treasury Department and IRS Tioga, ND, Tioga Muni, RNAV (GPS) RWY SUPPLEMENTARY INFORMATION: agree that an exemption would be 12, Orig-B appropriate in certain cases, but have Toledo, OH, Toledo Executive, Takeoff Background determined that the comment’s Minimums and Obstacle DP, Amdt 3 On December 7, 2016, both a notice of suggestion is overbroad. As proposed by Gregory, SD, Gregory Muni—Flynn Fld, proposed rulemaking by cross-reference the comment, the exemption would RNAV (GPS) RWY 13, Orig-C apply to U.S. members of an affiliated Pierre, SD, Pierre Rgnl, ILS OR LOC RWY 31, in part to temporary regulations (REG– Amdt 13 129128–14) (2016 proposed regulations) group that do not file a consolidated Gilmer, TX, Fox Stephens Field-Gilmer under sections 901(m) and 704 of the return and to related controlled foreign Muni, VOR/DME–A, Amdt 1A, Code and temporary regulations (TD corporations. This leaves open the CANCELLED 9800) under section 901(m) were possibility of manipulation of foreign Houston, TX, William P Hobby, Takeoff published in the Federal Register at 81 tax credits. For example, in the case of Minimums and Obstacle DP, Amdt 7 FR 88562 and 81 FR 88103. The affiliated but non-consolidated U.S. Mount Pleasant, TX, Mount Pleasant Rgnl, temporary and proposed regulations entities, the entity recognizing the U.S. VOR/DME–A, Orig-A, CANCELLED gain on the assets up front may be an Sulphur Springs, TX, Sulphur Springs Muni, include the rules described in Notice 2014–44 (2014–32 I.R.B. 270 (August 4, entity that is exempt from tax under RNAV (GPS) RWY 1, Amdt 1C section 501 while the entity recognizing Terrell, TX, Terrell Muni, NDB RWY 17, 2014)) and Notice 2014–45 (2014–34 Amdt 4, CANCELLED I.R.B. 388 (August 18, 2014). the offsetting cost recovery items may be Ogden, UT, Ogden-Hinckley, ILS OR LOC A public hearing was not requested, in a position to take advantage of the RWY 3, Amdt 5A and none was held. However, the excess foreign taxes related to the basis Newport News, VA, Newport News/ Department of the Treasury (Treasury difference. Williamsburg Intl, ILS OR LOC RWY 7, Department) and the IRS received The Treasury Department and IRS Amdt 35 written comments in response to the have determined that the exemption Marshfield, WI, Marshfield Muni, SDF RWY notice of proposed rulemaking. After should apply only if a domestic section 34, Amdt 7, CANCELLED consideration of all the comments, the 901(m) payor or a member of its [FR Doc. 2020–05870 Filed 3–20–20; 8:45 am] 2016 proposed regulations under consolidated group recognized the gains or losses or took into account a BILLING CODE 4910–13–P section 901(m) are adopted as revised by distributive share of the gains or losses this Treasury decision. The revisions are recognized by a partnership for U.S. tax discussed in this preamble. This purposes as part of the original CAA. DEPARTMENT OF THE TREASURY Treasury decision also adopts the 2016 Accordingly, the definition of aggregate proposed regulations under section 704 basis difference is modified to take into Internal Revenue Service without revision. The regulations account allocated basis difference adopted by this Treasury decision are adjustments determined based on gain 26 CFR Part 1 referred to herein as the ‘‘final or loss recognized with respect to an regulations.’’ Defined terms used in this [TD 9895] RFA as a result of a CAA. See preamble but not defined herein have RIN 1545–BM36 § 1.901(m)–1(a)(1), (6), (48), and (49). the meaning provided in the final For example, if one domestic regulations. Covered Asset Acquisitions corporation, USS1, sold a foreign Summary of Comments and disregarded entity (FDE) that held an AGENCY: Internal Revenue Service (IRS), Explanation of Revisions asset to another member of its Treasury. consolidated group, USS2, the ACTION: Final regulations and removal of 1. Scope of Covered Asset Acquisitions transaction is a CAA, because it is an temporary regulations. (CAAs) asset sale for U.S. income tax purposes Proposed § 1.901(m)–2(b) identifies and an acquisition of stock of the FDE SUMMARY: This document contains final six categories of transactions that for foreign tax purposes. As a result, the Income Tax Regulations under section constitute CAAs, three of which are asset is an RFA owned by USS2 subject 901(m) of the Internal Revenue Code specified in the statute and three of to section 901(m). However, any (Code) with respect to transactions that which are additional categories of aggregate basis difference USS2 generally are treated as asset transactions that are identified as CAAs determines with respect to the RFA will acquisitions for U.S. income tax pursuant to the authority granted under be adjusted to take into account the gain purposes and either are treated as stock section 901(m)(2)(D). recognized for U.S. income tax purposes acquisitions or are disregarded for One comment requested that an by USS1 on the original sale, provided foreign income tax purposes. These exemption to section 901(m) be USS1 and USS2 are still members of the regulations are necessary to provide provided for CAAs in which all or same consolidated group in the year the guidance on applying section 901(m). substantially all of the gains and losses allocated basis difference is determined. These regulations affect taxpayers with respect to the relevant foreign Another comment suggested that the claiming foreign tax credits. assets (RFAs) are recognized by final category of transactions, which DATES: members of the U.S.-parented group that includes any asset acquisition for U.S. Effective date: These regulations are includes the section 901(m) payor. The and foreign income tax purposes that effective on March 23, 2020. comment suggested that the policies of results in an increase in the U.S. basis

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without a corresponding increase in the difference carryover rule is necessary to and (g)(3) of proposed § 1.901(m)–4 foreign basis, be replaced with one or prevent the avoidance of the purpose of provide that taxpayers may apply the more specifically defined transactions. section 901(m), particularly in the case foreign basis election retroactively to The comment recommended that new of timing differences. For example, CAAs that have occurred on or after CAAs be limited to specific transactions assume a section 901(m) payor that is January 1, 2011, provided that the that are likely to achieve the same also a foreign payor has a foreign taxable taxpayer applies all of the rest of the hyping of foreign tax credits as the three year ending on March 31 and a U.S. rules in the 2016 proposed regulations categories of CAAs specified in the taxable year ending on December 31. retroactively, with a few limited statute and that typically involve Assume further that the section 901(m) exceptions. intensive U.S. tax planning. The payor recognizes foreign gain on the One comment suggested that though comment also suggested that if the disposition of an RFA on November 30, this consistency requirement is Treasury Department and IRS found a in U.S. tax year 1. For U.S. income tax appropriate for tax years that remain list of specific transactions to be too purposes, because the disposition open, the requirement is unfair if some limited, they could add an anti-abuse occurs in U.S. tax year 1, the section tax years of the taxpayer or its affiliates rule that would treat any transaction as 901(m) payor will have allocated basis are already closed. The comment a CAA if it was structured with a difference in U.S. tax year 1, requiring recommended the consistency principal purpose of avoiding the a calculation of a disqualified tax requirement be modified to permit specific categories of transactions set amount. For foreign income tax taxpayers to apply the foreign basis forth in the revised list of transactions. purposes, the foreign tax on the gain is election as long as they apply the rules The Treasury Department and IRS do not imposed until the end of the foreign in the 2016 proposed regulations not agree that the final category of taxable year, which is March 31, in U.S. consistently to all relevant tax years that transactions is overbroad. Section tax year 2. Assuming the section 901(m) remain open. 901(m) is designed to address payor does not pay any other foreign The Treasury Department and IRS transactions that result in a basis taxes, the disqualified tax amount for agree that taxpayers should not be difference for U.S. and foreign income U.S. tax year 1 will be zero, because the denied the choice to retroactively apply tax purposes. There is no intent test. foreign taxes are not taken into account the foreign basis election because a Proposed § 1.901(m)–7 provides a de by the section 901(m) payor for U.S. closed tax year is preventing them from minimis exception that relieves the income tax purposes until U.S. tax year satisfying the consistency requirement. burden of applying section 901(m) to 2. Because the allocated basis difference However, because the statute of ordinary course transactions below the in U.S. tax year 1 does not give rise to limitations for refunds attributable to threshold provided in that rule. The a disqualified tax amount, the aggregate foreign tax credits is ten years while the Treasury Department and IRS have basis difference carryover rule requires statute of limitations for assessment is determined there is no policy that the allocated basis difference be generally only three years, the only justification for exempting transactions carried into U.S. tax year 2 and be used relevant tax years of the taxpayer or its to which this exception does not apply to calculate a disqualified tax amount affiliates that would be closed are the on the grounds that the transaction with respect to the foreign taxes taken tax years in which a consistent lacked an intent to hype foreign taxes, into account in U.S. tax year 2. Without application of the regulations would and replacing this category of the aggregate basis difference carryover result in an assessment. The Treasury transactions with an anti-abuse rule rule, there would be no disqualified tax Department and IRS do not believe would inappropriately introduce an amount in U.S. tax year 1, because there taxpayers should be able to obtain the intent component that is not required by are not foreign taxes taken into account benefits of retroactive application of the the statute. Accordingly, the comment is in that year, and no disqualified tax regulations while avoiding the negative not adopted. amount in U.S. tax year 2, because there consequences. Accordingly, while the is no allocated basis difference in that consistency requirement has been 2. Aggregate Basis Difference Carryover year. This would allow avoidance of the modified to apply only for tax years that Proposed § 1.901(m)–3(c) provides application of section 901(m) to a fact remain open, an additional requirement rules for determining the amount of pattern that is clearly meant to be is added that any deficiencies be taken aggregate basis difference carryover for covered by the statute. The aggregate into account that would have resulted a given U.S. taxable year of a section basis difference carryover rule also from the consistent application of the 901(m) payor that will be included in prevents taxpayers from avoiding the final regulations for a tax year that is the section 901(m) payor’s aggregate application of section 901(m) by timing closed. See § 1.901(m)–4(g)(3). For basis difference for the next U.S. taxable dispositions of RFAs to coincide with example, assume a taxpayer chooses to year. The carryover reflects the extent to offsetting unrelated foreign losses. For make a retroactive foreign basis election which the aggregate basis difference for these reasons, the comment is not that would give rise to a $6 million a U.S. taxable year has not yet given rise adopted. refund in a prior year that is open under to a disqualified tax amount. the statute of limitations for refunds but A comment requested that the 3. Foreign Basis Election that a consistent retroactive application aggregate basis difference carryover rule Basis difference with respect to an of another provision of the final be eliminated due to the increased RFA is generally equal to the U.S. basis regulations would give rise to a $1 compliance costs resulting from the in the RFA immediately after a CAA less million deficiency in another prior year added complexity of tracking the the U.S. basis in the RFA immediately that is closed under the statute of carryover amounts. The comment before the CAA. Proposed § 1.901(m)– limitations for assessment. In this case, argued that these compliance costs are 4(c) provides that a taxpayer may in order to meet the consistency unjustified, given that Congress enacted instead elect to determine basis requirement, the taxpayer would need an administrable approach in the statute difference as the U.S. basis in the RFA to reduce its refund claim in the open and did not express any intent that immediately after the CAA less the year from $6 million to $5 million to carryover rules could apply. foreign basis in the RFA immediately take into account the $1 million The Treasury Department and IRS after the CAA. This is referred to as the deficiency that would have resulted in have determined that the aggregate basis foreign basis election. Paragraphs (c) the closed tax year.

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4. Successor Rules account for purposes of section 901(m) are eliminated, as suggested by the The successor rules in proposed if either (i) the sum of the basis comment. See § 1.901(m)–7(c). differences for all RFAs with respect to § 1.901(m)–6(b) provide that section 6. Interaction With Section 909 901(m) continues to apply to any the CAA is less than the greater of $10 unallocated basis difference with million or 10 percent of the total U.S. One comment requested adding a respect to an RFA after there is a basis of all RFAs immediately after the priority rule to the regulations to transfer of the RFA for U.S. income tax CAA; or (ii) the RFA is part of a class address transactions to which both purposes, regardless of whether the of RFAs for which the sum of the basis section 901(m) and section 909 apply, transfer is a disposition, a CAA, or a differences of all RFAs in the class is such as, for example, the acquisition of less than the greater of $2 million or 10 non-taxable transaction. For example, if a reverse hybrid with respect to which percent of the total U.S. basis of all a section 901(m) payor contributes an a section 338 election is made. The RFAs in the class immediately after the RFA with respect to a prior CAA to a acquisition is a CAA under section CAA. The threshold dollar amounts and partnership, any unallocated basis 901(m), and the reverse hybrid structure difference in the RFA remains subject to percentages to meet the de minimis exemptions for related-party CAAs are is a specified foreign tax credit splitting the section 901(m) in the hands of the event under the section 909 regulations. partnership. One comment suggested lower than those for unrelated party CAAs, replacing the terms ‘‘$10 The comment recommended that, given that the Treasury Department and IRS the complexity of the calculation of consider whether it would be million,’’ ‘‘10 percent,’’ and ‘‘$2 million’’ with the terms ‘‘$5 million,’’ disqualified tax amounts under section appropriate to apply principles similar 901(m), those calculations should be to those of section 704(c) to treat the ‘‘5 percent,’’ and ‘‘$1 million,’’ respectively. made first and section 909 should then section 901(m) ‘‘taint’’ in the RFA as a be applied to determine whether any of built-in item that is allocated back to the One comment expressed the view that the threshold amounts for the de the remaining foreign taxes are contributing partner. suspended. The Treasury Department and IRS minimis rules were too low, noting that have considered this comment and the potential basis differential with The Treasury Department and IRS determined that the provisions in respect to transactions of those agree with the comment that if section proposed § 1.901(m)–5 for allocating magnitudes would not generate a 901(m) and section 909 apply to the basis difference to partners in a sufficient foreign tax credit benefit to same transaction, the section 901(m) partnership that owns RFAs reflect the justify intensive tax planning. The calculations should be undertaken most appropriate approach, whether the comment suggested raising the $10 before applying section 909. However, RFAs are contributed to the partnership million threshold to $15 million. The the comment’s recommendation implied in a successor transaction or the comment also recommended that only the portion of the foreign taxes partnership acquires them directly in a eliminating the reduced de minimis that are not disqualified under section CAA. These allocation rules are based thresholds in the context of related- 901(m) are subject to potential on the principle that the partner that party transactions. The comment argued suspension under section 909. The takes into account the basis difference is that the test should be different for Treasury Department and IRS disagree the one that should be subject to section related parties only if the fact that the with this implication. Section 909 901(m). For example, if there is a cost parties are related somehow makes the defers taking into account foreign taxes recovery amount of 20x due to increased rules less burdensome than they are for for purposes of claiming a foreign tax depreciation deductions related to a unrelated parties or makes the credit or claiming a deduction. Foreign U.S. basis step-up in a CAA, section likelihood of tax arbitrage higher. The taxes that are disqualified for foreign tax 901(m) basically operates to disallow a comment suggested that this was credit purposes under section 901(m) credit for foreign taxes on that 20x unlikely to be the case in the context of but remain eligible to be deducted may differential created between income for section 901(m). be subject to deferral under section 909 U.S. and foreign tax purposes. The 2016 Although the Treasury Department as well. The comment’s suggestion is proposed regulations take the approach and the IRS do not believe that the adopted with these clarifications. See that the partner to whom the 20x of comment made a compelling argument § 1.901(m)–8(d). increased depreciation is allocated is for increasing the threshold for the the one that benefits from the income cumulative basis difference exemption, 7. Changes Related to the Tax Cuts and differential and is therefore the one to the Treasury Department and IRS agree Jobs Act (TCJA) whom the section 901(m) disallowance that it is appropriate to extend the scope The final regulations reflect should apply. If some other partner of the de minimis rules in order to modifications to the rules contained in contributed the RFA to the partnership further reduce the burden of compliance but does not get an allocation of the with the rules. However, rather than the 2016 proposed regulations necessary increased depreciation deductions, the increasing the threshold amount, the to reflect statutory changes by the TCJA, Treasury Department and IRS see no Treasury Department and IRS have Public Law 115–97 (2017). References to policy reason to nevertheless subject the decided to add an additional exclusion, section 902 corporations are replaced contributing partner to the section such that a basis difference with respect with references to applicable foreign 901(m) disallowance. to an individual RFA is not taken into corporations, which consist of section account for purposes of section 901(m) 902 corporations before the applicability 5. De Miminis Threshold if the basis difference is less than of the TCJA modifications to the foreign Proposed § 1.901(m)–7 describes de $20,000. See § 1.901(m)–7(b)(4). Like the tax credit rules and controlled foreign minimis rules under which certain basis de minimis exceptions contained in the corporations thereafter. See § 1.901(m)– differences are not taken into account 2016 proposed regulations, this de 1(a)(7). In addition, a definition of for purposes of section 901(m). In minimis exception applies separate category is added and utilized general, under the 2016 proposed independently of the other de minimis to address the income groupings regulations, a basis difference with exceptions. Moreover, the reduced required under section 960 following respect to an RFA is not taken into thresholds for related-party transactions TCJA. See § 1.901(m)–1(a)(42).

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8. Applicability Dates the extent the taxpayers are natural § 1.901(m)–1(a)(13)) occurring on or The 2016 proposed regulations were persons or entities other than small after March 23, 2020. Taxpayers may, generally proposed to apply to CAAs entities. Small entities are significantly however, choose to apply paragraphs occurring on or after the date of less likely to engage in the types of (b)(4)(viii)(c)(4)(v) through (vii) of this publication of the final regulations. transactions addressed by the section before the date paragraphs However, the 2016 proposed regulations regulations than U.S. multinational (b)(4)(viii)(c)(4)(v) through (vii) of this also provided that taxpayers could rely corporations. Moreover, the de minimis section are applicable provided that on the rules therein before they would rules discussed in Part 5 of the they (along with any persons that are otherwise be applicable, provided that Summary of Comments and Explanation related (within the meaning of section taxpayers consistently applied proposed of Revisions section further limit the 267(b) or 707(b)) to the taxpayer)— § 1.901(m)–2 (excluding § 1.901(m)– number of small entities likely to be (i) Consistently apply paragraphs 2(d)) to all CAAs occurring on or after subject to the regulations. (b)(4)(viii)(c)(4)(v) through (vii) of this December 7, 2016, and consistently Pursuant to section 7805(f), the notice section, § 1.901(m)–1, and §§ 1.901(m)– applied § 1.704–1(b)(4)(viii)(c)(4)(v) of proposed rulemaking preceding this 3 through 1.901(m)–8 (excluding through (vii), § 1.901(m)–1, and regulation was submitted to the Chief § 1.901(m)–4(e)) to all CAAs occurring §§ 1.901(m)–3 through 1.901(m)–8 Counsel for Advocacy of the Small on or after January 1, 2011, and (excluding § 1.901(m)–4(e)) to all CAAs Business Administration for comment consistently apply § 1.901(m)–2 occurring on or after January 1, 2011. on its impact on small business. No (excluding § 1.901(m)–2(d)) to all CAAs For this purpose, persons that are comments were received. occurring on or after December 7, 2016, on any original or amended tax return related (within the meaning of section Drafting Information 267(b) or 707(b)) were treated as a single for each taxable year for which the The principal author of these application of the provisions listed in taxpayer. regulations is Jeffrey L. Parry of the In order to be consistent with the this paragraph (b)(1)(ii)(b)(4)(i) affects Office of Associate Chief Counsel revised applicability of the foreign basis the tax liability and for which the (International). However, other election, as discussed in Part 3 of this statute of limitations does not preclude personnel from the Treasury Summary of Comments and Explanation assessment or the filing of a claim for Department and the IRS participated in of Revisions section, and allow the rules refund, as applicable; their development. in the final regulations to be applied (ii) File all tax returns described in retroactively, the final regulations List of Subjects in 26 CFR Part 1 paragraph (b)(1)(ii)(b)(4)(i) of this provide that taxpayers may choose to section for any taxable year ending on Income taxes, Reporting and or before March 23, 2020, no later than apply the rules before they would recordkeeping requirements. otherwise be applicable, provided that March 23, 2021; and the consistency requirements described Amendments to the Regulations (iii) Make appropriate adjustments to take into account deficiencies that in the preceding paragraph are met, on Accordingly, 26 CFR part 1 is would have resulted from the consistent any original or amended tax return for amended as follows: each taxable year for which the application under paragraph application of the provisions affects the PART 1—INCOME TAXES (b)(1)(ii)(b)(4)(i) of this section for tax liability and for which the statute of taxable years that are not open for limitations does not preclude ■ Paragraph 1. The authority citation assessment. assessment or the filing of a claim for for part 1 is amended by removing * * * * * refund, as applicable. The relevant tax entries for §§ 1.901(m)–1T through (4) * * * returns for taxable years ending before 1.901(m)–8T and § 1.901(m)–5T and (viii) * * * March 23, 2020, must be filed no later adding entries for §§ 1.901(m)–1 (c) *** than March 23, 2021. In the case of through 1.901(m)–8 and § 1.901(m)–5 in (4) *** taxable years that are not open for numerical order to read as follows: (v) Adjustments related to section assessment, appropriate adjustments Authority: 26 U.S.C. 7805. 901(m). If one or more assets owned by must be made to take into account * * * * * a partnership are relevant foreign assets deficiencies that would have resulted Sections 1.901(m)–1 through 1.901–8 also (or RFAs) with respect to a foreign from the consistent application of the issued under 26 U.S.C. 901(m)(7). income tax, then, solely for purposes of applicable provisions. Section 1.901(m)–5 also issued under 26 applying the safe harbor provisions of U.S.C. 901(m)(3)(B)(ii). paragraph (b)(4)(viii)(a)(1) of this Special Analyses * * * * * section to allocations of CFTEs with These final regulations are not subject ■ Par. 2. Section 1.704–1 is amended by respect to that foreign income tax, the to review under section 6(b) of adding paragraphs (b)(1)(ii)(b)(4) and net income in a CFTE category that Executive Order 12866 pursuant to the (b)(4)(viii)(c)(4)(v) through (vii) to read includes partnership items of income, Memorandum of Agreement (April 11, as follows: deduction, gain, or loss attributable to 2018) between the Department of the the RFA shall be increased by the Treasury and the Office of Management § 1.704–1 Partner’s distributive share. amount described in paragraph and Budget regarding review of tax * * * * * (b)(4)(viii)(c)(4)(vi) of this section and regulations. (b) * * * reduced by the amount described in Pursuant to the Regulatory Flexibility (1) * * * paragraph (b)(4)(viii)(c)(4)(vii) of this Act (5 U.S.C. chapter 6), it is hereby (ii) * * * section. Similarly, a partner’s CFTE certified that this regulation will not (b) *** category share of income shall be have a significant economic impact on (4) Special rules for covered asset increased by the portion of the amount a substantial number of small entities. acquisitions. Paragraphs described in paragraph In general, foreign corporations are not (b)(4)(viii)(c)(4)(v) through (vii) of this (b)(4)(viii)(c)(4)(vi) of this section that is considered small entities. Nor are U.S. section apply to covered asset allocated to the partner under taxpayers considered small entities to acquisitions (CAAs) (as defined in § 1.901(m)–5(d) and reduced by the

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portion of the amount described in § 1.901(m)–6(c). For purposes of this (ii) For taxable years of foreign paragraph (b)(4)(viii)(c)(4)(vii) of this definition, if foreign law imposes tax on corporations beginning after December section that is allocated to the partner the combined income (within the 31, 2017, a controlled foreign under § 1.901(m)–5(d). The principles of meaning of § 1.901–2(f)(3)(ii)) of two or corporation (as defined in section 957). this paragraph (b)(4)(viii)(c)(4)(v) apply more foreign payors, all foreign payors (8) The term basis difference has the similarly when a partnership owns an whose items of income, deduction, gain, meaning provided in § 1.901(m)–4. RFA indirectly through one or more or loss are included in the U.S. taxable (9) The term CAA gain means the other partnerships. For purposes of this income or earnings and profits of the amount of gain recognized with respect paragraph (b)(4)(viii)(c)(4)(v) and section 901(m) payor are treated as a to an RFA for U.S. tax purposes as a paragraphs (b)(4)(viii)(c)(4)(vi) and single foreign payor. Aggregate basis result of a CAA. (b)(4)(viii)(c)(4)(vii) of this section, basis difference is determined with respect to (10) The term CAA loss means the difference is defined in § 1.901(m)–4, each separate category. amount of loss recognized with respect cost recovery amount is defined in (2) The term aggregate basis to an RFA for U.S. tax purposes as a § 1.901(m)–5(b)(2), disposition amount difference carryover has the meaning result of a CAA. is defined in § 1.901(m)–5(c)(2), foreign provided in § 1.901(m)–3(c). (11) The term consolidated group has income tax is defined in § 1.901(m)– (3) The term aggregated CAA the meaning provided in § 1.1502–1(h). 1(a)(26), RFA is defined in § 1.901(m)– transaction means a series of related (12) The term cost recovery amount 2(c), U.S. disposition gain is defined in CAAs occurring as part of a plan. has the meaning provided in § 1.901(m)–1(a)(52), and U.S. (4) The term allocable foreign income § 1.901(m)–5(b)(2). disposition loss is defined in means the portion of foreign income of (13) The term covered asset § 1.901(m)–1(a)(53). a foreign payor that relates to the foreign acquisition (or CAA) has the meaning (vi) Adjustment amounts for RFAs income tax amount of the foreign payor provided in § 1.901(m)–2. with a positive basis difference. With that is paid or accrued by, or considered (14) The term cumulative basis respect to RFAs with a positive basis paid or accrued by, a section 901(m) difference exemption has the meaning difference, the amount referenced in payor. provided in § 1.901(m)–7(b)(2). paragraph (b)(4)(viii)(c)(4)(v) of this (5) The term allocated basis difference (15) The term disposition means an section is the sum of any cost recovery means, with respect to an RFA and a event (for example, a sale, amounts and disposition amounts foreign income tax, the sum of the cost abandonment, or mark-to-market event) attributable to U.S. disposition loss that recovery amounts and disposition that results in gain or loss being correspond to partnership items that are amounts assigned to a U.S. taxable year recognized with respect to an RFA for included in the net income in the CFTE of the section 901(m) payor under purposes of U.S. income tax or a foreign category and that are taken into account § 1.901(m)–5. income tax, or both. for the U.S. taxable year of the (6) The term allocated basis difference (16) The term disposition amount has partnership under § 1.901(m)–5(d). adjustment means an adjustment to a the meaning provided in § 1.901(m)– (vii) Adjustment amounts for RFAs section 901(m) payor’s allocated basis 5(c)(2). with a negative basis difference. With difference with respect to an RFA and (17) The term disqualified tax amount respect to RFAs with a negative basis a foreign income tax for a U.S. taxable has the meaning provided in difference, the amount referenced in year. If the RFA has a positive basis § 1.901(m)–3(b). paragraph (b)(4)(viii)(c)(4)(v) of this difference, the allocated basis difference (18) The term disregarded entity section is the sum of any cost recovery adjustment is equal to the lesser of the means an entity that is disregarded as an amounts and disposition amounts allocated basis difference or the portion entity separate from its owner, as attributable to U.S. disposition gain that of any unallocated CAA gain that described in § 301.7701–2(c)(2)(i) of this correspond to partnership items that are corresponds to the CAA gain recognized chapter. included in the net income in the CFTE by the section 901(m) payor or a (19) The term fiscally transparent category and that are taken into account member of the section 901(m) payor’s entity means an entity, including a for the U.S. taxable year of the consolidated group. If the RFA has a disregarded entity, that is fiscally partnership under § 1.901(m)–5(d). negative basis difference, the allocated transparent under the principles of * * * * * basis difference adjustment is equal to § 1.894–1(d)(3) for purposes of U.S. ■ Par. 3. Section 1.901(m)–1 is added to the greater of the allocated basis income tax or a foreign income tax (or read as follows: difference or the portion of any both). unallocated CAA loss that corresponds (20) The term foreign basis means the § 1.901(m)–1 Definitions. to the CAA loss recognized by the adjusted basis of an asset determined for (a) Definitions. For purposes of section 901(m) payor or a member of the purposes of a foreign income tax. section 901(m), this section, and section 901(m) payor’s consolidated (21) The term foreign basis election §§ 1.901(m)–2 through 1.901(m)–8, the group. For purposes of this paragraph, has the meaning provided in following definitions apply: CAA gain or CAA loss recognized by the § 1.901(m)–4(c). (1) The term aggregate basis section 901(m) payor or a member of the (22) The term foreign country difference means, with respect to a section 901(m) payor’s consolidated creditable tax (or FCCT) means, with foreign income tax and a foreign payor, group includes their distributive share respect to a foreign income tax amount, the sum of the allocated basis of CAA gain or CAA loss recognized by the amount of income, war profits, or differences and the allocated basis a partnership. excess profits tax paid or accrued to a difference adjustments for a U.S. taxable (7) The term applicable foreign foreign country or possession of the year of a section 901(m) payor, plus any corporation means— United States and claimed as a foreign aggregate basis difference carryover (i) For taxable years of foreign tax credit for purposes of determining from the immediately preceding U.S. corporations beginning before January 1, the foreign income tax amount. To taxable year of the section 901(m) payor 2018, a section 902 corporation (as qualify as a FCCT, the tax imposed by with respect to the foreign income tax defined in section 909(d)(5) (as in effect the foreign country or possession must and foreign payor, as adjusted under on December 21, 2017)), and be a foreign income tax or a withholding

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tax determined on a gross basis as disregarded entity) subject to a foreign in § 1.904–5(a)(4)(v), and in the case of described in section 901(k)(1)(B). income tax. If foreign law imposes tax an applicable foreign corporation (23) The term foreign disposition gain on the combined income (within the described in paragraph (a)(7)(ii) of this means, with respect to a foreign income meaning of § 1.901–2(f)(3)(ii)) of two or section, each income group described in tax, the amount of gain recognized on a more individuals or entities, each such § 1.960–1(d)(2)(ii). disposition of an RFA in determining individual or entity is a foreign payor. (43) The term subsequent CAA has the foreign income, regardless of whether An individual or entity may be a foreign meaning provided in § 1.901(m)– the gain is deferred or otherwise not payor with respect to more than one 6(b)(4)(i). taken into account currently. foreign income tax for purposes of (44) The term subsequent section Notwithstanding the foregoing, if after a applying section 901(m). 743(b) CAA has the meaning provided section 743(b) CAA there is a (29) The term foreign taxable year in § 1.901(m)–6(b)(4)(iii). disposition of an asset that is an RFA means a taxable year for purposes of a (45) The term successor transaction with respect to that section 743(b) CAA, foreign income tax. has the meaning provided in foreign disposition gain has the meaning (30) The term mid-year transaction § 1.901(m)–6(b)(2). provided in § 1.901(m)–5(c)(2)(iii). means a transaction in which a foreign (46) The term tentative disqualified (24) The term foreign disposition loss payor that is a corporation or a tax amount has the meaning provided means, with respect to a foreign income disregarded entity has a change in in § 1.901(m)–3(b)(2)(ii). tax, the amount of loss recognized on a ownership or makes an election (47) The term unallocated basis disposition of an RFA in determining pursuant to § 301.7701–3 to change its difference means, with respect to an foreign income, regardless of whether entity classification, or a transaction in RFA and a foreign income tax, the basis the loss is deferred or disallowed or which a foreign payor that is a difference reduced by the sum of the otherwise not taken into account partnership terminates under section cost recovery amounts and the currently. Notwithstanding the 708(b)(1), provided in each case that the disposition amounts that have been foregoing, if after a section 743(b) CAA foreign payor’s foreign taxable year does computed under § 1.901(m)–5. there is a disposition of an asset that is not close as a result of the transaction, (48) The term unallocated CAA gain an RFA with respect to that section and, if the foreign payor is a corporation means, with respect to an RFA, the CAA 743(b) CAA, foreign disposition loss has or a partnership, the foreign payor’s U.S. gain reduced by the sum of the allocated the meaning provided in § 1.901(m)– taxable year closes. basis difference adjustments that have 5(c)(2)(iii). (31) The term prior CAA has the been computed with respect to the RFA. (25) The term foreign income means, meaning provided in § 1.901(m)–6(b)(2). (49) The term unallocated CAA loss with respect to a foreign income tax, the (32) The term prior section 743(b) means, with respect to an RFA, the CAA taxable income (or loss) reflected on a CAA has the meaning provided in loss reduced by the sum of the allocated foreign tax return (as properly amended § 1.901(m)–6(b)(4)(iii). basis difference adjustments that have or adjusted), even if the taxable income (33) The term relevant foreign asset been computed with respect to the RFA. (or loss) is reported by an entity that is (or RFA) has the meaning provided in (50) The term U.S. basis means the a fiscally transparent entity for purposes § 1.901(m)–2. adjusted basis of an asset determined for of the foreign income tax. If, however, (34) The term reverse hybrid has the U.S. income tax purposes. foreign law imposes tax on the meaning provided in § 1.909–2(b)(1)(iv). (51) The term U.S. basis deduction combined income (within the meaning (35) The term RFA class exemption has the meaning provided in of § 1.901–2(f)(3)(ii)) of two or more has the meaning provided in § 1.901(m)–5(b)(3). foreign payors, foreign income means § 1.901(m)–7(b)(3). (52) The term U.S. disposition gain the combined taxable income (or loss) of (36) The term RFA exemption has the means the amount of gain recognized for such foreign payors, regardless of meaning provided in § 1.901(m)–7(b)(4). U.S. income tax purposes on a whether such income (or loss) is (37) The term RFA owner (U.S.) disposition of an RFA, regardless of reflected on a single foreign tax return. means a person that owns an RFA for whether the gain is deferred or (26) The term foreign income tax U.S. income tax purposes. otherwise not taken into account means an income, war profits, or excess (38) The term RFA owner (foreign) currently. Notwithstanding the profits tax for which a credit is means an individual or entity (including foregoing, if after a section 743(b) CAA allowable under section 901 or section a disregarded entity) that owns an RFA there is a disposition of an asset that is 903, except that it does not include any for purposes of a foreign income tax. an RFA with respect to that section withholding tax determined on a gross (39) The term section 338 CAA has 743(b) CAA, U.S. disposition gain has basis as described in section the meaning provided in § 1.901(m)– the meaning provided in § 1.901(m)– 901(k)(1)(B). 2(b)(1). 5(c)(2)(iii). (27) The term foreign income tax (40) The term section 743(b) CAA has (53) The term U.S. disposition loss amount means, with respect to a foreign the meaning provided in § 1.901(m)– means the amount of loss recognized for income tax, the amount of tax 2(b)(3). U.S. income tax purposes on a (including an amount of tax that is zero) (41) The term section 901(m) payor disposition of an RFA, regardless of reflected on a foreign tax return (as means a person eligible to claim the whether the loss is deferred or properly amended or adjusted). If foreign tax credit allowed under section disallowed or otherwise not taken into foreign law imposes tax on the 901(a), regardless of whether the person account currently. Notwithstanding the combined income (within the meaning chooses to claim the foreign tax credit, foregoing, if after a section 743(b) CAA of § 1.901–2(f)(3)(ii)) of two or more as well as an applicable foreign there is a disposition of an asset that is foreign payors, however, a foreign corporation. Each member of a an RFA with respect to that section income tax amount means the amount consolidated group is a separate section 743(b) CAA, U.S. disposition loss has of tax imposed on the combined 901(m) payor. If individuals file a joint the meaning provided in § 1.901(m)– income, regardless of whether the tax is return, those individuals are treated as 5(c)(2)(iii). reflected on a single foreign tax return. a single section 901(m) payor. (54) The term U.S. taxable year means (28) The term foreign payor means an (42) The term separate category a taxable year as defined in section individual or entity (including a means each separate category described 7701(a)(23).

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(b) Applicability dates. (1) Except as (iii) Make appropriate adjustments to increase in the foreign basis of such provided in paragraph (b)(2) of this take into account deficiencies that assets; and section, this section applies to CAAs would have resulted from the consistent (6) Any transaction (or series of occurring on or after March 23, 2020. application under paragraph (b)(3)(i) of transactions occurring pursuant to a (2) Paragraphs (a)(8), (12), (13), (15), this section for taxable years that are not plan) to the extent it is treated as an (16), (18), (19), (23) through (26), (31) open for assessment. acquisition of assets for purposes of through (33), (39), (40), (43) through both U.S. income tax and a foreign (45), (47), (50), and (52) through (54) of § 1.901(m)–1T [Removed] income tax, provided the transaction this section apply to CAAs occurring on ■ Par. 4. Section 1.901(m)–1T is results in an increase in the U.S. basis or after July 21, 2014, and to CAAs removed. without a corresponding increase in the occurring before that date resulting from foreign basis of one or more assets. ■ Par. 5. Section 1.901(m)–2 is added to an entity classification election made (c) Relevant foreign asset—(1) In read as follows: under § 301.7701–3 that is filed on or general. Except as provided in after July 29, 2014, and that is effective § 1.901(m)–2 Covered asset acquisitions paragraph (d) of this section, an RFA on or before July 21, 2014. Paragraphs and relevant foreign assets. means, with respect to a foreign income (a)(8), (12), (13), (15), (16), (18), (19), (a) In general. Paragraph (b) of this tax and a CAA, any asset (including (23) through (26) through (33), (39), (40), section sets forth the transactions that goodwill, going concern value, or other (43) through (45), (47), (50), and (52) are covered asset acquisitions (or intangible) subject to the CAA that is through (54) of this section also apply CAAs). Paragraph (c) of this section relevant in determining foreign income to CAAs occurring on or after January 1, provides rules for identifying assets that for purposes of the foreign income tax. 2011, and before July 21, 2014, other are relevant foreign assets (or RFAs) (2) RFA status with respect to a than CAAs occurring before July 21, with respect to a CAA. Paragraph (d) of foreign income tax. An asset is relevant in determining foreign income if 2014, resulting from an entity this section provides special rules for income, deduction, gain, or loss classification election made under identifying CAAs and RFAs with attributable to the asset is taken into § 301.7701–3 that is filed on or after July respect to transactions to which account in determining foreign income 29, 2014, and that is effective on or paragraphs (b) and (c) of this section do immediately after the CAA, or would be before July 21, 2014, but only if the not apply. Paragraph (e) of this section taken into account in determining basis difference (within the meaning of provides examples illustrating the rules foreign income immediately after the section 901(m)(3)(C)(i)) in one or more of this section, and paragraph (f) of this CAA if the asset were to give rise to RFAs with respect to the CAA had not section provides applicability dates. been fully taken into account under income, deduction, gain, or loss at such (b) Covered asset acquisitions. Except time. section 901(m)(3)(B) either as of July 21, as provided in paragraph (d) of this 2014, or, in the case of an entity (3) Subsequent RFA status with section, the transactions set forth in this respect to another foreign income tax. classification election made under paragraph (b) are CAAs. § 301.7701–3 that is filed on or after July After a CAA, an asset will become an (1) A qualified stock purchase (as 29, 2014, and that is effective on or RFA with respect to another foreign defined in section 338(d)(3)) to which before July 21, 2014, before the income tax if, pursuant to a plan or section 338(a) applies (section 338 transactions that are deemed to occur series of related transactions that have a CAA); under § 301.7701–3(g) as a result of the principal purpose of avoiding the change in classification. (2) Any transaction that is treated as application of section 901(m), an asset (3) Taxpayers may, however, choose an acquisition of assets for U.S. income that was not relevant in determining to apply provisions in this section tax purposes and treated as an foreign income for purposes of that before the date such provisions are acquisition of stock of a corporation (or foreign income tax immediately after the applicable pursuant to paragraph (b)(1) disregarded) for foreign income tax CAA becomes relevant in determining or (2) of this section, provided that they purposes; such foreign income. A principal (along with any persons that are related (3) Any acquisition of an interest in a purpose of avoiding section 901(m) will (within the meaning of section 267(b) or partnership that has an election in effect be deemed to exist if income, deduction, 707(b)) to the taxpayer)— under section 754 (section 743(b) CAA); gain, or loss attributable to the asset is (i) Consistently apply this section, (4) Any transaction (or series of taken into account in determining such § 1.704–1(b)(4)(viii)(c)(4)(v) through transactions occurring pursuant to a foreign income within the one-year (vii), and §§ 1.901(m)–3 through plan) to the extent it is treated as an period following the CAA, or would be 1.901(m)–8 (excluding § 1.901(m)–4(e)) acquisition of assets for purposes of U.S. taken into account in determining such to all CAAs occurring on or after income tax and as the acquisition of an foreign income during such time if the January 1, 2011, and consistently apply interest in a fiscally transparent entity asset were to give rise to income, § 1.901(m)–2 (excluding § 1.901(m)– for purposes of a foreign income tax; deduction, gain, or loss within the one- 2(d)) to all CAAs occurring on or after (5) Any transaction (or series of year period. December 7, 2016, on any original or transactions occurring pursuant to a (d) Identifying covered asset amended tax return for each taxable plan) to the extent it is treated as a acquisitions and relevant foreign assets year for which the application of the partnership distribution of one or more to which paragraphs (b) and (c) of this provisions listed in this paragraph assets the U.S. basis of which is section do not apply. For transactions (b)(3)(i) affects the tax liability and for determined by section 732(b) or 732(d) occurring on or after January 1, 2011, which the statute of limitations does not or to the extent it causes the U.S. basis and before July 21, 2014, other than preclude assessment or the filing of a of the partnership’s remaining assets to transactions occurring before July 21, claim for refund, as applicable; be adjusted under section 734(b), 2014, resulting from an entity (ii) File all tax returns described in provided the transaction results in an classification election made under paragraph (b)(3)(i) of this section for any increase in the U.S. basis of one or more § 301.7701–3 of this chapter that is filed taxable year ending on or before March of the assets distributed by the on or after July 29, 2014, and that is 23, 2020, no later than March 23, 2021; partnership or retained by the effective on or before July 21, 2014, the and partnership without a corresponding transactions set forth under section

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901(m)(2) are CAAs and the assets that of USSub is taken into account in entity classification election made are relevant foreign assets with respect determining foreign income for purposes of under § 301.7701–3 of this chapter that to the CAA under section 901(m)(4) are a foreign income tax nor would such items is filed on or after July 29, 2014, and RFAs. be taken into account in determining foreign that is effective on or before July 21, income for purposes of a foreign income tax (e) Examples. The following examples immediately after the acquisition if such 2014. illustrate the rules of this section: assets were to give rise to income, deduction, (3) Taxpayers may, however, choose (1) Example 1: CAA involving an gain, or loss immediately after the to apply provisions in this section acquisition of a partnership interest for acquisition. before the date such provisions are foreign income tax purposes—(i) Facts. (A) (B) On December 1 of Year 1, USSub applicable pursuant to paragraph (f)(1) FPS is an entity organized in Country F that contributes all its assets to FSub, its wholly or (2) of this section, provided that they is treated as a partnership for both U.S. and owned subsidiary, which is a corporation for (along with any persons that are related both U.S. and Country X income tax Country F income tax purposes. FPS is (within the meaning of section 267(b) or owned equally by FC1 and FC2, each of purposes, in a transfer described in section which is a corporation organized in Country 351 (subsequent transfer). USSub recognizes 707(b)) to the taxpayer)— F and treated as a corporation for both U.S. no gain or loss for U.S. or Country X income (i) Consistently apply this section and Country F income tax purposes. FPS has tax purposes as a result of the subsequent (excluding paragraph (d) of this section) a single asset, Asset A. USP, a domestic transfer. As a result of the subsequent to all CAAs occurring on or after corporation, owns all the interests in DE, a transfer, income, deduction, gain, or loss December 7, 2016 and consistently disregarded entity. attributable to the assets of USSub that were apply § 1.704–1(b)(4)(viii)(c)(4)(v) (B) Pursuant to the same transaction, USP transferred to FSub is taken into account in through (vii), § 1.901(m)–1, and determining foreign income of FSub for acquires FC1’s interest in FPS, and DE §§ 1.901(m)–3 through 1.901(m)–8 acquires FC2’s interest in FPS. For U.S. Country X tax purposes. income tax purposes, with respect to USP, (ii) Result. (A) Under paragraph (b)(1) of (excluding § 1.901(m)–4(e)) to all CAAs the acquisition of the interests in FPS is this section, the acquisition by USP2 of the occurring on or after January 1, 2011, on treated as the acquisition of Asset A by USP. stock of USSub is a section 338 CAA. Under any original or amended tax return for See Rev. Rul. 99–6, 1999–1 C.B. 432. For paragraph (c)(1) of this section, none of the each taxable year for which the Country F tax purposes, the acquisitions of assets of USSub are RFAs immediately after application of the provisions listed in the interests of FPS by USP and DE are the CAA, because none of the income, this paragraph (f)(3)(i) affects the tax treated as acquisitions of partnership deduction, gain, or loss attributable to such liability and for which the statute of assets is taken into account for purposes of interests. limitations does not preclude (ii) Result. The transaction is a CAA under determining foreign income with respect to paragraph (b)(4) of this section because it is any foreign income tax immediately after the assessment or the filing of a claim for treated as the acquisition of Asset A for U.S. CAA (nor would such items be taken into refund, as applicable; income tax purposes and the acquisition of account for purposes of determining foreign (ii) File all tax returns described in interests in a fiscally transparent entity for income immediately after the CAA if such paragraph (f)(3)(i) of this section for any Country F tax purposes. assets were to give rise to income, deduction, taxable year ending on or before March (2) Example 2: CAA involving an asset gain, or loss at such time). 23, 2020, no later than March 23, 2021; acquisition for purposes of both U.S. income (B) Although the subsequent transfer is not and a CAA under paragraph (b) of this section, tax and a foreign income tax—(i) Facts. (A) (iii) Make appropriate adjustments to USP, a domestic corporation, wholly owns the subsequent transfer causes the assets of CFC1, a foreign corporation, and CFC1 USSub to become relevant in the hands of take into account deficiencies that wholly owns CFC2, also a foreign FSub in determining foreign income for would have resulted from the consistent corporation. CFC1 and CFC2 are organized in Country X tax purposes. Because the application under paragraph (f)(3)(i) of Country F. CFC1 owns Asset A. subsequent transfer occurred within the one- this section for taxable years that are not (B) In an exchange described in section year period following the CAA, it is open for assessment. 351, CFC1 transfers Asset A to CFC2 in presumed to have a principal purpose of exchange for CFC2 common stock and cash. avoiding section 901(m) under paragraph § 1.901(m)–2T [Removed] (c)(3) of this section. Accordingly, the assets CFC1 recognizes gain on the exchange under ■ of USSub with respect to the CAA occurring Par. 6. Section 1.901(m)–2T is section 351(b). Under section 362(a), CFC2’s removed. U.S. basis in Asset A is increased by the gain on January 1 of Year 1 become RFAs with recognized by CFC1. For Country F tax respect to Country X tax as a result of the ■ Par. 7. Section 1.901(m)–3 is added to purposes, gain or loss is not recognized on subsequent transfer. Thus, a basis difference read as follows: the transfer of Asset A to CFC2, and therefore with respect to Country X tax must be there is no increase in the foreign basis in computed for the RFAs and taken into § 1.901(m)–3 Disqualified tax amount and Asset A. account under section 901(m). aggregate basis difference carryover. (ii) Result. The transaction is a CAA under (f) Applicability dates. (1) Except as (a) In general. If a section 901(m) paragraph (b)(6) of this section because it is provided in paragraph (f)(2) of this payor has an aggregate basis difference, treated as an acquisition of Asset A by CFC2 section, this section applies to CAAs with respect to a foreign income tax and for both U.S. and Country F income tax a foreign payor, for a U.S. taxable year, purposes, and it results in an increase in the occurring on or after March 23, 2020. U.S. basis of Asset A without a (2) Paragraphs (a), (b)(1) through (3), the section 901(m) payor must corresponding increase in the foreign basis of and (c)(1) of this section apply to determine the portion of a foreign Asset A. transactions occurring on or after July income tax amount that is disqualified (3) Example 3: RFA status determined 21, 2014, and to transactions occurring under section 901(m) (disqualified tax immediately after CAA; application of before that date resulting from an entity amount). Paragraph (b) of this section principal purpose rule—(i) Facts. (A) USP1 classification election made under provides rules for determining the and USP2 are unrelated domestic § 301.7701–3 of this chapter that is filed disqualified tax amount. Paragraph (c) corporations. USP1 wholly owns USSub, also on or after July 29, 2014, and that is of this section provides rules for a domestic corporation. On January 1 of Year effective on or before July 21, 2014. determining what portion, if any, of 1, USP2 acquires all of the stock of USSub from USP1 in a qualified stock purchase (as Paragraph (d) of this section applies to aggregate basis difference will be carried defined in section 338(d)(3)) to which section transactions occurring on or after forward to the next U.S. taxable year 338(a) applies. Immediately after the January 1, 2011, and before July 21, (aggregate basis difference carryover). acquisition, none of the income, deduction, 2014, other than transactions occurring Paragraph (d) of this section provides gain, or loss attributable to any of the assets before July 21, 2014, resulting from an applicability dates.

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(b) Disqualified tax amount—(1) In relates to the foreign income tax amount (A) The section 901(m) payor’s general. A section 901(m) payor’s allocated to that section 901(m) payor, aggregate basis difference for the U.S. disqualified tax amount is not taken into determined with respect to each taxable year is a negative amount; account in determining the credit separate category. (B) Foreign income is less than or allowed under section 901(a). If the (C) Rules for allocations. This equal to zero for the foreign taxable year section 901(m) payor is an applicable paragraph (b)(2)(iii)(C) provides of the foreign payor; or foreign corporation, the disqualified tax allocation rules that apply to determine (C) The foreign income tax amount amount is not taken into account for allocable foreign income in certain that is paid or accrued by, or considered purposes of section 902 (for tax years of cases. paid or accrued by, the section 901(m) foreign corporations beginning before (1) If the foreign payor is involved in payor for the U.S. taxable year is zero. January 1, 2018) or 960. Sections 78 and a mid-year transaction and the foreign (3) Examples. The following examples 275 do not apply to the disqualified tax income tax amount is allocated under illustrate the rules of paragraph (b)(2) of amount. The disqualified tax amount is § 1.336–2(g)(3)(ii), § 1.338–9(d), or this section. For purposes of all the allowed as a deduction to the extent § 1.901–2(f)(4), then, to the extent any examples, unless otherwise specified: otherwise deductible. See sections 164, portion of the foreign income tax USP is a domestic corporation. CFC1, 212, and 964 and the regulations under amount is allocated to, and considered CFC2, DE1, and DE2 are organized in those sections. paid or accrued by, a section 901(m) Country F and are treated as (2) Determination of disqualified tax payor, the allocable foreign income of corporations for Country F tax purposes. amount—(i) In general. Except as the section 901(m) payor is determined CFC1 and CFC2 are applicable foreign provided in paragraph (b)(2)(iv) of this in accordance with the principles of corporations. DE1 and DE2 are section, the disqualified tax amount is § 1.1502–76(b). To the extent the foreign disregarded entities. USP, CFC1, and equal to the lesser of the foreign income income tax amount is allocated to an CFC2 each have a calendar year for both tax amount that is paid or accrued by, entity that is a partnership for U.S. U.S. and Country F income tax or considered paid or accrued by, the income tax purposes, a portion of the purposes, and DE1 and DE2 each have section 901(m) payor for the U.S. foreign income is first allocated to the a calendar year for Country F tax taxable year or the tentative disqualified partnership in accordance with the purposes. Country F and Country G tax amount. All calculations are principles of § 1.1502–76(b), which is each impose a single tax that is a foreign determined with respect to each then allocated under the rules of income tax. CFC1, CFC2, DE1, and DE2 separate category. paragraph (b)(2)(iii)(C)(2) of this section each have a functional currency of the (ii) Tentative disqualified tax amount. to determine the allocable foreign u with respect to all activities. At all The tentative disqualified tax amount is income of a section 901(m) payor that relevant times, 1u equals $1. All equal to the amount determined under owns an interest in the partnership amounts are stated in millions. The paragraph (b)(2)(ii)(A) of this section directly or indirectly through one or examples assume that the applicable reduced (but not below zero) by the more other partnerships for U.S. income cost recovery method for property amount described in paragraph tax purposes. results in basis being recovered ratably (b)(2)(ii)(B) of this section. (2) If the foreign income tax amount over the life of the property beginning (A) The product of— on the first day of the U.S. taxable year (1) The sum of the foreign income tax is considered paid or accrued by a section 901(m) payor for a U.S. taxable in which the property is acquired or amount and the FCCTs that are paid or placed into service; there is a single accrued by, or considered paid or year under § 1.702–1(a)(6), the determination of the allocable foreign separate category with respect to a accrued by, the section 901(m) payor, foreign income and foreign income tax and income must be consistent with the allocation of the foreign income tax amount; and a section 901(m) payor (2) A fraction, the numerator of which properly substantiates its allocable is the aggregate basis difference, but not amount that relates to the foreign income. See § 1.704–1(b)(4)(viii). foreign income to the satisfaction of the in excess of the allocable foreign Secretary. income, and the denominator of which (3) If the foreign income tax amount is the allocable foreign income. that is allocated to, and considered paid (i) Example 1: Determining aggregate basis (B) The amount of the FCCT that is a or accrued by, a section 901(m) payor difference; multiple foreign payors—(A) Facts. CFC1 wholly owns CFC2 and DE1. disqualified tax amount of the section for a U.S. taxable year is determined under § 1.901–2(f)(3)(i), the allocable DE1 wholly owns DE2. Assume that the tax 901(m) payor with respect to another laws of Country F do not allow combined foreign income tax. foreign income is determined in income reporting or the filing of consolidated (iii) Allocable foreign income—(A) No accordance with § 1.901–2(f)(3)(iii). income tax returns. Accordingly, CFC1, allocation required. Except as provided (D) Failure to substantiate allocable CFC2, DE1, and DE2 file separate tax returns in paragraph (b)(2)(iii)(D) of this section, foreign income. If, pursuant to section for Country F tax purposes. USP acquires all if the entire foreign income tax amount 901(m)(3)(A), a section 901(m) payor of the stock of CFC1 in a qualified stock is paid or accrued by, or considered fails to substantiate its allocable foreign purchase (as defined in section 338(d)(3)) to income to the satisfaction of the which section 338(a) applies for both CFC1 paid or accrued by, a single section and CFC2. 901(m) payor, then the allocable foreign Secretary, then allocable foreign income (B) Result. (1) The acquisition of CFC1 income is equal to the entire foreign will equal the amount determined by gives rise to four separate CAAs under income, determined with respect to dividing the sum of the foreign income § 1.901(m)–2(b). The acquisition of the stock each separate category. tax amount and the FCCTs that are paid of CFC1 and the deemed purchase of the (B) Allocation required. Except as or accrued by, or considered paid or stock of CFC2 under section 338(h)(3)(B) are provided in paragraph (b)(2)(iii)(D) of accrued by, the section 901(m) payor, by each a section 338 CAA under § 1.901(m)– this section, if the foreign income tax the highest marginal tax rate applicable 2(b)(1). Furthermore, because the deemed amount is allocated to, and considered to income of the foreign payor under purchase of the assets of DE1 and DE2 for U.S. income tax purposes is disregarded for paid or accrued by, more than one foreign tax law. Country F tax purposes, each acquisition is person, a section 901(m) payor’s (iv) Special rule. A section 901(m) a CAA under § 1.901(m)–2(b)(2). Because allocable foreign income is equal to the payor’s disqualified tax amount is zero these four CAAs occur pursuant to a plan, portion of the foreign income that for a U.S. taxable year if: under § 1.901(m)–1(a)(3) they are part of an

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aggregated CAA transaction. Under under § 1.901(m)–1(a)(1), CFC2 has a single (b)(3)(i)(B)(3) (paragraph (B)(3) of this § 1.901(m)–1(a)(37), CFC1 is the RFA owner computation with respect to Country F tax, Example 1). (U.S.) with respect to its assets and those of because there is a single foreign payor (CFC2) (ii) Example 2: Computation of disqualified DE1 and DE2. CFC2 is the RFA owner (U.S.) for Country F tax purposes whose foreign tax amount—(A) Facts. On December 31 of with respect to its assets. Under § 1.901(m)– income tax amount, if any, is considered paid Year 0, USP acquires all of the stock of CFC1 1(a)(28), CFC1, CFC2, DE1, and DE2 are each or accrued by CFC2 as the section 901(m) a foreign payor for Country F tax purposes. payor. Furthermore, for each U.S. taxable in a qualified stock purchase (as defined in Under § 1.901(m)–1(a)(41), CFC1 is the year, CFC2 will compute a disqualified tax section 338(d)(3)) to which section 338(a) section 901(m) payor with respect to foreign amount and aggregate basis difference applies (Acquisition). CFC1 owns four assets income tax amounts for which CFC1, DE1, carryover (if any) under paragraph (b)(2) of (Asset A, Asset B, Asset C, and Asset D, and and DE2 are the foreign payors (see § 1.901– this section. collectively, Assets) and conducts activities 2(f)(1) and (f)(4)(ii)). CFC2 is the section (C) Alternative facts. Assume the same in Country F and in a Country G branch. The 901(m) payor with respect to foreign income facts as in paragraph (b)(3)(i)(A) of this activities conducted by CFC1 in Country G tax amounts for which CFC2 is the foreign section (paragraph (A) of this Example 1), are not subject to tax in Country F. The tax payor (see § 1.901–2(f)(1)). except that foreign income for Country F tax rate is 25% in Country F and 30% in Country (2) In determining aggregate basis purposes is based on combined income difference under § 1.901(m)–1(a)(1) for a U.S. (within the meaning of § 1.901–2(f)(3)(ii)) of G. For Country F tax purposes, CFC1’s taxable year of CFC1, CFC1 has three CFC1, CFC2, DE1, and DE2. For purposes of foreign income and foreign income tax computations with respect to Country F tax, determining an aggregate basis difference for amount for each foreign taxable year 1 because there are three foreign payors for a U.S. taxable year of CFC1 under through 15 is 100u and $25 (25u translated Country F tax purposes whose foreign § 1.901(m)–1(a)(1), CFC1, DE1, and DE2 are at the exchange rate of $1 = 1u), respectively. income tax amount, if any, is considered paid treated as a single foreign payor because all For Country G tax purposes, CFC1’s foreign or accrued by CFC1 as the section 901(m) of the items of income, deduction, gain, or income and foreign income tax amount for payor. Furthermore, for each U.S. taxable loss with respect to CFC1, DE1, and DE2 are each foreign taxable year 1 through 5 is 400u year, CFC1 will compute a separate included in the earnings and profits of CFC1 and $120 (120u translated at the exchange disqualified tax amount and aggregate basis for U.S. income tax purposes. For each U.S. difference carryover (if any) under paragraph taxable year, CFC1 will therefore compute a rate of $1 = 1u), respectively. No dispositions (b)(2) of this section, with respect to each single aggregate basis difference, disqualified occur for any of the Assets during the foreign payor. tax amount, and aggregate basis difference applicable cost recovery period. Additional (3) In determining aggregate basis carryover. The result for CFC2 under the facts relevant to each of the Assets are difference for a U.S. taxable year of CFC2 alternative facts is the same as in paragraph summarized below.

Applicable Relevant foreign Basis cost recovery Assets income tax difference period Cost recovery amount (years)

Asset A ...... Country F tax ...... 150u 15 10u (150u/15). Asset B ...... Country F tax ...... 50u 5 10u (50u/5). Asset C ...... Country G tax ...... 300u 5 60u (300u/5). Asset D ...... Country G tax ...... (100u) 5 negative 20u (negative 100/5).

(B) Result. (1) Under § 1.901(m)–2(b)(1), disposition amounts. Because there are no year is $5, the lesser of two amounts: the the acquisition of the stock of CFC1 is a dispositions, the only allocated basis tentative disqualified tax amount, in this section 338 CAA. Under § 1.901(m)–2(c)(1), differences taken into account in determining case, $5 ($25 foreign income tax amount × Assets A and B are RFAs with respect to an aggregate basis difference are cost (20u aggregate basis difference/100u Country F tax, because they are relevant in recovery amounts. Under § 1.901(m)–5(b), allocable foreign income)), or the foreign determining foreign income of CFC1 for any cost recovery amounts are attributed to income tax amount paid or accrued by CFC1, Country F tax purposes and were owned by CFC1, because CFC1 is the section 901(m) in this case, $25. After U.S. taxable year 5, CFC1 when the Acquisition occurred. Assets payor and RFA owner (U.S.) with respect to Asset B has no unallocated basis difference C and D are RFAs with respect to Country G all of the Assets. For each U.S. taxable year, with respect to Country F tax. Accordingly, tax, because they are relevant in determining CFC1 will compute a separate disqualified in U.S. taxable years 6 through 15, CFC1 has foreign income of CFC1 for Country G tax tax amount and aggregate basis difference an aggregate basis difference of 10u each purposes and were owned by CFC1 when the carryover (if any) with respect to Country F year. Accordingly, for U.S. taxable years 6 Acquisition occurred. Under § 1.901(m)– tax and Country G tax under paragraph (b)(2) through 15, the disqualified tax amount each 1(a)(37), CFC1 is the RFA owner (U.S.) with of this section. For purposes of both year is $2.50, the lesser of two amounts: the respect to all of the RFAs. Under § 1.901(m)– disqualified tax amount computations, tentative disqualified tax amount, in this 1(a)(41) and (28), CFC1 is the section 901(m) because CFC1 is the section 901(m) payor case, $2.50 ($25 foreign income tax amount payor and the foreign payor for Country F and foreign payor, the foreign income tax × (10u aggregate basis difference/100u and Country G tax purposes. amount paid or accrued by CFC1 with allocable foreign income)), or the foreign (2) In determining aggregate basis respect to Country F tax and Country G tax, income tax amount paid or accrued by CFC1, difference for a U.S. taxable year of CFC1, respectively, will be the entire foreign in this case, $25. After U.S. taxable year 15, CFC1 has two computations, one with income tax amount and CFC1’s allocable Asset A has no unallocated basis difference respect to Country F tax and one with respect foreign income will be the entire foreign with respect to Country F tax and, therefore, to Country G tax. Under § 1.901(m)–1(a)(1), income. CFC1 has no disqualified tax amount with the aggregate basis difference for a U.S. (3) With respect to Country F tax, in U.S. respect to Country F Tax. taxable year with respect to Country F tax is taxable years 1 through 5, CFC1 has an (4) With respect to Country G tax, in U.S. equal to the sum of the allocated basis aggregate basis difference of 20u each year taxable years 1 through 5, CFC1 has an differences and allocated basis difference (10u cost recovery amount with respect to aggregate basis difference of 40u each year adjustments with respect to Assets A and B Asset A plus 10u cost recovery amount with (60u cost recovery amount with respect to for the U.S. taxable year. Under § 1.901(m)– respect to Asset B). For U.S. taxable years 1 Asset C + (20u) cost recovery amount with 1(a)(5), allocated basis differences are the through 5, under paragraph (b)(2) of this respect to Asset D). For U.S. taxable years 1 sum of cost recovery amounts and section, the disqualified tax amount each through 5, under paragraph (b)(2) of this

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section, the disqualified tax amount each the aggregate basis difference with respect to (A) If a section 901(m) payor’s year is $12, the lesser of two amounts: the Country F tax and with respect to Country G aggregate basis difference for the U.S. tentative disqualified tax amount, in this tax and will use those amounts to separately × taxable year exceeds its allocable foreign case, $12 ($120 foreign income tax amount compute a disqualified tax amount and income, the excess gives rise to an (40u aggregate basis difference/400u aggregate basis difference carryover (if any) allocable foreign income)), or the foreign with respect to each foreign income tax. aggregate basis difference carryover. income tax amount paid or accrued by CFC1, Because DE1 is a disregarded entity owned (B) If the tentative disqualified tax in this case, $120. After U.S. taxable year 5, by USP during the entire U.S. taxable year 3, amount exceeds the disqualified tax Asset C and Asset D have no unallocated the foreign income tax amount paid or amount, the excess tentative basis difference with respect to Country G accrued by DE1 is not subject to allocation. disqualified tax amount is converted tax. Accordingly, in U.S. taxable years 6 Accordingly, for purposes of each of the into aggregate basis difference carryover through 15, CFC1 has no disqualified tax disqualified tax amount computations, the by multiplying such excess by a amount with respect to Country G Tax. foreign income tax amount paid or accrued fraction, the numerator of which is the (iii) Example 3: FCCT—(A) Facts. In U.S. by USP with respect to Country F tax and allocable foreign income, and the taxable year 1, USP acquires all of the Country G tax, respectively, is the entire interests in DE1 in a transaction foreign income tax amount paid or accrued denominator of which is the sum of the (Transaction) that is treated as a stock by DE1, and, under paragraph (b)(2)(iii)(A) of foreign income tax amount and the acquisition for Country F tax purposes. this section, USP’s allocable foreign income FCCTs that are paid or accrued by, or Immediately after the Transaction, DE1 owns will be equal to DE1’s entire foreign income. considered paid or accrued by, the assets (Pre-Transaction Assets), all of which (3) As stated in paragraph (b)(3)(iii)(A) of section 901(m) payor. are used in a Country G branch and give rise this section (paragraph (A) of this Example (3) Example. The following example to income that is taken into account for 3), for U.S. taxable year 3 USP has 100u illustrates the rules of paragraph (c) of Country F tax and Country G tax purposes. aggregate basis difference with respect to this section. After the Transaction, DE1 acquires Country F tax and 100u aggregate basis additional assets (Post-Transaction Assets), difference with respect to Country G tax. (i) Facts. (A) On July 1 of Year 1, CFC1 which are not used by the Country G branch. With respect to Country G tax, in U.S. taxable acquires all of the interests of DE1 in a Both Country F and Country G have a tax rate year 3, under paragraph (b)(2) of this section, transaction (Transaction) that is treated as a of 30%. Country F imposes worldwide tax on the disqualified tax amount is $30, the lesser stock acquisition for Country F tax purposes. its residents and provides a foreign tax credit of the two amounts: the tentative disqualified CFC1 and DE1 are organized in Country F for taxes paid to other jurisdictions. In tax amount, in this case, $30 ($30 foreign and are treated as corporations for Country F foreign taxable year 3, 100u of income is income tax amount × (100u aggregate basis tax purposes. CFC1 is an applicable foreign attributable to DE1’s Post-Transaction Assets difference/100u allocable foreign income)), or corporation, and DE1 is a disregarded entity. and 100u of income is attributable to DE1’s the foreign income tax amount considered CFC1 has a calendar year for U.S. income tax Pre-Transaction Assets. For Country G tax paid or accrued by USP, in this case, $30. purposes, and DE1 has a June 30 year-end for purposes, the foreign income is 100u and (4) With respect to Country F tax, in U.S. Country F tax purposes. Country F imposes × foreign income tax amount is 30u (30% taxable year 3, under paragraph (b)(2) of this a single tax that is a foreign income tax. CFC1 100u). For Country F tax purposes, the section, the disqualified tax amount is $0, the and DE1 each have a functional currency of foreign income is 200u and the pre-foreign lesser of two amounts: the tentative the u with respect to all activities. × tax credit tax is 60u (30% 200u). The 60u disqualified tax amount, in this case $0 (($30 Immediately after the Transaction, DE1 owns of Country F pre-foreign tax credit tax is foreign income tax amount + $30 Country G one asset, Asset A, that gives rise to income reduced by the 30u foreign income tax FCCT) × (100u aggregate basis difference/ that is taken into account for Country F tax amount imposed for Country G tax purposes. 200u foreign income) = $30 reduced by $30 purposes. For the first U.S. taxable year (U.S. Thus, the foreign income tax amount for Country G FCCT that is a disqualified tax taxable year 1) there is a cost recovery Country F tax purposes is $30 (30u translated amount of USP), or the foreign income tax amount with respect to Asset A of 9u, and into dollars at the exchange rate of $1 = 1u). amount considered paid or accrued by USP, for each subsequent U.S. taxable year until Assume that for U.S. taxable year 3 USP has in this case, $30. the U.S. basis is fully recovered, there is a 100u aggregate basis difference with respect cost recovery amount with respect to Asset to Country F tax and 100u aggregate basis (c) Aggregate basis difference A of 18u. There is no disposition of Asset A. difference with respect to Country G tax. USP carryover—(1) In general. If a section (ii) Result. (A) Under § 1.901(m)–2(b)(2), does not dispose of DE1 or any assets of DE1 901(m) payor has an aggregate basis the Transaction is a CAA. Under § 1.901(m)– in U.S. taxable year 3. difference carryover for a U.S. taxable 2(c)(1), Asset A is an RFA with respect to (B) Result. (1) Under § 1.901(m)–2(b)(2), year, as determined under this Country F tax because it is relevant in the Transaction is a CAA. Under § 1.901(m)– paragraph (c), the aggregate basis determining the foreign income of DE1 for 2(c)(1), the Pre-Transaction Assets are RFAs Country F tax purposes and was owned by with respect to both Country F tax and difference carryover is taken into DE1 when the Transaction occurred. Under Country G tax, because they are relevant in account in computing the section § 1.901(m)–1(a)(37), CFC1 is the RFA owner determining the foreign income of DE1 for 901(m) payor’s aggregate basis (U.S.) with respect to Asset A. Under Country F tax and Country G tax purposes difference for the next U.S. taxable year. § 1.901(m)–1(a)(28), DE1 is a foreign payor and were owned by DE1 when the For successor rules that apply to an for Country F tax purposes. Under Transaction occurred. Under § 1.901(m)– aggregate basis difference carryover, see § 1.901(m)–1(a)(41), CFC1 is the section 1(a)(37), USP is the RFA owner (U.S.) with § 1.901(m)–6(c). 901(m) payor with respect to foreign income respect to the RFAs. Under § 1.901(m)– (2) Amount of aggregate basis tax amounts for which DE1 is the foreign 1(a)(28), DE1 is a foreign payor for Country payor (see § 1.901–2(f)(4)(ii)). F tax and Country G tax purposes. Under difference carryover. (i) If a section (B) Under § 1.901(m)–1(a)(1), in § 1.901(m)–1(a)(41), USP is the section 901(m) payor’s disqualified tax amount determining the aggregate basis difference for 901(m) payor with respect to foreign income is zero, all of the section 901(m) payor’s U.S. taxable year 1, CFC1 has one tax amounts for which DE1 is the foreign aggregate basis difference (positive or computation with respect to Country F tax. payor (see § 1.901–2(f)(4)(ii)). Because the negative) for the U.S. taxable year gives Under § 1.901(m)–1(a)(1), aggregate basis Country G foreign income tax amount is rise to an aggregate basis difference difference with respect to Country F tax is claimed as a credit for purposes of carryover to the next U.S. taxable year. equal to the sum of allocated basis determining the Country F foreign income differences and allocated basis difference tax amount, the Country G foreign income tax (ii) If a section 901(m) payor’s adjustments with respect to all RFAs, which, amount is an FCCT under § 1.901(m)– disqualified tax amount is not zero, then in this case, is only Asset A. Under 1(a)(22). aggregate basis difference carryover can § 1.901(m)–1(a)(5), allocated basis differences (2) Under § 1.901(m)–1(a)(1), for each U.S. arise in either or both of the following are the sum of cost recovery amounts and taxable year, USP will separately compute two situations: disposition amounts. Because there is no

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disposition of Asset A, the only allocated this paragraph (d)(1) affects the tax the CAA, less the foreign basis in the basis difference taken into account in liability and for which the statute of RFA immediately after the CAA. For determining an aggregate basis difference are limitations does not preclude this purpose, the foreign basis cost recovery amounts with respect to Asset assessment or the filing of a claim for immediately after the CAA takes into A. Under § 1.901(m)–5(b), any cost recovery refund, as applicable account any adjustment to that foreign amounts are assigned to a U.S taxable year of CFC1, because CFC1 is the section 901(m) (2) File all tax returns described in basis resulting from the CAA for payor and RFA owner (U.S.) with respect to paragraph (d)(1) of this section for any purposes of the foreign income tax. Asset A. Under paragraph (b)(2) of this taxable year ending on or before March (2) Except as otherwise provided in section, for each U.S. taxable year, CFC1 will 23, 2020, no later than March 23, 2021; this paragraph (c), a foreign basis compute a disqualified tax amount and and election is made by the RFA owner aggregate basis difference carryover with (3) Make appropriate adjustments to (U.S.). If, however, the RFA owner respect to the aggregate basis difference. take into account deficiencies that (U.S.) is a partnership, each partner in Because DE1 is a disregarded entity owned would have resulted from the consistent the partnership (and not the by CFC1, the foreign income tax amount paid application under paragraph (d)(1) of partnership) may independently make a or accrued by DE1 is not subject to allocation. this section for taxable years that are not foreign basis election. In the case of one Accordingly, for purposes of the disqualified open for assessment. tax amount computation, the foreign income or more tiered partnerships, the foreign basis election is made at the level at tax amount paid or accrued by CFC1 with § 1.901(m)–3T [Removed] respect to Country F tax is the entire foreign which a partner is not also a ■ income tax amount paid or accrued by DE1, Par. 8. Section 1.901(m)–3T is partnership. and under paragraph (b)(2)(iii)(A) of this removed. (3) The foreign basis election may be section, CFC1’s allocable foreign income will ■ Par. 9. Section 1.901(m)–4 is added to made separately for each CAA, and with be equal to DE1’s entire foreign income. read as follows: respect to each foreign income tax and (C) In U.S. taxable year 1, CFC1 has an each foreign payor. For purposes of aggregate basis difference of 9u (the 9u cost § 1.901(m)–4 Determination of basis making the foreign basis election, all recovery amount with respect to Asset A for difference. CAAs that are part of an aggregated CAA U.S. taxable year 1). However, because the (a) In general. This section provides transaction are treated as a single CAA. foreign taxable year of DE1, the foreign payor, rules for determining for each RFA the will not end between July 1 and December Furthermore, for purposes of making the basis difference that arises as a result of foreign basis election, if foreign law 31, there will not be a foreign income tax a CAA. A basis difference is computed amount for U.S. taxable year 1. Because the imposes tax on the combined income foreign income tax amount considered paid separately with respect to each foreign (within the meaning of § 1.901– or accrued by CFC1 for U.S. taxable year 1 income tax for which an asset subject to 2(f)(3)(ii)) of two or more foreign payors, is zero, under paragraph (b)(2)(iv) of this a CAA is an RFA. Paragraph (b) of this all foreign payors whose items of section, the disqualified tax amount for U.S. section provides the general rule for income, deduction, gain, or loss for U.S. taxable year 1 of CFC1 is also zero. determining basis difference that income tax purposes are included in the Furthermore, because the disqualified tax references only U.S. basis in the RFA. U.S. taxable income or earnings and amount is zero, under paragraph (c)(2)(i) of Paragraph (c) of this section provides for profits of a single section 901(m) payor this section, CFC1 has an aggregate basis an election to determine basis difference are treated as a single foreign payor. difference carryover equal to 9u, the entire by reference to foreign basis and sets amount of the aggregate basis difference for (4) A foreign basis election is made by U.S. taxable year 1. Under paragraph (c)(1) of forth the procedures for making the using foreign basis to determine basis this section, the 9u aggregate basis difference election. Paragraph (d) of this section difference for purposes of computing a carryover is taken into account in computing provides special rules for determining disqualified tax amount and an CFC1’s aggregate basis difference for U.S. basis difference in the case of a section aggregate basis difference carryover for taxable year 2. Accordingly, in U.S. taxable 743(b) CAA. Paragraph (e) of this the U.S. taxable year, as provided under year 2, CFC1 has an aggregate basis difference section provides a special rule for § 1.901(m)–3. A separate statement or of 27u (18u cost recovery amount for U.S. determining basis difference in an RFA form evidencing the foreign basis taxable year 2, plus 9u aggregate basis with respect to a CAA to which election need not be filed. Except as difference carryover from U.S. taxable year paragraphs (b) through (d) of this provided in paragraphs (c)(5) and (6) of 1). section do not apply. Paragraph (f) of this section, in order for a foreign basis (d) Applicability dates. This section this section provides examples election to be effective, the election applies to CAAs occurring on or after illustrating the rules of this section, and must be reflected on a timely filed March 23, 2020. Taxpayers may, paragraph (g) of this section provides original federal income tax return however, choose to apply this section applicability dates. (taking into account extensions) for the before the date this section is applicable (b) General rule. Except as otherwise first U.S. taxable year that the foreign provided that they (along with any provided in paragraphs (c), (d), and (e) basis election is relevant to the persons that are related (within the of this section, basis difference is the computation of any amounts reported meaning of section 267(b) or 707(b)) to U.S. basis in the RFA immediately after on such return, including on any the taxpayer)— the CAA, less the U.S. basis in the RFA required schedules. (1) Consistently apply this section, immediately before the CAA. Basis (5) If the RFA owner (U.S.) is a § 1.704–1(b)(4)(viii)(c)(4)(v) through difference is an attribute that attaches to partnership, a foreign basis election (vii), § 1.901(m)–1, and §§ 1.901(m)–4 an RFA. reflected on a partner’s timely filed through 1.901(m)–8 (excluding (c) Foreign basis election. (1) An amended federal income tax return is § 1.901(m)–4(e)) to all CAAs occurring election (foreign basis election) may be also effective if all of the following on or after January 1, 2011, and made to apply section 901(m)(3)(C)(i)(II) conditions are satisfied: consistently apply § 1.901(m)–2 by reference to the foreign basis (i) The partner’s timely filed original (excluding § 1.901(m)–2(d)) to all CAAs immediately after the CAA instead of federal income tax return (taking into occurring on or after December 7, 2016, the U.S. basis immediately before the account extensions) for the first U.S. on any original or amended tax return CAA. Accordingly, if a foreign basis taxable year of the partner in which a for each taxable year for which the election is made, basis difference is the foreign basis election is relevant to the application of the provisions listed in U.S. basis in the RFA immediately after computation of any amounts reported

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on such return, including on any or, in the case of an entity classification is an entity organized in Country X and required schedules, does not reflect the election made under § 301.7701–3 of treated as a corporation for Country X tax application of section 901(m); this chapter that is filed on or after July purposes. DE2 is an entity organized in (ii) The information provided by the 29, 2014, and that is effective on or Country Y and treated as a corporation for partnership to the partner for purposes Country Y tax purposes. DE1 and DE2 are before July 21, 2014, before the disregarded entities. Country X and Country of applying section 901(m) and any transactions that are deemed to occur Y each impose a single tax that is a foreign information required to be reported by under § 301.7701–3(g) as a result of the income tax. US1 and US2, unrelated the partnership is based solely on change in classification. domestic corporations, and FP, a foreign computations that use foreign basis to (f) Examples. The following examples person unrelated to US1 and US2, acquire determine basis difference; and illustrate the rules of this section: partnership interests in USPS from existing (iii) Before the due date of the original partners of USPS pursuant to the same plan. (1) Example 1: Scope of basis choice; (ii) Result. Under § 1.901(m)–2(b)(3), the federal income tax return described in identifying separate CAAs, RFA owners acquisitions of the partnership interests in paragraph (c)(5)(i) of this section, the (U.S.), and foreign payors in an aggregated USPS by US1, US2, and FP each give rise to partner delegated the authority to the CAA transaction—(i) Facts. CFC1 wholly partnership to choose whether to owns CFC2, both of which are applicable separate section 743(b) CAAs, but under provide the partner with information to foreign corporations, organized in Country F, § 1.901(m)–1(a)(3), they are treated as an and treated as corporations for Country F tax aggregated CAA transaction because they apply section 901(m) using foreign occur as part of a plan. Under § 1.901(m)– basis, either pursuant to a written purposes. CFC1 also wholly owns DE1, and DE1 wholly owns DE2. DE1 and DE2 are 1(a)(37), USPS is the RFA owner (U.S.) with partnership agreement (within the respect to the assets of DE1 and DE2 that are meaning of § 1.704–1(b)(2)(ii)(h)) or entities organized in Country F treated as corporations for Country F tax purposes and RFAs. Under § 1.901(m)–1(a)(28), DE1 is a written notice provided by the partner as disregarded entities for U.S. income tax foreign payor for Country X tax purposes, to the partnership. purposes. Country F imposes a single tax that and DE2 is a foreign payor for Country Y tax (6) If, pursuant to paragraph (g)(3) of is a foreign income tax. All of the stock of purposes. Because the RFA owner (U.S.) is a this section, a taxpayer chooses to have CFC1 is acquired in a qualified stock partnership, paragraph (c)(2) of this section this section apply to CAAs occurring on purchase (within the meaning of section provides that US1, US2, and FP (the relevant or after January 1, 2011, a foreign basis 338(d)(3)) to which section 338(a) applies for partners in USPS) separately choose whether election will be effective if the election both CFC1 and CFC2. For Country F tax to make a foreign basis election for purposes purposes, the transaction is treated as an of determining basis difference. Furthermore, is reflected on a timely filed amended under paragraph (c)(3) of this section, the federal income tax return (or tax returns, acquisition of the stock of CFC1. (ii) Result. (A) The acquisition of CFC1 choice to make the election is made as applicable) filed no later than March gives rise to four separate CAAs described in separately by each partner with respect to 23, 2021. § 1.901(m)–2. Under § 1.901(m)–2(b)(1), the each foreign payor. Thus, in this case, each (7) The foreign basis election is acquisition of the stock of CFC1 and the partner may make separate elections for the irrevocable. Relief under § 301.9100–1 is deemed acquisition of the stock of CFC2 RFAs that are relevant in determining foreign not available for the foreign basis under section 338(h)(3)(B) are each a section income of DE1 for Country X tax purposes election. 338 CAA. Furthermore, because the deemed and the RFAs that are relevant in (d) Determination of basis difference acquisition of the assets of each of DE1 and determining foreign income of DE2 for in a section 743(b) CAA—(1) In general. DE2 for U.S. income tax purposes is Country Y tax purposes. Except as provided in paragraphs (d)(2) disregarded for Country F tax purposes, the (g) Applicability dates. (1) Except as and (e) of this section, if there is a deemed acquisitions are CAAs under provided in paragraph (g)(2) of this § 1.901(m)–2(b)(2). Because the four CAAs section 743(b) CAA, basis difference is occurred pursuant to a plan, under section, this section applies to CAAs the resulting basis adjustment under § 1.901(m)–1(a)(3), all of the CAAs are part of occurring on or after March 23, 2020. section 743(b) that is allocated to the an aggregated CAA transaction. Under (2) Paragraphs (a), (b), and (d)(1) of RFA under section 755. § 1.901(m)–1(a)(37), CFC1 is the RFA owner this section apply to CAAs occurring on (2) Foreign basis election. If a foreign (U.S.) with respect to its assets and the assets or after July 21, 2014, and to CAAs basis election is made with respect to a of DE1 and DE2 that are RFAs. CFC2 is the occurring before that date resulting from section 743(b) CAA, then, for purposes RFA owner (U.S.) with respect to its assets an entity classification election made of paragraph (d)(1) of this section, the that are RFAs. Under § 1.901(m)–1(a)(28), under § 301.7701–3 that is filed on or CFC1, CFC2, DE1, and DE2 are each a foreign section 743(b) adjustment is determined payor for Country F tax purposes. after July 29, 2014, and that is effective by reference to the foreign basis of the (B) Under paragraph (c) of this section, a on or before July 21, 2014. Paragraph (e) RFA, determined immediately after the foreign basis election may be made by the of this section applies to CAAs CAA. RFA owner (U.S.). The election is made occurring on or after January 1, 2011, (e) Determination of basis difference separately with respect to each CAA (for this and before July 21, 2014, other than in an RFA with respect to a CAA with purpose, treating all CAAs that are part of an CAAs occurring before July 21, 2014, respect to which paragraphs (b), (c), and aggregated CAA transaction as a single CAA) resulting from an entity classification (d) of this section do not apply. For and with respect to each foreign income tax election made under § 301.7701–3 of CAAs occurring on or after January 1, and foreign payor. Thus, in this case, CFC1 this chapter that is filed on or after July can make a separate foreign basis election for 2011, and before July 21, 2014, other one or more of the following three groups of 29, 2014, and that is effective on or than CAAs occurring before July 21, RFAs: RFAs that are relevant in determining before July 21, 2014. Taxpayers may, 2014, resulting from an entity foreign income of CFC1; RFAs that are however, consistently apply paragraph classification election made under relevant in determining foreign income of (d)(1) of this section to all section 743(b) § 301.7701–3 of this chapter that is filed DE1; and RFAs that are relevant in CAAs occurring on or after January 1, on or after July 29, 2014, and that is determining foreign income of DE2. 2011. For this purpose, persons that are effective on or before July 21, 2014, Furthermore, CFC2 can make a foreign basis related (within the meaning of section basis difference in an RFA with respect election for all of its RFAs that are relevant 267(b) or 707(b)) will be treated as a in determining its foreign income. to the CAA is the amount of any basis (2) Example 2: Scope of basis choice; RFA single taxpayer. difference (within the meaning of owner (U.S.) is a partnership—(i) Facts. (3) Taxpayers may, however, choose section 901(m)(3)(C)(i)) that had not USPS is a domestic partnership for which a to apply provisions in this section been taken into account under section section 754 election is in effect. USPS owns before the date such provisions are 901(m)(3)(B) either as of July 21, 2014, two assets, the stock of DE1 and DE2. DE1 applicable pursuant to paragraph (g)(1)

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or (2) of this section, provided that they (f) of this section provides special rules includes any method for recovering the (along with any persons that are related for allocating certain disposition cost of property over time for U.S. (within the meaning of section 267(b) or amounts when a foreign payor is income tax purposes (each application 707(b)) to the taxpayer)— transferred in a mid-year transaction. of a method giving rise to a U.S. basis (i) Consistently apply this section Paragraph (g) of this section provides deduction). Such methods include (excluding paragraph (e) of this section), special rules for allocating both cost depreciation, amortization, or depletion, § 1.704–1(b)(4)(viii)(c)(4)(v) through recovery amounts and disposition as well as a method that allows the cost (vii), § 1.901(m)–1, § 1.901(m)–3, and amounts in certain cases in which the (or a portion of the cost) of property to §§ 1.901(m)–5 through 1.901(m)–8 to all RFA owner (U.S.) either is a reverse be expensed in the year of acquisition CAAs occurring on or after January 1, hybrid or a fiscally transparent entity for or in the placed-in-service year, such as 2011, and consistently apply both U.S. and foreign income tax under section 179. Applicable cost § 1.901(m)–2 (excluding § 1.901(m)– purposes that is directly or indirectly recovery methods do not include any 2(d)) to all CAAs occurring on or after owned by a reverse hybrid. Paragraph provision allowing the U.S. basis to be December 7, 2016, on any original or (h) of this section provides examples recovered upon a disposition of an RFA. amended tax return for each taxable illustrating the application of this (c) Basis difference taken into account year for which the application of the section. Paragraph (i) of this section as a result of a disposition—(1) In provisions listed in this paragraph provides the applicability dates. general. Except as provided in (g)(3)(i) affects the tax liability and for (b) Basis difference taken into account paragraph (f) of this section, when the which the statute of limitations does not under applicable cost recovery RFA owner (U.S.) is a section 901(m) preclude assessment or the filing of a method—(1) In general. When the RFA payor, all of a disposition amount is claim for refund, as applicable; owner (U.S.) is a section 901(m) payor, attributed to the section 901(m) payor (ii) File all tax returns described in all of a cost recovery amount is and assigned to the U.S. taxable year of paragraph (g)(3)(i) of this section for any attributed to the section 901(m) payor the section 901(m) payor in which the taxable year ending on or before March and assigned to the U.S. taxable year of disposition occurs. If instead the RFA 23, 2020, no later than March 23, 2021; the section 901(m) payor in which the owner (U.S.) is a fiscally transparent and corresponding U.S. basis deduction is entity for U.S. income tax purposes, (iii) Make appropriate adjustments to taken into account under the applicable except as provided in paragraphs (e), (f), take into account deficiencies that cost recovery method. This is the case and (g) of this section, a disposition would have resulted from the consistent regardless of whether the deduction is amount is allocated to one or more application under paragraph (g)(3)(i) of deferred or disallowed for U.S. income section 901(m) payors under paragraph this section for taxable years that are not tax purposes. If instead the RFA owner (d) of this section. If a disposition open for assessment. (U.S.) is a fiscally transparent entity for amount arises from an RFA with respect U.S. income tax purposes, a cost to a section 743(b) CAA, in certain cases § 1.901(m)–4T [Removed] recovery amount is allocated to one or the disposition amount is allocated to a ■ Par. 10. Section 1.901(m)–4T is more section 901(m) payors under section 901(m) payor under paragraph removed. paragraph (d) of this section, except as (e) of this section. If there is a ■ Par. 11. Section 1.901(m)–5 is added provided in paragraphs (e) and (g) of disposition of an RFA in a foreign to read as follows: this section. If a cost recovery amount taxable year of a foreign payor during arises from an RFA with respect to a which there is a mid-year transaction, in § 1.901(m)–5 Basis difference taken into section 743(b) CAA, in certain cases the certain cases a disposition amount is account. cost recovery amount is allocated to a allocated under paragraph (f) of this (a) In general. This section provides section 901(m) payor under paragraph section. In certain cases in which the rules for determining the amount of (e) of this section. In certain cases in RFA owner (U.S.) either is a reverse basis difference with respect to an RFA which the RFA owner (U.S.) either is a hybrid or a fiscally transparent entity for that is taken into account in a U.S. reverse hybrid or a fiscally transparent both U.S. and foreign income tax taxable year for purposes of determining entity for both U.S. and foreign income purposes that is directly or indirectly the disqualified portion of a foreign tax purposes that is directly or owned by a reverse hybrid, a disposition income tax amount. Paragraph (b) of this indirectly owned by a reverse hybrid, a amount is allocated to one or more section provides rules for determining a cost recovery amount is allocated to one section 901(m) payors under paragraph cost recovery amount and assigning that or more section 901(m) payors under (g) of this section. amount to a U.S. taxable year of a single paragraph (g) of this section. (2) Determining a disposition section 901(m) payor when the RFA (2) Determining a cost recovery amount—(i) Disposition is fully taxable owner (U.S.) is the section 901(m) amount—(i) General rule. A cost for purposes of both U.S. income tax payor. Paragraph (c) of this section recovery amount for an RFA is and the foreign income tax. If a provides rules for determining a determined by applying the applicable disposition of an RFA is fully taxable disposition amount and assigning that cost recovery method to the basis (that is, results in all gain or loss, if any, amount to a U.S. taxable year of a single difference rather than to the U.S. basis. being recognized with respect to the section 901(m) payor when the RFA (ii) U.S. basis subject to multiple cost RFA) for purposes of both U.S. income owner (U.S.) is the section 901(m) recovery methods. If the entire U.S. tax and the foreign income tax, the payor. Paragraph (d) of this section basis is not subject to the same cost disposition amount is equal to the provides rules for allocating cost recovery method, the applicable cost unallocated basis difference with recovery amounts and disposition recovery method for determining the respect to the RFA. amounts when the RFA owner (U.S.) is cost recovery amount is the cost (ii) Disposition is not fully taxable for a fiscally transparent entity for U.S. recovery method that applies to the purposes of U.S. income tax or the income tax purposes. Paragraph (e) of portion of the U.S. basis that foreign income tax (or both). If the this section provides special rules for corresponds to the basis difference. disposition of an RFA is not fully allocating cost recovery amounts and (3) Applicable cost recovery method. taxable for purposes of both U.S. income disposition amounts with respect to For purposes of section 901(m), an tax and the foreign income tax, the certain section 743(b) CAAs. Paragraph applicable cost recovery method disposition amount is determined under

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this paragraph (c)(2)(ii). See § 1.901(m)– an interest, as well as for assigning the foreign income tax purposes and a 6 for rules regarding the continued allocated amount to a U.S. taxable year section 901(m) payor either directly application of section 901(m) if the RFA of the section 901(m) payor. For owns an interest in the RFA owner has any unallocated basis difference purposes of this paragraph (d), unless (U.S.) or directly owns an interest in after determining the disposition otherwise indicated, a reference to another fiscally transparent entity for amount under paragraph (c)(2)(ii)(A) or direct or indirect ownership in an entity U.S. and foreign income tax purposes, (B) of this section, as applicable. means for U.S. income tax purposes. For which, in turn, directly or indirectly (A) Positive basis difference. If the purposes of this paragraph (d), a person owns an interest in the RFA owner disposition of an RFA is not fully indirectly owns an interest in an entity (U.S.) for both U.S. and foreign income taxable for purposes of both U.S. income for U.S. income tax purposes if the tax purposes. In these cases, the section tax and the foreign income tax, and the person owns the interest through one or 901(m) payor is allocated the portion of RFA has a positive basis difference, the more fiscally transparent entities for a disposition amount that is equal to the disposition amount equals the lesser of: U.S. income tax purposes, and at least product of the disposition amount (1) Any foreign disposition gain plus one of the fiscally transparent entities is attributable to foreign disposition gain any U.S. disposition loss (for this not a disregarded entity. For purposes of or foreign disposition loss, as purpose, expressed as a positive this paragraph (d), a person indirectly applicable, and a fraction, the amount), or owns an interest in an entity for foreign numerator of which is the portion of the (2) Unallocated basis difference with income tax purposes if the person owns foreign disposition gain or foreign respect to the RFA. the interest through one or more fiscally disposition loss recognized by the RFA (B) Negative basis difference. If the transparent entities for foreign income owner (foreign) for foreign income tax disposition of an RFA is not fully tax purposes. If the RFA owner (U.S.) is purposes that is (or will be) included in taxable for purposes of both U.S. income a lower-tier fiscally transparent entity the foreign payor’s distributive share of tax and the foreign income tax, and the for U.S. income tax purposes in which the foreign income of the RFA owner RFA has a negative basis difference, the the section 901(m) payor indirectly (foreign), and the denominator of which disposition amount equals the greater owns an interest, the rules of this is the foreign disposition gain or foreign of: section apply in a manner consistent disposition loss. (1) Any U.S. disposition gain (for this with the application of these rules when (iii) Second allocation rule. This purpose, expressed as a negative the section 901(m) payor directly owns paragraph (d)(3)(iii) applies when amount) plus any foreign disposition an interest in the RFA owner (U.S.). loss, or (2) Allocation of a cost recovery neither a section 901(m) payor nor a (2) Unallocated basis difference with amount. A cost recovery amount is disregarded entity directly owned by a respect to the RFA. allocated to a section 901(m) payor that section 901(m) payor is the foreign (iii) Disposition of an RFA after a directly or indirectly owns an interest in payor with respect to the foreign income section 743(b) CAA. If an RFA was the RFA owner (U.S.) to the extent the of the RFA owner (foreign). Instead, a subject to a section 743(b) CAA and U.S. basis deduction that corresponds to section 901(m) payor directly or subsequently there is a disposition of the cost recovery amount is (or will be) indirectly owns an interest in the the RFA, then, for purposes of included in the section 901(m) payor’s foreign payor, which is a fiscally determining the disposition amount, distributive share of the income of the transparent entity for U.S. income tax foreign disposition gain or foreign RFA owner (U.S.) for U.S. income tax purposes (other than a disregarded disposition loss are specially defined to purposes. entity directly owned by the section mean the amount of gain or loss (3) Allocation of a disposition amount 901(m) payor), and, therefore, the recognized for purposes of the foreign attributable to foreign disposition gain section 901(m) payor is considered to income tax on the disposition of the or foreign disposition loss—(i) In pay or accrue only its allocated portion RFA that is allocable to the partnership general. Except as provided in of the foreign income tax amount of the interest that was transferred in the paragraph (f) of this section, a foreign payor. This will be the case section 743(b) CAA. In addition, U.S. disposition amount attributable to when the foreign payor is either the disposition gain or U.S. disposition loss foreign disposition gain or foreign RFA owner (U.S.), another fiscally are specially defined to mean the disposition loss (as determined under transparent entity for U.S. income tax amount of gain or loss recognized for paragraph (d)(5) of this section) is purposes (other than a disregarded U.S. income tax purposes on the allocated under paragraph (d)(3)(ii) or entity directly owned by a section disposition of the RFA that is allocable (d)(3)(iii) of this section to a section 901(m) payor) that directly or indirectly to the partnership interest that was 901(m) payor that directly or indirectly owns an interest in the RFA owner transferred in the section 743(b) CAA, owns an interest in the RFA owner (U.S.) for both U.S. and foreign income taking into account the basis adjustment (U.S.). tax purposes, or a disregarded entity under section 743(b) that was allocated (ii) First allocation rule. This directly owned by the RFA owner to the RFA under section 755. paragraph (d)(3)(ii) applies when a (U.S.). In these cases, the section 901(m) (d) General rules for allocating and section 901(m) payor, or a disregarded payor is allocated the portion of a assigning a cost recovery amount or a entity directly owned by a section disposition amount that is equal to the disposition amount when the RFA 901(m) payor, is the foreign payor product of the disposition amount owner (U.S.) is a fiscally transparent whose foreign income includes a attributable to foreign disposition gain entity—(1) In general. Except as distributive share of the foreign income or foreign disposition loss, as provided in paragraphs (e), (f), and (g) of the RFA owner (foreign) and, applicable, and a fraction, the of this section, this paragraph (d) therefore, all of the foreign income tax numerator of which is the portion of the provides rules for allocating a cost amount of the foreign payor is paid or foreign disposition gain or foreign recovery amount or a disposition accrued by, or considered paid by, the disposition loss that is included in the amount when the RFA owner (U.S.) is section 901(m) payor. Thus, this allocable foreign income of the section a fiscally transparent entity for U.S. paragraph (d)(3)(ii) applies when the 901(m) payor, and the denominator of income tax purposes in which a section RFA owner (U.S.) is a fiscally which is the foreign disposition gain or 901(m) payor directly or indirectly owns transparent entity for both U.S. and foreign disposition loss. If allocable

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foreign income is not otherwise required to foreign disposition loss to the extent (c)(1) or (d) of this section, as to be determined because there is no thereof, and the excess disposition applicable. foreign income tax amount, the amount, if any, is attributable to the U.S. (2) Allocation rule. To the extent a numerator is the portion of the foreign disposition gain, even if the absolute disposition amount is attributable to disposition gain or foreign disposition value of the excess disposition amount foreign disposition gain or foreign loss that would be included in the exceeds the U.S. disposition gain. disposition loss, a section 901(m) payor allocable foreign income of the section (6) U.S. taxable year of a section is allocated the portion of the 901(m) payor if there were a foreign 901(m) payor to which an allocated cost disposition amount equal to the product income tax amount. recovery amount or disposition amount of the disposition amount attributable to (4) Allocation of a disposition amount is assigned. A cost recovery amount or foreign disposition gain or foreign attributable to U.S. disposition gain or a disposition amount allocated to a disposition loss, as applicable, and a U.S. disposition loss. A section 901(m) section 901(m) payor under paragraph fraction, the numerator of which is the payor that directly or indirectly owns an (d) of this section is assigned to the U.S. portion of the foreign disposition gain or interest in the RFA owner (U.S.) is taxable year of the section 901(m) payor foreign disposition loss that is included allocated the portion of a disposition that includes the last day of the U.S. in the allocable foreign income of the amount that is equal to the product of taxable year of the RFA owner (U.S.) in section 901(m) payor, and the the disposition amount attributable to which, in the case of a cost recovery denominator of which is the foreign U.S. disposition gain or U.S. disposition amount, the RFA owner (U.S.) takes into disposition gain or foreign disposition loss (as determined under paragraph account the corresponding U.S. basis loss. If allocable foreign income is not (d)(5) of this section), as applicable, and deduction (without regard to whether otherwise required to be determined a fraction, the numerator of which is the the deduction is deferred or disallowed because there is no foreign income tax portion of the U.S. disposition gain or for U.S. income tax purposes), or in the amount, the numerator is the portion of U.S. disposition loss that is (or will be) case of a disposition amount, the the foreign disposition gain or foreign included in the section 901(m) payor’s disposition occurs. disposition loss that would be included in the allocable foreign income of the distributive share of income of the RFA (e) Special rules for certain section owner (U.S.) for U.S. income tax section 901(m) payor if there were a 743(b) CAAs. If a section 901(m) payor purposes, and the denominator of which foreign income tax amount. acquires a partnership interest in a is the U.S. disposition gain or U.S. (3) Assignment to a U.S. taxable year section 743(b) CAA, including a section disposition loss. of a section 901(m) payor. A disposition (5) Determining the extent to which a 743(b) CAA with respect to a lower-tier amount allocated to a section 901(m) disposition amount is attributable to partnership that results from a direct payor under paragraph (f)(2) of this foreign or U.S. disposition gain or loss— acquisition by the section 901(m) payor section is assigned to the U.S. taxable (i) RFA with a positive basis difference. of an interest in an upper-tier year of the section 901(m) payor in When there is a disposition of an RFA partnership, and subsequently there is a which the foreign disposition gain or with a positive basis difference and the cost recovery amount or a disposition foreign disposition loss (or portion disposition results in either a foreign amount that arises from an RFA with thereof) is included in allocable foreign disposition gain or a U.S. disposition respect to that section 743(b) CAA, all income of the section 901(m) payor or, loss, but not both, the entire disposition of the cost recovery amount or the if allocable foreign income is not amount is attributable to foreign disposition amount is allocated to that otherwise required to be determined disposition gain or U.S. disposition loss, section 901(m) payor. The U.S. taxable because there is no foreign income tax as applicable, even if the disposition year of the section 901(m) payor to amount, the U.S. taxable year in which amount exceeds the foreign disposition which the cost recovery amount or the the foreign disposition gain or foreign gain or the absolute value of the U.S. disposition amount is assigned is the disposition loss would be included in disposition loss. If the disposition U.S. taxable year in which, in the case allocable foreign income if there were a results in both a foreign disposition gain of a cost recovery amount, the section foreign income tax amount. and a U.S. disposition loss, the 901(m) payor takes into account the (g) Reverse hybrids—(1) In general. disposition amount is attributable first corresponding U.S. basis deduction This paragraph (g) provides rules for to foreign disposition gain to the extent (without regard to whether the allocating a cost recovery amount or a thereof, and the excess disposition deduction is deferred or disallowed for disposition amount when the RFA amount, if any, is attributable to the U.S. U.S. income tax purposes), or in the owner (U.S.) is either a reverse hybrid disposition loss, even if the excess case of a disposition amount, the or a fiscally transparent entity for U.S. disposition amount exceeds the absolute disposition occurs. and foreign income tax purposes that is value of the U.S. disposition loss. (f) Mid-year transactions—(1) In directly or indirectly owned by a reverse (ii) RFA with a negative basis general. When a disposition of an RFA hybrid for U.S. and foreign income tax difference. When there is a disposition occurs in the same foreign taxable year purposes, and in each case, the foreign of an RFA with a negative basis that a foreign payor is involved in a payor whose foreign income includes a difference and the disposition results in mid-year transaction, the portion of the distributive share of the foreign income either a foreign disposition loss or a U.S. disposition amount that is attributable of the RFA owner (foreign) directly or disposition gain, but not both, the entire to foreign disposition gain or foreign indirectly owns an interest in the disposition amount is attributable to disposition loss (as determined under reverse hybrid for foreign income tax foreign disposition loss or U.S. paragraph (d)(5) of this section) is purposes. Application of the allocation disposition gain, as applicable, even if allocated to a section 901(m) payor and rules under paragraphs (g)(2) and (g)(3) the absolute value of the disposition assigned to a U.S. taxable year of the of this section depend upon whether a amount exceeds the absolute value of section 901(m) payor under this section 901(m) payor or a disregarded the foreign disposition loss or the U.S. paragraph (f). To the extent the entity directly owned by a section disposition gain. If the disposition disposition amount is attributable to 901(m) payor is the foreign payor, or, results in both a foreign disposition loss U.S. disposition gain or U.S. disposition instead, a section 901(m) payor directly and a U.S. disposition gain, the loss (as determined under paragraph or indirectly owns an interest in the disposition amount is attributable first (d)(5) of this section), see paragraph foreign payor. For purposes of this

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paragraph (g), unless otherwise a cost recovery amount or disposition otherwise required to be determined for indicated, a reference to direct or amount, or portion thereof, is assigned a section 901(m) payor because there is indirect ownership in an entity means to the U.S. taxable year of the section no foreign income tax amount, the for U.S. income tax purposes. For 901(m) payor that includes the last day numerator is the foreign income of the purposes of this paragraph (g), a person of the U.S. taxable year of the reverse RFA owner (foreign) that is included in indirectly owns an interest in an entity hybrid in which, in the case of a cost the foreign income of the foreign payor for U.S. income tax purposes if the recovery amount, the reverse hybrid and that would be included in allocable person owns the interest through one or takes into account the corresponding foreign income of the section 901(m) more fiscally transparent entities for U.S. basis deduction (without regard to payor if there were a foreign income tax U.S. income tax purposes, and at least whether the deduction is deferred or amount. one of the fiscally transparent entities is disallowed for U.S. income tax (ii) Assignment to a U.S. taxable year not a disregarded entity. For purposes of purposes), or, in the case of a of a section 901(m) payor. A cost this paragraph (g), a person indirectly disposition amount, the disposition recovery amount or a disposition owns an interest in an entity for foreign occurs. If the reverse hybrid is not the amount, or portion thereof, that is income tax purposes if the person owns RFA owner (U.S.) but instead the allocated to a section 901(m) payor the interest through one or more fiscally reverse hybrid directly or indirectly under paragraph (g)(3)(i) of this section transparent entities for foreign income owns an interest in the RFA owner is assigned to the U.S. taxable year of tax purposes. If the RFA owner (U.S.) is (U.S.) for both U.S. and foreign income the section 901(m) payor in which the a lower-tier fiscally transparent entity tax purposes, a cost recovery amount or foreign income of the RFA owner for U.S. income tax purposes in which disposition amount, or portion thereof, (foreign) described in paragraph (g)(3)(i) the reverse hybrid indirectly owns an is assigned to the U.S. taxable year of of this section is included in the interest, the rules of this section apply the section 901(m) payor that includes allocable foreign income of the section in a manner consistent with the the last day of the U.S. taxable year of 901(m) payor, or, if there is no foreign application of these rules when the the reverse hybrid, which, in turn, income tax amount, the U.S. taxable reverse hybrid directly owns an interest includes the last day of the U.S. taxable year of the section 901(m) payor in in the RFA owner (U.S.). year of the RFA owner (U.S.) in which, which the foreign income of the RFA (2) First allocation rule—(i) Allocation in the case of a cost recovery amount, owner (foreign) described in paragraph to a section 901(m) payor. This the RFA owner (U.S.) takes into account (g)(3)(i) of this section would be paragraph (g)(2)(i) applies when a the corresponding U.S. basis deduction included in allocable foreign income if section 901(m) payor, or a disregarded (without regard to whether the there were a foreign income tax amount. entity directly owned by a section deduction is deferred or disallowed for (h) Examples. The following examples 901(m) payor, is the foreign payor U.S. income tax purposes), or, in the illustrate the rules of this section. In whose foreign income includes a case of a disposition amount, the addition to any facts described in a distributive share of the foreign income disposition occurs. particular example, the following facts of the RFA owner (foreign), and, (3) Second allocation rule—(i) apply to all the examples unless therefore, all of the foreign income tax otherwise specified: CFC1, CFC2, and amount of the foreign payor is paid or Allocation to a section 901(m) payor. This paragraph (g)(3)(i) applies when DE are organized in Country F and accrued by, or considered paid or treated as corporations for Country F tax accrued by, the section 901(m) payor. neither a section 901(m) payor nor a disregarded entity directly owned by a purposes. CFC1 and CFC2 are each an Thus, this paragraph (g)(2)(i) applies applicable foreign corporation that is when a section 901(m) payor either section 901(m) payor is the foreign payor with respect to the foreign income wholly owned by the same U.S. directly owns an interest in the reverse corporation, and DE is a disregarded hybrid or directly owns an interest in a of the RFA owner (foreign). Instead, a section 901(m) payor directly or entity. CFC1 and CFC2 each have a U.S. fiscally transparent entity for U.S. and taxable year that is a calendar year, and foreign income tax purposes, which, in indirectly owns an interest in the foreign payor, which is a fiscally CFC1, CFC2, and DE each have a foreign turn, directly or indirectly owns an taxable year that is a calendar year. interest in the reverse hybrid for both transparent entity for U.S. income tax purposes (other than a disregarded Country F imposes a single tax that is U.S. and foreign income tax purposes. a foreign income tax. CFC1, CFC2, and In these cases, the section 901(m) payor entity directly owned by the section 901(m) payor), and, therefore, the DE each have a functional currency of is allocated the portions of cost recovery the u with respect to all activities. At all amounts or disposition amounts (or section 901(m) payor is considered to pay or accrue only its allocated portion relevant times, 1u equals $1. All both) with respect to RFAs that are amounts are stated in millions. The equal to the product of the sum of the of the foreign income tax amount of the foreign payor. In these cases, the section examples assume that the applicable cost recovery amounts and the cost recovery method for property disposition amounts and a fraction, the 901(m) payor is allocated the portions of cost recovery amounts or disposition results in basis being recovered ratably numerator of which is the portion of the over the life of the property beginning foreign income of the RFA owner amounts (or both) with respect to RFAs on the first day of the U.S. taxable year (foreign) that is included in the foreign that are equal to the product of the sum in which the property is acquired or income of the foreign payor, and the of the cost recovery amounts and the placed into service. denominator of which is the foreign disposition amounts and a fraction, the income of the RFA owner (foreign). numerator of which is the portion of the (1) Example 1: CAA followed by (ii) Assignment to a U.S. taxable year foreign income of the RFA owner disposition: Fully taxable for both U.S. of a section 901(m) payor. This (foreign) that is included in the foreign income tax and foreign income tax paragraph (g)(2)(ii) applies when a cost income of the foreign payor and purposes—(i) Facts. (A) On January 1, Year 1, USP acquires all of the stock of CFC1 in recovery amount or a disposition included in the allocable foreign income a qualified stock purchase (as defined in amount, or portion thereof, is allocated of the section 901(m) payor, and the section 338(d)(3)) to which section 338(a) to a section 901(m) payor under denominator of which is the foreign applies (Section 338 Acquisition). At the paragraph (g)(2)(i) of this section. If the income of the RFA owner (foreign). If time of the Section 338 Acquisition, CFC1 reverse hybrid is the RFA owner (U.S.), allocable foreign income is not owns a single asset (Asset A) that is located

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in Country F. Asset A gives rise to income recovery amount and a disposition amount. this paragraph (h)(2)(ii) (the results of this that is taken into account for Country F tax Under paragraph (b)(2) of this section, the Example 2). purposes. Asset A is tangible personal cost recovery amount for Year 2, as of the (B) The result for Year 1 is the same as in property that, under the applicable cost date of the subsequent transaction, is 9u paragraph (h)(1)(ii)(B) of this section recovery method in the hands of CFC1, is ((90u basis difference/5 years) × 6/12). Under (paragraph (ii)(B) of Example 1). depreciable over 5 years. There are no cost § 1.901(m)–1(a)(15), the subsequent (C) In Year 2, Asset A has an allocated recovery deductions available for Country F transaction is a disposition of Asset A, basis difference that includes both a cost tax purposes with respect to Asset A. because the subsequent transaction is an recovery amount and a disposition amount. Immediately before the Section 338 event that results in an amount of gain being Under paragraph (b)(2) of this section, the Acquisition, Asset A has a U.S. basis of 10u recognized for U.S. income tax and Country cost recovery amount for Year 2, as of the and a foreign basis of 40u. Immediately after F tax purposes. Because all realized gain in date of the subsequent transaction, is 9u the Section 338 Acquisition, Asset A has a Asset A is recognized for U.S. income tax and ((90u basis difference/5 years) × 6/12). Under U.S. basis of 100u and foreign basis of 40u. Country F tax purposes, the rule in paragraph § 1.901(m)–1(a)(15), the subsequent (B) On July 1, Year 2, Asset A is transferred (c)(2)(i) of this section applies to determine transaction is a disposition of Asset A, to an unrelated thirdparty in exchange for the disposition amount. Under that rule, the because the subsequent transaction is an 120u in a transaction in which all realized disposition amount for Year 2 is the event that results in an amount of gain being gainis recognized for both U.S. income tax unallocated basis difference of 63u (90u basis recognized for Country F tax purposes. and Country F tax purposes(subsequent difference, less total 27u taken into account Because the disposition is not also fully transaction). For U.S. income tax purposes, as cost recovery amounts in Year 1 and Year taxable for U.S. income tax purposes, the rule CFC1recognizes U.S. disposition gain of 50u 2). Accordingly, the allocated basis difference in paragraph (c)(2)(ii) of this section applies (amount realized of 120u, lessU.S. basis of for Year 2 is 72u (9u of cost recovery amount, to determine the disposition amount. Under 70u (100u cost basis, less 30u of plus 63u of disposition amount). Under that rule, the disposition amount is 60u, the accumulateddepreciation)) with respect to paragraphs (b)(1) and (c)(1) of this section, all lesser of (i) 60u (60u foreign disposition gain Asset A. The 30u of accumulateddepreciation of the 72u of allocated basis difference is plus absolute value of 0u U.S. disposition is the sum of 20u of depreciation in Year 1 attributed to CFC1 and assigned to Year 2, loss), and (ii) 63u unallocated basis (100u costbasis/5 years) and 10u of because CFC1 is a section 901(m) payor and difference (90 basis difference less total 27u depreciation in Year 2 ((100u cost basis/ the RFA owner (U.S.) with respect to Asset taken into account as cost recovery amounts, 5years) × 6/12). For Country F tax purposes, A and Year 2 is the U.S. taxable year of CFC1 18u in Year 1 and 9u in Year 2). Accordingly, CFC1 recognizes foreigndisposition gain of in which it takes into account the the allocated basis difference for the first half 80u (amount realized of 120u, less foreign corresponding 10u of depreciation and in of Year 2 is 69u (9u of cost recovery amount, basisof 40u) with respect to Asset A. which the disposition occurred. plus 60u of disposition amount). Under Immediately after the subsequenttransaction, (D) Unallocated basis difference with paragraphs (b)(1) and (c)(1) of this section, all Asset A has a U.S. basis and a foreign basis respect to Asset A, as determined of the 69u of allocated basis difference is of 120u. immediately after the subsequent transaction, attributed to CFC1 and assigned to Year 2, (ii) Result. (A) Under § 1.901(m)–2(b)(1), is 0u (90u basis difference less 90u basis because CFC1 is a section 901(m) payor and USP’s acquisition of the stock of CFC1 in the difference taken into account as 27u total the RFA owner (U.S.) with respect to Asset Section 338 Acquisition is a section 338 cost recovery amount in Year 1 and Year 2 A and Year 2 is the U.S. taxable year of CFC1 CAA. Under § 1.901(m)–2(c)(i), Asset A is an and as a 63u disposition amount in Year 2). in which it takes into account the RFA with respect to Country F tax because Accordingly, because there is no unallocated corresponding 10u of depreciation and in it is relevant in determining the foreign basis difference with respect to Asset A which the disposition occurred. income of CFC1 for Country F tax purposes. attributable to the Section 338 Acquisition, (D) Unallocated basis difference with Under § 1.901(m)–4(b), the basis difference the subsequent transaction is not a successor respect to Asset A immediately after the with respect to Asset A is 90u (100u¥10u). transaction as defined in § 1.901(m)–6(b)(2). subsequent transaction is 3u (90u basis Under § 1.901(m)–1(a)(37), CFC1 is the RFA Furthermore, the subsequent transaction is difference less 87u basis difference taken into owner (U.S.) with respect to Asset A. Under not a CAA under § 1.901(m)–2(b). For these account as a 27u total cost recovery amount § 1.901(m)–1(a)(28), CFC1 is a foreign payor reasons, section 901(m) no longer applies to in Year 1 and Year 2 and as a 60u disposition for Country F tax purposes. Under Asset A. amount in Year 2). Accordingly, because § 1.901(m)–1(a)(41), CFC1 is the section (2) Example 2: CAA followed by there is unallocated basis difference of 3u 901(m) payor with respect to a foreign disposition: nontaxable for U.S. income tax with respect to Asset A attributable to the income tax amount for which CFC1 is the purposes and taxable for foreign income tax Section 338 Acquisition, as determined foreign payor (see § 1.901–2(f)(1)). purposes—(i) Facts. The facts are the same as immediately after the subsequent transaction, (B) Under § 1.901(m)–1(a)(5), allocated in paragraph (h)(1)(i)(A) of this section the subsequent transaction is a successor basis differences are the sum of cost recovery (paragraph (i)(A) of Example 1) but the facts transaction as defined in § 1.901(m)–6(b)(2). amounts and disposition amounts. In Year 1, in paragraph (h)(1)(i)(B) of this section Following the subsequent transaction, the Asset A has an allocated basis difference that (paragraph (i)(B) of Example 1) are instead unallocated basis difference of 3u must be includes only a cost recovery amount. Under that on July 1, Year 2, Asset A is transferred taken into account as cost recovery amounts paragraph (b)(2) of this section, the cost to CFC2, in exchange for 100u of stock of or disposition amounts (or both) by CFC2, the recovery amount for Year 1 is determined by CFC2 (subsequent transaction). For U.S. new section 901(m) payor and RFA owner applying the applicable cost recovery method income tax purposes, CFC1 does not (U.S.) of Asset A. See § 1.901(m)–6(b)(3)(ii). of Asset A in the hands of CFC1 to the basis recognize any U.S. disposition gain or U.S. Because the subsequent transaction is not a difference with respect to Asset A. disposition loss with respect to Asset A. For CAA under § 1.901(m)–2(b), there is no Accordingly, the cost recovery amount is 18u Country F tax purposes, CFC1 recognizes additional basis difference with respect to (90u basis difference/5 years). Under foreign disposition gain of 60u (amount Asset A as a result of the subsequent paragraph (b)(1) of this section, all of the 18u realized of 100u, less foreign basis of 40u) transaction. cost recovery amount is attributed to CFC1 with respect to Asset A. Immediately after (3) Example 3: CAA followed by and assigned to Year 1, because CFC1 is a the subsequent transaction, Asset A has a disposition: nontaxable for both U.S. income section 901(m) payor and RFA owner (U.S.) U.S. basis of 70u (100u cost basis less 30u tax and foreign income tax purposes—(i) with respect to Asset A and Year 1 is the U.S. accumulated depreciation) and a foreign Facts. The facts are the same as in paragraph taxable year of CFC1 in which it takes into basis of 100u. The 30u of accumulated (h)(1)(i)(A) of this section (paragraph (i)(A) of account the corresponding 20u of depreciation is the sum of 20u of Example 1) but the facts in paragraph depreciation. Immediately after Year 1, under depreciation in Year 1 (100u cost basis/5 (h)(1)(i)(B) of this section (paragraph (i)(B) of § 1.901(m)–1(a)(47), unallocated basis years) and 10u in Year 2 ((100u cost basis/ Example 1) are instead that on July 1, Year difference is 72u with respect to Asset A 5 years) × 6/12). 2, CFC1 transfers Asset A to CFC2, in (90u¥18u). (ii) Result. (A) The results described in exchange for 110u of stock of CFC2 (C) In Year 2, Asset A has an allocated paragraph (h)(1)(ii)(A) of this section (subsequent transaction). For U.S. income tax basis difference that includes both a cost (paragraph (ii)(A) of Example 1) also apply to purposes, CFC1 does not recognize any U.S.

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disposition gain or U.S. disposition loss with is filed on or after July 29, 2014, and CAAs or that involve partnerships. respect to Asset A as a result of the that is effective on or before July 21, Paragraph (c) of this section provides subsequent transaction. Furthermore, for 2014. Paragraphs (b)(2)(i) and (c)(2) of rules for determining when an aggregate Country F tax purposes, CFC1 recognizes no this section also apply to CAAs basis difference carryover of a section foreign disposition gain or foreign disposition loss with respect to Asset A as a occurring on or after January 1, 2011, 901(m) payor either becomes an result of the subsequent transaction. and before July 21, 2014, other than aggregate basis difference carryover of Immediately after the subsequent transaction, CAAs occurring before July 21, 2014, the section 901(m) payor with respect to Asset A has a U.S. basis of 70u (100u cost resulting from an entity classification another foreign payor or is transferred to basis less 30u accumulated depreciation) and election made under § 301.7701–3 that another section 901(m) payor, and a foreign basis of 40u. The 30u of is filed on or after July 29, 2014, and paragraph (d) of this section provides accumulated depreciation is the sum of 20u that is effective on or before July 21, applicability dates. of depreciation in Year 1 (100u cost basis/5 2014, but only with respect to basis (b) Successor rules for unallocated years) and 10u in Year 2 ((100u cost basis/ difference determined under 5 years) × 6/12). basis difference—(1) In general. Except (ii) Result. (A) The result for Year 1 is the § 1.901(m)–4T(e) with respect to the as provided in paragraph (b)(4) of this same as in paragraph (h)(1)(ii)(A) of this CAA. section, section 901(m) continues to section (paragraph (ii)(A) of Example 1). (3) Taxpayers may, however, choose apply after a successor transaction to (B) The result for Year 1 is the same as in to apply provisions in this section any unallocated basis difference paragraph (h)(1)(ii)(B) of this section before the date such provisions are attached to a transferred RFA until the (paragraph (ii)(B) of Example 1). applicable pursuant to paragraphs (i)(1) entire basis difference has been taken (C) In Year 2, Asset A has an allocated and (2) of this section, provided that into account as a cost recovery amount basis difference that includes only a cost they (along with any persons that are or a disposition amount (or both) under recovery amount. Under paragraph (b)(2) of related (within the meaning of section this section, the cost recovery amount for § 1.901(m)–5. Year 2, as of the date of the subsequent 267(b) or 707(b)) to the taxpayer)— (2) Definition of a successor (i) Consistently apply this section, transaction, is 9u ((90u basis difference/5 transaction. A successor transaction years) x 6/12). Under § 1.901(m)–1(a)(15), the § 1.704–1(b)(4)(viii)(c)(4)(v) through occurs with respect to an RFA if, after subsequent transaction does not constitute a (vii), § 1.901(m)–1, § 1.901(m)–3, a CAA (prior CAA), there is a transfer disposition of Asset A, because the § 1.901(m)–4 (excluding § 1.901(m)– of the RFA for U.S. income tax purposes subsequent transaction is not an event that 4(e)), § 1.901(m)–6, § 1.901(m)–7, and and the RFA has unallocated basis results in an amount of gain or loss being § 1.901(m)–8 to all CAAs occurring on recognized for U.S. income tax or for Country difference with respect to the prior or after January 1, 2011, and CAA, determined immediately after the F tax purposes. Therefore, no disposition consistently apply § 1.901(m)–2 amount is taken into account for Asset A in transfer. A successor transaction may (excluding § 1.901(m)–2(d)) to all CAAs Year 2. Under paragraph (b)(1) of this section, occur regardless of whether the transfer all of the 9u of allocated basis difference is occurring on or after December 7, 2016, of the RFA is a disposition, a CAA, or attributed to CFC1 and assigned to Year 2, on any original or amended tax return a non-taxable transaction for purposes because CFC1 is a section 901(m) payor and for each taxable year for which the of U.S. income tax. If the RFA was RFA owner (U.S.) with respect to Asset A application of the provisions listed in subject to multiple prior CAAs, a and Year 2 is the U.S. taxable year of CFC1 this paragraph (i)(3)(i) affects the tax in which it takes into account the separate determination must be made liability and for which the statute of with respect to each prior CAA as to corresponding 10u of depreciation. limitations does not preclude (D) Unallocated basis difference with whether the transfer is a successor assessment or the filing of a claim for respect to Asset A immediately after the transaction. refund, as applicable; subsequent transaction is 63u (90u basis (3) Special considerations. (i) If an difference, less 27u total cost recovery (ii) File all tax returns described in paragraph (i)(3)(i) of this section for any asset is an RFA with respect to more amounts, 18u in Year 1 and 9u in Year 2). than one foreign income tax, this Accordingly, because there is unallocated taxable year ending on or before March basis difference of 63u with respect to Asset 23, 2020, no later than March 23, 2021; paragraph (b) applies separately with A attributable to the CAA, as determined and respect to each foreign income tax. immediately after the subsequent transaction, (ii) Make appropriate adjustments to (ii) Any subsequent cost recovery the subsequent transaction is a successor take into account deficiencies that amount for an RFA transferred in a transaction as defined in § 1.901(m)–6(b)(2). would have resulted from the consistent successor transaction is determined Following the subsequent transaction, the based on the post-transaction applicable unallocated basis difference of 63u must be application under paragraph (i)(3)(i) of this section for taxable years that are not cost recovery method, as described in taken into account as cost recovery amounts § 1.901(m)–5(b)(3), that applies to the or disposition amounts (or both) by CFC2, the open for assessment. new section 901(m) payor and RFA owner U.S. basis (or portion thereof) that § 1.901(m)–5T [Removed] (U.S.) of Asset A. See § 1.901(m)–6(b)(3)(ii). corresponds to the unallocated basis Because the subsequent transaction is not a ■ Par. 12. Section 1.901(m)–5T is difference. CAA under § 1.901(m)–2(b), there is no removed. (4) Successor transaction is a CAA— additional basis difference with respect to ■ Par. 13. Section 1.901(m)–6 is added (i) In general. An asset may be an RFA Asset A as a result of the subsequent to read as follows: with respect to multiple CAAs if a transaction. successor transaction is also a CAA (i) Applicability dates. (1) Except as § 1.901(m)–6 Successor rules. (subsequent CAA). Except as otherwise provided in paragraph (i)(2) of this (a) In general. This section provides provided in this paragraph (b)(4), if section, this section applies to CAAs successor rules applicable to section there is a subsequent CAA, unallocated occurring on or after March 23, 2020. 901(m). Paragraph (b) of this section basis difference with respect to any (2) Paragraphs (b)(2)(i) and (c)(2) of provides rules for the continued prior CAAs will continue to be taken this section apply to CAAs occurring on application of section 901(m) after an into account under section 901(m) after or after July 21, 2014, and to CAAs RFA that has unallocated basis the subsequent CAA. Furthermore, the occurring before that date resulting from difference has been transferred, subsequent CAA may give rise to an entity classification election made including special rules applicable to additional basis difference subject to under § 301.7701–3 of this chapter that successor transactions that are also section 901(m).

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(ii) Foreign basis election. If a foreign § 301.7701–3(g)(1)(iii) and (3)(ii). The section 901(m) payor’s aggregate basis basis election is made under § 1.901(m)– Deemed Liquidation is disregarded for difference carryover with respect to the 4(c) with respect to a foreign income tax Country A tax purposes. No gain or loss is other foreign payor. In such a case, the in a subsequent CAA, any unallocated recognized on the Deemed Liquidation for section 901(m) payor’s aggregate basis either U.S. or Country A tax purposes. basis difference with respect to one or (ii) Result. Under § 1.901(m)–2(b)(1), the difference carryover with respect to the more prior CAAs will not be taken into acquisition by CFC of the stock of FT is a first foreign payor is reduced to zero. account under section 901(m). The only section 338 CAA. Under § 1.901(m)–2(c)(1), (3) Anti-abuse rule. If a section 901(m) basis difference that will be taken into Asset is an RFA with respect to Country A payor has an aggregate basis difference account after the subsequent CAA with tax and the Acquisition, because immediately carryover with respect to a foreign respect to that foreign income tax is the after the Acquisition, Asset is relevant in income tax and a foreign payor and, basis difference with respect to the determining foreign income of FT for with a principal purpose of avoiding the subsequent CAA. Country A tax purposes, and FT owned Asset application of section 901(m), assets of (iii) Multiple section 743(b) CAAs. If when the Acquisition occurred. Under the foreign payor are transferred to § 1.901(m)–4(b), the basis difference with another foreign payor in a transaction an RFA is subject to two section 743(b) respect to Asset is 200u (300u—100u). Under CAAs (prior section 743(b) CAA and § 1.901(m)–2(b)(2), the Deemed Liquidation not described in paragraph (c)(1) or (2) subsequent section 743(b) CAA) and the is a CAA (subsequent CAA) because the of this section, then a portion of the same partnership interest is acquired in Deemed Liquidation is treated as an aggregate basis difference carryover of both the CAAs, the RFA will be treated acquisition of assets for U.S. income tax the section 901(m) payor is transferred as having no unallocated basis purposes and is disregarded for Country A either to the aggregate basis difference difference with respect to the prior tax purposes. Because the U.S. basis in Asset carryover of the section 901(m) payor section 743(b) CAA if the basis is 300u immediately before and after the with respect to the other foreign payor difference for the section 743(b) CAA is Deemed Liquidation, the subsequent CAA or to another section 901(m) payor, as does not give rise to any additional basis determined independently from the appropriate. The portion of the difference. The Deemed Liquidation is not a aggregate basis difference carryover prior section 743(b) CAA. In this regard, disposition under § 1.901(m)–1(a)(15) see generally § 1.743–1(f). If the because it did not result in gain or loss being transferred is determined based on the subsequent section 743(b) CAA results recognized with respect to Asset for U.S. or ratio of fair market value of the assets from the acquisition of only a portion of Country A tax purposes. Accordingly, no transferred to the fair market value of all the partnership interest acquired in the basis difference with respect to Asset is taken of the assets of the foreign payor that prior section 743(b) CAA, then the into account under § 1.901(m)–5 as a result transferred the assets. Similar principles transferor will be required to equitably of the Deemed Liquidation, and the apply when, with a principal purpose of apportion the unallocated basis unallocated basis difference with respect to avoiding the application of section Asset immediately after the Deemed 901(m), there is a change in the difference attributable to the prior Liquidation is 200u (200u—0u). Under section 743(b) CAA between the portion allocation of foreign income for foreign paragraph (b)(2) of this section, the Deemed income tax purposes or the allocation of retained by the transferor and the Liquidation is a successor transaction portion transferred. In this case, with because there is a transfer of Asset for U.S. foreign income tax amounts for U.S. respect to the portion transferred, the income tax purposes from FT to CFC and income tax purposes that would RFAs will be treated as having no Asset has unallocated basis difference with otherwise separate foreign income tax unallocated basis difference with respect to the Acquisition immediately after amounts from the related aggregate basis respect to the prior section 743(b) CAA the Deemed Liquidation. Accordingly, under difference carryover. if basis difference for the subsequent paragraph (b)(1) of this section, section (4) Ownership. For purposes of this 901(m) will continue to apply to the section 743(b) CAA is determined paragraph (c), a section 901(m) payor unallocated basis difference with respect to owns an interest in a foreign payor if the independently from the prior section Asset until the entire 200u basis difference 743(b) CAA. section 901(m) payor owns the interest has been taken into account under directly or indirectly through one or (5) Example. The following example § 1.901(m)–5. illustrates the rules of paragraph (b) of more fiscally transparent entities for (c) Successor rules for aggregate basis this section. U.S. income tax purposes. difference carryover—(1) Transfers of a (d) Applicability dates—(1) Except as (i) Facts. USP, a domestic corporation, section 901(m) payor’s aggregate basis provided in paragraph (d)(2) of this wholly owns CFC, a foreign corporation difference carryover to another person. section, this section applies to CAAs organized in Country A and treated as a If a corporation acquires the assets of a corporation for both U.S. and Country A tax occurring on or after March 23, 2020. purposes. FT is an unrelated foreign section 901(m) payor in a transaction to (2) Paragraphs (a), (b)(1) and (2), corporation organized in Country A and which section 381 applies, that (b)(4)(i) and (iii), and (b)(5) of this treated as a corporation for both U.S. and corporation succeeds to any aggregate section apply to CAAs occurring on or Country A tax purposes. FT owns one asset, basis difference carryovers of the section after July 21, 2014, and to CAAs a parcel of land (Asset). Country A imposes 901(m) payor. occurring before that date resulting from a single tax that is a foreign income tax. On (2) Transfers of a section 901(m) an entity classification election made January 1, Year 1, CFC acquires all of the payor’s aggregate basis difference under § 301.7701–3 of this chapter that stock of FT in exchange for 300u in a carryover with respect to a foreign payor is filed on or after July 29, 2014, and qualified stock purchase (as defined in section 338(d)(3)) to which section 338(a) to another foreign payor. If a section that is effective on or before July 21, applies (Acquisition). Immediately before the 901(m) payor has an aggregate basis 2014. Paragraphs (a), (b)(1) and (2), Acquisition, Asset had a U.S. basis of 100u, difference carryover, with respect to a (b)(4)(i) and (iii), and (b)(5) of this and immediately after the Acquisition, Asset foreign income tax and a foreign payor, section also apply to CAAs occurring on had a U.S. basis of 300u. Effective on and substantially all of the assets of the or after January 1, 2011, and before July February 1, Year 1, FT elects to be a foreign payor are transferred to another 21, 2014, other than CAAs occurring disregarded entity pursuant to § 301.7701–3. foreign payor in which the section before July 21, 2014, resulting from an As a result of the election, FT is deemed, for U.S. income tax purposes, to distribute Asset 901(m) payor owns an interest, the entity classification election made to CFC in liquidation (Deemed Liquidation) section 901(m) payor’s aggregate basis under § 301.7701–3 that is filed on or immediately before the closing of the day difference carryover with respect to the after July 29, 2014, and that is effective before the election is effective pursuant to first foreign payor is transferred to the on or before July 21, 2014, but only with

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respect to basis difference determined (b) General rule—(1) In general. A paragraph (c), is satisfied. Solely for under § 1.901(m)–4T(e) with respect to basis difference with respect to an RFA purposes of this paragraph (c), the the CAA. and a foreign income tax is not taken cumulative basis difference exemption (3) Taxpayers may, however, choose into account under section 901(m) if the and the RFA class exemption are to apply provisions in this section requirements under the cumulative applied taking into account all the basis before the date such provisions are basis difference exemption, the RFA differences with respect to all the RFAs applicable pursuant to paragraphs (d)(1) class exemption, or the RFA exemption owned by all the RFA owners (U.S.) that and (2) of this section, provided that are satisfied. are attributable to the CAAs that are part they (along with any persons that are (2) Cumulative basis difference of the aggregated CAA transaction. related (within the meaning of section exemption. Except as provided in (d) Rules of application. The 267(b) or 707(b)) to the taxpayer)— paragraph (c) of this section, a basis following rules apply for purposes of (i) Consistently apply this section, difference, with respect to an RFA and this section. § 1.704–1(b)(4)(viii)(c)(4)(v) through a foreign income tax, is not taken into (1) Whether a basis difference (vii), § 1.901(m)–1, §§ 1.901(m)–3 account under section 901(m) qualifies for the cumulative basis through 1.901(m)–5 (excluding (cumulative basis difference exemption) difference exemption, the RFA class § 1.901(m)–4(e)), § 1.901(m)–7, and if the sum of that basis difference and exemption, or the RFA exemption is § 1.901(m)–8 to all CAAs occurring on all other basis differences (including determined when an asset first becomes or after January 1, 2011, and negative basis differences), with respect an RFA with respect to a CAA. In the consistently apply § 1.901(m)–2 to a single CAA and a single RFA owner case of a subsequent CAA described in (excluding § 1.901(m)–2(d)) to all CAAs (U.S.), is less than the greater of: § 1.901(m)–6(b)(4), the application of occurring on or after December 7, 2016, (i) $10 million, or the cumulative basis difference on any original or amended tax return (ii) 10 percent of the total U.S. basis exemption, the RFA class exemption, for each taxable year for which the of all the RFAs immediately after the and the RFA exemption is based on application of the provisions listed in CAA. basis difference, if any, that results from (3) RFA class exemption—(i) Except this paragraph (d)(3)(i) affects the tax the subsequent CAA. as provided in paragraph (c) of this liability and for which the statute of (2) If there is an aggregated CAA section, a basis difference, with respect limitations does not preclude transaction, the cumulative basis to an RFA and a foreign income tax, is assessment or the filing of a claim for difference exemption and each RFA not taken into account under section refund, as applicable; class exemption are applied by treating 901(m) (RFA class exemption) if the (ii) File all tax returns described in all CAAs that are part of the aggregated RFA is part of a class of RFAs and the paragraph (d)(3)(i) of this section for any CAA transaction as a single CAA. absolute value of the sum of the basis taxable year ending on or before March (3) Basis difference is computed in differences (including negative basis 23, 2020, no later than March 23, 2021; accordance with § 1.901(m)–4 except differences), with respect to a single and that a foreign basis election need not be CAA and a single RFA owner, for all the (iii) Make appropriate adjustments to evidenced if the cumulative basis RFAs in that class is less than the take into account deficiencies that difference exemption, an RFA class greater of: would have resulted from the consistent exemption, or the RFA exemption apply (A) $2 million, or to all RFAs with respect to the CAA. application under paragraph (d)(3)(i) of (B) 10 percent of the total U.S. basis (4) Basis difference is translated into this section for taxable years that are not of all the RFAs in that class of RFAs U.S. dollars (if necessary) using the spot open for assessment. immediately after the CAA. rate determined under the principles of § 1.901(m)–6T [Removed] (ii) For purposes of this paragraph (b)(3), the classes of RFAs are the seven § 1.988–1(d) on the date of the CAA. (e) Anti-abuse rule. The cumulative ■ Par. 14. Section 1.901(m)–6T is asset classes defined in § 1.338–6(b), basis difference exemption, an RFA removed. regardless of whether the CAA is a class exemption, and the RFA ■ Par. 15. Section 1.901(m)–7 is added section 338 CAA. exemption are not available if the to read as follows: (4) RFA exemption. A basis difference, with respect to an RFA and transferor and transferee in the CAA are § 1.901(m)–7 De minimis rules. a foreign income tax, is not taken into related persons (as described in section (a) In general. This section provides account under section 901(m) (RFA 267(b) or 707(b)) and the CAA was rules describing basis difference that is exemption) if the absolute value of the entered into, or structured, with a not taken into account under section basis difference with respect to the RFA principal purpose of avoiding the 901(m) because a CAA results in a de is less than $20,000. application of section 901(m). See also minimis amount of basis difference. (c) Special rule if a CAA is part of an § 1.901(m)–8(c), which provides that Paragraph (b) of this section sets forth aggregated CAA transaction. If a CAA is certain built-in loss assets are not taken the general rule for determining whether part of an aggregated CAA transaction into account for purposes of applying the de minimis threshold is met. and a single RFA owner (U.S.) does not this section. Paragraph (c) of this section modifies own all the RFAs attributable to the (f) Examples. The following examples the general rule in the case of CAAs that CAAs that are part of the aggregated illustrate the rules of this section: are part of an aggregated CAA CAA transaction, the cumulative basis (1) Example 1: De minimis; cumulative transaction. Paragraph (d) of this section difference exemption and the RFA class basis difference exemption—(i) Facts. USP, a provides rules for applying this section, exemption apply to such CAA only if, domestic corporation, as part of a plan, and paragraph (e) of this section in addition to satisfying the purchases all of the stock of CFC1 and CFC2 provides an anti-abuse rule applicable requirements of paragraph (b)(2) or from a single seller. CFC1 and CFC2 are applicable foreign corporations, organized in to related persons. Paragraph (f) of this (b)(3) of this section, respectively, Country F, and treated as corporations for section provides examples that illustrate determined without regard to this Country F tax purposes. Country F imposes the application of this section. paragraph (c), the cumulative basis a single tax that is a foreign income tax. Each Paragraph (g) of this section provides difference exemption or the RFA class acquisition is a qualified stock purchase (as applicability dates. exemption, as modified by this defined in section 338(d)(3)) to which section

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338(a) applies. A foreign basis election is not to income that is taken into account for difference with respect to any single RFA is made under § 1.901(m)–4(c). Immediately Country F tax purposes, and those assets are greater than $20,000. At all relevant times, 1u after the acquisition of the stock of CFC1 and in a single class, as defined in § 1.338–6(b). equals $1. All amounts are stated in millions. CFC2, the assets of CFC1 and CFC2 give rise Assume that the absolute value of the basis The additional facts are summarized below.

Total U.S. basis Relevant foreign assets immediately Total U.S. basis Total basis before immediately after difference

Assets of CFC1 ...... 48u 60u 12u Assets of CFC2 ...... 100u 96u (4)u

Total ...... 148u 156u 8u

(ii) Result. (A) Under § 1.901(m)–2(b)(1), cumulative basis difference exemption are difference exemption for purposes of USP’s acquisitions of the stock of CFC1 and not satisfied, without regard to paragraph (c) paragraph (c) of this section are satisfied if CFC2 are each a section 338 CAA. Under of this section, paragraph (c) of this section the sum of the basis differences with respect 1.901(m)–1(a)(3), the two section 338 CAAs is not applicable. The RFA class exemption to all of the RFAs of CFC2 and CFC1 is less constitute an aggregated CAA transaction is not relevant because all of the RFAs of than the threshold of $15.6 million, the because the acquisitions occur as part of a CFC1 are in a single class. Finally, because greater of $10 million or $15.6 million (10% plan. Under § 1.901(m)–2(c)(1), the assets of the absolute value with respect to each RFA of the total U.S. basis of $156 million (156 CFC1 and CFC2 are RFAs for Country F tax is greater than $20,000, the RFA exemption million u translated into dollars at the purposes because they are relevant in does not apply. Accordingly, the basis exchange rate of $1 = 1u)). In this case, the determining foreign income of CFC1 and CFC differences with respect to all of the RFAs of sum of the basis differences is $8 million (8 2, respectively, for Country F tax purposes. CFC1 must be taken into account under million u translated into dollars at the Under § 1.901(m)–1(a)(37), CFC1 is the RFA section 901(m). exchange rate of $1 = 1 u). Because the sum owner (U.S.) with respect to its assets, and (C) In the case of the section 338 CAA with of the basis differences of $8 million is less CFC2 is the RFA owner (U.S.) with respect respect to CFC2, without regard to paragraph than the threshold of $15.6 million, the to its assets. (c) of this section, the requirements of the requirements of the cumulative basis (B) Under paragraph (b)(2) of this section, cumulative basis difference exemption are difference exemption are satisfied in the case the application of the cumulative basis satisfied if the sum of the basis differences of the section 338 CAA with respect to CFC2. difference exemption is based on a single is less than the threshold of $10 million, the Accordingly, none of the basis differences CAA and a single RFA owner (U.S.), subject greater of $10 million or $ 9.6 million (10% with respect to the RFAs of CFC2 are taken to the requirements under paragraph (c) of of the total U.S. basis of $96 million (96 into account under section 901(m). this section that apply when there is an million u translated into dollars at the (2) Example 2: De minimis; RFA Class aggregated CAA transaction. In the case of exchange rate of $1 = 1u)) In this case, the Exemption—(i) Facts. USP, a domestic the section 338 CAA with respect to CFC1, sum of the basis differences is ($4) million corporation, acquires all the stock of CFC, an without regard to paragraph (c) of this ((4) million u translated into dollars at the applicable foreign corporation organized in section, the requirements of the cumulative exchange rate of $1 = 1 u). Because the sum Country F and treated as a corporation for basis difference exemption are satisfied if the of the basis differences of ($4) million is less Country F tax purposes, in a qualified stock sum of the basis differences is less than the than the threshold of $10 million, the purchase (as defined in section 338(d)(3)) to threshold of $10 million, the greater of $10 requirements of the cumulative basis which section 338(a) applies. Country F million or $6 million (10% of the total U.S. difference exemption are satisfied. However, imposes a single tax that is a foreign income basis of $60 million (60 million u translated because the section 338 CAA with respect to tax. A foreign basis election is not made into dollars at the exchange rate of $1 = 1u)). CFC2 is part of an aggregated CAA under § 1.901(m)–4(c). Immediately after the In this case, the sum of the basis differences transaction that includes the section 338 acquisition of CFC, the assets of CFC give rise is $12 million (12 million u translated into CAA with respect to CFC1, paragraph (c) of to income that is taken into account for dollars at the exchange rate of $1 = 1 u). this section is applicable. Under paragraph Country F tax purposes. Assume that the Because the sum of the basis differences of (c) of this section, the requirements of the absolute value of the basis difference with $12 million is not less than the threshold of cumulative basis difference exemption must respect to any single RFA is greater than $10 million, the requirements of the also be satisfied taking into account all of the $20,000. At all relevant times, 1u equals $1. cumulative basis difference exemption are RFAs of both CFC2 and CFC1. In this case, All amounts are stated in millions. The not satisfied. Because the requirements of the the requirements of the cumulative basis additional facts are summarized below.

Total U.S. basis Relevant foreign assets immediately Total U.S. basis Total basis before immediately after difference

Cash (Class I) ...... 10u 10u 0u Inventory (Class IV) ...... 14u 15u 1u Buildings (Class V) ...... 19u 30u 11u

Total ...... 43u 55u 12u

(ii) Result. (A) Under § 1.901(m)–2(b)(1), difference exemption are satisfied if the sum Because the sum of the basis differences of USP’s acquisition of the stock of CFC is a of the basis differences is less than the $12 million is not less than the threshold of section 338 CAA. Under § 1.901(m)–2(c)(1), threshold of $10 million, the greater of $10 $10 million, the requirements of the the assets of CFC are RFAs for Country F tax million or $5.5 million (10% of the total U.S. cumulative basis difference exemption are purposes because they are relevant in basis of $55 million (55 million u translated not satisfied. determining foreign income of CFC for into dollars at the exchange rate of $1 = 1u)). (C) Under paragraph (b)(3) of this section, Country F tax purposes. In this case, the sum of the basis differences each of CFC’s assets is allocated to its class (B) Under paragraph (b)(2) of this section, is $12 million (12 million u translated into under § 1.338–6(b) for purposes of the RFA the requirements of the cumulative basis dollars at the exchange rate of $1 = 1 u). class exemption. The requirements of the

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RFA class exemption with respect to the taxable year ending on or before March however, choose to apply this section Class IV RFAs (in this case, inventory) are 23, 2020, no later than March 23, 2021; before the date this section is applicable satisfied if the absolute value of the sum of and provided that they (along with any the basis differences with respect to the Class (3) Make appropriate adjustments to persons that are related (within the IV RFAs is less than the threshold of $2 take into account deficiencies that million, the greater of $2 million or $1.5 meaning of section 267(b) or 707(b)) to million (10% of the total U.S. basis of Class would have resulted from the consistent the taxpayer)— IV RFAs of $15 million (15 million u application under paragraph (g)(1) of (1) Consistently apply this section, translated into dollars at the exchange rate of this section for taxable years that are not § 1.704–1(b)(4)(viii)(c)(4)(v) through $1 = 1u)). In this case, the absolute value of open for assessment. (vii), § 1.901(m)–1, and §§ 1.901(m)–3 the sum of the basis differences is $1 million § 1.901(m)–7T [Removed] through 1.901(m)–7 (excluding (1 million u translated into dollars at the § 1.901(m)–4(e)) to all CAAs occurring exchange rate of $1 = 1 u). Because the sum ■ Par. 16. Section 1.901(m)–7T is on or after January 1, 2011, and of the basis differences of $1 million is less removed. consistently apply § 1.901(m)–2 than the threshold of $2 million, the ■ requirements of the RFA class exemption are Par. 17. Section 1.901(m)–8 is added (excluding § 1.901(m)–2(d)) to all CAAs satisfied. Accordingly, the basis differences to read as follows: occurring on or after December 7, 2016, with respect to the Class IV RFAs are not § 1.901(m)–8 Miscellaneous. on any original or amended tax return taken into account under section 901(m). for each taxable year for which the (D) The requirements of the RFA class (a) In general. This section provides application of the provisions listed in guidance on other matters under section exemption with respect to the Class V RFAs this paragraph (e)(1) affects the tax 901(m). Paragraph (b) of this section (in this case, buildings) is satisfied if the liability and for which the statute of absolute value of the sum of the basis provides guidance on the application of limitations does not preclude differences with respect to the Class V RFAs section 901(m) to pre-1987 foreign assessment or the filing of a claim for is less than the threshold of $3 million, the income taxes. Paragraph (c) of this refund, as applicable; greater of $2 million or $3 million (10% of section provides anti-abuse rules the total U.S. basis of Class V RFAs of $30 (2) File all tax returns described in relating to built-in loss assets. Paragraph million (30 million u translated into dollars paragraph (e)(1) of this section for any (d) of this section provides guidance on at the exchange rate of $1 = 1u)). In this case, taxable year ending on or before March the interaction of section 901(m) and the absolute value of the sum of the basis 23, 2020, no later than March 23, 2021; section 909. Paragraph (e) of this section differences is $11 million (11 million u and translated into dollars at the exchange rate of provides applicability dates. $1 = 1 u). Because the sum of the basis (b) Application of section 901(m) to (3) Make appropriate adjustments to differences of $11 million is not less than the pre-1987 foreign income taxes. Section take into account deficiencies that threshold of $3 million, the requirements of 901(m) and §§ 1.901(m)–1 through would have resulted from the consistent the RFA class exemption are not satisfied. 1.901–8 apply to pre-1987 foreign application under paragraph (e)(2) of Finally, because the absolute value with income taxes (as defined in § 1.902– this section for taxable years that are not respect to each RFA is greater than $20,000, open for assessment. the RFA exemption does not apply. 1(a)(10)(iii)) of an applicable foreign Accordingly, the basis differences with corporation. § 1.901(m)–8T [Removed] (c) Anti-abuse rule for built-in loss respect to the Class V RFAs are taken into ■ account under section 901(m). RFAs. A basis difference with respect to Par. 18. Section 1.901(m)–8T is (E) The Class I RFAs (in this case, cash) are an RFA described in section removed. irrelevant because there are no basis 901(m)(3)(C)(ii) (built-in loss RFA) will Sunita Lough, differences with respect to those RFAs. not be taken into account for purposes Deputy Commissioner for Services and (g) Applicability dates. This section of computing an allocated basis Enforcement. applies to CAAs occurring on or after difference for a U.S. taxable year of a Approved: February 13, 2020. March 23, 2020. Taxpayers may, section 901(m) payor if any RFA, David J. Kautter, however, choose to apply this section including an RFA other than built-in Assistant Secretary of the Treasury (Tax before the date this section is applicable loss RFAs, is acquired with a principal Policy). provided that they (along with any purpose of using one or more built-in [FR Doc. 2020–05551 Filed 3–20–20; 8:45 am] persons that are related (within the loss RFAs to avoid the application of meaning of section 267(b) or 707(b)) to section 901(m). Furthermore, a basis BILLING CODE 4830–01–P the taxpayer)— difference with respect to a built-in loss (1) Consistently apply this section, RFA will not be taken into account for § 1.704–1(b)(4)(viii)(c)(4)(v) through purposes of the cumulative basis DEPARTMENT OF HOMELAND (vii), § 1.901(m)–1, §§ 1.901(m)–3 difference exemption or the RFA class SECURITY through 1.901(m)–6 (excluding exemption under § 1.901(m)–7 if any Coast Guard § 1.901(m)–4(e)), and § 1.901(m)–8 to all RFAs, including RFAs other than built- CAAs occurring on or after January 1, in loss RFAs, are acquired with a 33 CFR Part 165 2011, and consistently apply principal purpose of avoiding the § 1.901(m)–2 (excluding § 1.901(m)– application of section 901(m). [Docket Number USCG–2020–0167] 2(d)) to all CAAs occurring on or after (d) Interaction with section 909. The December 7, 2016, on any original or amount of a foreign income tax that is RIN 1625–AA00 amended tax return for each taxable disqualified under section 901(m) is Safety Zone; Pacific Ocean, Hilo year for which the application of the determined before applying section 909. Harbor, HI—Lightering Operations provisions listed in this paragraph (g)(1) However, section 909 may apply to affects the tax liability and for which the suspend a deduction for the amount of AGENCY: Coast Guard, DHS. statute of limitations does not preclude a foreign income tax that is disqualified ACTION: Temporary final rule. assessment or the filing of a claim for under section 901(m). refund, as applicable; (e) Applicability dates. This section SUMMARY: The Coast Guard is (2) File all tax returns described in applies to CAAs occurring on or after establishing a temporary safety zone for paragraph (g)(1) of this section for any March 23, 2020. Taxpayers may, the navigable waters of Hilo Harbor,

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Hawaii. The safety zone is needed to authorizes an agency to issue a rule safety zone absent the express protect personnel, vessels and the without prior notice and opportunity to authorization of the COTP or his marine environment from potential comment when the agency for good designated representative. hazards associated with ongoing cause finds that those procedures are V. Regulatory Analyses lightering operations of the vessel ‘‘impracticable, unnecessary, or contrary MIDWAY ISLAND grounded along the to the public interest.’’ Under 5 U.S.C. We developed this rule after northwest side of Hilo Harbor, 553(b)(B), the Coast Guard finds that considering numerous statutes and particularly through helicopter to shore good cause exists for not publishing a Executive orders related to rulemaking. hoisting ops and swimmers in the water. notice of proposed rulemaking (NPRM) Below we summarize our analyses The USCG is overseeing contractor with respect to this rule because based on a number of these statutes and lightering ops to mitigate the pollution immediate action is needed to respond Executive orders, and we discuss First threat from the vessel in this area. Entry to the potential safety hazards Amendment rights of protestors. of vessels or persons into this zone is associated with this lightering A. Regulatory Planning and Review prohibited unless specifically operation, and therefore publishing an authorized by the Captain of the Port NPRM is impracticable and contrary to Executive Orders 12866 and 13563 (COTP) Honolulu. public interest. direct agencies to assess the costs and DATES: This rule is effective without Under 5 U.S.C. 553(d)(3), the Coast benefits of available regulatory actual notice from March 23, 2020 until Guard finds that good cause exists for alternatives and, if regulation is 8 p.m. on April 10, 2020. For the making this rule effective less than 30 necessary, to select regulatory purposes of enforcement, actual notice days after publication in the Federal approaches that maximize net benefits. will be used from March 12, 2020 Register. Delaying the effective date Executive Order 13771 directs agencies through March 23, 2020. would be contrary to the rule’s to control regulatory costs through a budgeting process. This rule has not ADDRESSES: To view documents objectives of responding to potential mentioned in this preamble as being safety hazards associated with the been designated a ‘‘significant available in the docket, go to https:// lightering operations and protecting regulatory action,’’ under Executive www.regulations.gov, type USCG– personnel, vessels, and the marine Order 12866. Accordingly, this rule has USCG–2020–0167 in the ‘‘SEARCH’’ environment within the navigable not been reviewed by the Office of box and click ‘‘SEARCH.’’ Click on waters of the safety zone. Management and Budget (OMB), and pursuant to OMB guidance it is exempt Open Docket Folder on the line III. Legal Authority and Need for Rule associated with this rule. from the requirements of Executive The Coast Guard is issuing this rule Order 13771. FOR FURTHER INFORMATION CONTACT: If under authority in 46 U.S.C. 70034. On This regulatory action determination you have questions on this rule, call or February 3, 2020, the Coast Guard was is based on the anticipated short email Chief Jason R. Olney, Waterways informed of a vessel that ran aground duration of the lightering operations and Management Division, U.S. Coast along the northwest side of Hilo Harbor, the need to protect personnel, vessels Guard; telephone 808–522–8265, email Hawaii. The Coast Guard COTP Sector and the marine environment in these [email protected]. Honolulu has determined that potential navigable waters from potential hazards SUPPLEMENTARY INFORMATION: hazards associated with the lightering associated with the lightering operations I. Table of Abbreviations operations constitute a safety concern of the vessel aground in this area. for anyone within the designated safety Moreover, the Coast Guard will issue a CFR Code of Federal Regulations zone. This rule is necessary to protect broadcast notice to mariners on marine DHS Department of Homeland Security FR Federal Register personnel, vessels, and the marine channel 16 about the safety zone. environment within the navigable NPRM Notice of proposed rulemaking B. Impact on Small Entities § Section waters of the safety zone during ongoing U.S.C. United States Code salvage operations. The Regulatory Flexibility Act of 1980, 5 U.S.C. 601–612, as amended, II. Background Information and IV. Discussion of the Rule requires Federal agencies to consider Regulatory History This rule establishes a safety zone the potential impact of regulations on On February 6, 2020, a temporary from March 12, 2020 through 8 p.m. small entities during rulemaking. The final rule [USCG–2020–0113; 85 FR April 10, 2020 or until the lightering term ‘‘small entities’’ comprises small 8175 (Feb. 13, 2020)] was issued to operations are complete, whichever is businesses, not-for-profit organizations establish a safety zone around the earlier. If the safety zone is terminated that are independently owned and grounded vessel MIDWAY ISLAND. prior to 8 p.m. on April 10, 2020, the operated and are not dominant in their That rule expired at 8 p.m. on February Coast Guard will provide notice via a fields, and governmental jurisdictions 12, 2020. An additional temporary final broadcast notice to mariners. with populations of less than 50,000. rule [USCG–2020–0121; 85 FR 10981 The temporary safety zone The Coast Guard certifies under 5 U.S.C. (Feb. 26, 2020)] was issued on February encompasses all waters extending 100 605(b) that this rule will not have a 12, 2020 to maintain the safety zone yards in all directions around the significant economic impact on a around the grounded vessel. That rule location of ongoing lightering operations substantial number of small entities. expired at 8 p.m. on March 12, 2020. near position: 19°44′41.17″ N; While some owners or operators of The Coast Guard is issuing this rule to 155°05′24.23″ W. This zone extends vessels intending to transit the safety establish the temporary safety zone so from the surface of the water to the zones may be small entities, for the the lightering operations can continue. ocean floor. The zone is intended to reasons stated in section V.A. above, The Coast Guard is issuing this protect personnel, vessels, and the this rule will not have a significant temporary rule without prior notice and marine environment in these navigable economic impact on any vessel owner opportunity to comment pursuant to waters from potential hazards associated or operator. authority under section 4(a) of the with the lightering operations of a vessel Under section 213(a) of the Small Administrative Procedure Act (APA) (5 aground in this area. No vessel or Business Regulatory Enforcement U.S.C. 553(b)). This provision person will be permitted to enter the Fairness Act of 1996 (Pub. L. 104–121),

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we want to assist small entities in aggregate, or by the private sector of § 165.T14–0167 Safety Zone; Pacific understanding this rule. If the rule $100,000,000 (adjusted for inflation) or Ocean, Hilo Harbor, HI—Lightering would affect your small business, more in any one year. Though this rule Operations. organization, or governmental will not result in such an expenditure, (a) Location. The safety zone is jurisdiction and you have questions we do discuss the effects of this rule located within the Captain of the Port concerning its provisions or options for elsewhere in this preamble. (COTP) Honolulu Zone (See 33 CFR compliance, please call or email the 3.70–10) and will encompass all FOR FURTHER F. Environment person listed in the navigable waters extending 100 yards in INFORMATION CONTACT section. We have analyzed this rule under all directions from position: Small businesses may send comments Department of Homeland Security 19°44′41.17″ N; 155°05′24.23″ W. This on the actions of Federal employees Directive 023–01, Rev. 1, associated who enforce, or otherwise determine zone extends from the surface of the implementing instructions, and water to the ocean floor. compliance with, Federal regulations to Environmental Planning COMDTINST the Small Business and Agriculture 5090.1 (series), which guide the Coast (b) Regulations. The general Regulatory Enforcement Ombudsman Guard in complying with the National regulations governing safety zones and the Regional Small Business Environmental Policy Act of 1969(42 contained in § 165.23 apply to the safety Regulatory Fairness Boards. The U.S.C. 4321–4370f), and have zone described in paragraph (a) of this Ombudsman evaluates these actions determined that this action is one of a section. annually and rates each agency’s category of actions that do not (1) All persons are required to comply responsiveness to small business. If you individually or cumulatively have a with the general regulations governing wish to comment on actions by significant effect on the human safety zones found in this part. employees of the Coast Guard, call 1– environment. This rule involves a safety 888–REG–FAIR (1–888–734–3247). The (2) Entry into or remaining in this zone lasting 29 days that will prohibit zone is prohibited unless expressly Coast Guard will not retaliate against entry into the area during lightering authorized by the COTP or his small entities that question or complain efforts. It is categorically excluded from designated representative. about this rule or any policy or action further review under paragraph L60(d) of the Coast Guard. of Appendix A, Table 1 of DHS (3) Persons desiring to transit the C. Collection of Information Instruction Manual 023–01–001–01, safety zone identified in paragraph (a) of this section may contact the COTP at the This rule will not call for a new Rev. 01. A Record of Environmental Command Center telephone number collection of information under the Consideration supporting this (808) 842–2600 and (808) 842–2601, fax Paperwork Reduction Act of 1995 (44 determination is available in the docket. (808) 842–2642 or on VHF channel 16 U.S.C. 3501–3520). For instructions on locating the docket, see the ADDRESSES section of this (156.8 Mhz) to seek permission to D. Federalism and Indian Tribal preamble. transit the zone. If permission is Governments granted, all persons and vessels must G. Protest Activities A rule has implications for federalism comply with the instructions of the under Executive Order 13132, The Coast Guard respects the First COTP or his designated representative Federalism, if it has a substantial direct Amendment rights of protesters. and proceed at the minimum speed effect on the States, on the relationship Protesters are asked to call or email the necessary to maintain a safe course between the National Government and person listed in the FOR FURTHER while in the zone. the States, or on the distribution of INFORMATION CONTACT section to (4) The U.S. Coast Guard may be power and responsibilities among the coordinate protest activities so that your assisted in the patrol and enforcement various levels of government. We have message can be received without of the safety zone by Federal, State, and analyzed this rule under that order and jeopardizing the safety or security of local agencies. have determined that it is consistent people, places or vessels. with the fundamental federalism (c) Notice of enforcement. The COTP principles and preemption requirements List of Subjects in 33 CFR Part 165 Honolulu will cause Notice of the Enforcement of these safety zones described in Executive Order 13132. Harbors, Marine safety, Navigation Also, this rule does not have tribal described in this section to be made by (water), Reporting and recordkeeping Broadcast to the maritime community implications under Executive Order requirements, Security measures, via marine safety broadcast notice to 13175, Consultation and Coordination Waterways. with Indian Tribal Governments, mariners on VHF channel 16 (156.8 because it does not have a substantial For the reasons discussed in the MHz). direct effect on one or more Indian preamble, the Coast Guard amends 33 (d) Definitions. As used in this tribes, on the relationship between the CFR part 165 as follows: section, designated representative Federal Government and Indian tribes, means any Coast Guard commissioned, PART 165—REGULATED NAVIGATION or on the distribution of power and warrant, or petty officer who has been AREAS AND LIMITED ACCESS AREAS responsibilities between the Federal authorized by the COTP to assist in Government and Indian tribes. ■ enforcing the safety zone described in 1. The authority citation for part 165 paragraph (a) of this section. E. Unfunded Mandates Reform Act continues to read as follows: The Unfunded Mandates Reform Act (e) Enforcement period. This section Authority: 46 U.S.C. 70034, 70051; 33 CFR will be enforced from March 12, 2020, of 1995 (2 U.S.C. 1531–1538) requires 1.05–1, 6.04–1, 6.04–6, and 160.5; through 8 p.m. on April 10, 2020. If the Federal agencies to assess the effects of Department of Homeland Security Delegation their discretionary regulatory actions. In No. 0170.1. safety zone is terminated prior to 8 p.m. particular, the Act addresses actions on April 10, 2020, the Coast Guard will that may result in the expenditure by a ■ 2. Add § 165.T14–0167 to read as provide notice via a broadcast notice to State, local, or tribal government, in the follows: mariners.

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Dated: March 12, 2020. Register. Since we received a relevant Officer of each community. The A.B. Avanni, adverse comment, we are withdrawing respective addresses are listed in the Captain, U.S. Coast Guard, Captain of the the direct final rule and will address the table below. Port Honolulu. comment in a subsequent final FOR FURTHER INFORMATION CONTACT: Rick [FR Doc. 2020–05739 Filed 3–20–20; 8:45 am] rulemaking. Sacbibit, Chief, Engineering Services BILLING CODE 9110–04–P List of Subjects in 40 CFR Part 62 Branch, Federal Insurance and Mitigation Administration, FEMA, 400 Environmental protection, C Street SW, Washington, DC 20472, Administrative practice and procedure, ENVIRONMENTAL PROTECTION (202) 646–7659, or (email) Air pollution control, Intergovernmental AGENCY [email protected]; or visit relations, Reporting and recordkeeping the FEMA Map Information eXchange requirements, Waste treatment and 40 CFR Part 62 (FMIX) online at disposal. _ [EPA–R06–OAR–2011–0513; FRL–10006– www.floodmaps.fema.gov/fhm/fmx 30–Region 6] Dated: March 13, 2020. main.html. Kenley McQueen, SUPPLEMENTARY INFORMATION: The Approval and Promulgation of State Regional Administrator, Region 6. Air Quality Plans for Designated Federal Emergency Management Agency Facilities and Pollutants; New Mexico PART 62—APPROVAL AND (FEMA) makes the final determinations and Albuquerque-Bernalillo County, PROMULGATION OF STATE PLANS listed below for the modified BFEs for New Mexico; Control of Emissions FOR DESIGNATED FACILITIES AND each community listed. These modified From Existing Other Solid Waste POLLUTANTS elevations have been published in Incineration Units newspapers of local circulation and ■ Accordingly, the amendments to 40 ninety (90) days have elapsed since that AGENCY: Environmental Protection CFR part 62 published in the Federal publication. The Deputy Associate Agency (EPA). Register on January 15, 2020 (85 FR Administrator for Insurance and ACTION: Withdrawal of direct final rule. 2316), which were to become effective Mitigation has resolved any appeals on April 14, 2020, are withdrawn. resulting from this notification. SUMMARY: The Environmental Protection [FR Doc. 2020–05776 Filed 3–20–20; 8:45 am] This final rule is issued in accordance Agency (EPA) is withdrawing a direct BILLING CODE 6560–50–P with section 110 of the Flood Disaster final rule published on January 15, Protection Act of 1973, 42 U.S.C. 4104, 2020, because a relevant adverse and 44 CFR part 67. FEMA has comment was received. The rule would developed criteria for floodplain have amended EPA regulations to notify DEPARTMENT OF HOMELAND SECURITY management in floodprone areas in the public of Clean Air Act (CAA) accordance with 44 CFR part 60. section 111(d)/129 negative declarations Federal Emergency Management Interested lessees and owners of real from New Mexico and Albuquerque- Agency property are encouraged to review the Bernalillo County, New Mexico for proof Flood Insurance Study and FIRM existing Other Solid Waste Incineration 44 CFR Part 67 available at the address cited below for (OSWI) units. The EPA will address the each community. The BFEs and comment received in a subsequent final [Docket ID FEMA–2020–0002] modified BFEs are made final in the rulemaking. Final Flood Elevation Determinations communities listed below. Elevations at DATES: The direct final rule published selected locations in each community on January 15, 2020 (85 FR 2316), is AGENCY: Federal Emergency are shown. withdrawn effective March 23, 2020. Management Agency, DHS. National Environmental Policy Act. FOR FURTHER INFORMATION CONTACT: ACTION: Final rule. FEMA included flood hazard mapping Karolina Ruan Lei, (214) 665–7346, data dissemination determinations as [email protected]. SUMMARY: Base (1% annual-chance) part of the NFIP Nationwide Flood Elevations (BFEs) and modified SUPPLEMENTARY INFORMATION: Programmatic Environmental Impact BFEs are made final for the Throughout this document ‘‘we,’’ ‘‘us,’’ Statement, published on November 3, communities listed below. The BFEs and ‘‘our’’ means the EPA. On January 2017, and completed in accordance with and modified BFEs are the basis for the 15, 2020, we published a direct final the Council on Environmental Quality’s floodplain management measures that rule notifying the public that we had National Environmental Policy Act each community is required either to received CAA section 111(d)/129 implementing regulations in 40 CFR adopt or to show evidence of being negative declarations from New Mexico 1500–1508 and therefore has already in effect in order to qualify or and Albuquerque-Bernalillo County for determined that this action will not remain qualified for participation in the existing OSWI units (85 FR 2316). These have a significant effect on the human National Flood Insurance Program negative declarations certify that environment. (NFIP). existing OSWI units subject to the Regulatory Flexibility Act. As flood requirements of sections 111(d) and 129 DATES: The date of issuance of the Flood elevation determinations are not within of the CAA do not exist within the Insurance Rate Map (FIRM) showing the scope of the Regulatory Flexibility specified jurisdictions in New Mexico. BFEs and modified BFEs for each Act, 5 U.S.C. 601–612, a regulatory The direct final rule was published community. This date may be obtained flexibility analysis is not required. without prior proposal because we by contacting the office where the maps Regulatory Classification. This final anticipated no adverse comments. We are available for inspection as indicated rule is not a significant regulatory action stated in the direct final rule that if we in the table below. under the criteria of section 3(f) of received relevant adverse comments by ADDRESSES: The final BFEs for each Executive Order 12866 of September 30, February 14, 2020, we would publish a community are available for inspection 1993, Regulatory Planning and Review, timely withdrawal in the Federal at the office of the Chief Executive 58 FR 51735.

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Executive Order 13132, Federalism. List of Subjects in 44 CFR Part 67 PART 67—[AMENDED] This final rule involves no policies that have federalism implications under Administrative practice and ■ 1. The authority citation for part 67 Executive Order 13132. procedure, Flood insurance, Reporting continues to read as follows: and recordkeeping requirements. Executive Order 12988, Civil Justice Authority: 42 U.S.C. 4001 et seq.; Reform. This final rule meets the David I. Maurstad, Reorganization Plan No. 3 of 1978, 3 CFR, 1978 Comp., p. 329; E.O. 12127, 44 FR 19367, Deputy Associate Administrator for Insurance applicable standards of Executive Order 3 CFR, 1979 Comp., p. 376. 12988. and Mitigation, Department of Homeland Security, Federal Emergency Management § 67.11 [Amended] Agency. ■ 2. The tables published under the Accordingly, 44 CFR part 67 is authority of § 67.11 are amended as amended as follows: follows:

* Elevation in feet (NGVD) + Elevation in feet (NAVD) Flooding source(s) Location of referenced elevation # Depth in feet Communities affected above ground ∧ Elevation in meters (MSL) modified

Snohomish County, Washington and Incorporated Areas Docket No.: FEMA–B–7705

Skykomish River ...... Approximately 0.5 miles southwest of the intersection of +50 City of Monroe. 183rd Avenue SE and 176th Street SE. Approximately 0.7 miles southwest of the intersection of +69 Highway 2 and 227th Avenue. Skykomish River ...... Approximately 0.9 miles upstream of State Route 522 ...... +47 Unincorporated Areas of Approximately 0.4 miles southeast of the intersection of +89 Snohomish County. Highway 2 and Fern Bluff Road. Snohomish River ...... Just upstream of State Route 522 ...... +43 Unincorporated Areas of Approximately 0.9 miles upstream of State Route 522 ...... +47 Snohomish County. Snoqualmie River ...... Approximately 0.9 miles upstream of State Route 522 ...... +47 Unincorporated Areas of At the boundary with King County ...... +50 Snohomish County. * National Geodetic Vertical Datum. + North American Vertical Datum. # Depth in feet above ground. ∧ Mean Sea Level, rounded to the nearest 0.1 meter.

Addresses DEPARTMENT OF COMMERCE DATES: Effective 1200 hrs, Alaska local time (A.l.t.), March 18, 2020, through City of Monroe: Maps are available for National Oceanic and Atmospheric 1200 hrs, A.l.t., May 31, 2020. inspection at City Hall, Engineering Administration FOR FURTHER INFORMATION CONTACT: Josh Department, 806 West Main Street, Keaton, 907–586–7228. Monroe, WA 98272. 50 CFR Part 679 SUPPLEMENTARY INFORMATION: NMFS Unincorporated Areas of Snohomish manages the groundfish fishery in the County: Maps are available for [Docket No. 200221–0062; RTID 0648– GOA exclusive economic zone inspection at Snohomish County XY082] according to the Fishery Management Planning and Development Services, Plan for Groundfish of the Gulf of 3000 Rockefeller Avenue, Everett, WA Fisheries of the Exclusive Economic Alaska (FMP) prepared by the North 98201. Zone Off Alaska; Pollock in Statistical Pacific Fishery Management Council under authority of the Magnuson- [FR Doc. 2020–05501 Filed 3–20–20; 8:45 am] Area 620 in the Gulf of Alaska Stevens Fishery Conservation and BILLING CODE 9110–12–P AGENCY: National Marine Fisheries Management Act. Regulations governing Service (NMFS), National Oceanic and fishing by U.S. vessels in accordance Atmospheric Administration (NOAA), with the FMP appear at subpart H of 50 Commerce. CFR part 600 and 50 CFR part 679. The B season allowance of the 2020 ACTION: Temporary rule; closure. total allowable catch (TAC) of pollock in Statistical Area 620 of the GOA is SUMMARY: NMFS is prohibiting directed 22,222 metric tons (mt) as established fishing for pollock in Statistical Area by the final 2020 and 2021 harvest 620 in the Gulf of Alaska (GOA). This specifications for groundfish in the GOA action is necessary to prevent exceeding (85 FR 13802, March 10, 2020). the B season allowance of the 2020 total In accordance with § 679.20(d)(1)(i), allowable catch of pollock for Statistical the Regional Administrator has Area 620 in the GOA. determined that the B season allowance

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of the 2020 TAC of pollock in Statistical DEPARTMENT OF COMMERCE TAC allocated to trawl catcher vessels Area 620 of the GOA will soon be in the BSAI is necessary to account for reached. Therefore, the Regional National Oceanic and Atmospheric the incidental catch in other anticipated Administrator is establishing a directed Administration fisheries. Therefore, the Regional fishing allowance of 22,000 mt and is Administrator is establishing a directed setting aside the remaining 222 mt as 50 CFR Part 679 fishing allowance of 0 mt and is setting bycatch to support other anticipated [Docket No. 200227–0066; RTID 0648– aside the remaining 3,378 mt as groundfish fisheries. In accordance with XY088] incidental catch to support other § 679.20(d)(1)(iii), the Regional anticipated groundfish fisheries. In Administrator finds that this directed Fisheries of the Exclusive Economic accordance with § 679.20(d)(1)(iii), the fishing allowance has been reached. Zone Off Alaska; Pacific Cod by Regional Administrator finds that this Consequently, NMFS is prohibiting Catcher Vessels Using Trawl Gear in directed fishing allowance has been directed fishing for pollock in Statistical the Bering Sea and Aleutian Islands reached. Consequently, NMFS is Area 620 of the GOA. Management Area prohibiting directed fishing for Pacific cod by catcher vessels using trawl gear AGENCY: National Marine Fisheries While this closure is effective the in the BSAI. maximum retainable amounts at Service (NMFS), National Oceanic and While this closure is effective, the § 679.20(e) and (f) apply at any time Atmospheric Administration (NOAA), maximum retainable amounts at during a trip. Commerce. ACTION: Temporary rule; closure. § 679.20(e) and (f) apply at any time Classification during a trip. SUMMARY: NMFS is prohibiting directed Classification This action responds to the best fishing for Pacific cod by catcher vessels available information recently obtained using trawl gear in the Bering Sea and This action responds to the best from the fishery. The Assistant Aleutian Islands management area available information recently obtained Administrator for Fisheries, NOAA (BSAI). This action is necessary to from the fishery. The Assistant (AA), finds good cause to waive the prevent exceeding the B season Administrator for Fisheries, NOAA requirement to provide prior notice and apportionment of the 2020 Pacific cod (AA), finds good cause to waive the opportunity for public comment total allowable catch allocated to requirement to provide prior notice and pursuant to the authority set forth at 5 catcher vessels using trawl gear in the opportunity for public comment U.S.C. 553(b)(B) as such requirement is BSAI. pursuant to the authority set forth at 5 impracticable and contrary to the public DATES: Effective 1200 hours, Alaska U.S.C. 553(b)(B) as such requirement is interest. This requirement is local time (A.l.t.), April 1, 2020, through impracticable and contrary to the public impracticable and contrary to the public 1200 hours, A.l.t., June 10, 2020. interest. This requirement is interest as it would prevent NMFS from FOR FURTHER INFORMATION CONTACT: impracticable and contrary to the public responding to the most recent fisheries Steve Whitney, 907–586–7228. interest as it would prevent NMFS from data in a timely fashion and would SUPPLEMENTARY INFORMATION: NMFS responding to the most recent fisheries delay the closure of directed fishing for manages the groundfish fishery in the data in a timely fashion and would pollock in Statistical Area 620 of the BSAI exclusive economic zone delay the closure of directed fishing for GOA. NMFS was unable to publish a according to the Fishery Management Pacific cod by catcher vessels using notice providing time for public Plan for Groundfish of the Bering Sea trawl gear in the BSAI. NMFS was comment because the most recent, and Aleutian Islands Management Area unable to publish a notice providing relevant data only became available as (FMP) prepared by the North Pacific time for public comment because the of March 17, 2020. Fishery Management Council under most recent, relevant data only became The AA also finds good cause to authority of the Magnuson-Stevens available as of March 17, 2020. waive the 30-day delay in the effective Fishery Conservation and Management The AA also finds good cause to date of this action under 5 U.S.C. Act. Regulations governing fishing by waive the 30-day delay in the effective 553(d)(3). This finding is based upon U.S. vessels in accordance with the FMP date of this action under 5 U.S.C. the reasons provided above for waiver of appear at subpart H of 50 CFR part 600 553(d)(3). This finding is based upon prior notice and opportunity for public and 50 CFR part 679. the reasons provided above for waiver of comment. The B season apportionment of the prior notice and opportunity for public 2020 Pacific cod total allowable catch comment. This action is required by § 679.20 (TAC) allocated to catcher vessels using This action is required by § 679.20 and is exempt from review under trawl gear in the BSAI is 3,378 metric and is exempt from review under Executive Order 12866. tons (mt) as established by the final Executive Order 12866. Authority: 16 U.S.C. 1801 et seq. 2020 and 2021 harvest specifications for Authority: 16 U.S.C. 1801 et seq. Dated: March 18, 2020. groundfish in the BSAI (85 FR 13553, March 9, 2020). Dated: March 18, 2020. He´le`ne M.N. Scalliet, In accordance with § 679.20(d)(1)(i), He´le`ne M.N. Scalliet, Acting Director, Office of Sustainable the Administrator, Alaska Region, Acting Director, Office of Sustainable Fisheries, National Marine Fisheries Service. NMFS (Regional Administrator), has Fisheries, National Marine Fisheries Service. [FR Doc. 2020–06075 Filed 3–18–20; 4:15 pm] determined that the B season [FR Doc. 2020–06070 Filed 3–20–20; 8:45 am] BILLING CODE 3510–22–P apportionment of the 2020 Pacific cod BILLING CODE 3510–22–P

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Proposed Rules Federal Register Vol. 85, No. 56

Monday, March 23, 2020

This section of the FEDERAL REGISTER All written comments submitted in would establish the proportion of tart contains notices to the public of the proposed response to this proposed rule will be cherries from the 2019–20 crop which issuance of rules and regulations. The included in the record and will be made may be handled in commercial outlets. purpose of these notices is to give interested available to the public. Please be This action should stabilize marketing persons an opportunity to participate in the advised that the substance of the conditions by adjusting supply to meet rule making prior to the adoption of the final rules. comments and the identity of the market demand and help improve individuals or entities submitting the grower returns. Also, a correction would comments will be subject to public be made to this section to reflect the DEPARTMENT OF AGRICULTURE disclosure. FNS will make the written correct desirable carry-out inventory not comments publicly available on the to exceed a maximum of 100 million Food and Nutrition Service internet via http://www.regulations.gov. pounds. FOR FURTHER INFORMATION CONTACT: Tina DATES: Comments must be received by 7 CFR Parts 210, 215, 220, 226, and 235 Namian, Chief, School Programs April 22, 2020. Branch, Policy and Program [FNS–2019–0007] ADDRESSES: Interested persons are Development Division, Food and invited to submit written comments RIN 0584–AE67 Nutrition Service, 703–305–2590. concerning this proposal. Comments Simplifying Meal Service and SUPPLEMENTARY INFORMATION: The Food must be sent to the Docket Clerk, Monitoring Requirements in the and Nutrition Service (FNS) is Marketing Order and Agreement National School Lunch and School reopening the public comment period Division, Specialty Crops Program, Breakfast Programs; Extension of for this proposed rule, which was AMS, USDA, 1400 Independence Comment Period published on January 23, 2020. The Avenue SW, STOP 0237, Washington, Coronavirus Disease 2019 (COVID–19) DC 20250–0237; Fax: (202) 720–8938; or AGENCY: Food and Nutrition Service outbreaks have had a strong impact on internet: http://www.regulations.gov. All (FNS), USDA. schools, state agencies, stakeholders and comments should reference the ACTION: Proposed rule; extension of others who are working tirelessly to document number and the date and comment period. ensure children receive meals in light of page number of this issue of the Federal school closures. USDA wants to give Register and will be made available for SUMMARY: This rulemaking proposes these parties, and the public at large, changes to simplify meal pattern and public inspection in the Office of the additional time to provide feedback on Docket Clerk during regular business monitoring requirements in the National these proposed reforms. School Lunch and School Breakfast hours, or can be viewed at: http:// Programs. The proposed changes, Dated: March 16, 2020. www.regulations.gov. All comments including optional flexibilities, are Pamilyn Miller, submitted in response to this proposal customer-focused and intended to help Administrator, Food and Nutrition Service. will be included in the record and will State and local Program operators [FR Doc. 2020–05979 Filed 3–20–20; 8:45 am] be made available to the public. Please overcome operational challenges that BILLING CODE 3410–30–P be advised that the identity of the limit their ability to manage these individuals or entities submitting the Programs efficiently. The original comments will be made public on the comment period for this rule ends on DEPARTMENT OF AGRICULTURE internet at the address provided above. March 23, 2020. FNS is extending the FOR FURTHER INFORMATION CONTACT: comment period through April 22, 2020. Agricultural Marketing Service Jennie M. Varela, Marketing Specialist, DATES: The comment period for the or Christian D. Nissen, Regional 7 CFR Part 930 proposed rule published on January 23, Director, Southeast Marketing Field 2020 (85 FR 4094) has been extended [Doc. No. AMS–SC–19–100; SC–20–930–1 Office, Marketing Order and Agreement through April 22, 2020. To be assured PR] Division, Specialty Crops Program, of consideration, comments must be AMS, USDA; Telephone: (863) 324– received on or before April 22, 2020. Tart Cherries Grown in the States of 3375, Fax: (863) 291–8614, or Email: Michigan, et al.; Free and Restricted ADDRESSES: The Food and Nutrition [email protected] or Percentages for the 2019–20 Crop Year Service, USDA, invites interested [email protected]. Small businesses may request persons to submit written comments on AGENCY: Agricultural Marketing Service, this proposed rule. Comments may be USDA. information on complying with this regulation by contacting Richard Lower, submitted in writing by one of the ACTION: Proposed rule. following methods: Marketing Order and Agreement • Preferred Method: Federal SUMMARY: This proposed rule would Division, Specialty Crops Program, eRulemaking Portal: Go to http:// implement a recommendation from the AMS, USDA, 1400 Independence www.regulations.gov. Follow the online Cherry Industry Administrative Board Avenue SW, STOP 0237, Washington, instructions for submitting comments. (Board) to establish free and restricted DC 20250–0237; Telephone: (202) 720– • Mail: Send comments to School percentages for the 2019–20 crop year 2491, Fax: (202) 720–8938, or Email: Programs Branch, Policy and Program under the Marketing Order for tart [email protected]. Development Division, Food and cherries grown in the states of Michigan, SUPPLEMENTARY INFORMATION: This Nutrition Service, 1320 Braddock Place, New York, Pennsylvania, Oregon, Utah, action, pursuant to 5 U.S.C. 553, 4th Floor, Alexandria, Virginia 22314. Washington, and Wisconsin. This action proposes an amendment to regulations

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issued to carry out a marketing order as This proposed rule invites comments annual tart cherry production can vary defined in 7 CFR 900.2(j). This proposed on the establishment of free and greatly. In addition, tart cherries are rule is issued under Marketing restricted percentages for the 2019–20 processed and can be stored and carried Agreement and Order No. 930, both as crop year. This proposal would over from crop year to crop year, further amended (7 CFR part 930), regulating establish the proportion of tart cherries impacting supply. As a result, supply the handling of tart cherries produced in from the 2019–20 crop which may be and demand for tart cherries are rarely the states of Michigan, New York, handled in commercial outlets at 67 in balance. Pennsylvania, Oregon, Utah, percent free and 33 percent restricted. Because demand for tart cherries is Washington and Wisconsin. Part 930 The Secretary of Agriculture (Secretary) inelastic, total sales volume is not very (referred to as the ‘‘Order’’) is effective has determined that designating free responsive to changes in price. under the Agricultural Marketing and restricted percentages of tart However, prices are very sensitive to Agreement Act of 1937, as amended (7 cherries for the 2019–20 crop year changes in supply. As such, an U.S.C. 601–674), hereinafter referred to would effectuate the declared policy of oversupply of cherries would have a as the ‘‘Act.’’ The Board locally the Act to stabilize marketing conditions sharp negative effect on prices, driving administers the Order and is comprised by adjusting supply to meet market down grower returns. Aware of this of producers and handlers of tart demand and help improve grower economic relationship, the Board cherries operating within the returns. A correction would also be focuses on using the volume control production area, and a public member. made to § 930.151 to reflect the correct provisions in the Order to balance The Department of Agriculture desirable carry-out inventory not to supply and demand to stabilize industry (USDA) is issuing this proposed rule in exceed a maximum of 100 million returns. conformance with Executive Orders pounds (81 FR 63676). These Pursuant to § 930.50, the Board meets 13563 and 13175. This proposed rule recommendations were made by the on or about July 1 to review sales data, falls within a category of regulatory Board at meetings on June 27, 2019, and inventory data, current crop forecasts, action that the Office of Management September 12, 2019. and market conditions for the upcoming and Budget (OMB) exempted from Section 930.51(a) provides the season and, if necessary, to recommend Executive Order 12866 review. Secretary authority to regulate volume preliminary free and restricted Additionally, because this proposed by designating free and restricted percentages if anticipated supply would rule does not meet the definition of a percentages for any tart cherries exceed demand. After harvest is significant regulatory action, it does not acquired by handlers in a given crop complete, but no later than September trigger the requirements contained in year. Section 930.50 prescribes 15, the Board meets again to update its Executive Order 13771. See OMB’s procedures for computing an optimum calculations using actual production Memorandum titled ‘‘Interim Guidance supply based on sales history and for data, consider any necessary Implementing Section 2 of the Executive calculating these free and restricted adjustments to the preliminary Order of January 30, 2017, titled percentages. Free percentage volume percentages, and determine if final free ‘Reducing Regulation and Controlling may be shipped to any market, while and restricted percentages should be Regulatory Costs’ ’’ (February 2, 2017). restricted percentage volume must be recommended to the Secretary. This proposed rule has been reviewed held by handlers in a primary or The Board uses sales history, under Executive Order 12988, Civil secondary reserve, or be diverted or inventory, and production data to Justice Reform. Under the Order used for exempt purposes as prescribed determine whether there is a surplus provisions now in effect, free and in §§ 930.159 and 930.162. Exempt and, if so, how much volume should be restricted percentages may be purposes include, in part, the restricted to maintain optimum supply. established for tart cherries handled development of new products, sales into The optimum supply represents the during the crop year. This proposed rule new markets, the development of export desirable volume of tart cherries that would establish free and restricted markets, and charitable contributions. should be available for sale in the percentages for tart cherries for the Sections 930.55 through 930.57 coming crop year. Optimum supply is 2019–20 crop year, beginning July 1, prescribe procedures for inventory defined as the average free sales of the 2019, through June 30, 2020. reserve. For cherries held in reserve, prior three years plus desirable carry- The Act provides that administrative handlers would be responsible for out inventory. Desirable carry-out is the proceedings must be exhausted before storage and would retain title of the tart amount of fruit needed by the industry parties may file suit in court. Under cherries. to be carried into the succeeding crop section 608c(15)(A) of the Act, any Under § 930.52, only districts with an year to meet market demand until the handler subject to an order may file annual average production over the new crop is available. In June 2015, after with USDA a petition stating that the prior three years of at least six million considering market circumstances and order, any provision of the order, or any pounds are subject to regulation, and needs; the Board recommended a obligation imposed in connection with any district producing a crop that is less desirable carry-out inventory not to the order is not in accordance with law than 50 percent of its annual average of exceed a maximum of up to 100 million and request a modification of the order the previous five years is exempt. The pounds beginning with the 2016 crop or to be exempted therefrom. A handler regulated districts for the 2019–20 crop year. That action was subsequently is afforded the opportunity for a hearing year would be: District 1—Northern approved by the Secretary (81 FR on the petition. After the hearing, USDA Michigan; District 2—Central Michigan; 63676). Therefore, a correction would be would rule on the petition. The Act District 3—Southern Michigan; District made to § 930.151 to reflect the correct provides that the district court of the 7—Utah; District 8—Washington; and desirable carry-out inventory not to United States in any district in which District 9—Wisconsin. Districts 4, 5, and exceed a maximum of 100 million the handler is an inhabitant, or has his 6 (New York, Oregon and Pennsylvania, pounds. or her principal place of business, has respectively) would not be regulated for In addition, USDA’s ‘‘Guidelines for jurisdiction to review USDA’s ruling on the 2019–20 season. Fruit, Vegetable, and Specialty Crop the petition, provided an action is filed Demand for tart cherries and tart Marketing Orders’’ (http:// not later than 20 days after the date of cherry products tends to be relatively www.ams.usda.gov/publications/ the entry of the ruling. stable from year to year. Conversely, content/1982-guidelines-fruit-vegetable-

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marketing-orders) specify that 110 2019–20 total production (from The recalculated surplus was reduced percent of recent years’ sales should be regulated and unregulated districts) of by subtracting the revised economic made available to primary markets each 248.2 million pounds to calculate a adjustment of 20 million pounds and season before recommendations for surplus of 109.2 million pounds of tart the market growth factor of 22.8 million volume regulation are approved. This cherries. The Board also complied with pounds, resulting in an adjusted surplus requirement is codified in § 930.50(g), the market growth factor requirement by of 75.4 million pounds. The Board then which specifies that in years when removing 22.8 million pounds (average divided this final surplus by the restricted percentages are established, sales for prior three years of 228 million available production of 230.2 million the Board shall make available tonnage times 10 percent) from the surplus. The pounds in the regulated districts (248.5 equivalent to an additional 10 percent of adjusted surplus of 86.4 million pounds million pounds minus 18.3 million the average sales of the prior three years was then divided by the expected pounds of in-orchard diversion) to for market expansion (market growth production in the regulated districts calculate a restricted percentage of 33 factor). (240 million pounds) to reach a percent with a corresponding free After the Board determines optimum preliminary restricted percentage of 36 percentage of 67 percent for the 2019– supply, desirable carry-out, and market percent for the 2019–20 crop year. 20 crop year, as outlined in the growth factor, it must examine the The Board then discussed whether following table: current year’s available volume to this calculation would supply enough determine whether there is an cherries to grow sales and fulfil orders Millions of oversupply situation. Available volume that have not yet shipped. Some pounds includes carry-in inventory (any members reported there had been inventory available at the beginning of Final Calculations: excessive rainfall, especially in (1) Average sales of the prior the season) along with that season’s Michigan, during the growing season. three years ...... 228 production. If production is greater than This could lead to poor fruit quality and (2) Plus desirable carry-out ...... 85 the optimum supply minus carry-in, the handlers would need additional (3) Optimum supply calculated difference is considered surplus. This available tonnage to meet sales needs. by the Board ...... 313 surplus tonnage is divided by the sum As a result, the Board recommended an (4) Carry-in as of July 1, 2019 .. 174 (5) Adjusted optimum supply of production in the regulated districts additional economic adjustment of 20 to reach a restricted percentage. This (item 3 minus item 4) ...... 139 million pounds, which is subtracted (6) Board reported production ... 257.2 percentage must be held in reserve or from the surplus. The Board also used for approved diversion activities, (7) Surplus (item 6 minus item anticipated orchard diversion would be 5) ...... 118.2 such as exports. about 50 million pounds, which is (8) Total economic adjustments 20 The Board met on June 27, 2019, and subtracted from the expected (9) Market growth factor ...... 22.8 computed an optimum supply of 313 production. With these modifications, (10) Adjusted Surplus (item 7 million pounds for the 2019–20 crop the preliminary restricted percentage minus items 8 and 9) ...... 75.4 year using the average of free sales for was calculated at 35 percent. (11) Production in regulated dis- the three previous seasons and desirable tricts ...... 248.5 carry-out. To determine the carry-out The Board met again on September (12) In-Orchard Diversion ...... 18.3 figure, the Board discussed and 12, 2019, to consider final volume (13) Production minus in or- considered a range of alternatives. One regulation percentages for the 2019–20 chard diversion ...... 230.2 season. The final percentages are based member suggested a carry-out value of Final Percentages: Percent 20 million pounds, noting high carry- on the Board’s reported production figures and the supply and demand out puts downward pressure on grower Restricted (item 10 divided prices. Another member agreed, noting information available in September. by item 13 × 100) ...... 33 the actual carry-out is often twice what The total production for the 2019–20 Free (100 minus restricted the Board has estimated as desirable. season was 257.2 million pounds, 9 percentage) ...... 67 Some members favored a carry-out of 50 million pounds above the Board’s June million pounds. Other members were estimate. In addition, growers diverted The final restriction of 33 percent is concerned that too low of a carry-out 18.3 million pounds in the orchard, lower than the preliminary restriction may push the restricted percentage too about a third of what had been percentage of 35 percent. The change is high for the industry to implement and anticipated. As a result 238.9 million due to the increase in production from suggested repeating the carry-out of 80 pounds would be available to market, the June estimate and lower in-orchard million pounds from the previous 230.2 million pounds of which are in diversion volume. The desired carry-out season. The Board’s executive director the restricted districts. Using the actual remained the same at 85 million noted average sales are about 21 million production numbers, and accounting for pounds. In discussing the calculation, pounds a month. Using that average, it the recommended desirable carry-out members indicated the quality concerns would take 84 million pounds to supply and economic adjustment, as well as the that led to the adjustment were accurate. the industry for four months. After market growth factor, the restricted Members did not propose any changes considering the alternatives, the Board percentage was recalculated. to the adjustment following harvest. determined a carry-out of 85 million The Board subtracted the carry-in During the preliminary and final pounds would be enough to supply the figure used in June of 174 million discussions, attendees raised concerns industry’s needs at the beginning of the pounds, from the optimum supply of about the age of free inventory and the next season. 313 million pounds to determine 139 impact of imported tart cherry products. The Board subtracted the estimated million pounds of 2019–20 production The Board voted to form a committee to carry-in of 174 million pounds from the would be necessary to reach optimum develop a proposal for collecting optimum supply to calculate the supply. The Board subtracted the 139 additional data regarding inventory. production quantity needed from the million pounds from the actual Regarding the impact of imports, the 2019–20 crop to meet optimum supply. production of 257.2 million pounds, Board approved a research proposal to This number, 139 million pounds, was resulting in a surplus of 118.2 million gather additional data. The Board subtracted from the Board’s estimated pounds of tart cherries. anticipates these actions would help

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provide additional data for future According to the National handlers to any outlet, while restricted volume regulation discussions. Agricultural Statistics Service (NASS) percentage volume must be held by Establishing free and restricted and Board data, the average annual handlers in reserve, diverted, or used for percentages is an attempt to bring grower price for tart cherries utilized for exempted purposes. supply and demand into balance. If the processing during the 2018–19 season This proposal would control the primary market is oversupplied with was approximately $0.196 per pound. supply of tart cherries by establishing cherries, grower prices decline With total utilization at 288.8 million percentages of 67 percent free and 33 substantially. Restricted percentages pounds for the 2018–19 season, the total percent restricted for the 2019–20 crop have benefited grower returns and 2018–19 value of the crop utilized for year. These percentages should stabilize helped stabilize the market as compared processing is estimated at $56.6 million. marketing conditions by adjusting to those seasons prior to the Dividing the crop value by the estimated supply to meet market demand and help implementation of the Order. The number of producers (400) yields an improve grower returns. The proposal Board, based on its discussion of this estimated average receipt per producer would regulate tart cherries handled in issue and the result of the above of $141,500. This is well below the SBA Michigan, Utah, Washington, and calculations, believes the available threshold for small producers. Wisconsin. The authority for this information indicates a restricted A free on board (FOB) price of $0.80 proposed action is provided in percentage should be established for the per pound for frozen tart cherries was §§ 930.50, 930.51(a), and 930.52. The 2019–20 crop year to avoid reported by the Food Institute during Board recommended this action at a oversupplying the market with tart the 2018–19 season. Based on meeting on September 12, 2019. cherries. utilization, this price represents a good This proposal would result in some Consequently, the Board estimate of the price for processed fruit being diverted from the primary recommended final percentages of 67 cherries. Multiplying this FOB price by domestic markets. However, as percent free and 33 percent restricted by total utilization of 288.8 million pounds mentioned earlier, the USDA’s a vote of 15 in favor, and 3 opposed. results in an estimated handler-level tart ‘‘Guidelines for Fruit, Vegetable, and The Board could meet and recommend cherry value of $231 million. Dividing Specialty Crop Marketing Orders’’ the release of additional volume during this figure by the number of handlers (http://www.ams.usda.gov/publications/ the crop year if conditions so warranted. (40) yields estimated average annual content/1982-guidelines-fruit-vegetable- The Secretary finds, from the handler receipts of $5.8 million, which marketing-orders) specify that 110 recommendation and supporting is below the SBA threshold for small percent of recent years’ sales should be information supplied by the Board, that agricultural service firms. Assuming a made available to primary markets each designating final percentages of 67 normal distribution, the majority of season before recommendations for percent free and 33 percent restricted producers and handlers of tart cherries volume regulation are approved. Under would tend to effectuate the declared may be classified as small entities. this proposal, the available quantity policy of the Act, and so designates The tart cherry industry in the United (337.5 million pounds) would be 148 these percentages. States is characterized by wide annual fluctuations in production. According to percent of the average sales for the last Initial Regulatory Flexibility Analysis NASS, the pounds of utilized tart cherry three years (228 million pounds). Pursuant to requirements set forth in production for the years 2014 through In addition, there are secondary uses the Regulatory Flexibility Act (RFA) (5 2018 were 301 million, 251 million, 319 available for restricted fruit, including U.S.C. 601–612), the Agricultural million, 254 million, and 289 million, the development of new products, sales Marketing Service (AMS) has respectively. Because of these into new markets, the development of considered the economic impact of this fluctuations, supply and demand for tart export markets, and being placed in proposed rule on small entities. cherries are rarely in balance. reserve. While these alternatives may Accordingly, AMS has prepared this Demand for tart cherries is inelastic, provide different levels of return than initial regulatory flexibility analysis. meaning changes in price have a the sales to primary markets, they play The purpose of the RFA is to fit minimal effect on total sales volume. an important role for the industry. The regulatory actions to the scale of However, prices are very sensitive to areas of new products, new markets, businesses subject to such actions in changes in supply, and grower prices and the development of export markets order that small businesses will not be vary widely in response to the large utilize restricted fruit to develop and unduly or disproportionately burdened. swings in annual supply. Grower prices expand the markets for tart cherries. In Marketing orders issued pursuant to the per pound for processed utilization have 2018–19, these activities accounted for Act, and rules issued thereunder, are ranged from a low of $0.073 in 1987 to over 88 million pounds in sales, a 6- unique in that they are brought about a high of $0.588 per pound in 2012 million-pound increase from the through group action of essentially when a weather event substantially previous season. small entities acting on their own reduced supply. Placing tart cherries into reserves is behalf. Because of this relationship between also a key part of balancing supply and There are approximately 400 supply and price, oversupplying the demand. Although handlers bear the producers of tart cherries in the market with tart cherries would have a handling and storage costs for fruit in regulated area and approximately 40 sharp negative effect on prices, driving reserve, reserves stored in large crop handlers of tart cherries who are subject down grower returns. Aware of this years are used to supplement supplies to regulation under the Order. Small economic relationship, the Board in short crop years. The reserves help agricultural producers are defined by focuses on using the volume control the industry to mitigate the impact of the Small Business Administration authority in the Order to align supply oversupply in large crop years, while (SBA) as those having annual receipts of with demand and stabilize industry allowing the industry to supply markets less than $1,000,000, and small returns. This authority allows the in years when production falls below agricultural service firms have been industry to set free and restricted demand. Further, storage and handling defined as those whose annual receipts percentages as a way to bring supply costs are more than offset by the are less than $30,000,000 (13 CFR and demand into balance. Free increase in price when moving from a 121.201). percentage cherries can be marketed by large crop to a short crop year.

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The Board recommended a carry-out volume, the costs, when applicable, are volume and impact of imported cherry of 85 million pounds and made a proportionate and should not place an products. demand adjustment of 20 million extra burden on small entities as Given the concerns with regulation pounds in order to make the regulation compared to large entities. expressed by Board members and less restrictive to account for fruit The stabilizing effects of this proposal industry members in attendance, the quality concerns. With 174 million would benefit all handlers by helping Board also considered recommending pounds of carry-in, 8.7 million pounds them maintain and expand markets, no volume regulation. However, the of production in the unregulated despite seasonal supply fluctuations. data indicated a high carryover from districts, and 154.8 million pounds of Likewise, price stability positively previous seasons has created a free tonnage from the regulated districts, impacts all growers and handlers by substantial surplus. During this 337.5 million pounds of fruit would be allowing them to better anticipate the discussion, attendees questioned the age available for the domestic market. This revenues their tart cherries would of the products in inventory. While all amount is comparable to the 336.9 generate. Growers and handlers, types of products can be stored for million pounds made available in the regardless of size, would benefit from multiple years, their value does previous season. Even with the the stabilizing effects of the volume diminish over time. Reserve inventory recommended restriction, the domestic restriction. must be under two years old, but there market would have an ample supply of As noted earlier, the Board had are no restrictions on free inventory. tart cherries. Further, should marketing extensive discussions on carry-out Industry members expressed concern conditions change, and market demand inventory alternatives. The alternatives that not all inventory is of equal value exceed existing supplies, the Board ranged from 20 million pounds to 100 and suggested the Board should collect could meet and recommend the release million pounds. Some expressed a information on the age and quality of of an additional volume of cherries. concern that the relatively low reserves free inventory. A vote to recommend no Consequently, it is not anticipated that compared to high carry-in signaled that volume regulation failed, but the Board this proposal would unduly burden not enough fruit had been put in reserve did agree to form a committee to growers or handlers. in previous seasons. Some attendees investigate potential reporting While this proposal could result in indicated excess carry-in over the past requirements to provide the industry some additional costs to the industry, few seasons has had a negative effect on better data regarding the available these costs are outweighed by the returns and growers are seeking relief. inventory. Thus, the alternatives were benefits. The purpose of setting The Board noted if the carry-out number rejected. restricted percentages is to attempt to was too large, it could have a negative In accordance with the Paperwork bring supply and demand into balance. impact on grower returns, but enough Reduction Act of 1995 (44 U.S.C. If the primary market (domestic) is fruit was needed to supply processors Chapter 35), the Order’s information oversupplied with cherries, grower before the new harvest. After collection requirements have been prices decline substantially. Without consideration of the alternatives, the previously approved by OMB and volume control, the primary market Board recommended a carry-out of 85 assigned OMB No. 0581–0177, Tart would likely be oversupplied, resulting million pounds. Cherries Grown in the States of in lower grower prices. The Board also weighed alternatives Michigan, New York, Pennsylvania, An econometric model has been when discussing the economic Oregon, Utah, Washington, and developed to assess the impact volume adjustment. Some member suggested Wisconsin. No changes are necessary in control has on the price growers receive making no adjustment to the formula. those requirements as a result of this for their product. Based on the model, However, at its June meeting, the Board action. Should any changes become the use of volume control would have recommended a 20-million-pound necessary, they would be submitted to a positive impact on grower returns for adjustment to account for fruit quality OMB for approval. this crop year. With volume control, concerns. When fruit is too large or too This proposal would not impose any grower prices are estimated to be small, it does not move as efficiently additional reporting or recordkeeping approximately $0.04 per pound higher through the pitting process. The Board requirements on either small or large than without restrictions. In addition, was concerned excessive rainfall would tart cherry handlers. As with all Federal absent volume control, the industry result in large, soft, fruit that would not marketing order programs, reports and could start to build large amounts of process as well as average-sized fruit. As forms are periodically reviewed to unwanted inventories. These a result, more fruit would be necessary reduce information requirements and inventories would have a depressing to get the needed final product. duplication by industry and public effect on grower prices. Following harvest, Board members sector agencies. Retail demand is assumed to be confirmed weather had indeed affected AMS is committed to complying with highly inelastic, which indicates the size of fruit, and that the the E-Government Act, to promote the changes in price do not result in recommended adjustment was accurate use of the internet and other significant changes in the quantity and should not be changed. information technologies to provide demanded. Consumer prices largely do In discussing the preliminary increased opportunities for citizen not reflect fluctuations in cherry recommendation, the Board heard a access to Government information and supplies. Therefore, this proposal report from a committee that examined services, and for other purposes. should have little or no effect on import issues. During the discussion USDA has not identified any relevant consumer prices and should not result there was a suggestion that the Board Federal rules that duplicate, overlap or in a reduction in retail sales. might consider using the previous year’s conflict with this proposed rule. The free and restricted percentages import numbers to estimate imported In addition, the Board’s meetings established by this proposal would volume in the coming year. However, were widely publicized throughout the provide the market with optimum there was no motion to make an tart cherry industry, and all interested supply and would apply uniformly to adjustment for imports. To better persons were invited to attend the all regulated handlers in the industry, address these issues, the Board did meetings and participate in Board regardless of size. As the restriction allocated funds to a research project to deliberations on all issues. Like all represents a percentage of a handler’s provide additional information on the Board meetings, the June 27, 2019, and

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September 12, 2019, meetings were percentage, 67 percent and restricted [email protected]; or Audrey Klett, public meetings, and all entities, both percentage, 33 percent. telephone: 301–415–0489, email: [email protected]. Both are staff of large and small, were able to express Bruce Summers, views on this issue. Finally, interested the Office of Nuclear Reactor Administrator, Agricultural Marketing Regulation, U.S. Nuclear Regulatory persons are invited to submit comments Service. Commission, Washington DC 20555– on this proposed rule, including the [FR Doc. 2020–05825 Filed 3–20–20; 8:45 am] regulatory and information collection 0001. BILLING CODE 3410–02–P impacts of this proposal on small SUPPLEMENTARY INFORMATION: businesses. I. Obtaining Information and A small business guide on complying NUCLEAR REGULATORY Submitting Comments with fruit, vegetable, and specialty crop COMMISSION marketing agreements and orders may A. Obtaining Information be viewed at: http://www.ams.usda.gov/ 10 CFR Chapter I Please refer to Docket ID NRC–2018– rules-regulations/moa/small-businesses. [NRC–2018–0142] 0142 when contacting the NRC about Any questions about the compliance the availability of information for this guide should be sent to Richard Lower Backfitting, Forward Fitting, and Issue action. You may obtain publicly- at the previously mentioned address in Finality Guidance available information related to this FOR FURTHER INFORMATION CONTACT action by any of the following methods: the AGENCY: Nuclear Regulatory • section. Federal Rulemaking website: Go to Commission. https://www.regulations.gov and search A 30-day comment period is provided ACTION: Draft NUREG; request for for Docket ID NRC–2018–0142. to allow interested persons to respond comment. • NRC’s Agencywide Documents to this proposal. All written comments Access and Management System SUMMARY: The U.S. Nuclear Regulatory timely received will be considered (ADAMS): You may obtain publicly- Commission (NRC) is issuing for public before a final determination is made on available documents online in the comment draft NUREG–1409, this matter. ADAMS Public Documents collection at ‘‘Backfitting Guidelines,’’ Revision 1. https://www.nrc.gov/reading-rm/ This draft NUREG provides guidance on List of Subjects in 7 CFR Part 930 adams.html. To begin the search, select the implementation of the backfitting ‘‘Begin Web-based ADAMS Search.’’ For Marketing agreements, Reporting and and issue finality provisions of the problems with ADAMS, please contact recordkeeping requirements, Tart NRC’s regulations and the NRC’s the NRC’s Public Document Room (PDR) cherries. forward fitting policy in accordance reference staff at 1–800–397–4209, 301– with Management Directive and For the reasons set forth in the 415–4737, or by email to pdr.resource@ Handbook 8.4, ‘‘Management of preamble, 7 CFR part 930 is proposed to nrc.gov. The ADAMS accession number Backfitting, Forward Fitting, Issue be amended as follows: for each document referenced (if it is Finality, and Information Requests.’’ available in ADAMS) is provided the PART 930—TART CHERRIES GROWN DATES: Submit comments by May 22, first time that it is mentioned in this IN THE STATES OF MICHIGAN, NEW 2020. Comments received after this date document. YORK, PENNSYLVANIA, OREGON, will be considered if it is practical to do • NRC’s PDR: You may examine and UTAH, WASHINGTON, AND so, but the Commission is able to ensure purchase copies of public documents at WISCONSIN consideration only for comments the NRC’s PDR, Room O1–F21, One received before this date. White Flint North, 11555 Rockville ■ 1. The authority citation for 7 CFR ADDRESSES: You may submit comments Pike, Rockville, Maryland 20852. part 930 continues to read as follows: by any of the following methods: • Federal Rulemaking website: Go to B. Submitting Comments Authority: 7 U.S.C. 601–674. https://www.regulations.gov and search Please include Docket ID NRC–2018– for Docket ID NRC–2018–0142. Address 0142 in your comment submission. ■ 2. Revise § 930.151 to read as follows: questions about NRC docket IDs in The NRC cautions you not to include § 930.151 Desirable Carry-out inventory. Regulations.gov to Jennifer Borges; identifying or contact information that telephone: 301–287–9127; email: you do not want to be publicly Beginning with the crop year starting [email protected]. For technical disclosed in your comment submission. July 1, 2016, for the purposes of questions, contact the individuals listed The NRC will post all comment determining an optimum supply in the FOR FURTHER INFORMATION submissions at https:// volume, the Board may recommend a CONTACT section of this document. www.regulations.gov as well as enter the desirable carry-out inventory not to • Mail comments to: Office of comment submissions into ADAMS. exceed 100 million pounds. Administration, Mail Stop: TWFN–7– The NRC does not routinely edit ■ 3. Revise § 930.256 and the heading to A60M, U.S. Nuclear Regulatory comment submissions to remove read as follows: Commission, Washington, DC 20555– identifying or contact information. 0001, ATTN: Program Management, If you are requesting or aggregating § 930.256 Free and restricted percentages Announcements and Editing Staff. comments from other persons for for the 2019–20 crop year. For additional direction on obtaining submission to the NRC, then you should information and submitting comments, inform those persons not to include The percentages for tart cherries see ‘‘Obtaining Information and identifying or contact information that handled by handlers during the crop Submitting Comments’’ in the they do not want to be publicly year beginning on July 1, 2019, which SUPPLEMENTARY INFORMATION section of disclosed in their comment submission. shall be free and restricted, respectively, this document. Your request should state that the NRC are designated as follows: Free FOR FURTHER INFORMATION CONTACT: Tim does not routinely edit comment Reed, telephone: 301–415–1462, email: submissions to remove such information

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before making the comment 20, 2019 (ADAMS Accession No. certain Airbus Helicopters Model submissions available to the public or ML18093B087). NUREG–1409, Revision AS350B2 helicopters. This proposed AD entering the comment into ADAMS. 1, would supersede NUREG–1409, would require performing a test of the Revision 0 (ADAMS Accession No. main rotor RPM (NR) indicator, and II. Discussion ML032230247), which was issued in depending on the results, altering the Backfitting occurs when the NRC 1990 and did not address the backfitting wiring. This proposed AD is prompted imposes new or changed regulatory requirements in 10 CFR part 70, by reports of some NR indicators requirements or staff interpretations of ‘‘Domestic Licensing of Special Nuclear displaying incorrect information. The the regulations or requirements on Material,’’ 10 CFR part 72, ‘‘Licensing actions of this proposed AD are nuclear power reactor licensees, select Requirements for the Independent intended to address an unsafe condition nuclear power reactor applicants, or Storage of Spent Nuclear Fuel, High on these products. select nuclear materials licensees. Level Radioactive Waste, and Reactor- DATES: The FAA must receive comments Backfitting is an integral part of the Related Greater Than Class C Waste,’’ or on this AD by May 22, 2020. regulatory process and may be needed 10 CFR part 76, ‘‘Certification of ADDRESSES: You may send comments by when the NRC staff addresses safety or Gaseous Diffusion Plants,’’ or the 10 security issues. The NRC would only any of the following methods: CFR part 52 issue finality provisions. • Federal eRulemaking Docket: Go to take a backfitting action after NUREG–1409, Revision 1, would conducting a formal, systematic review https://www.regulations.gov. Follow the address all the backfitting and issue online instructions for sending your to ensure that the action is defined and finality regulations and policies and the justified. This process ensures comments electronically. forward fitting policies. The NRC’s • Fax: 202–493–2251. discipline, predictability, and optimal intent in revising NUREG–1409 is to • Mail: Send comments to the U.S. use of NRC and licensee resources. The ensure consistency in implementing Department of Transportation, Docket backfitting requirements are located in backfitting, forward fitting, and issue Operations, M–30, West Building title 10 of the Code of Federal finality requirements across the NRC. Ground Floor, Room W12–140, 1200 Regulations (10 CFR) sections 50.109, New Jersey Avenue SE, Washington, DC ‘‘Backfitting,’’ 70.76, ‘‘Backfitting,’’ III. Public Meeting 20590–0001. 72.62, ‘‘Backfitting,’’ and 76.76, The NRC will conduct a public • Hand Delivery: Deliver to the ‘‘Backfitting.’’ Provisions analogous to meeting to describe the draft NUREG ‘‘Mail’’ address between 9 a.m. and 5 the backfitting requirements, referred to and answer questions from the public. p.m., Monday through Friday, except as issue finality provisions, are set forth The NRC will publish a notice of the Federal holidays. in 10 CFR part 52, ‘‘Licenses, location, time, and agenda of the Certifications, and Approvals for meeting on the NRC’s public meeting Examining the AD Docket Nuclear Power Plants.’’ website at least 10 calendar days before You may examine the AD docket on Forward fitting occurs when the NRC the meeting. Stakeholders should the internet at https:// conditions its approval of a licensee- monitor the NRC’s public meeting www.regulations.gov by searching for initiated request for a licensing action website for information about the public and locating Docket No. FAA–2020– on the licensee’s compliance with a new meeting at: https://www.nrc.gov/public- 0271; or in person at Docket Operations or modified requirement or staff involve/public-meetings/index.cfm. between 9 a.m. and 5 p.m., Monday interpretation of a requirement that the through Friday, except Federal holidays. licensee did not request. The new or Dated at Rockville, Maryland, this 18th day The AD docket contains this proposed modified requirement or staff of March 2020. AD, the European Union Aviation interpretation must result in, generally, For the Nuclear Regulatory Commission. Safety Agency (previously European a change to the licensee’s systems, Mohamed K. Shams, Aviation Safety Agency) (EASA) AD, structures, components, design, Deputy Director, Division of Operating any comments received, and other approval, procedures, or organization. Reactor Licensing, Office of Nuclear Reactor In accordance with the NRC Regulation. information. The street address for Principles of Good Regulation and the [FR Doc. 2020–06081 Filed 3–20–20; 8:45 am] Docket Operations is listed above. Comments will be available in the AD Administrative Procedure Act, the BILLING CODE 7590–01–P backfitting rules and policies and the docket shortly after receipt. forward fitting policies provide the For service information identified in this proposed rule, contact Airbus following: (a) Regulatory stability, by DEPARTMENT OF TRANSPORTATION ensuring that the changes the NRC Helicopters, 2701 N. Forum Drive, makes are necessary or provide a Federal Aviation Administration Grand Prairie, TX 75052; telephone substantial safety enhancement; (b) 972–641–0000 or 800–232–0323; fax reasoned and informed NRC 14 CFR Part 39 972–641–3775; or at https:// decisionmaking, by requiring the www.airbus.com/helicopters/services/ [Docket No. FAA–2020–0271; Product technical-support.html. You may view proposed action be properly justified; Identifier 2017–SW–017–AD] and (c) transparency of NRC the referenced service information at the decisionmaking, by requiring that the RIN 2120–AA64 FAA, Office of the Regional Counsel, NRC document and make publicly Southwest Region, 10101 Hillwood Airworthiness Directives; Airbus available its analyses and evaluations. Pkwy, Room 6N–321, Fort Worth, TX The NRC has drafted NUREG–1409, Helicopters 76177. ‘‘Backfitting Guidelines,’’ Revision 1 AGENCY: Federal Aviation FOR FURTHER INFORMATION CONTACT: (ADAMS Accession No. ML18109A498), Administration (FAA), DOT. George Schwab, Aviation Safety to be consistent with recent updates to ACTION: Notice of proposed rulemaking Engineer, Safety Management Section, Management Directive and Handbook (NPRM). Rotorcraft Standards Branch, FAA, 8.4, ‘‘Management of Backfitting, 10101 Hillwood Pkwy., Fort Worth, TX Forward Fitting, Issue Finality, and SUMMARY: The FAA proposes to adopt a 76177; telephone 817–222–5110; email Information Requests,’’ dated September new airworthiness directive (AD) for [email protected].

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SUPPLEMENTARY INFORMATION: FAA about the unsafe condition wiring would take about 2 work-hours, described in its AD. The FAA is and parts would cost about $154, for an Comments Invited proposing this AD after evaluating all estimated cost of $324 per helicopter. The FAA invites you to participate in known relevant information and Authority for This Rulemaking this rulemaking by submitting written determining that an unsafe condition is comments, data, or views. The FAA also likely to exist or develop on other Title 49 of the United States Code invites comments relating to the helicopters of the same type designs. specifies the FAA’s authority to issue economic, environmental, energy, or rules on aviation safety. Subtitle I, federalism impacts that might result Related Service Information Under 1 section 106, describes the authority of from adopting the proposals in this CFR Part 51 the FAA Administrator. Subtitle VII: document. The most helpful comments The FAA reviewed Airbus Helicopters Aviation Programs, describes in more reference a specific portion of the Alert Service Bulletin No. AS350– detail the scope of the Agency’s proposal, explain the reason for any 63.00.27, Revision 0, dated May 17, authority. recommended change, and include 2016. This service information contains The FAA is issuing this rulemaking supporting data. To ensure the docket procedures for performing a functional under the authority described in does not contain duplicate comments, check of the NR indicator, and, if Subtitle VII, Part A, Subpart III, Section commenters should send only one copy necessary, altering the wiring to add a 44701: General requirements. Under of written comments, or if comments are direct battery supply to the NR that section, Congress charges the FAA filed electronically, commenters should indicator. Airbus Helicopters identifies with promoting safe flight of civil submit only one time. this alteration as Modification aircraft in air commerce by prescribing The FAA will file in the docket all 350A084886.00. regulations for practices, methods, and comments received, as well as a report This service information is reasonably procedures the Administrator finds summarizing each substantive public available because the interested parties necessary for safety in air commerce. contact with FAA personnel concerning have access to it through their normal This regulation is within the scope of this proposed rulemaking. Before acting course of business or by the means that authority because it addresses an on this proposal, the FAA will consider identified in the ADDRESSES section. unsafe condition that is likely to exist or all comments received on or before the Proposed AD Requirements develop on products identified in this closing date for comments. The FAA rulemaking action. will consider comments filed after the This proposed AD would require comment period has closed if it is compliance with certain procedures Regulatory Findings possible to do so without incurring described in the manufacturer’s service The FAA determined that this expense or delay. The FAA may change bulletins. For Model AS350B2 proposed AD would not have federalism this proposal in light of the comments helicopters with an NR sensor part implications under Executive Order received. number 704A37614007 installed, this 13132. This proposed AD would not proposed AD would require, before Discussion have a substantial direct effect on the further flight, performing a test to States, on the relationship between the EASA, which is the Technical Agent determine if the NR indicator display national Government and the States, or for the Member States of the European changes or drops to zero when the on the distribution of power and Union, has issued EASA AD No. 2016– emergency cut-out control is activated. responsibilities among the various 0260, dated December 21, 2016, to If the NR display changes or drops to levels of government. correct an unsafe condition for Airbus zero during the ground run, this For the reasons discussed, I certify Helicopters Model AS350B2 helicopters proposed AD would require, before this proposed regulation: with a certain part-numbered NR sensor further flight, altering the NR sensor 1. Is not a ‘‘significant regulatory installed. EASA advises of several wiring. action’’ under Executive Order 12866; occurrences where the NR indicator has 2. Will not affect intrastate aviation in Differences Between This Proposed AD displayed incorrect data. According to Alaska; and and the EASA AD EASA, an investigation determined that 3. Will not have a significant whenever the emergency cut-out control The EASA AD requires compliance economic impact, positive or negative, was activated, such as during a practice within 75 flight hours, within 90 days, on a substantial number of small entities autorotation, electrical power to the NR or before the next autorotation training under the criteria of the Regulatory indicator was lost. The EASA AD states flight, whichever occurs first. This Flexibility Act. that this condition, if not detected and proposed AD would require compliance corrected, could result in a significant before further flight due to the critical List of Subjects in 14 CFR Part 39 increase in pilot workload, disruption of nature of NR information for the pilot Air transportation, Aircraft, Aviation the autorotation training, and during an autorotation. safety, Incorporation by reference, subsequent reduced control of the Safety. Costs of Compliance helicopter. To address this unsafe condition, the EASA AD requires a The FAA estimates that this proposed The Proposed Amendment functional check of the NR indicator AD affects 352 helicopters of U.S. Accordingly, under the authority display, and, if required, altering the Registry. The FAA estimates that delegated to me by the Administrator, wiring to ensure a dual power supply to operators may incur the following costs the FAA proposes to amend 14 CFR part the NR indicator. in order to comply with this AD. Labor 39 as follows: costs are estimated at $85 per work- FAA’s Determination hour. PART 39—AIRWORTHINESS These helicopters have been approved Performing a functional test of the NR DIRECTIVES by EASA and are approved for operation indicator would require about 0.5 work- in the United States. Pursuant to the hours for an estimated cost of $43 per ■ 1. The authority citation for part 39 FAA’s bilateral agreement with the helicopter and $15,136 for the U.S. fleet. continues to read as follows: European Union, EASA has notified the If required, altering the NR sensor Authority: 49 U.S.C. 106(g), 40113, 44701.

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§ 39.13 [Amended] (previously European Aviation Safety • Federal eRulemaking Portal: Go to ■ 2. The FAA amends § 39.13 by adding Agency) (EASA) AD No. 2016–0260, dated https://www.regulations.gov. Follow the the following new airworthiness December 21, 2016. You may view the EASA instructions for submitting comments. directive (AD): AD on the internet at https:// • Fax: 202–493–2251. www.regulations.gov in the AD Docket. • Airbus Helicopters: Docket No. FAA–2020– Mail: U.S. Department of 0271; Product Identifier 2017–SW–017– (h) Subject Transportation, Docket Operations, M– AD. Joint Aircraft Service Component (JASC) 30, West Building Ground Floor, Room Code: 6340 Main Rotor Drive Indicating W12–140, 1200 New Jersey Avenue SE, (a) Applicability System. Washington, DC 20590. This AD applies to Airbus Helicopters • Hand Delivery: Deliver to Mail Model AS350B2 helicopters, certificated in Issued on March 13, 2020. any category, with a main rotor RPM (NR) Gaetano A. Sciortino, address above between 9 a.m. and 5 sensor part number 704A37614007 installed. Deputy Director for Strategic Initiatives, p.m., Monday through Friday, except Federal holidays. (b) Unsafe Condition Compliance & Airworthiness Division, Aircraft Certification Service. For service information identified in This AD defines the unsafe condition as this NPRM, contact Leonardo S.p.A. loss of electrical power to the NR indicator [FR Doc. 2020–05774 Filed 3–20–20; 8:45 am] BILLING CODE 4910–13–P Helicopters, Emanuele Bufano, Head of when the emergency cutout control is Airworthiness, Viale G.Agusta 520, activated. This condition could result in increased pilot workload and reduced 21017 C.Costa di Samarate (Va) Italy; helicopter control. DEPARTMENT OF TRANSPORTATION telephone +39–0331–225074; fax +39– 0331–229046; or at https:// (c) Comments Due Date Federal Aviation Administration www.leonardocompany.com/en/home. The FAA must receive comments by May You may view this service information 22, 2020. 14 CFR Part 39 at the FAA, Office of the Regional Counsel, Southwest Region, 10101 (d) Compliance [Docket No. FAA–2020–0204; Product You are responsible for performing each Identifier 2018–SW–082–AD] Hillwood Pkwy, Room 6N–321, Fort action required by this AD within the Worth, TX 76177. For information about specified compliance time unless it has RIN 2120–AA64 the availability of this material at the already been accomplished prior to that time. FAA, call (817) 222–5110. Airworthiness Directives; Leonardo (e) Required Actions S.p.A (Type Certificate Previously Held Examining the AD Docket Before further flight, perform a ground run- by Agusta S.p.A) Helicopters up with the fuel flow control lever in the You may examine the AD docket on flight gate with the collective control in the AGENCY: Federal Aviation the internet at https:// down/locked position. While at flight NR Administration (FAA), DOT. www.regulations.gov by searching for speed, activate the emergency cut-out control ACTION: Notice of proposed rulemaking and locating Docket No. FAA–2020– and observe the NR indicator display value. (NPRM). 0204; or in person at Docket Operations If the NR indicator display changes or drops between 9 a.m. and 5 p.m., Monday to zero, before further flight, do the SUMMARY: The FAA proposes to through Friday, except Federal holidays. following: The AD docket contains this proposed (1) Alter the NR indicator wiring as supersede Airworthiness Directive (AD) depicted in Figures 1 and 2 of Airbus 2018–07–08, which applies to certain AD, the European Union Aviation Helicopters Alert Service Bulletin No. Leonardo S.p.A (type certificate Safety Agency (previously European AS350–63.00.27, Revision 0, dated May 17, previously held by Agusta S.p.A) Model Aviation Safety Agency) (EASA) AD, 2016; and, Note 1 to paragraph (e)(1) of this A109E, A109K2, A109S, AW109SP, any comments received, and other AD: Airbus Helicopters identifies the A119, and AW119 MKII helicopters. AD information. The street address for alteration of the wiring as Modification 2018–07–08 requires reducing the life Docket Operations is listed above. 350A084886.00. limit of the tail rotor blade retention bolt Comments will be available in the AD (2) Conduct a continuity test to confirm correct alteration of the wiring. and an inspection of that bolt for docket shortly after receipt. cracking, and replacement of any FOR FURTHER INFORMATION CONTACT: Matt (f) Alternative Methods of Compliance cracked bolt. Since issuing AD 2018– Fuller, Senior Aviation Safety Engineer, (AMOCs) 07–08, the FAA has determined that Safety Management Section, Rotorcraft (1) The Manager, Safety Management repetitive inspections of the tail rotor Standards Branch, FAA, 10101 Section, Rotorcraft Standards Branch FAA, blade retention bolt are needed to Hillwood Pkwy., Fort Worth, TX 76177; may approve AMOCs for this AD. Send your address the unsafe condition. This proposal to: George Schwab, Aviation Safety telephone (817) 222–5161; email Engineer, Safety Management Section, proposed AD would continue to require [email protected]. Rotorcraft Standards Branch, FAA, 10101 reducing the life limit of the tail rotor SUPPLEMENTARY INFORMATION: Hillwood Pkwy., Fort Worth, TX 76177; blade retention bolt, inspecting that bolt telephone 817–222–5110; email 9-ASW-FTW- for cracking, and replacing any cracked Comments Invited [email protected]. bolt. In addition, this proposed AD The FAA invites you to send any (2) For operations conducted under a 14 would require repetitive inspections of written relevant data, views, or CFR part 119 operating certificate or under the tail rotor blade retention bolt for 14 CFR part 91, subpart K, the FAA suggests arguments about this proposal. Send that you notify your principal inspector, or cracking. The FAA is proposing this AD your comments to an address listed lacking a principal inspector, the manager of to address the unsafe condition on these under the ADDRESSES section. Include the local flight standards district office or products. ‘‘Docket No. FAA–2020–0204; Product certificate holding district office, before DATES: The FAA must receive comments Identifier 2018–SW–082–AD’’ at the operating any aircraft complying with this on this proposed AD by May 7, 2020. beginning of your comments. The FAA AD through an AMOC. ADDRESSES: You may send comments, specifically invites comments on the (g) Additional Information using the procedures found in 14 CFR overall regulatory, economic, The subject of this AD is addressed in 11.43 and 11.45, by any of the following environmental, and energy aspects of European Union Aviation Safety Agency methods: this NPRM. The FAA will consider all

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comments received by the closing date resulting in loss of control of the FAA’s Determination and may amend this NPRM because of helicopter. AD 2018–07–08 did not This product has been approved by those comments. require repetitive inspections of the tail the aviation authority of another The FAA will post all comments rotor blade retention bolts at intervals country, and is approved for operation received, without change, to https:// not to exceed 200 flight hours as in the United States. Pursuant to the www.regulations.gov, including any specified in the MCAI, as this time FAA’s bilateral agreement with the State personal information you provide. The interval would allow for sufficient time of Design Authority, the FAA has been FAA will also post a report for notice and comment. summarizing each substantive verbal notified of the unsafe condition contact received about this NPRM. Actions Since AD 2018–07–08 Was described in the MCAI and service Issued information referenced above. The FAA Discussion is proposing this AD after evaluating all Since the FAA issued AD 2018–07– EASA, which is the Technical Agent the relevant information and 08, the FAA determined that repetitive for the Member States of the European determining the unsafe condition inspections of the tail rotor blade Union, has issued EASA Emergency AD, described previously is likely to exist or retention bolts are needed to address the 2016–0173–E, dated August 24, 2016 develop on other products of the same unsafe condition. (referred to after this as the Mandatory type design. Also, since the FAA issued AD 2018– Continuing Airworthiness Information, Proposed Requirements of This NPRM or ‘‘the MCAI’’), to correct an unsafe 07–08, Agusta S.p.A changed its name condition for all Leonardo S.p.A. Model to Leonardo S.p.A. This proposed AD This proposed AD would require A109E, A109K2, A109LUH, A109S, reflects that change and updates the accomplishing the actions specified in A119, AW109SP and AW119 MKII contact information to obtain service the service information described helicopters. documentation. previously, except as discussed under EASA advises that a crack was found You may examine the MCAI in the ‘‘Differences Between this Proposed AD in a tail rotor blade retention bolt having AD docket on the internet at https:// and the MCAI or Service Information.’’ part number (P/N) 709–0160–57–101, www.regulations.gov by searching for Differences Between This Proposed AD during a preflight inspection of a Model and locating Docket No. FAA–2020– and the MCAI or Service Information A109E helicopter. Tail rotor blade 0204. retention bolts having that part number The MCAI does not specify life limits are also installed on Model A109K2, Related Service Information Under 1 for a tail rotor blade retention bolt A109LUH, A109S, A119, AW109SP, CFR Part 51 having P/N 709–0160–57–101 that has been interchanged between model and AW119 MKII helicopters. A This proposed AD would require the helicopter installations, while this subsequent investigation did not following service information, which proposed AD does. identify the cause of the crack. EASA the Director of the Federal Register The MCAI applies to Model A109LUH also advises cracked tail rotor blade approved for incorporation by reference helicopters. Model A109LUH retention bolts, if not detected and as of April 26, 2018 (83 FR 15495, April helicopters are not certified by the FAA corrected, could lead to failure of the 11, 2018). and are not included on the U.S. type tail rotor, possibly resulting in loss of • control of the helicopter. As a Leonardo Helicopters Mandatory certificate data sheet; this AD therefore precautionary measure, pending the Bollettino Tecnico No. 109EP–149, does not include those helicopters in completion of the investigation and to dated August 19, 2016. the applicability. address the unsafe condition, the MCAI • Leonardo Helicopters Mandatory Interim Action requires reducing the life limit of these Bollettino Tecnico No. 109K–72, dated tail rotor blade retention bolts and August 19, 2016. The FAA considers this proposed AD repetitively inspecting the bolts. The • Leonardo Helicopters Mandatory to be an interim action. The design MCAI is considered an interim action Bollettino Tecnico No. 109S–072, dated approval holder is currently developing and further AD action may follow. August 19, 2016. a modification that will address the The FAA issued AD 2018–07–08, unsafe condition identified in this • Leonardo Helicopters Mandatory Amendment 39–19239 (83 FR 15495, proposed AD. Once this modification is Bollettino Tecnico No. 109SP–105, April 11, 2018) (‘‘AD 2018–07–08’’), for developed, approved, and available, the dated August 19, 2016. certain Model A109E, A109K2, A109S, FAA might consider additional • AW109SP, A119, and AW119 MKII Leonardo Helicopters Mandatory rulemaking. helicopters. AD 2018–07–08 requires Bollettino Tecnico No. 119–080, dated reducing the life limit of and inspecting August 19, 2016. Costs of Compliance the tail rotor blade retention bolts. AD This service information is reasonably The FAA estimates that this proposed 2018–07–08 resulted from the discovery available because the interested parties AD affects 219 helicopters of U.S. of a cracked tail rotor blade retention have access to it through their normal registry. The FAA estimates the bolt. The FAA issued AD 2018–07–08 to course of business or by the means following costs to comply with this address failure of the tail rotor, possibly identified in the ADDRESSES section. proposed AD:

ESTIMATED COSTS FOR REQUIRED ACTIONS

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

Retained actions from AD 2018–07–08 ...... 4 work-hours × $85 per hour = $340 ...... $0 $340 $74,460 New proposed actions ...... 4 work-hours × $85 per hour = $340 ...... 0 340 74,460

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ESTIMATED COSTS OF ON-CONDITION ACTIONS

Cost per Labor cost Parts cost product

2 work-hour × $85 per hour = $170 ...... $500 $670

According to the manufacturer, some List of Subjects in 14 CFR Part 39 (g) Required Actions or all of the costs of this proposed AD Air transportation, Aircraft, Aviation (1) Before further flight: may be covered under warranty, thereby (i) For Model A109E and A109K2 safety, Incorporation by reference, helicopters, remove from service any bolt reducing the cost impact on affected Safety. individuals. The FAA does not control having P/N 709–0160–57–101 that has 800 or The Proposed Amendment more hours time-in-service (TIS). If the hours warranty coverage for affected TIS is unknown, remove the bolt from individuals. As a result, the FAA has Accordingly, under the authority service. Thereafter, remove from service any included all known costs in the cost delegated to me by the Administrator, bolt having P/N 709–0160–57–101 before estimate. accumulating 800 hours TIS. the FAA proposes to amend 14 CFR part (ii) For Model A109S, AW109SP, A119, Authority for This Rulemaking 39 as follows: and AW119 MKII helicopters, remove from service any bolt having P/N 709–0160–57– Title 49 of the United States Code PART 39—AIRWORTHINESS 101 that has 3,200 or more landings. If the specifies the FAA’s authority to issue DIRECTIVES number of landings is unknown, remove the rules on aviation safety. Subtitle I, bolt from service. Thereafter, remove from section 106, describes the authority of ■ 1. The authority citation for part 39 service any bolt having P/N 709–0160–57– continues to read as follows: 101 before accumulating 3,200 landings. For the FAA Administrator. Subtitle VII: purposes of this AD, a landing is counted Aviation Programs, describes in more Authority: 49 U.S.C. 106(g), 40113, 44701. anytime a helicopter lifts off into the air and detail the scope of the Agency’s then lands again regardless of the duration of § 39.13 [Amended] authority. the landing and regardless of whether the ■ 2. The FAA amends § 39.13 by engine is shutdown. The FAA is issuing this rulemaking removing Airworthiness Directive (AD) (iii) Remove from service any bolt having under the authority described in 2018–07–08, Amendment 39–19239 (83 P/N 709–0160–57–101 that has been Subtitle VII, Part A, Subpart III, Section FR 15495, April 11, 2018), and adding interchanged between different model helicopters listed in paragraphs (g)(1)(i) and 44701: General requirements. Under the following new AD: that section, Congress charges the FAA (ii) of this AD that has 800 or more hours TIS with promoting safe flight of civil Leonardo S.p.A. (type certificate previously or 3,200 or more landings. If the hours TIS or number of landings is unknown, remove aircraft in air commerce by prescribing held by Agusta S.p.A.): Docket No. FAA– 2020–0204; Product Identifier 2018–SW– the bolt from service. Thereafter, remove regulations for practices, methods, and 082–AD. from service any bolt having P/N 709–0160– procedures the Administrator finds 57–101 that has been interchanged between necessary for safety in air commerce. (a) Comments Due Date different model helicopters listed in This regulation is within the scope of The FAA must receive comments by May paragraphs (g)(1)(i) and (ii) of this AD before that authority because it addresses an 7, 2020. accumulating 800 hours TIS or 3,200 landings, whichever occurs first. unsafe condition that is likely to exist or (b) Affected ADs (2) Within 25 hours TIS after the effective develop on products identified in this This AD replaces AD 2018–07–08, date of this AD, and thereafter at intervals not rulemaking action. Amendment 39–19239 (83 FR 15495, April to exceed 200 hours TIS, remove each bolt 11, 2018) (‘‘AD 2018–07–08’’). having P/N 709–0160–57–101. Prior to Regulatory Findings cleaning, using a 10X or higher power (c) Applicability magnifying glass, inspect each bolt having P/ The FAA determined that this This AD applies to Leonardo S.p.A. (type N 709–0160–57–101 for any crack in the area proposed AD would not have federalism certificate previously held by Agusta S.p.A.) depicted in Figure 1 of Leonardo Helicopters implications under Executive Order Model A109E, A109K2, A109S, AW109SP, Mandatory Bollettino Tecnico No. 109EP– 13132. This proposed AD would not A119, and AW119 MKII helicopters, 149, 109K–72, 109S–072, 109SP–105, or 119– have a substantial direct effect on the certificated in any category, with a tail rotor 080, all dated August 19, 2016, as applicable States, on the relationship between the blade retention bolt (bolt) having part to your model helicopter. number (P/N) 709–0160–57–101 installed. (i) If there is any crack, replace the bolt national Government and the States, or with an airworthy bolt before further flight. on the distribution of power and (d) Subject (ii) If there are no cracks, before further responsibilities among the various Joint Aircraft Service Component (JASC) flight, clean and degrease the inspection area levels of government. Code 6500, Tail Rotor Drive System. of the bolt with solvent, and using a 10X or For the reasons discussed above, I higher power magnifying glass, inspect each (e) Reason bolt having P/N 709–0160–57–101 for any certify this proposed regulation: This AD was prompted by the discovery of crack in the area depicted in Figure 1 of (1) Is not a ‘‘significant regulatory a cracked bolt, and a determination that Leonardo Helicopters Mandatory Bollettino action’’ under Executive Order 12866, repetitive inspections of the bolt are needed Tecnico No. 109EP–149, 109K–72, 109S–072, to address the unsafe condition. The FAA is 109SP–105, or 119–080, all dated August 19, (2) Will not affect intrastate aviation issuing this AD to address cracked bolts, 2016, as applicable to your model helicopter. in Alaska, and which could result in failure of the tail rotor If there is any crack, replace the bolt with an (3) Will not have a significant and loss of control of the helicopter. airworthy bolt before further flight. (3) As of the effective date of this AD, economic impact, positive or negative, (f) Compliance installation of a bolt having P/N 709–0160– on a substantial number of small entities Comply with this AD within the 57–101 is allowed, provided that the bolt has under the criteria of the Regulatory compliance times specified, unless already passed an inspection as required by Flexibility Act. done. paragraph (g)(2) of this AD.

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(h) Alternative Methods of Compliance and CL–600–2B16 (601–3A, 601–3R, Mechanical Systems and Administrative (AMOCs) and 604 Variants) airplanes. This Services Section, FAA, New York ACO (1) The Manager, Safety Management proposed AD was prompted by a report Branch, 1600 Stewart Avenue, Suite Section, Rotorcraft Standards Branch, FAA, that fast and easy access to the portable 410, Westbury, NY 11590; telephone may approve AMOCs for this AD. Send your oxygen bottle may be prevented by the 516–228–7323; fax 516–794–5531; email proposal to: Matt Fuller, Senior Aviation portable oxygen bottle installation’s [email protected]. Safety Engineer, Safety Management Section, upper bracket latch assembly catching Section, Rotorcraft Standards Branch, FAA, SUPPLEMENTARY INFORMATION: on the pressure gauge tube or on the 10101 Hillwood Pkwy., Fort Worth, TX Comments Invited 76177; telephone (817) 222–5161; email 9- pressure gauge bezel of the portable [email protected]. oxygen bottle. This proposed AD would The FAA invites you to send any (2) For operations conducted under a 14 require a check to identify the written relevant data, views, or CFR part 119 operating certificate or under manufacturer and part number of the arguments about this proposal. Send 14 CFR part 91, subpart K, notify your portable oxygen bottle installation, and, your comments to an address listed principal inspector or lacking a principal if necessary, modification of the under the ADDRESSES section. Include inspector, the manager of the local flight portable oxygen bottle installation. The ‘‘Docket No. FAA–2020–0203; Product standards district office or certificate holding FAA is proposing this AD to address the Identifier 2019–NM–142–AD’’ at the district office, before operating any aircraft beginning of your comments. The FAA complying with this AD through an AMOC. unsafe condition on these products. DATES: The FAA must receive comments specifically invites comments on the (i) Related Information on this proposed AD by May 7, 2020. overall regulatory, economic, (1) The subject of this AD is addressed in ADDRESSES: You may send comments, environmental, and energy aspects of European Union Aviation Safety Agency using the procedures found in 14 CFR this NPRM. The FAA will consider all (previously European Aviation Safety comments received by the closing date Agency) (EASA) Emergency AD 2016–0173– 11.43 and 11.45, by any of the following methods: and may amend this NPRM because of E, dated August 24, 2016. This EASA AD • those comments. may be found in the AD docket on the Federal eRulemaking Portal: Go to https://www.regulations.gov. Follow the The FAA will post all comments internet at https://www.regulations.gov by received, without change, to https:// searching for and locating Docket FAA– instructions for submitting comments. 2020–0204. • Fax: 202–493–2251. www.regulations.gov, including any (2) For service information identified in • Mail: U.S. Department of personal information you provide. The this AD, contact Leonardo S.p.A. Helicopters, Transportation, Docket Operations, M– FAA will also post a report Emanuele Bufano, Head of Airworthiness, 30, West Building Ground Floor, Room summarizing each substantive verbal Viale G.Agusta 520, 21017 C.Costa di W12–140, 1200 New Jersey Avenue SE, contact received about this NPRM. Samarate (Va) Italy; telephone +39–0331– 225074; fax +39–0331–229046; or at https:// Washington, DC 20590. Discussion • Hand Delivery: Deliver to Mail www.leonardocompany.com/en/home. You Transport Canada Civil Aviation address above between 9 a.m. and 5 may view this service information at the (TCCA), which is the aviation authority p.m., Monday through Friday, except FAA, Office of the Regional Counsel, for Canada, has issued Canadian AD Southwest Region, 10101 Hillwood Pkwy, Federal holidays. CF–2019–26, dated July 9, 2019 Room 6N–321, Fort Worth, TX 76177. For For service information identified in (referred to after this as the Mandatory information on the availability of this this NPRM, contact Bombardier, Inc., Continuing Airworthiness Information, material at the FAA, call (817) 222–5110. 200 Coˆte-Vertu Road West, Dorval, or ‘‘the MCAI’’), to correct an unsafe Issued on March 16, 2020. Que´bec H4S 2A3, Canada; North condition for certain Bombardier, Inc., America toll-free telephone 1–866–538– Lance T. Gant, Model CL–600–1A11 (600), CL–600– 1247 or direct-dial telephone 1–514– Director, Compliance & Airworthiness 2A12 (601), and CL–600–2B16 (601–3A, 855–2999; email ac.yul@ Division, Aircraft Certification Service. 601–3R, and 604 Variants) airplanes. [FR Doc. 2020–05851 Filed 3–20–20; 8:45 am] aero.bombardier.com; internet https:// This proposed AD was prompted by www.bombardier.com. You may view BILLING CODE 4910–13–P a report that fast and easy access to the this service information at the FAA, portable oxygen bottle may be prevented Transport Standards Branch, 2200 by the portable oxygen bottle DEPARTMENT OF TRANSPORTATION South 216th St., Des Moines, WA. For installation’s upper bracket latch information on the availability of this assembly catching on the pressure gauge Federal Aviation Administration material at the FAA, call 206–231–3195. tube or on the pressure gauge bezel of the portable oxygen bottle. The FAA is 14 CFR Part 39 Examining the AD Docket You may examine the AD docket on proposing this AD to address this [Docket No. FAA–2020–0203; Product condition, which, if not detected and Identifier 2019–NM–142–AD] the internet at https:// www.regulations.gov by searching for corrected, could prevent fast and easy RIN 2120–AA64 and locating Docket No. FAA–2020– access to the portable oxygen bottle in 0203; or in person at Docket Operations an emergency situation. See the MCAI Airworthiness Directives; Bombardier, between 9 a.m. and 5 p.m., Monday for additional background information. Inc., Airplanes through Friday, except Federal holidays. Related Service Information Under 1 AGENCY: Federal Aviation The AD docket contains this NPRM, the CFR Part 51 Administration (FAA), DOT. regulatory evaluation, any comments Bombardier has issued the following received, and other information. The ACTION: Notice of proposed rulemaking service information: street address for Docket Operations is (NPRM). • Bombardier Service Bulletin 600– listed above. Comments will be 0772, dated June 29, 2018; SUMMARY: The FAA proposes to adopt a available in the AD docket shortly after • Bombardier Service Bulletin 601– new airworthiness directive (AD) for receipt. 0646, dated June 29, 2018; certain Bombardier, Inc., Model CL– FOR FURTHER INFORMATION CONTACT: • Bombardier Service Bulletin 604– 600–1A11 (600), CL–600–2A12 (601), Darren Gassetto, Aerospace Engineer, 35–006, dated June 29, 2018;

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• Bombardier Service Bulletin 605– country, and is approved for operation Differences Between This Proposed AD 35–005, dated June 29, 2018; in the United States. Pursuant to a and the MCAI or Service Information • Bombardier Service Bulletin 650– bilateral agreement with the State of 35–001, dated June 29, 2018. Design Authority, the FAA has been The MCAI specifies that airplanes This service information describes notified of the unsafe condition having serial numbers not listed in the procedures for a check to identify the described in the MCAI and service applicable service information must do manufacturer and part number of the information referenced above. The FAA certain actions in accordance with the portable oxygen bottle installation, and, is proposing this AD because the agency applicable service information. This if necessary, modification of the evaluated all the relevant information proposed AD would require airplanes portable oxygen bottle installation. and determined the unsafe condition having serial numbers not listed in the These documents are distinct since they described previously is likely to exist or applicable service information to do apply to different airplane models. This develop on other products of the same those actions in accordance with the service information is reasonably type design. procedures specified in paragraph (j)(2) available because the interested parties Proposed Requirements of This NPRM of this proposed AD. have access to it through their normal course of business or by the means This proposed AD would require Costs of Compliance identified in the ADDRESSES section. accomplishing the actions specified in the service information described The FAA estimates that this proposed FAA’s Determination previously, except as discussed under AD affects 188 airplanes of U.S. registry. This product has been approved by ‘‘Differences Between this Proposed AD The FAA estimates the following costs the aviation authority of another and the MCAI or Service Information.’’ to comply with this proposed AD:

ESTIMATED COSTS FOR REQUIRED ACTIONS

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

3 work-hours × $85 per hour = $1,530 per installation ...... $1,785 per installation ...... $335,580 per installation $255 per installation..

Authority for This Rulemaking (1) Is not a ‘‘significant regulatory (b) Affected ADs action’’ under Executive Order 12866, Title 49 of the United States Code None. specifies the FAA’s authority to issue (2) Will not affect intrastate aviation (c) Applicability in Alaska, and rules on aviation safety. Subtitle I, This AD applies to the Bombardier, Inc., section 106, describes the authority of (3) Will not have a significant airplanes identified in paragraphs (c)(1) the FAA Administrator. Subtitle VII: economic impact, positive or negative, through (3), certificated in any category, Aviation Programs, describes in more on a substantial number of small entities equipped with Scott (Avox/Zodiac) 5500 or detail the scope of the Agency’s under the criteria of the Regulatory 5600 series 11 cubic foot portable oxygen authority. Flexibility Act. bottle(s) with upper bracket part number (P/ N) 36758–02, P/N 36758–12 or P/N H3– The FAA is issuing this rulemaking List of Subjects in 14 CFR Part 39 2091–1 installed at the neck of the bottle(s). under the authority described in Air transportation, Aircraft, Aviation (1) Model CL–600–1A11 (600) airplanes, Subtitle VII, Part A, Subpart III, Section serial numbers 1004 through 1085 inclusive. 44701: ‘‘General requirements.’’ Under safety, Incorporation by reference, Safety. (2) Model CL–600–2A12 (601) airplanes, that section, Congress charges the FAA serial numbers 3001 through 3066 inclusive. with promoting safe flight of civil The Proposed Amendment (3) Model CL–600–2B16 (601–3A, 601–3R, aircraft in air commerce by prescribing and 604 Variants) airplanes, serial numbers regulations for practices, methods, and Accordingly, under the authority 5001 through 5194 inclusive, 5301 through procedures the Administrator finds delegated to me by the Administrator, 5665 inclusive, 5701 through 5988 inclusive, necessary for safety in air commerce. the FAA proposes to amend 14 CFR part and 6050 through 6119 inclusive. This regulation is within the scope of 39 as follows: (d) Subject that authority because it addresses an PART 39—AIRWORTHINESS Air Transport Association (ATA) of unsafe condition that is likely to exist or DIRECTIVES America Code 35, Oxygen. develop on products identified in this (e) Reason rulemaking action. ■ 1. The authority citation for part 39 This AD was prompted by a report that fast Regulatory Findings continues to read as follows: and easy access to the portable oxygen bottle Authority: 49 U.S.C. 106(g), 40113, 44701. may be prevented by the portable oxygen The FAA determined that this bottle installation’s upper bracket latch proposed AD would not have federalism § 39.13 [Amended] assembly catching on the pressure gauge tube implications under Executive Order ■ 2. The FAA amends § 39.13 by adding or on the pressure gauge bezel of the portable 13132. This proposed AD would not the following new airworthiness oxygen bottle. The FAA is proposing this AD have a substantial direct effect on the to address this condition, which, if not directive (AD): States, on the relationship between the detected and corrected, could prevent fast national Government and the States, or Bombardier, Inc.: Docket No. FAA–2020– and easy access to the portable oxygen bottle on the distribution of power and 0203; Product Identifier 2019–NM–142– in an emergency situation. AD. responsibilities among the various (f) Compliance levels of government. (a) Comments Due Date Comply with this AD within the For the reasons discussed above, I We must receive comments by May 7, compliance times specified, unless already certify this proposed regulation: 2020. done.

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(g) Portable Oxygen Bottle Check paragraphs (g), (h), and (i) of this AD: Within of the Accomplishment Instructions of the For airplanes with a serial number listed in 60 months after the effective date of this AD, applicable Bombardier service information check each portable oxygen bottle Section 1.A of the applicable Bombardier specified in figure 1 to paragraphs (g), (h), installation to determine the manufacturer and (i) of this AD. service information specified in figure 1 to and P/N, in accordance with paragraph 2.B.

(h) Bracket Modifications AMOCs for this AD, if requested using the https://www.regulations.gov by searching for If, during the inspection specified in procedures found in 14 CFR 39.19. In and locating Docket No. FAA–2020–0203. paragraph (g) of this AD, any portable oxygen accordance with 14 CFR 39.19, send your (2) For more information about this AD, bottle is found to be manufactured by Scott request to your principal inspector or local contact Darren Gassetto, Aerospace Engineer, (Avox/Zodiac) and is a 5500 or 5600 series Flight Standards District Office, as Mechanical Systems and Administrative appropriate. If sending information directly 11 cubic foot bottle, with upper bracket P/N Services Section, FAA, New York ACO 36758–02, 36758–12, or H3–2091–1 installed to the manager of the certification office, send it to ATTN: Program Manager, Branch, 1600 Stewart Avenue, Suite 410, at the neck of the bottle: Modify the portable Westbury, NY 11590; telephone 516–228– oxygen bottle brackets in accordance with the Continuing Operational Safety, FAA, New 7323; fax 516–794–5531; email 9-avs-nyaco- paragraph 2.C. of the Accomplishment York ACO Branch, 1600 Stewart Avenue, Instructions of the applicable Bombardier Suite 410, Westbury, NY 11590; telephone [email protected]. service information specified in figure 1 to 516–228–7300; fax 516–794–5531. Before (3) For service information identified in paragraphs (g), (h), and (i) of this AD. using any approved AMOC, notify your this AD, contact Bombardier, Inc., 200 Coˆte- appropriate principal inspector, or lacking a Vertu Road West, Dorval, Que´bec H4S 2A3, (i) Portable Oxygen Bottle Check and principal inspector, the manager of the local Canada; North America toll-free telephone 1– Corrective Actions for Airplanes Not Listed flight standards district office/certificate 866–538–1247 or direct-dial telephone 1– in the Service Information holding district office. 514–855–2999; email ac.yul@ (2) Contacting the Manufacturer: For any For airplanes with a serial number that is aero.bombardier.com; internet https:// not listed in section 1.A of the applicable requirement in this AD to obtain instructions www.bombardier.com. You may view this Bombardier service information specified in from a manufacturer, the instructions must figure 1 to paragraphs (g), (h), and (i) of this be accomplished using a method approved service information at the FAA, Transport AD: Within 60 months after the effective date by the Manager, New York ACO Branch, Standards Branch, 2200 South 216th St., Des of this AD, check each portable oxygen bottle FAA; or Transport Canada Civil Aviation Moines, WA. For information on the installation to determine the manufacturer (TCCA); or Bombardier’s TCCA Design availability of this material at the FAA, call and part number and accomplish corrective Approval Organization (DAO). If approved by 206–231–3195. actions in accordance with the procedures the DAO, the approval must include the Issued on March 13, 2020. specified in paragraph (j)(2) of this AD. DAO-authorized signature. Gaetano A. Sciortino, (j) Other FAA AD Provisions (k) Related Information Deputy Director for Strategic Initiatives, The following provisions also apply to this (1) Refer to Mandatory Continuing Compliance & Airworthiness Division, AD: Airworthiness Information (MCAI) Canadian Aircraft Certification Service. (1) Alternative Methods of Compliance AD CF–2019–26, dated July 9, 2019, for (AMOCs): The Manager, New York ACO related information. This MCAI may be [FR Doc. 2020–05771 Filed 3–20–20; 8:45 am] Branch, FAA, has the authority to approve found in the AD docket on the internet at BILLING CODE 4910–13–P

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DEPARTMENT OF TRANSPORTATION www.archives.gov/federal-register/cfr/ date will be considered before taking ibr-locations.html. action on the proposed rule. The Federal Aviation Administration FOR FURTHER INFORMATION CONTACT: proposal contained in this action may Colby Abbott, Rules and Regulations be changed in light of comments 14 CFR Part 71 Group, Office of Policy, Federal received. All comments submitted will [Docket No. FAA–2020–0189; Airspace Aviation Administration, 800 be available for examination in the Docket No. 19–AGL–2] Independence Avenue SW, Washington, public docket both before and after the DC 20591; telephone: (202) 267–8783. comment closing date. A report RIN 2120–AA66 SUPPLEMENTARY INFORMATION: summarizing each substantive public Proposed Amendment of V–55, V–271, contact with FAA personnel concerned Authority for This Rulemaking T–215, and T–265, and Revocation of with this rulemaking will be filed in the V–215 and V–450 in the Vicinity of The FAA’s authority to issue rules docket. Muskegon, MI regarding aviation safety is found in Availability of NPRMs Title 49 of the United States Code. AGENCY: Federal Aviation Subtitle I, Section 106 describes the An electronic copy of this document Administration (FAA), DOT. authority of the FAA Administrator. may be downloaded through the ACTION: Notice of proposed rulemaking Subtitle VII, Aviation Programs, internet at https://www.regulations.gov. (NPRM). describes in more detail the scope of the Recently published rulemaking agency’s authority. This rulemaking is documents can also be accessed through SUMMARY: This action proposes to promulgated under the authority the FAA’s web page at https:// _ amend two VHF Omnidirectional Range described in Subtitle VII, Part A, www.faa.gov/air traffic/publications/ _ (VOR) Federal airways, V–55 and V– Subpart I, Section 40103. Under that airspace amendments/. 271; amend two low altitude Area section, the FAA is charged with You may review the public docket Navigation (RNAV) routes, T–215 and prescribing regulations to assign the use containing the proposal, any comments T–265; and remove two VOR Federal of the airspace necessary to ensure the received and any final disposition in airways, V–215 and V–450, in the safety of aircraft and the efficient use of person in the Dockets Office (see vicinity of Muskegon, MI. The air traffic airspace. This regulation is within the ADDRESSES section for address and service (ATS) route modifications are scope of that authority as it would phone number) between 9:00 a.m. and necessary due to the planned modify the route structure as necessary 5:00 p.m., Monday through Friday, decommissioning of the VOR portion of to preserve the safe and efficient flow of except federal holidays. An informal the Muskegon, MI, VOR/Tactical Air air traffic within the National Airspace docket may also be examined during Navigation (VORTAC) navigation aid System. normal business hours at the office of (NAVAID). The NAVAID provides the Operations Support Group, Central navigation guidance for portions of the Comments Invited Service Center, Federal Aviation affected ATS routes. This VOR is being Interested parties are invited to Administration, 10101 Hillwood Blvd., decommissioned as part of the FAA’s participate in this proposed rulemaking Fort Worth, TX 76177. VOR Minimum Operational Network by submitting such written data, views, Availability and Summary of (MON) program. or arguments as they may desire. Documents for Incorporation by DATES: Comments must be received on Comments that provide the factual basis Reference or before May 7, 2020. supporting the views and suggestions ADDRESSES: Send comments on this presented are particularly helpful in This document proposes to amend proposal to the U.S. Department of developing reasoned regulatory FAA Order 7400.11D, Airspace Transportation, Docket Operations, 1200 decisions on the proposal. Comments Designations and Reporting Points, New Jersey Avenue SE, West Building are specifically invited on the overall dated August 8, 2019, and effective Ground Floor, Room W12–140, regulatory, aeronautical, economic, September 15, 2019. FAA Order Washington, DC 20590; telephone: (800) environmental, and energy-related 7400.11D is publicly available as listed 647–5527, or (202) 366–9826. You must aspects of the proposal. in the ADDRESSES section of this identify FAA Docket No. FAA–2020– Communications should identify both document. FAA Order 7400.11D lists 0189; Airspace Docket No. 19–AGL–2 at docket numbers (FAA Docket No. FAA– Class A, B, C, D, and E airspace areas, the beginning of your comments. You 2020–0189; Airspace Docket No. 19– air traffic service routes, and reporting may also submit comments through the AGL–2) and be submitted in triplicate to points. internet at https://www.regulations.gov. the Docket Management Facility (see Background FAA Order 7400.11D, Airspace ADDRESSES section for address and Designations and Reporting Points, and phone number). You may also submit The FAA is planning subsequent amendments can be viewed comments through the internet at decommissioning activities for the VOR online at https://www.faa.gov/air_ https://www.regulations.gov. portion of the Muskegon, MI, VORTAC traffic/publications/. For further Commenters wishing the FAA to in September, 2020. The VOR portion of information, you can contact the Rules acknowledge receipt of their comments the Muskegon NAVAID is a candidate and Regulations Group, Federal on this action must submit with those VOR identified for discontinuance by Aviation Administration, 800 comments a self-addressed, stamped the FAA’s VOR MON program and Independence Avenue SW, Washington, postcard on which the following listed in the final policy statement DC 20591; telephone: (202) 267–8783. statement is made: ‘‘Comments to FAA notice, ‘‘Provision of Navigation The Order is also available for Docket No. FAA–2020–0189; Airspace Services for the Next Generation Air inspection at the National Archives and Docket No. 19–AGL–2.’’ The postcard Transportation System (NextGen) Records Administration (NARA). For will be date/time stamped and returned Transition to Performance-Based information on the availability of FAA to the commenter. Navigation (PBN) (Plan for Establishing Order 7400.11D at NARA, email: All communications received on or a VOR Minimum Operational [email protected] or go to https:// before the specified comment closing Network),’’ published in the Federal

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Register of July 26, 2016 (81 FR 48694), VOR Federal airway changes are enroute low altitude structure to Docket No. FAA–2011–1082. outlined below. overcome the loss of the V–55 airway Although the VOR portion of the V–55: V–55 currently extends segment south of the Muskegon Muskegon, MI, VORTAC is planned for between the Dayton, OH, VOR/Distance VORTAC and the loss of the V–215 decommissioning, the co-located DME Measuring Equipment (VOR/DME) and airway segments north of the Muskegon portion of the NAVAID is being the intersection of the Green Bay, WI, VORTAC. Additionally, the geographic retained. VORTAC 270° and Oshkosh, WI, coordinates of each route point would ° The ATS route dependencies to the VORTAC 339 radials (BIPID fix); be expressed in degrees, minutes, Muskegon VORTAC are VOR Federal between the Eau Claire, WI, VORTAC seconds, and hundredths of a second. airways V–55, V–215, V–271, and V– and the Siren, WI, VOR/DME; and The radials listed in the VOR Federal 450. However, as result of the proposed between the Park Rapids, MN, VOR/ airway V–55 description below are amendments to those airways, this DME and the Bismarck, ND, VOR/DME. unchanged and stated in True degrees. action also addresses proposed The FAA proposes to remove the airway VOR Federal airways are published in amendments to RNAV routes T–217 and segment between the Pullman, MI, paragraph 6010(a) and low altitude T–265. VOR/DME and the intersection of the RNAV T-routes are published in Green Bay, WI, VORTAC 270° and paragraph 6011 of FAA Order 7400.11D With the planned decommissioning of ° the VOR portion of the Muskegon Oshkosh, WI, VORTAC 339 radials dated August 8, 2019, and effective VORTAC, the remaining ground-based (BIPID fix). Additional changes to other September 15, 2019, which is NAVAID coverage in the area is portions of the airway have been incorporated by reference in 14 CFR insufficient to enable the continuity of proposed in a separate NPRM. The 71.1. The ATS routes listed in this unaffected portions of the existing the affected VOR Federal airways. As document would be subsequently airway would remain as charted. such, proposed modifications to the published in the Order. V–215: V–215 currently extends affected VOR Federal airways would FAA Order 7400.11, Airspace between the intersection of the Designations and Reporting Points, is result in gaps in two of the airways, V– Muskegon, MI, VORTAC 208° and 55 and V–271, and revocation of the published yearly and effective on Pullman, MI, VOR/DME 261° radials September 15. other two airways, V–215 and V–450. (JYBEE fix) and the Gaylord, MI, VOR/ To overcome the airway gaps and DME. The FAA proposes to remove the Regulatory Notices and Analyses revocations, instrument flight rules airway in its entirety. The FAA has determined that this (IFR) traffic could use adjacent ATS V–271: V–271 currently extends proposed regulation only involves an routes, including V–26, V–30, V–133, between the Muskegon, MI, VORTAC established body of technical V–193, V–217, V–285, and V–420, to and the Escanaba, MI, VOR/DME. The regulations for which frequent and circumnavigate the affected area. IFR FAA proposes to remove the airway routine amendments are necessary to traffic could also file point to point segment between the Muskegon, MI, keep them operationally current. It, through the affected area using existing VORTAC and the Manistee, MI, VOR/ therefore: (1) Is not a ‘‘significant airway fixes that will remain in place, DME. The unaffected portions of the regulatory action’’ under Executive as well as adjacent NAVAIDs, or receive existing airway would remain as Order 12866; (2) is not a ‘‘significant air traffic control (ATC) radar vectors charted. rule’’ under Department of through the area. Visual flight rules V–450: V–450 currently extends Transportation (DOT) Regulatory pilots who elect to navigate via the between the Escanaba, MI, VOR/DME Policies and Procedures (44 FR 11034; airways through the affected area could and the Flint, MI, VORTAC. The FAA February 26, 1979); and (3) does not also take advantage of the adjacent VOR proposes to remove the airway in its warrant preparation of a regulatory Federal airways or ATC services listed entirety. evaluation as the anticipated impact is previously. The proposed low altitude RNAV so minimal. Since this is a routine Further, the FAA proposes to extend route changes are outlined below. matter that will only affect air traffic RNAV routes T–217 and T–265 through T–217: T–217 currently extends procedures and air navigation, it is the affected area, with minor editorial between the Lexington, KY, VOR/DME certified that this proposed rule, when amendments to the descriptions, to and the BONEE, OH, fix. The FAA promulgated, will not have a significant continue supporting enroute airspace proposes to extend the route economic impact on a substantial users, as well as ongoing FAA NextGen northwestward from the BONEE, OH, number of small entities under the efforts to transition the national airspace fix to the GAYLE, MI, waypoint. The criteria of the Regulatory Flexibility Act. system to one of performance-based extension of T–217 would replace the navigation. The editorial amendments to loss of a portion of V–450 west of the Environmental Review the existing T–217 and T–265 Muskegon VORTAC. Additionally, the This proposal will be subject to an descriptions would not change the route type of NAVAID facility for the environmental analysis in accordance structure, operational use, or charted Lexington, KY, route point would be with FAA Order 1050.1F, depiction of the routes. corrected from ‘‘VORTAC’’ to ‘‘VOR/ ‘‘Environmental Impacts: Policies and DME’’ and the geographic coordinates of The Proposal Procedures’’ prior to any FAA final each of the new route points would be regulatory action. The FAA is proposing an amendment expressed in degrees, minutes, seconds, to Title 14 Code of Federal Regulations and hundredths of a second. List of Subjects in 14 CFR Part 71 (14 CFR) part 71 to modify VOR Federal T–265: T–265 currently extends Airspace, Incorporation by reference, airways V–55 and V–271, modify low between the AHMED, IL, fix and the Navigation (air). altitude RNAV routes T–217 and T–265, VEENA, WI, fix. The FAA proposes to and remove VOR Federal airways V–215 amend the existing route and extend it The Proposed Amendment and V–450. The planned eastward and northward so the route In consideration of the foregoing, the decommissioning of the VOR portion of would begin at the JAYBE, WI, fix and Federal Aviation Administration the Muskegon, MI, VORTAC has made end at the PINES, MI, waypoint. The proposes to amend 14 CFR part 71 as this action necessary. The proposed extension of T–265 would establish follows:

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PART 71—DESIGNATION OF CLASS A, Points, dated August 8, 2019 and V–215 [Removed] B, C, D, AND E AIRSPACE AREAS; AIR effective September 15, 2019, is * * * * * TRAFFIC SERVICE ROUTES; AND amended as follows: V–271 [Amended] REPORTING POINTS Paragraph 6010(a) Domestic VOR Federal From Manistee, MI; to Escanaba, MI. ■ Airways. 1. The authority citation for part 71 * * * * * continues to read as follows: * * * * * V–450 [Removed] Authority: 49 U.S.C. 106(f), 106(g); 40103, V–55 [Amended] 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, From Dayton, OH; Fort Wayne, IN; Goshen, * * * * * 1959–1963 Comp., p. 389. IN; Gipper, MI; Keeler, MI; to Pullman, MI. From Eau Claire, WI; to Siren, WI. From Park 6011. United States Area Navigation Routes § 71.1 [Amended] Rapids, MN; Grand Forks, ND; INT Grand * * * * * ■ 2. The incorporation by reference in Forks 239° and Bismarck, ND, 067° radials; 14 CFR 71.1 of FAA Order 7400.11D, to Bismarck. Airspace Designations and Reporting * * * * *

T–217 LEXINGTON, KY (HYK) TO GAYLE, MI [AMENDED] Lexington, KY (HYK) VOR/DME (Lat. 37°57′58.86″ N, long. 84°28′21.06″ W) BOSTR, OH FIX (Lat. 38°53′08.13″ N, long. 84°04′58.02″ W) HEDEN, OH FIX (Lat. 39°16′44.88″ N, long. 84°02′02.37″ W) PRUDE, OH FIX (Lat. 39°25′44.92″ N, long. 83°56′58.60″ W) Springfield, OH (SGH) DME (Lat. 39°50′11.55″ N, long. 83°50′41.84″ W) BONEE, OH FIX (Lat. 40°03′08.85″ N, long. 83°56′56.15″ W) SJAAY, IN WP (Lat. 40°58′44.05″ N, long. 85°11′17.17″ W) DERRF, IN WP (Lat. 41°39′56.73″ N, long. 85°23′58.59″ W) GETCH, MI WP (Lat. 43°10′07.15″ N, long. 86°03′03.06″ W) GAYLE, MI WP (Lat. 43°29′37.62″ N, long. 87°00′13.08″ W)

* * * * *

T–265 JAYBE, WI TO PINES, MI [AMENDED] JAYBE, WI FIX (Lat. 42°38′39.36″ N, long. 88°38′19.60″ W) GRIFT, IL WP (Lat. 42°17′28.14″ N, long. 88°53′41.42″ W) START, IL WP (Lat. 41°45′24.83″ N, long. 89°00′21.81″ W) MEITZ, IL FIX (Lat. 41°23′30.87″ N, long. 88°38′53.19″ W) COYAP, IL WP (Lat. 41°13′26.93″ N, long. 87°41′20.30″ W) MAPPS, IN WP (Lat. 41°10′53.94″ N, long. 86°56′32.63″ W) KLROY, IN WP (Lat. 41°19′19.37″ N, long. 86°38′57.44″ W) SMUUV, MI WP (Lat. 42°27′58.77″ N, long. 86°07′38.37″ W) GETCH, MI WP (Lat. 43°10′07.15″ N, long. 86°03′03.06″ W) LADIN, MI WP (Lat. 44°22′25.44″ N, long. 85°09′38.61″ W) CARGA, MI WP (Lat. 44°38′28.29″ N, long. 84°58′15.15″ W) BUDHA, MI WP (Lat. 44°58′24.33″ N, long. 84°45′23.22″ W) RONDO, MI WP (Lat. 45°16′43.24″ N, long. 84°31′06.32″ W) PINES, MI WP (Lat. 46°01′49.61″ N, long. 84°29′12.25″ W)

* * * * * DEPARTMENT OF TRANSPORTATION of the National Airspace System (NAS) and reduce dependency on ground- Issued in Washington, DC, on March 11, Federal Aviation Administration 2020. based navigational systems. Scott M. Rosenbloom, DATES: Comments must be received on 14 CFR Part 71 or before May 7, 2020. Acting Manager, Rules and Regulations Group. [Docket No. FAA–2020–0187; Airspace ADDRESSES: Send comments on this Docket No. 19–ASO–27] [FR Doc. 2020–05858 Filed 3–20–20; 8:45 am] proposal to the U.S. Department of Transportation, Docket Operations, 1200 BILLING CODE 4910–13–P RIN 2120–AA66 New Jersey Avenue SE, West Building Proposed Amendment and Removal of Ground Floor, Room W12–140, Air Traffic Service (ATS) Routes; Washington, DC 20590; telephone: 1 Eastern United States (800) 647–5527, or (202) 366–9826. You AGENCY: Federal Aviation must identify FAA Docket No. FAA– Administration (FAA), DOT. 2020–0187; Airspace Docket No. 19– ASO–27 at the beginning of your ACTION: Notice of proposed rulemaking comments. You may also submit (NPRM). comments through the internet at http:// SUMMARY: This action proposes to www.regulations.gov. amend 9 jet routes, remove 22 jet routes, FAA Order 7400.11D, Airspace and remove 1 high altitude area Designations and Reporting Points, and navigation (RNAV) route in the eastern subsequent amendments can be viewed United States. This action is in support online at http://www.faa.gov/air_traffic/ of the Northeast Corridor Atlantic Coast publications/. For further information, Route Project to improve the efficiency you can contact the Rules and

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Regulations Group, Federal Aviation comments a self-addressed, stamped Atlantic Coast Route Project by Administration, 800 Independence postcard on which the following amending and removing certain jet route Avenue SW, Washington, DC 20591; statement is made: ‘‘Comments to FAA segments that are being replaced by telephone: (202) 267–8783. The Order is Docket No. FAA–2020–0187; Airspace RNAV routing. Additionally, the also available for inspection at the Docket No. 19–ASO–27.’’ The postcard proposed jet route changes would National Archives and Records will be date/time stamped and returned reduce aeronautical chart clutter by Administration (NARA). For to the commenter. removing unneeded route segments. information on the availability of FAA All communications received on or In this NPRM, where new navigation Order 7400.11D at NARA, email: before the specified comment closing aid radials are proposed in an amended [email protected] or go to https:// date will be considered before taking jet route description, both ‘‘True’’ (T) www.archives.gov/federal-register/cfr/ action on the proposed rule. The and ‘‘Magnetic’’ (M) degrees will be ibr-locations.html. proposal contained in this action may stated. Existing radials in the FOR FURTHER INFORMATION CONTACT: be changed in light of comments descriptions are expressed only in True Sean Hook, Rules and Regulations received. All comments submitted will degrees. Some jet routes discussed in Group, Office of Policy, Federal be available for examination in the this preamble include points that are Aviation Administration, 800 public docket both before and after the identified by the intersection of radials Independence Avenue SW, Washington, comment closing date. A report from two VOR or VORTAC navigation DC 20591; telephone: (202) 267–8783. summarizing each substantive public facilities. In some cases, those contact with FAA personnel concerned intersections are assigned a specific fix SUPPLEMENTARY INFORMATION: with this rulemaking will be filed in the name that is depicted on aeronautical Authority for this Rulemaking docket. charts (e.g., TYDOE, GA). While these fix names are not stated in the The FAA’s authority to issue rules Availability of NPRMs regulatory descriptions of jet routes, regarding aviation safety is found in An electronic copy of this document they are noted in the preamble text Title 49 of the United States Code. may be downloaded through the below to assist readers in locating that Subtitle I, Section 106 describes the internet at https://www.regulations.gov. point on aeronautical charts. authority of the FAA Administrator. Recently published rulemaking The proposed route changes are as Subtitle VII, Aviation Programs, documents can also be accessed through follows: describes in more detail the scope of the the FAA’s web page at https:// J–2: J–2 currently extends between the agency’s authority. This rulemaking is www.faa.gov/air_traffic/publications/ Mission Bay, CA, VORTAC, and the promulgated under the authority airspace_amendments/. Taylor, FL, VORTAC. This action described in Subtitle VII, Part A, You may review the public docket proposes to remove the segment of the Subpart I, Section 40103. Under that containing the proposal, any comments route between the Seminole, FL, section, the FAA is charged with received and any final disposition in VORTAC and the Taylor, FL, VORTAC. prescribing regulations to assign the use person in the Dockets Office (see As amended, J–2 would extend between of the airspace necessary to ensure the ADDRESSES section for address and the Mission Bay VORTAC and safety of aircraft and the efficient use of phone number) between 9:00 a.m. and intersection of the Crestview, FL, 091° airspace. This regulation is within the 5:00 p.m., Monday through Friday, and Seminole, FL, 290° radials scope of that authority as it would except federal holidays. (depicted on aeronautical charts as the modify the route structure as necessary An informal docket may also be OJHAP, FL, INT). to preserve the safe and efficient flow of examined during normal business hours J–14: J–14 currently extends between air traffic within the NAS. at the office of the Eastern Service the Panhandle, TX, VORTAC, and the Comments Invited Center, Federal Aviation Patuxent, MD, VORTAC. This action Administration, Room 210, 1701 proposes to remove the segment Interested parties are invited to Columbia Ave., College Park, GA 30337. between the Greensboro VORTAC, and participate in this proposed rulemaking the Patuxent VORTAC. Concurrent by submitting such written data, views, Availability and Summary of changes to other portions of the airway or arguments as they may desire. Documents for Incorporation by are being proposed in separate NPRMs. Comments that provide the factual basis Reference The unaffected portions of the existing supporting the views and suggestions This document proposes to amend airway would remain as charted. presented are particularly helpful in FAA Order 7400.11D, Airspace J–24: J–24 currently extends, in two developing reasoned regulatory Designations and Reporting Points, parts: Between the Myton, UT, VOR/ decisions on the proposal. Comments dated August 8, 2019, and effective DME, and the Hayden, CO, VOR/DME; are specifically invited on the overall September 15, 2019. FAA Order and between the Hugo, CO VOR/DME, regulatory, aeronautical, economic, 7400.11D is publicly available as listed and the Harcum, VA, VORTAC. This environmental, and energy-related in the ADDRESSES section of this action proposes to remove the segments aspects of the proposal. document. FAA Order 7400.11D lists between the Montebello, VA, VOR/ Communications should identify both Class A, B, C, D, and E airspace areas, DME, and the Harcum VORTAC. As docket numbers (FAA Docket No. FAA– air traffic service routes, and reporting amended, J–24 would extend, in two 2020–0187; Airspace Docket No. 19– points. parts: Between Myton, UT, and Hayden, ASO–27) and be submitted in triplicate CO; and between Hugo, CO, and to the Docket Management Facility (see The Proposal Montebello, VA. ADDRESSES section for address and The FAA is proposing an amendment J–37: J–37 currently consist of three phone number). You may also submit to Title 14 Code of Federal Regulations separate segments: Between Hobby, TX, comments through the internet at (14 CFR) part 71 to amend 9 jet routes, VOR/DME and Montgomery, AL, https://www.regulations.gov. remove 22 jet routes, and remove 1 high VORTAC; followed by a gap; and then Commenters wishing the FAA to altitude area navigation (RNAV) route in between Lynchburg, VA, VOR/DME and acknowledge receipt of their comments the eastern United States. This action Coyle, NJ, VORTAC; followed by a gap; on this action must submit with those would support the Northeast Corridor and then between Kennedy, NY, VOR/

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DME, and Massena, NY, VORTAC. As Nantucket, MA, VOR/DME. The FAA FAA proposes to remove the entire amended, J–37 would just consist of a proposes to remove the latter section route. single segment between Hobby, TX and from Hancock to Nantucket. The J–230: J–230 currently extends Montgomery, AL. amended route would extend from between the Robbinsville, NJ, VORTAC, J–39: J–39 currently extends between Gopher VORTAC to Flint VORTAC. and the Bellaire, OH, VOR/DME. The the Crestview, FL, VORTAC, and the J–79: J–79 currently extends between FAA proposes to remove the entire Rosewood, OH, VORTAC. This action Charleston, SC, VORTAC, and Bangor, route. would remove the portion of the route ME, VORTAC. The FAA proposes to J–506: J–506 currently extends between the Crestview, FL and the delete the entire route. between the Millinocket, ME, VOR/DME Montgomery, AL, VORTAC. The J–109: J–109 currently extends and the intersection of the St John, NB, amended route would extend between between the Wilmington, NC, VORTAC, Canada, VOR/DME 267° radial with the Montgomery, AL and Rosewood, OH. and the Linden, VA, VORTAC. The FAA United States/Canadian border. The J–42: J–42 currently extends between proposes to remove the entire route. FAA proposes to remove the entire the Delicias, Mexico, VOR/DME, and J–121: J–121 currently extends route. the Boston, MA, VOR/DME. This action between the Charleston, SC, VORTAC, J–561: J–561 currently extends would remove the segment between and the Kennebunk, ME, VOR/DME. between the Presque Isle, ME, VOR/ Nottingham, MD, VORTAC, and Boston, The FAA proposes to remove the entire DME, and the Mont Joli, PQ, Canada, MA. The amended route would extend route. VOR/DME, excluding the portion between Delicias, Mexico and J–150: J–150 extends between the outside of the United States. The FAA Gordonsville, VA, VORTAC. The Gordonsville, VA, VORTAC and STOOL proposes to remove the entire route. portion within Mexico is excluded. INT (defined as the Marconi, MA, 082° J–563: J–563 currently extends J–52: J–52 currently extends in two and the Boston, MA, 097° radials). The between the Albany, NY, VORTAC, and parts: Between Vancouver, BC, Canada, FAA proposes to remove the entire the Sherbrooke, BC, Canada, VOR/DME, VOR/DME, and the Columbia, SC, route. excluding the portion outside of the VORTAC; followed by a gap in the United States. The FAA proposes to route, and resuming between the J–165: J–165 currently extends remove the entire route. intersection of the Columbia, SC, 042° between the intersection of the ° Charleston, SC, VORTAC 025° and the J–570: J–570 currently extends and the Flat Rock, VA, 212 radials ° (TUBAS Fix) and Richmond, VA, VOR/ Florence, SC, VORTAC 085 radials between the Albany, NY, VORTAC, and DME. This action would remove the (DWYTE Fix) and the Richmond, VA, the Mirabel, PQ, Canada, VOR/DME, segment from Atlanta, GA, VORTAC, VOR/DME. The FAA proposes to excluding the portion outside of the and Richmond, VA. The amended route remove the entire route. United States. The FAA proposes to would extend between Vancouver, BC J–174: J–174 currently extends remove the entire route. and Vulcan, AL, VORTAC. The portion between Charleston, SC, VORTAC, and J–573: J–573 currently extends within Canada is excluded. the intersection of the Marconi, MA, between the Kennebunk, ME, VOR/ VOR/DME 090° and the Nantucket, MA, DME, and the St John, NB, Canada, J–55: J–55 currently extends in two ° parts: Between the Charleston, SC, VOR/DME 066 radials. The FAA VOR/DME, excluding the portion VORTAC, and INT Hopewell, VA, 030° proposes to remove the entire route. outside of the United States. The FAA and Nottingham, MD, 174° radials; J–191: J–191 currently extends proposes to remove the entire route. followed by a gap in the route, and between the Robbinsville, NJ, VORTAC, J–582: J–582 currently extends resuming between Sea Isle, NJ, and the Wilmington, NC, VORTAC. The between the Presque Isle, ME, VOR/ VORTAC, and Presque Isle, ME, VOR/ FAA proposes to remove the entire DME, and the Sept Isle, PQ, Canada, DME. The FAA proposes to remove the route. VOR/DME, excluding the portion entire route. J–193: J–193 currently extends outside of the United States. The FAA J–61: J–61 currently extends between between the Wilmington, NC, VORTAC, proposes to remove the entire route. the WETRO, NC, WP (defined by the and the Harcum, VA, VORTAC 006° and J–585: J–585 currently extends intersection of the Dixon, NC, NDB 023° Hopewell, VA, VORTAC 030° radials between the Nantucket, MA, VOR/DME, and Nottingham, MD, VORTAC 174° (HUBBS INT). The FAA proposes to and the Yarmouth, NS, Canada, VOR/ radials), and the Philipsburg, PA, remove the entire route. DME, excluding the portion outside of VORTAC. This action would remove the J–207: J–207 currently extends the United States. The FAA proposes to segment between the WETRO WP and between the Florence, SC, VORTAC, remove the entire route. the Nottingham VORTAC. The amended and the Franklin, VA, VORTAC. The In addition to the above jet route route would extend from the FAA proposes to remove the entire changes, the FAA proposes to remove Westminster, MD, VORTAC, and the route. one high altitude RNAV route as Philipsburg VORTAC. J–209: J–209 currently extends follows: J–62: J–62 currently extends between between the Raleigh-Durham, NC, Q–108: Q–108 currently extends the Robbinsville, NJ, VORTAC, and INT VORTAC, and the intersection of the between the GADAY, FL, WP and the Hopewell, VA, 030° and Nottingham, Coyle, NJ, VORTAC 036° and the HKUNA, FL, fix. The FAA proposes to MD, 174° radials; followed by a gap in Robbinsville, NJ, VORTAC 136° radials. remove the entire route. the route, and resuming between Sea The FAA proposes to remove the entire Jet routes are published in paragraph Isle, NJ, VORTAC, and Presque Isle, ME, route. 2004; and United States Area Navigation VOR/DME. The FAA proposes to J–222: J–222 currently extends Routes are published in paragraph 2006; remove the entire route. Alternative between the Robbinsville, NJ, VORTAC, of FAA Order 7400.11D dated August 8, routing is available via J–222 to J–79. and the Cambridge, NY, VOR/DME. The 2019, and effective September 15, 2019, J–68: J–68 currently extends in two FAA proposes to remove the entire which is incorporated by reference in 14 parts: Between Gopher, MN, VORTAC, route. CFR 71.1. The jet routes and RNAV and Flint, MI, VORTAC; followed by a J–225: J–225 currently extends route listed in this document would be gap in the route, and resuming between between the Cedar Lake, NJ, VOR/DME, subsequently amended in, or removed, Hancock, NY, VOR/DME, and and the Providence, RI, VOR/DME. The respectively, from the Order.

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FAA Order 7400.11, Airspace Paragraph 2004 Jet Routes J–563 [Remove] Designations and Reporting Points, is J–2 J–570 [Remove] published yearly and effective on From Mission Bay, CA; Imperial, CA; Bard, J–573 [Remove] September 15. AZ; INT Bard 089° and Gila Bend, AZ, ° J–582 [Remove] Regulatory Notices and Analyses 261 radials; Gila Bend; Tucson, AZ; El Paso, TX; Fort Stockton, TX; Junction, TX; San J–585 [Remove] The FAA has determined that this Antonio, TX; Humble, TX; Lake Charles, LA; Paragraph 2006 United States Area proposed regulation only involves an Fighting Tiger, LA; Semmes, AL; Crestview, Navigation Routes. FL; to INT Crestview 091°and Seminole, FL, established body of technical 290°radials. Q–108 [Remove] regulations for which frequent and J–14 Issued in Washington, DC, on March 11, routine amendments are necessary to 2020. keep them operationally current. It, From Panhandle, TX; via Will Rogers, OK; Scott M. Rosenbloom, therefore: (1) Is not a ‘‘significant Little Rock, AR; to Vulcan, AL. Acting Manager, Airspace Policy Group. regulatory action’’ under Executive J–24 [FR Doc. 2020–05857 Filed 3–20–20; 8:45 am] Order 12866; (2) is not a ‘‘significant From Myton, UT, to Hayden, CO. From BILLING CODE 4910–13–P rule’’ under Department of Hugo, CO, Hays, KS; via Salina, KS; Kansas Transportation (DOT) Regulatory City, MO; St. Louis, MO; Brickyard, IN; Policies and Procedures (44 FR 11034; Falmouth, KY; Charleston, WV; to February 26, 1979); and (3) does not Montebello, VA. DEPARTMENT OF JUSTICE warrant preparation of a regulatory J–37 Drug Enforcement Administration evaluation as the anticipated impact is From Hobby, TX, via INT of the Hobby so minimal. Since this is a routine 090° and Harvey, LA, 266° radials; Harvey; 21 CFR Parts 1301 and 1318 matter that will only affect air traffic Semmes, AL; to Montgomery, AL. procedures and air navigation, it is [Docket No. DEA–506] J–39 certified that this proposed rule, when RIN 1117–AB54 promulgated, will not have a significant From Montgomery, AL; Vulcan, AL, economic impact on a substantial Nashville, TN; Louisville, KY, to Rosewood, Controls To Enhance the Cultivation of OH. number of small entities under the Marihuana for Research in the United criteria of the Regulatory Flexibility Act. J–42 States From Delicias, Mexico, via Fort Stockton, Environmental Review AGENCY: Drug Enforcement TX; Abilene, TX; Ranger, TX; Texarkana, AR; Administration, Department of Justice. This proposal will be subject to an Memphis, TN; Nashville, TN; Beckley, WV; ACTION: Notice of proposed rulemaking. environmental analysis in accordance Montebello, VA; to Gordonsville, VA. with FAA Order 1050.1F, J–52 SUMMARY: The Drug Enforcement ‘‘Environmental Impacts: Policies and From Vancouver, BC, Canada; via Spokane, Administration is proposing to amend Procedures’’ prior to any FAA final WA; Salmon, ID; Dubois, ID; Rock Springs, its regulations to comply with the regulatory action. WY; Falcon, CO; Hugo, CO; Lamar, CO; requirements of the Controlled Liberal, KS; INT Liberal 137° and Ardmor, Substances Act, including consistency List of Subjects in 14 CFR Part 71 ° OK 309 radials; Ardmore; Texarkana, AR; with treaty obligations, in order to Sidon, MS; Bigbee, MS; to Vulcan, AL. Airspace, Incorporation by reference, facilitate the cultivation of marihuana Navigation (air). J–55 [Remove] for research purposes and other licit J–61 purposes. Specifically, this proposed The Proposed Amendment rule would amend the provisions of the From Westminster, MD; to Philipsburg, PA. regulations governing applications by In consideration of the foregoing, the J–62 [Remove] persons seeking to become registered Federal Aviation Administration with DEA to grow marihuana as bulk proposes to amend 14 CFR part 71 as J–68 manufacturers and add provisions follows: ° From Gopher, MN, INT Gopher 109 and related to the purchase and sale of this Dells, WI, 310° radials; Dells; Badger, WI; PART 71—DESIGNATION OF CLASS A, INT Badger 086° and Flint, MI, 278° radials; marihuana by DEA. B, C, D, AND E AIRSPACE AREAS; AIR to Flint. DATES: Comments must be submitted electronically or postmarked on or TRAFFIC SERVICE ROUTES; AND J–79 [Remove] REPORTING POINTS before May 22, 2020. J–109 [Remove] ADDRESSES: To ensure proper handling ■ 1. The authority citation for part 71 J–121 [Remove] of comments, please reference ‘‘[RIN continues to read as follows: J–150 [Remove] 1117–AB54/Docket No. DEA–506]’’ on all electronic and written J–165 [Remove] Authority: 49 U.S.C. 106(f), 106(g); 40103, correspondence, including any 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, J–174 [Remove] attachments. 1959–1963 Comp., p. 389. J–191 [Remove] • Electronic Comments: DEA encourages that all comments be § 71.1 [Amended] J–193 [Remove] submitted electronically through the ■ 2. The incorporation by reference in J–222 [Remove] Federal eRulemaking Portal, which 14 CFR 71.1 of FAA Order 7400.11D, J–225 [Remove] provides the ability to type short Airspace Designations and Reporting J–230 [Remove] comments directly into the comment Points, dated August 8, 2019, and field on the web page or attach a file for effective September 15, 2019, is J–506 [Remove] lengthier comments. Please go to http:// amended as follows: J–561 [Remove] www.regulations.gov and follow the

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online instructions at that site for of your comment. You must also place (1st Cir. 2013). Under section 823(a), for submitting comments. Upon completion all of the personal identifying DEA to grant a registration, the DEA of your submission, you will receive a information you do not want made Administrator must determine that two Comment Tracking Number for your publicly available in the first paragraph conditions are satisfied: (1) The comment. Please be aware that of your comment and identify what registration is consistent with the public submitted comments are not information you want redacted. interest (based on the enumerated instantaneously available for public If you want to submit confidential criteria in section 823(a)), and (2) the view on Regulations.gov. If you have business information as part of your registration is consistent with U.S. received a Comment Tracking Number, comment, but do not want it to be made obligations under the Single Convention your comment has been successfully publicly available, you must include the on Narcotic Drugs, 1961 (‘‘Single submitted and there is no need to phrase ‘‘CONFIDENTIAL BUSINESS Convention’’ or ‘‘Treaty’’), 18 U.S.T. resubmit the same comment. INFORMATION’’ in the first paragraph 1407.3 Commenters should be aware that the of your comment. You must also In 2016, DEA issued a policy electronic Federal Docket Management prominently identify the confidential statement aimed at expanding the System will not accept any comments business information to be redacted number of manufacturers who could after 11:59 p.m. Eastern Time on the last within the comment. produce marihuana for research day of the comment period. Comments containing personal purposes. See Applications to Become • Paper Comments: Paper comments identifying information or confidential Registered under the Controlled that duplicate electronic submissions business information identified as Substances Act to Manufacture are not necessary. Should you wish to directed above will be made publicly Marijuana to Supply Researchers in the mail a paper comment in lieu of an available in redacted form. If a comment United States, 81 FR 53846 (Aug. 12, electronic comment, it should be sent has so much confidential business 2016). Subsequently, the Department of via regular or express mail to: Drug information that it cannot be effectively Justice (DOJ) undertook a review of the Enforcement Administration, Attn: DEA redacted, all or part of that comment CSA, including the provisions requiring Federal Register Representative/DPW, may not be made publicly available. consistency with obligations under 8701 Morrissette Drive, Springfield, Comments posted to http:// international treaties such as the Single Virginia 22152–2639. www.regulations.gov may include any Convention, and determined that certain • Paperwork Reduction Act personal identifying information (such changes to its 2016 policy were needed. Comments: All comments concerning as your name, address, etc.) included in The pertinent Treaty provisions are collections of information under the the text of your electronic submission found in articles 23 and 28 of the Single Paperwork Reduction Act must be that is not identified as directed above Convention, which are summarized submitted to the Office of Information as confidential. below. Additionally, DEA believes that An electronic copy of this proposed and Regulatory Affairs, Office of these changes will enhance and improve rule is available at http:// Management and Budget, Attention: research with marihuana and facilitate www.regulations.gov for ease of Desk Officer for DOJ, Washington, DC research that could result in the reference. 20503. Please state that your comment development of marihuana-based refers to RIN 1117–AB54/Docket No. Background and Purpose of This medicines approved by the Food and DEA–506. Proposed Rule Drug Administration (FDA). FOR FURTHER INFORMATION CONTACT: Under the Controlled Substances Act This proposed rule is being issued Scott A. Brinks, Regulatory Drafting and (CSA), all persons who seek to pursuant to the Administrator’s Policy Support Section (DPW), manufacture a controlled substance authority under the CSA ‘‘to promulgate Diversion Control Division, Drug must apply for and obtain a DEA rules and regulations and to charge Enforcement Administration; Mailing registration.1 21 U.S.C. 822(a)(1). The reasonable fees relating to the Address: 8701 Morrissette Drive, CSA defines ‘‘manufacture’’ to include registration and control of the Springfield, Virginia 22152–2639; the ‘‘production’’ of a controlled manufacture, distribution, and Telephone: (571) 362–3261. substance, which includes, among other dispensing of controlled substances,’’ 21 U.S.C. 821, and to ‘‘promulgate and SUPPLEMENTARY INFORMATION: things, the planting, cultivation, growing, or harvesting of a controlled enforce any rules, regulations, and Posting of Public Comments substance. 21 U.S.C. 802(15), (22). Thus, procedures which he may deem Please note that all comments any person who seeks to plant, necessary and appropriate for the received in response to this docket are cultivate, grow, or harvest marihuana 2 efficient execution of his functions considered part of the public record. to supply researchers or for other uses under [the CSA],’’ 21 U.S.C. 871(b). They will, unless reasonable cause is permissible under the CSA (such as A. Relevant Provisions of the Single given, be made available by DEA for product development) must obtain a Convention DEA manufacturing registration. public inspection online at http:// Because the terminology used in the Because marihuana is a schedule I www.regulations.gov. Such information Single Convention is somewhat controlled substance, applications by includes personal identifying different from that in the CSA, a brief persons seeking to become registered to information (such as your name, explanation is warranted. The Single manufacture marihuana are governed by address, etc.) that you voluntarily Convention uses the terms ‘‘cannabis,’’ 21 U.S.C. 823(a). See generally 76 FR submit. The Freedom of Information Act ‘‘cannabis plant,’’ and ‘‘cannabis applies to all comments received. If you 51403 (2011); 74 FR 2101 (2009), pet. for rev. denied, Craker v. DEA, 714 F.3d 17 want to submit personal identifying 3 Section 823(a) provides that the registrations to information (such as your name, manufacture controlled substances in schedule I or address, etc.) as part of your comment, 1 All functions vested in the Attorney General by II must be ‘‘consistent with the public interest and but do not want it to be made publicly the CSA have been delegated to the Administrator with United States obligations under international of DEA. 28 CFR 0.100(b). treaties, conventions, or protocols in effect on May available, you must include the phrase 2 This document uses both the CSA spelling 1, 1971.’’ The Single Convention entered into force ‘‘PERSONAL IDENTIFYING ‘‘marihuana’’ and the modern spelling ‘‘marijuana’’ for the United States on June 24, 1967. See Single INFORMATION’’ in the first paragraph interchangeably. Convention, 18 U.S.T. 1407.

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resin’’—all of which are generally Article 23(2) of the Single provisions, namely articles 23 and 28 of encompassed by the CSA definition of Convention, made applicable to the Single Convention, DEA proposes to ‘‘marihuana’’ in 21 U.S.C. 802(16)).4 The marijuana cultivation by Article 28, directly perform functions (d) and (e) as Single Convention defines ‘‘cannabis contains five requirements for the well. This proposed rule would amend plant’’ as ‘‘any plant of the genus supervision, licensing, and distribution DEA’s regulations so that DEA directly Cannabis.’’ Single Convention art. of marijuana.6 carries out these remaining two 1(1)(c). The Single Convention defines (a) Designate the areas in which, and functions. ‘‘cannabis’’ as the ‘‘flowering or fruiting the plots of land on which, cultivation DEA also recognizes that the tops of the cannabis plant (excluding of the cannabis plant for the purpose of Department of Health and Human the seeds and leaves when not producing cannabis or cannabis resin Services (HHS) has, for nearly 50 years, accompanied by the tops) from which shall be permitted. maintained an essential program aimed the resin has not been extracted.’’ Id. art. (b) Ensure that only cultivators at ensuring that marihuana is available 1(1)(b). The Single Convention defines licensed by the agency shall be to meet the research and scientific needs ‘‘cannabis resin’’ as the ‘‘separated authorized to engage in such of the United States. The regulations resin, whether crude or purified, cultivation. proposed here, if finalized, will require obtained from the cannabis plant.’’ Id. (c) Ensure that each license shall some changes to this program, but DEA art. 1(1)(d). specify the extent of the land on which is committed to ensuring that the Article 28 of the Single Convention the cultivation is permitted. National Institute on Drug Abuse states in paragraph 1: ‘‘If a Party permits (d) Require all cultivators of the (NIDA) program continues with the cultivation of the cannabis plant for cannabis plant to deliver their total minimal disruption and there is no the production of cannabis or cannabis crops of cannabis and cannabis resin to impact on the availability of marihuana resin, it shall apply thereto the system the agency and ensure that the agency through the NIDA Drug Supply Program of controls as provided in article 23 purchases and takes physical possession (DSP). respecting the control of the opium of such crops as soon as possible, but After the publication of the 2016 poppy.’’ Paragraph 2 of that article not later than four months after the end policy statement, DOJ advised DEA that excludes from the Convention the of the harvest. it must adjust its policies and practices cultivation of cannabis for industrial or (e) Have the exclusive right of to ensure compliance with the CSA, horticultural purposes. Because the importing, exporting, wholesale trading, including the CSA’s requirement that United States permits the cultivation of and maintaining stocks of cannabis and registrations be consistent with the marihuana for the production of cannabis resin, except that this Single Convention. Therefore, the cannabis and cannabis resin currently exclusive right need not extend to regulations being proposed herein, if only for research purposes, it is medicinal cannabis, cannabis finalized, would ensure that DEA obligated under the Treaty to apply to preparations, or the stocks of cannabis regulations comply with applicable law. the marihuana plant cultivated for these and cannabis resin held by Within that framework, DEA is purposes the ‘‘system of controls’’ manufacturers of such medicinal proposing changes to support using provided in article 23 respecting the cannabis and cannabis preparations.7 marihuana (including extracts and control of the opium poppy. DEA already directly performs substances derived therefrom) The Commentary to the Single functions (a), (b), and (c) by virtue of the cultivated in the United States to Convention contains the following CSA registration system as applied to perform research which, among other explanation of articles 23 and 28 within manufacturers of marihuana. In order to things, may lead to the approval of FDA- the overall framework of the Treaty: ensure that DEA complies with the CSA approved medicines. Thus, the proposed rule, if adopted, would The system of control over all stages of the and grants registrations that are consistent with relevant treaty supersede the 2016 policy statement. drug economy which the Single Convention To address the foregoing provides has two basic features: Limitation of considerations, the proposed rule would narcotic supplies of each country . . . to the prepare the Commentary ‘‘in the light of the quantities that it needs for medical and relevant conference proceedings and other add regulations stating: scientific purposes, and authorization of each material’’ in order to aid governments in applying (1) All registered manufacturers who form of participation in the drug economy, the Single Convention. The Commentary (1973) is cultivate cannabis shall deliver their that is, licensing of producers, manufacturers not binding on Parties to the Convention. Economic total crops of cannabis to DEA. DEA and traders .... In the case of the and Social Council Resolution 1962/914(XXXIV) D shall purchase and take physical production of opium, coca leaves, cannabis (Aug. 3, 1962). 6 possession of such crops as soon as and cannabis resin, this re´gime is The Single Convention provides that the five functions of article 23, paragraph 2 ‘‘shall be possible, but not later than four months supplemented by the requirement of discharged by a single government agency if the after the end of the harvest. DEA may maintaining government monopolies for the constitution of the Party concerned permits it.’’ accept delivery and maintain possession wholesale and international trade in these Single Convention art. 23(3). Nothing in the drugs in countries which produce them Constitution would preclude the United States from of such crops at the registered location .... discharging all of those controls through one of the registered manufacturer government agency. The Commentary to the Single Secretary-General of the United authorized to cultivate cannabis Convention notes that this is in order to facilitate consistent with the maintenance of Nations, Commentary on the Single national planning and coordinated management of Convention on Narcotic Drugs, 1961, the various tasks imposed upon a country by Article effective controls against diversion. In 263 (1973) (emphasis added) (footnotes 23, and that in countries where more than one such cases, DEA shall designate a secure agency is needed on constitutional grounds, omitted).5 storage mechanism at the registered administrative arrangements should be made to location in which DEA may maintain ensure the required coordination. 4 As discussed below, the Agriculture 7 The meanings of the terms ‘‘medicinal possession of the cannabis, and DEA Improvement Act of 2018, Public Law 115–334, cannabis’’ and ‘‘cannabis preparations’’ are will control access to the stored removed hemp from the CSA definition of addressed later in this document. Article 23, cannabis. If DEA determines that no marihuana. This proposed rule applies only to paragraph 2(e) also refers to ‘‘opium alkaloids.’’ suitable location exists at the registered cannabis that is included in the CSA definition of However, due to distinctions between the opiates marihuana. derived from the opium poppy and the location of the registered manufacturer 5 The United Nations’ Economic and Social cannabinoids derived from the cannabis plant, the authorized to cultivate cannabis, then Council requested that the Secretary-General notion of ‘‘cannabis alkaloids’’ is inapplicable. DEA shall designate a location for the

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authorized grower to deliver the crop as • Medicinal cannabis means a drug the foregoing exclusive right and could soon as possible, but not later than four product made from the cannabis plant, be further distributed or dispensed by a months after the end of the harvest. or derivatives thereof that can be legally DEA registrant in any manner However, in all cases the registrant must marketed under the Federal Food, Drug, authorized under the CSA. DEA is comply with the security requirements and Cosmetic Act. However, such term committed to ensuring this new specified in 21 CFR part 1301. does not include any material, requirement is implemented in a (2) DEA shall, with respect to compound, mixture, or preparation that manner that supports the policy goal of cannabis, have the exclusive right of falls outside the CSA definition of facilitating research involving marijuana importing, exporting, wholesale trading, marihuana. and its chemical constituents. and maintaining stocks other than those • Cannabis preparation means B. Activities Performed by Bulk held by registered manufacturers and cannabis that was delivered to DEA and Manufacturers of Marihuana and the distributors of medicinal cannabis or subsequently converted by a registered Application of These Proposed cannabis preparations. Such exclusive manufacturer into a mixture (solid or Regulations on Those Activities right shall not extend to medicinal liquid) containing cannabis, cannabis cannabis or cannabis preparations. DEA resin, or extracts of cannabis. However, Based on approximately 35 pending may exercise its exclusive right by such term does not include any applications resulting from publication authorizing the performance of such material, compound, mixture, or of its 2016 policy statement, DEA activities by appropriately registered preparation that falls outside the CSA anticipates that those bulk persons. DEA will require prior written definition of marihuana. manufacturers who would obtain a notice of each proposed importation, Thus, under the proposed rule, DEA registration from DEA to grow exportation, or distribution of cannabis would have the exclusive right of marihuana would be one (or more) of that specifies the quantity of cannabis to importing, exporting, wholesale trading, three different types. In this section, be imported, exported, or distributed and maintaining stocks of marihuana DEA describes each type and how the and the name, address, and registration other than those held by DEA-registered proposed regulations, if finalized as number of the registered manufacturer manufacturers and distributors of proposed, would impact those or researcher to receive the cannabis medicinal cannabis or cannabis registrants with regard to functions (1) before authorizing the importation, preparations. Further, this exclusive and (2) described in the previous exportation, or distribution. All right would not apply to medicinal section. importation and exportation shall be cannabis or cannabis preparations. (1) A Bulk Manufacturer Who Grows performed in compliance with 21 CFR To summarize those provisions of the Marihuana for Its Own Research or Drug part 1312, as applicable. Under no proposed rule that are intended to Development Purposes circumstance shall a registered ensure that registrations are granted in compliance with the CSA as the number manufacturer authorized to grow A number of applicants seek to grow of registered manufacturers increases, cannabis import, export, or distribute marihuana for their own research all marihuana grown by DEA-registered cannabis without the express written endeavors, including some who wish to manufacturers in the United States authorization of DEA. develop an FDA-approved medicine would be delivered by such registrants (3) A registered manufacturer from extracts or derivatives of the to DEA no later than four months after authorized to grow cannabis shall notify marihuana plant. Based on the the end of the harvest. Thereafter, DEA DEA in writing of its proposed date of accompanying information supplied by would authorize exportation, harvest at least fifteen days before the the applicant to DEA in connection with distribution, and maintenance of stocks commencement of the harvest. their application, these applicants of such marihuana with two important It should be noted that the timing of would list themselves as a ‘‘purchaser,’’ exceptions: when DEA would take physical (1) DEA-registered manufacturers of meaning that once their crop was possession of the crops, if delayed, (a) an FDA-approved marihuana-derived harvested, they would seek to use the would not only increase the risk of drug (i.e., ‘‘medicinal cannabis’’), and marihuana for their internal research diversion, but would also adversely (b) ‘‘cannabis preparations’’ would be purposes. Applicants must obtain a impact the quality of the crop. Whereas permitted to maintain stocks of cannabis separate schedule I research registration DEA is proposing to take physical materials obtained from DEA for the from DEA to perform research with possession not later than four months purpose of producing such drugs or marihuana in accordance with 21 CFR from the time of harvest, it is DEA’s preparations; 9 and 1301.13 and 1301.32. However, bulk intent to take physical possession as (2) Once marihuana material that was marihuana growers may manufacture soon as possible and to distribute previously purchased by DEA is marihuana for use by other researchers marihuana as soon as is practical to subsequently converted by a DEA- under a manufacturing registration (and those who are authorized to receive it. registered manufacturer into (a) an FDA- pursuant to a quota granted to them by The exceptions made for ‘‘medicinal approved drug (‘‘medicinal cannabis’’) DEA for that purpose under 21 CFR cannabis or cannabis preparations’’ also or (b) a ‘‘cannabis preparation,’’ the 1303.21(a)). warrant explanation. In view of the text material no longer would be subject to For applicants within this category, of the Single Convention, and taking within four months of harvest, DEA into account the current wording of 9 As indicated above, the requirement that would travel to the DEA-registered Federal law,8 the regulations being registered growers deliver all cannabis to DEA no location, purchase, and take title to the proposed would define these terms as later than four months after the end of the harvest crop by issuing the grower a DEA Form applies in all situations—even where the cannabis follows: 10 will later be distributed by DEA back to the grower 222. Once DEA has taken title to the for further use. Thus, the above exception that 8 Among other things, these definitions take into allows DEA-registered manufacturers of medicinal 10 DEA would take title to an amount up to the account the current CSA definition of marihuana cannabis and cannabis preparations to maintain applicant’s manufacturing quota. Growing (21 U.S.C. 802(16)), which was amended in 2018 to stocks of cannabis materials for the purpose of marihuana in excess of a manufacturing quota is a exclude ‘‘hemp’’ as defined in section 297A of the producing such drugs or preparations only applies violation of federal law. 21 U.S.C. 842(b). Thus, any Agricultural Marketing Act of 1946 (7 U.S.C. where the raw cannabis material was previously marihuana grown in excess of a manufacturing 1639o(1)). delivered to DEA. Continued

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crop, it would then distribute a quantity the storage location at which such crops has taken title and possession of the of marihuana that does not exceed the are located as it deemed necessary. crop, the material would be maintained, company’s DEA-issued procurement under seal, in DEA’s possession in the (3) A Bulk Manufacturer Who Supplies quota back to that same manufacturer. National Center’s schedule I vault until Marihuana To Support NIDA’s Drug In this way, DEA would take physical such time that a distribution to another Supply Program possession of the crop and control its DEA registrant is authorized. In this distribution. Additionally, the material Over the last several decades, NIDA scenario, DEA may distribute (or export) owned by the government will be has administered a contract to produce the marijuana directly or may choose to maintained at the DEA-registered high quality marihuana for use by authorize the National Center to manufacturer’s location and DEA would researchers who have obtained federal distribute marihuana on the maintain its ability to access the storage funding (grants) for such research.12 government’s behalf. In both situations, location at which such crops are located This contract has been awarded to the DEA’s distributions would be in as it deemed necessary. National Center for Natural Products accordance with NIDA’s Research at the University of recommendation. And, as such, DEA (2) A Bulk manufacturer Who Supplies Mississippi (National Center). In does not envision a scenario in which Marihuana to Other DEA Registrants, accordance with that contract and DEA it would deny or delay a distribution to Including National Institutes of Health regulations, NIDA assesses the quantity a duly registered schedule I researcher Funded and Non-National Institutes of of marihuana that is necessary to be authorized to handle marihuana. Health Funded Researchers grown for research purposes in a given Marihuana owned by DEA would be Some applicants are seeking to grow year and communicates that information maintained at the National Center, marihuana for use by other DEA to both the National Center and DEA. where DEA would maintain its ability to registrants including ‘‘non-bulk’’ The National Center applies for, and access the storage location at which its manufacturers and schedule I must first obtain, a manufacturing quota crops are located. researchers, including National from DEA and is then authorized to Institutes of Health (NIH) funded and grow marihuana up to the limit C. Application of the Public Interest non-NIH funded researchers. This sub- established by their DEA-issued quota. Factors set of bulk manufacturers would be At the time of harvest, a portion of that As indicated, in addition to the required to obtain from each customer a material is held in inventory at the foregoing treaty considerations, DEA bona fide supply agreement, listing the National Center while other portions are may grant a registration to manufacture name and address of the end user, the distributed to another DEA registrant, a schedule I or II controlled substance end user’s DEA registration number, the Research Triangle Institute (RTI). only where the Administrator quantity of marihuana to be supplied, Currently, at the direction of NIDA, both determines that the registration is and the price that the end user and RTI and the National Center may consistent with the public interest, grower have mutually agreed upon. DEA prepare marihuana in a manner which based on the criteria listed in 21 U.S.C. will consider this information, along is suitable for research studies and ship 823(a). The first of those criteria, set with additional information, when it to researchers. In these instances, forth in subsection 823(a)(1), provides establishing an individual marihuana held in inventory at the that, for the purpose of maintaining manufacturing quota for the grower. National Center and RTI are the effective controls against diversion, the For applicants that fall within this property of NIDA. The regulations number of registered bulk sub-set, within four months of harvest, proposed in this notice of proposed manufacturers of a given schedule I or DEA would travel to the DEA-registered rulemaking (NPRM) are intended to II controlled substance should be location, purchase, and take title to the enhance and improve upon existing limited to that which can produce an crop by issuing the grower a DEA Form DEA regulations that supported the adequate and uninterrupted supply of 222.11 For this reason, each grower must NIDA DSP and will facilitate research marihuana under adequately provide written notice to DEA of its that may lead to the development of competitive conditions.14 proposed date of harvest at least fifteen FDA-approved medicines. The proposed rule would explain how days prior to the commencement of the This regulation, if finalized, would DEA will evaluate whether a particular harvest. Once DEA has purchased and require changes to the current scheme application is consistent with the public taken title to the crop, the material described above. Although NIDA can, interest factors of 21 U.S.C. 823(a), would be maintained, under seal, in and would, continue to administer the including factor 823(a)(1). As discussed DEA’s possession in the manufacturer’s contract in support of its DSP and the above, a bona fide supply agreement schedule I vault until such time that a National Center (or other NIDA contract between a grower and a duly registered distribution is necessary. In this holder) could continue to grow and schedule I researcher or manufacturer scenario, DEA may distribute (or export) produce marihuana in support of provides evidence that an applicant’s the marihuana directly or may choose to research pursuant to that contract (for as registration is necessary to produce an authorize the grower to distribute long as that contract is renewed), within adequate and uninterrupted supply of marihuana on the government’s behalf. four months of harvest, DEA would marihuana under adequately Again, marihuana owned by the travel to the National Center at the time competitive conditions. An applicant government is maintained at the DEA- of harvest and take title and possession proposing to grow marihuana to supply registered manufacturer’s site where to the crop by issuing the National its own research may also be deemed to DEA would maintain its ability to access Center a DEA Form 222.13 Once DEA have satisfied the public interest factor of 823(a)(1) upon the presentation of quota would be subject to seizure and destruction. 12 The Department of Health and Human Services evidence that it possesses a registration See id. 881(g). maintains procedures for providing this same to conduct research with marihuana 11 As in the first scenario, DEA only would take marihuana to non-NIH funded researchers as well. under 21 CFR 1301.32. Such a title to an amount up to the applicant’s 13 As above, DEA only would take title to an manufacturing quota. Any marihuana grown in amount up to the National Center’s manufacturing researcher will only be granted quota to excess of a manufacturing quota would be subject quota, with amount grown in excess of the to seizure and destruction. See 21 U.S.C. 842(b), manufacturing quota subject to seizure and 14 For a detailed explanation of subsection 823(a) 881(g). destruction. See 21 U.S.C. 842(b), 881(g). (1), see 74 FR at 2127–33.

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the extent authorized by its approved D. Consideration of the Amendments to recover the costs of carrying out the research protocol. the CSA Made by the Hemp Provisions proposed new aspects of the diversion The proposed rule further provides of the Agriculture Improvement Act of control program relating to cannabis: (1) that the Administrator’s determination 2018 Fees charged to persons who apply for, of which applicants to select will be The Agriculture Improvement Act of and seek to renew, a DEA registration to consistent with the public interest 2018 (AIA), Public Law 115–334, which manufacture marihuana, and (2) fees factors in section 823(a), with particular became effective December 20, 2018, charged for the sale of marihuana by emphasis on the criteria discussed in contained various provisions regarding DEA. the preceding paragraph as well as the the cultivation of hemp. The AIA DEA believes that economic forces following: definitions hemp as the plant Cannabis will not only drive the types, varieties sativa L. and any part of that plant, and strains of marihuana materials that (1) The applicant’s ability to including the seeds thereof and all will be produced by growers, but that consistently produce and supply derivatives, extracts, cannabinoids, marihuana of a high quality and defined isomers, acids, salts, and salts of such forces will also drive the fees that chemical composition; and isomers, whether growing or not, with a DEA-registrants will be willing to pay for marihuana used for research (2) Whether the applicant has delta-9 tetrahydrocannabinol purposes. Accordingly, DEA proposes to demonstrated prior compliance with the concentration of not more than 0.3 allow market forces to direct prices for CSA and DEA regulations. percent on a dry weight basis. 7 U.S.C. 1639o(1). The AIA amended the CSA marihuana grown by the manufacturer The preceding criteria are designed to definition of marihuana to exclude and purchased by DEA. As we have result in registration of those hemp. Thus, anything that falls within stated elsewhere in this proposal, DEA manufacturers of marihuana that can the foregoing definition of hemp is no will establish limits on individual most efficiently supply the lawful needs longer a controlled substance, and the production based on bona fide supply of the U.S. market in terms of quantity CSA’s requirements no longer apply to agreements between the grower and the and quality.15 These criteria are further such substances. Accordingly, this end user (a DEA registered manufacturer aimed at selecting applicants that can be proposed rule would apply only to or a schedule I researcher). Accordingly, entrusted with the responsibility of a persons seeking authorization under the DEA will use these terms as the basis for DEA registration and complying with CSA (i.e., seeking a DEA registration) to purchasing marijuana from the grower the corresponding obligations under the manufacture marihuana that involves and additionally, for the basis by which CSA and DEA regulations. the planting, cultivation, growing, or it will sell that same marihuana to an harvesting of marihuana as that term is As indicated above, following the end user. currently defined in the CSA (21 U.S.C. publication of the 2016 policy 802(16)).16 In addition to that negotiated fee, DEA statement, DEA received numerous is proposing to add a variable applications by persons seeking to E. Factors Affecting Prices for the administrative cost (per kilogram (kg)) become registered as bulk Purchase and Sale of Marihuana by which it intends to add onto the sales DEA manufacturers of marihuana. There are price of the marihuana it sells to end approximately 35 such applications As stated above, under articles 23 and users. The purpose of this currently pending. As explained above, 28 of the Single Convention, the administrative fee is to ensure the full the CSA requires DEA to limit the total government agency must—in addition recovery by DEA of the costs of number of registered bulk to taking physical possession—purchase administering the program as required manufacturers of a given schedule I or all lawfully grown cannabis crops by 21 U.S.C. 886a(1)(C). DEA will II controlled substance to that necessary within four months of harvest. Thus, calculate this variable cost annually by under the proposed rule, DEA will to produce an adequate and taking the preceding fiscal year’s cost to purchase marihuana grown by DEA- uninterrupted supply under adequately operate the program and dividing it by registered manufacturers and competitive conditions. In consultation the quantity in kg of the manufacturing with HHS, DEA wishes to avoid a subsequently sell the marihuana to DEA registrants who seek to acquire it for quota for marihuana issued during the situation in which the agency is in the research, product development, or other current quota year. For example, based midst of evaluating these applications lawful purposes under the CSA. on the economic analysis provided and has to begin an evaluation anew In purchasing such marihuana, DEA below, DEA would calculate an each time it accepts a new marihuana intends to use the Diversion Control Fee administrative fee of $304 per kg for grower application for filing. Thus, the Account, as established in 21 U.S.C. marihuana distributed to end users. The proposed rule provides that, with a 886a. Thus, DEA would, under the calculation below is illustrative: limited exception, applications accepted proposed rule, need to take into account for filing after the date the final rule Variable Administrative Fee = $607,644/ its obligation under 21 U.S.C. 886a(1)(C) 17 becomes effective will not be considered to charge fees under its diversion 2,000 kg = $304 per kg pending until all applications accepted control program ‘‘at a level that ensures DEA proposes to establish this fee no for filing on or before the date the final the recovery of the full costs of less than annually and proposes to rule becomes effective have been operating the various aspects of that publish this rate on its website by granted or denied by the Administrator. program.’’ There are two potential December 15th of the year preceding the categories of fees that could be used to year in which the administrative fee will be collected. 16 The United States Department of Agriculture 15 The proposed rule provides that, in has issued regulations and guidance to implement determining the legitimate demand for marihuana a program for the commercial production of and its derivatives in the United States, the industrial hemp in the United States under the Administrator shall consult with the Department of framework of the AIA. See Establishment of a Health and Human Services, including its Domestic Hemp Production Program, 84 FR 58522 17 Rounded to nearest whole dollar. The cost of components. (Oct. 31, 2019). $607,644 is explained below.

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Regulatory Analyses and sale of this marihuana by DEA. the exclusive right of importing, These amendments will ensure that exporting, wholesale trading, and Executive Orders 12866 (Regulatory DEA carries out all five functions under maintaining stocks. These changes Planning and Review), 13563 Article 23 and Article 28 of the Single would mean that authorized purchasers (Improving Regulation and Regulatory Convention pertaining to marihuana, of bulk marihuana to be used for Review), and 13771 (Reducing thus facilitating the planning and research, product development, and Regulation and Controlling Regulatory coordinated management of marihuana other purposes permitted by the CSA Costs) production necessary as the number of may only purchase from DEA, except This proposed rule was developed in registered marihuana manufacturers that DEA’s exclusive rights would not accordance with the principles of increases. extend to medicinal cannabis or Executive Orders 12866, 13563, and cannabis preparations. The changes II. Alternative Approaches 13771. Executive Order 12866 directs described above would affect three agencies to assess all costs and benefits This proposed rule would amend primary groups of entities: Growers and of available regulatory alternatives and, DEA regulations only to the extent prospective growers, the authorizing if regulation is necessary, to select necessary to comply with the CSA and agencies,18 and purchasers (generally regulatory approaches that maximize to ensure DEA grants registrations that medical and scientific researchers). To net benefits (including potential are consistent with the Single examine the impact of the proposed economic, environmental, public health, Convention as it pertains to marihuana. rule, DEA first reviewed the current and safety, and other advantages; In areas where DEA has discretion, such system for growing and distributing distributive impacts; and equity). as in setting a fee structure to recover bulk marihuana, then examined the Executive Order 13563 is supplemental the cost of this proposed rule, impact on each of the three affected to and reaffirms the principles, alternative approaches would be groups. structures, and definitions governing discussed. However, because DEA does regulatory review established in not have sufficient information at this Current System Executive Order 12866. Section 3(f) of time to discuss alternatives for either Under current regulations, DEA has Executive Order 12866 classifies a the future registration fees or the fees for authorized one grower, the National ‘‘significant regulatory action,’’ the sale of marihuana, the alternative Center, to cultivate marihuana for requiring review by the Office of approaches for such provisions are not research. NIDA contracts with the Management and Budget (OMB), as any included in this proposed rule. National Center to grow marihuana from regulatory action that is likely to result Consistent with past agency practice, seeds supplied initially by NIDA for use in a rule that may: (1) Have an annual any proposed changes to registration in research studies.19 The National effect on the economy of $100 million fees will be the subject of a separate Center has designated a secure plot of or more or adversely affect in a material rulemaking proceeding, including a land or indoor grow facility where way the economy, a sector of the discussion of alternative approaches. marihuana crops are grown every few economy, productivity, competition, III. Analysis of Benefits and Costs years, based on current and expected jobs, the environment, public health or demand. The marihuana is grown, safety, or State, local, or tribal There are two key benefits associated harvested, stored, and made available as governments or communities; (2) create with this proposed rule. First, DEA bulk marihuana or other purified a serious inconsistency or otherwise believes it is possible that the approval elements of marihuana to use for interfere with an action taken or of new growers may increase the variety research.20 NIDA obligated planned by another agency; (3) (quality, potency, etc.) of bulk approximately $1.5 million in Fiscal materially alter the budgetary impact of marihuana for research, leading to more Year 2015 under this contract.21 This entitlements, grants, user fees, or loan effective research and potentially amount included costs unrelated to programs or the rights and obligations of resulting in the development of FDA- growing and cultivating marihuana, recipients thereof; or (4) raise novel approved drug products. Second, this such as extracting chemical components legal or policy issues arising out of legal rule would ensure that DEA’s and producing marihuana cigarettes and mandates, the President’s priorities, or regulations comply with the other marihuana-related material. the principles set forth in the Executive requirements of the CSA by granting However, based on recent discussion order. registrations that are consistent with the with NIDA,22 DEA estimates NIDA’s DEA has determined that, although Single Convention relating to expenses under the contract with the this proposed rule is not economically marihuana. DEA is unable to quantify National Center (and any related significant, it is a significant regulatory these benefits at this time. action under section 3(f) of Executive DEA analyzed the costs of this 18 The ‘‘authorizing agency’’ refers to federal Order 12866, thus subjecting it to proposed rule and estimates an annual government agencies, including NIDA and DEA. review by OMB. cost of $607,644. The details of the 19 Production, Analysis, and Distribution of analysis are below. Cannabis and Related Materials, Federal Business I. Need for the Rule This proposed rule would amend the Opportunities (Apr. 12, 2015), https://www.fbo.gov/ spg/HHS/NIH/NIDA-01/N01DA-15-7793/ This rule is needed to ensure that provisions of the regulations governing listing.html. DEA complies with the CSA and grants applications by persons seeking to 20 NIDA’s Role in Providing Marijuana for registrations that are consistent with become registered with DEA to grow Research, National Institute on Drug Abuse, https:// relevant treaty provisions as DEA seeks marihuana as bulk manufacturers and www.drugabuse.gov/drugs-abuse/marijuana/nidas- to increase the number of registered add provisions related to the purchase role-in-providing-marijuana-research. 21 Information on Marijuana Farm Contract, growers of marihuana. Specifically, this and sale of this marihuana by DEA. If National Institute on Drug Abuse, https:// proposed rule would amend the this proposed rule is promulgated, the www.drugabuse.gov/drugs-abuse/marijuana/nidas- provisions of the regulations governing following key changes are anticipated: role-in-providing-marijuana-research/information- applications by persons seeking to More persons will be authorized to grow marijuana-farm-contract. 22 Conference call between DEA Regulatory become registered with DEA to grow marihuana, DEA will purchase and take Drafting and Policy Support section and members marihuana as bulk manufacturers and title to the crops of marihuana, and DEA of NIDA’s Marijuana Drug Supply Program, July 30, add provisions related to the purchase will, with respect to marihuana, have 2019.

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subcontracts) for the bulk marihuana for potential registrants is not necessarily rule is to enhance marijuana availability 2019 are approximately $2.9 million.23 reflective of the actual number of for product development, which may The $2.9 million includes compensation applications that DEA will grant. have the effect of increasing the MQ. for the cultivating and the 2019 In 2016, DEA issued a policy However, DEA does not have a basis to manufacturing quota (MQ) of 2,000 kgs statement regarding applications to estimate the impact of these for NIDA (National Center) as well as all become registered to manufacture possibilities. Therefore, for the purposes other duties required in the contract.24 marihuana to supply research.27 Since of this analysis, DEA estimates that an Researchers may obtain marihuana for the publication of the 2016 policy increase in the number of approved use in research through NIDA’s DSP. statement, DEA has received growers does not impact the MQ. In Bulk marihuana plant material approximately 35 pending applications summary, there is no new cost to produced under the NIDA DSP is for registration as bulk manufacturer of growers. currently available at no cost to research marihuana for research. As indicated Changes to Authorizing Agencies—Cost investigators supported by a NIH grant. above, the CSA requires DEA to limit to DEA Marihuana is also available to research the total number of registered bulk investigators who are funded through manufacturers of a given schedule I or DEA anticipates that there will be a non-federal sources. Although NIDA II controlled substance to that necessary transfer of economic activity from NIDA considered charging for marihuana on a to produce an adequate and to DEA as well as several new costs as ‘‘cost-reimbursement basis,’’ 25 the uninterrupted supply under adequately a result of this rule. This analysis current policy is to provide the competitive conditions. Therefore, DEA should in no way be construed as a marihuana at no charge.26 believes a range of 3 to 15 growers is a proposal to modify agency funding or reasonable estimate for purposes of this funding sources. Changes to Growers economic analysis, with the As discussed above, assuming a If this proposed rule is implemented, understanding that the actual number constant MQ for bulk marihuana of DEA anticipates approving more than could vary considerably. 2,000 kgs, DEA estimates the cost of all one person to cultivate and harvest bulk The Aggregate Production Quota the activities the National Center marihuana. As explained earlier in this (APQ), which includes the MQ, performs under its contract with NIDA document, the CSA imposes limitations represents the annual quantity of and the purchase of the entire aggregate on the number of registrations that DEA marihuana that is necessary for the crop, regardless of the number of may issue to bulk manufacturers of a estimated medical, scientific, research growers, is $2.9 million. This $2.9 given schedule I or II controlled and industrial needs of the United million is not a new cost; it is a transfer. substance. In addition, in deciding States, for lawful export requirements, Rather than NIDA paying the current whether to grant an application for any and for the establishment and single grower, DEA would pay the multiple new growers. In practice, DEA such registration, the CSA requires DEA maintenance of reserve stocks.28 anticipates crops from multiple growers to consider the other public interest Therefore, given a constant MQ, if more will be purchased at different times of factors of 21 U.S.C. 823(a), which must growers are approved to produce bulk the year, allowing funds from sales of be evaluated on an applicant-by- marihuana, the quantities of bulk earlier purchases to pay for subsequent applicant basis. Further, DEA cannot marihuana produced and the cost of purchases. Therefore, to purchase and accurately predict in advance which production (and the reimbursement of distribute $2.9 million in bulk particular applications will be granted, production cost through sales) is marihuana, a working capital of a lesser or how many. Accordingly, DEA is transferred from the single incumbent amount is likely needed. However, due unable to accurately estimate the grower to new growers. This means that to many unknowns and to be number of registered bulk marihuana there is only a transfer of economic conservative, for the purposes of this growers. As a result, to allow for this activity rather than any new cost. The analysis, the estimated transfer and analysis, DEA will estimate the estimated economic activity of $2.9 working capital requirement is $2.9 economic impact of this proposed rule million is transferred from the existing million. under two different hypothetical 29 single grower to multiple growers. DEA anticipates incurring new costs scenarios, the first in which the number Transitioning from one large grower associated with the following activities: of growers expands to three growers, to multiple growers may introduce Taking title to the crops and employing and the second in which the number of inefficiencies, driving up production or personnel to administer the program. growers expands to 15 growers. It facility costs. Some growers may The growers, purchasers, and DEA should be understood that this range of introduce more costly growing would already understand prior to techniques to produce certain traits. growing and harvesting, the quantities 23 Anticipated spending for the marihuana DSP Alternatively, some growers may of marihuana to be distributed and to for 2019 is $3.3 million to $3.4 million, of which introduce more efficient growing 10%–15% meet the definition of ‘‘hemp’’ under the whom the distribution would be made provisions of the AIA. Using the midpoint of these methods, driving down costs. because the bona fide supply ranges, the estimated spending is $2.9 million for Additionally, having more growers may agreements presented during the marihuana, excluding hemp. The figures are based spur more demand in bulk marihuana registration application process would on a general discussion, and actual figures may for research, pushing up the MQ. In differ. provide such information. In most particular, one of the goals of this new 24 The 2019 Aggregate Production Quota for all instances, DEA is expected to purchase marihuana is 2,450 kgs. 2,000 of the 2,450 kgs are and take title to the crop, then sell and for the NIDA (National Center) cultivating and 27 Applications to Become Registered Under the manufacturing quota of bulk marihuana. See 83 FR Controlled Substances Act to Manufacture distribute the crop to the purchaser on 67348. Marijuana to Supply Researchers in the United the same day at the grower’s registered 25 Marijuana Plant Material Available from the States, 81 FR 53846 (Aug. 12, 2016). This proposed location. For the purposes of this NIDA Drug Supply Program, National Institute on rule, if adopted, would supersede the 2016 policy analysis, DEA assumes the following Drug Abuse, https://www.drugabuse.gov/research/ statement. process: research-data-measures-resources/nida-drug- 28 21 CFR 1303.11(a). supply-program/marijuana-plant-material- 29 The phrase ‘‘multiple growers’’ includes the 1. After marihuana is harvested and available-nida-drug-supply-program. possibility that the current grower is one of prepared for delivery to DEA, the 26 See note 22. ‘‘multiple growers.’’ registered manufacturer will contact

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DEA to inform it that the marihuana is scheduled to coincide with DEA’s visit transport cost of $19,683 and $98,415 ready for collection. to take title to the next crop, requiring for scenarios with three and 15 growers, 2. Within a reasonable timeframe, but no additional trips by DEA to the respectively. in no event later than four months after grower. Additionally, DEA anticipates it the harvest, DEA will purchase and take 4. Each grower has three harvests, would need additional personnel title to the marihuana. Two DEA Special requiring DEA to collect three times per resources to operate this program. There Agents (or Deputized Task Force year per grower. are many unknowns and no decisions Officers) from the nearest local DEA For each collection, DEA estimates have been made on hiring. However, for field office will drive an estimated 100 $2,071 of labor cost 30 and $116 of the purposes of this analysis, DEA miles (200 miles roundtrip) to the vehicle cost 31 for a total of $2,187 per estimates three full-time-equivalent registered manufacturer to take title. collection. DEA understands that some (FTE) professional staff in the Diversion Any marihuana that is not immediately growers, employing certain growing Control Division would be needed, distributed is stored in a designated methods, may have more harvests per consisting of one FTE diversion secure storage mechanism at the year. However, DEA does not have a investigator (DI), and two FTE grower’s registered location for later basis to estimate these growers’ methods professional/administrative (PA) distribution. The number of trips by the or the number of harvests per year. resources. two DEA Special Agents equals the Therefore, DEA believes three harvests Applying the fully loaded annual cost number of harvests. per year is a reasonable estimate. of $211,981 per DI and $168,307 per PA, 3. For marihuana distributed from Assuming three collections per year per the estimated total cost of the three FTE storage at the grower’s registered grower, there would be nine collections employees is $548,595. For the purposes location, the grower distributes with three approved growers and 45 of this analysis, this cost does not vary marihuana on DEA’s behalf. If DEA collections with 15 approved growers. with the number of growers. Table 1 deems it necessary to be present at such Applying the estimated cost of $2,187 below summarizes the costs associated distribution, the distribution is per collection, DEA estimates a with increased staffing.

TABLE 1—COST OF PERSONNEL RESOURCES

Modular cost/ Position Job category unit cost Number of Cost ($) FTEs ($)

Staff Coordinator ...... DI ...... 211,981 1 211,981 Program Analyst ...... PA ...... 168,307 2 336,614

Total ...... N/A ...... N/A 3 548,595

In summary the estimated cost to DEA marihuana for scenarios with 3 or 15 $647,010 with 15 growers and no is: authorized growers, respectively; offsetting cost savings at NIDA. Using • • $19,683 or $98,415 per year to $548,595 per year for three DEA the average of the two values, the FTE employees; estimated cost to DEA is $607,644. purchase and take title to the bulk • The estimated total annual cost is Table 2 summarizes the costs. $568,278 with three growers and

TABLE 2—DEA COST SUMMARY

Low High Average ($) ($) ($)

Transport Cost ...... 19,683 98,415 N/A Personnel Cost ...... 548,596 548,595 N/A

Total Cost ...... 568,278 647,010 607,644

Changes Affecting Researchers regulation is the cost to DEA of marihuana for research is funded by a $607,644, an average of high and low third party, the researcher may not DEA anticipates minimal procedural scenarios, which would be recovered by experience any cost increase. In change for authorized researchers who adding an administrative fee of $304 per particular, NIH has long served as a plan to acquire bulk marihuana for kg. As discussed earlier, the third-party funder for research through research. The only anticipated administrative fee would be adjusted grants, including grants to researchers procedural change is that some annually. studying marihuana. Nothing in this researchers would acquire the bulk While the purchaser would purchase rule prohibits NIH from continuing to marihuana from DEA, rather than from marihuana from DEA, this rule does not fund such research by continuing to NIDA. As discussed earlier, the only in any way affect the purchaser’s source cover the cost of marihuana materials new cost associated with this proposed of funds to purchase from DEA. If

30 DEA’s loaded hourly rate of a Special Agent is ‘‘Loaded hourly rate’’ includes wages, benefits, and 31 $116 is based on IRS standard mileage rates for $103.54. Assuming 10 hours each (full work-day) ‘‘loading’’ of ‘‘non-productive’’ hours, i.e., leave, 2019 of $0.58 per mile multiplied by the estimated for two agents, the total labor cost associated with training, travel, etc. 200 miles driven, roundtrip. collection from a registered manufacturer is $2,071.

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used in research, via grants to DEA’s purchase of bulk marihuana is million at a three percent discount rate researchers. not a new cost (to the economy); it is a and 7 percent discount rate, transfer from NIDA to DEA. However, respectively. The NPVs of the high cost Cost Summary $568,278 to $647,010 in operating costs estimate of $647,010 over 10 years are DEA estimates the cost of producing would be incurred by DEA. DEA will $5.5 million and $4.5 million at a three the 2019 MQ for bulk marihuana of recover the costs of carrying out the percent discount rate and seven percent 2,000 kgs and operating NIDA’s proposed new aspects of the diversion discount rate, respectively. The average control program relating to marihuana of the estimated low and high costs is marihuana DSP is $2.9 million per year. by selling the marihuana to the buyer at $607,644. The NPVs of the average of Under the proposed rule, DEA the negotiated sale price, between the $607,644 over 10 years are $5.2 million anticipates more bulk marihuana grower and the buyer, plus the and $4.3 million at three percent and producers would be approved. DEA administrative fee assessed on a per kg seven percent discount rates, estimates the $2.9 million in economic basis. respectively. Table 3 summarizes the activity would be transferred across The net present values (NPVs) of the estimated annual effect and NPVs multiple growers, without introducing low cost estimate of $568,278 per year calculation for each of the transfers and new costs. over 10 years are $4.8 million and $4.0 the three scenarios.

TABLE 3—SUMMARY OF ANNUAL EFFECT AND NPVS

Annual effect NPVs at 3% NPVs at 7% ($) ($M) ($M)

Cost (Low) ...... 568,278 4.8 4.0 Cost (Average) ...... 607,644 5.2 4.3 Cost (High) ...... 647,010 5.5 4.5

Executive Order 13771 (Reducing relationship between the Federal DEA will purchase and take physical Regulation and Controlling Regulatory Government and Indian tribes, or on the possession of crops; and DEA will, with Costs) distribution of power and respect to marihuana, have the This proposed rule is expected to be responsibilities between the Federal exclusive right of importing, exporting, a deregulatory action for the purposes of Government and Indian tribes. wholesale trading, and maintaining Executive Order 13771. The rule is an Regulatory Flexibility Act stocks. These changes, as explained enabling rule which, coincidentally above, would mean that authorized In accordance with the Regulatory with other provisions, expands the purchasers of bulk marihuana may only Flexibility Act (RFA), DEA evaluated number of authorized bulk marihuana purchase from DEA, except that DEA’s the impact of this rule on small entities. growers. exclusive right would not extend to DEA’s evaluation of economic impact by medicinal cannabis or cannabis Executive Order 12988 (Civil Justice size category indicates that the proposed preparations as these terms are defined Reform) rule will not, if promulgated, have a in paragraphs (b) and (c), respectively, significant economic impact on a This proposed rule meets the of proposed § 1318.02 of this proposed substantial number of these small applicable standards set forth in rule. sections 3(a) and 3(b)(2) of Executive entities. Order 12988, Civil Justice Reform, to The RFA requires agencies to analyze The changes described above would eliminate ambiguity, minimize options for regulatory relief of small affect three primary groups of entities: litigation, establish clear legal entities unless the agency can certify Growers and prospective growers, the standards, and reduce burdens on that the rule will not have a significant authorizing agencies (including NIDA regulated parties and the court system. impact on a substantial number of small and DEA), and purchasers (generally entities. For purposes of the RFA, small researchers). Because any economic Executive Order 13132 (Federalism) entities include small businesses, impact on federal agencies is outside the This proposed rule does not have nonprofit organizations, and small scope of the RFA, the transfer of federalism implications warranting the governmental jurisdictions. DEA economic activity between the agencies application of Executive Order 13132. evaluated the impact of this rule on is excluded from this discussion. To The proposed rule does not have small entities and a discussion of its examine the impact of the proposed substantial direct effects on the States, findings is below. rule, DEA first reviewed the current on the relationship between the As discussed in the section of this system for growing and distributing National Government and the States, or proposed rulemaking relating to bulk marihuana, then examined the on the distribution of power and Executive Orders 12866, 13565, and impact on each of the two affected non- responsibilities among the various 13771, this proposed rule would amend federal groups: Growers (bulk levels of government. the provisions of the regulations manufacturers of marihuana) and governing applications by persons researchers. Executive Order 13175 (Consultation seeking to become registered with DEA and Coordination With Indian Tribal to grow marihuana as bulk Current System Governments) manufacturers, and add provisions This proposed rule does not have related to the purchase and sale of this Under current regulations, DEA has tribal implications warranting the marihuana by DEA. If this proposed rule authorized one grower, the National application of Executive Order 13175. It is promulgated, the following key Center, to cultivate marihuana for does not have substantial direct effects changes are anticipated: More persons research. NIDA contracts with the on one or more Indian tribes, on the will be authorized to grow marihuana; National Center to grow marihuana for

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use in research studies.32 The National statement, there are approximately 35 annually. While purchasers would Center designates a secure plot of land pending applications for registration as purchase marihuana from DEA, this rule where marihuana crops are grown every bulk manufacturer of marihuana for does not in any way affect the few years, based on current and research. Additionally, some applicants purchasers’ source of funds to purchase expected demand. The marihuana is may not meet the statutory and from DEA. If marihuana for research is grown, harvested, stored, and made regulatory criteria for holding a funded by a third party, the researcher available as bulk marihuana or other registration as a bulk manufacture and may not experience any cost increase. purified elements of marihuana to use will be denied. Therefore, for the Affected Number of Small Entities for research.33 As explained previously, purposes of this analysis, DEA will DEA estimates NIDA’s expenses under estimate the economic impact of this This proposed rule affects the current the contract with the National Center proposed rule at three and 15 growers and prospective bulk manufacturers of (and any related subcontracts) for the with the understanding that the actual marihuana for research and researchers. bulk marihuana for 2019 are number could vary considerably. Based on the discussion above, DEA approximately $2.9 million.34 The $2.9 The APQ, which includes the MQ, anticipates up to 15 bulk manufacturers million includes compensation for the represents the annual quantity of are affected by this proposed rule. cultivating and the 2019 MQ of 2,000 marihuana that is necessary for the Additionally, based on a discussion kgs for NIDA as well as all other duties estimated medical, scientific, research with NIDA,41 DEA estimates 40 required in the contract.35 and industrial needs of the United researchers are affected by this proposed Researchers may obtain marihuana for States, for lawful export requirements, rule. The 40 researchers represent the use in research through NIDA’s DSP. and for the establishment and approximate number of researchers that Bulk marihuana plant material maintenance of reserve stocks.39 receive marihuana from NIDA’s produced under the NIDA DSP is Therefore, given a constant MQ, if more marihuana DSP. available at no cost to research growers are approved to produce bulk Based on a review of representative investigators who are supported by an marihuana, the quantities of bulk North American Industry Classification NIH grant. Marihuana is also available marihuana produced and the cost of System (NAICS) codes for bulk to research investigators who are funded production (and reimbursement of their manufacturers and researchers, the through non-federal sources. Although production cost through sales) is following number of firms may be NIDA considered charging for affected: 42 transferred from the incumbent grower • marihuana on a ‘‘cost-reimbursement to new growers. This means that there 421 firms related to ‘Medicinal and 36 basis,’’ the current policy is to provide is no new cost; instead, there is only a Botanical Manufacturing’ 37 43 the marihuana at no charge. transfer of economic activity. The (325411) • 9,634 firms related to ‘Research and Impact on Growers estimated economic activity of $2.9 million is transferred from the existing Development in the Physical, If this proposed rule is implemented, Engineering, and Life Sciences single grower to multiple growers.40 DEA anticipates approving more than 44 Transitioning from one large grower (except Biotechnology)’ (541712) one person to cultivate and harvest bulk to multiple smaller growers may reduce The United States Small Business marihuana. In 2016, DEA issued a production efficiency, driving up cost. Administration (SBA) sets size policy statement regarding applications Some growers may introduce more standards that determine how large an to become registered to manufacture costly growing techniques in order to entity can be and still qualify as a small marihuana to supply research.38 Since produce certain traits. Alternatively, business for federal government the publication of the 2016 policy some growers may introduce more programs. For the most part, size efficient growing methods, driving standards are based on the average 32 Production, Analysis, and Distribution of annual receipts or the average number Cannabis and Related Materials, Federal Business down cost. Additionally, having more Opportunities (Apr. 12, 2015), https://www.fbo.gov/ growers may spur more demand in bulk of employees of a firm. The SBA size spg/HHS/NIH/NIDA-01/N01DA-15-7793/ marihuana for research, pushing up the standard for both industries identified listing.html. MQ. However, DEA does not have a by the NAICS codes above is 1,000 33 NIDA’s Role in Providing Marijuana for 45 basis to estimate the impact of these employees. Research, National Institute on Drug Abuse, https:// Comparing the SBA size standards to www.drugabuse.gov/drugs-abuse/marijuana/nidas- possibilities. role-in-providing-marijuana-research. the U.S. Census Bureau, Statistics of 34 Anticipated spending for the marihuana DSP Impact on Researchers U.S. Businesses (SUSB) detailed data on for 2019 is $3.3 million to $3.4 million, of which DEA anticipates minimal procedural establishment size by NAICS code for 10 percent to 15 percent meet the definition of each affected industry, DEA estimates ‘‘hemp’’ under the provisions of the AIA. Using the change for authorized researchers who midpoint of these ranges, the estimated spending is plan to acquire bulk marihuana for $2.9 million. The figures are based on a general research. The only anticipated 41 See note 22. 42 discussion, and actual figures may differ. procedural change is that the researcher For the purposes of this analysis, the term 35 The 2019 APQ for all manufacturers of ‘‘firms’’ is synonymous with ‘‘entities.’’ marihuana is 2,450 kgs. 2,000 kgs are for cultivating would acquire the bulk marihuana from 43 2015 SUSB Annual Datasets by Establishment and manufacturing of bulk marihuana. See 83 FR DEA, rather than from NIDA or the Industry, U.S. & States, NAICS, Detailed 67348. National Center. As discussed earlier, Employment Sizes (U.S., 6-digit and States, NAICS 36 Marijuana Plant Material Available from the the only new cost associated with this Sectors), United States Census Bureau, https:// NIDA Drug Supply Program, National Institute on www.census.gov/data/datasets/2015/econ/susb/ Drug Abuse, https://www.drugabuse.gov/research/ proposed regulation is the cost to DEA 2015-susb.html. research-data-measures-resources/nida-drug- of $607,644, which would be recovered 44 Ibid. supply-program/marijuana-plant-material- by adding an administrative fee of $304 45 Table of Small Business Size Standards available-nida-drug-supply-program. per kg. As discussed earlier, the Matched to North American Industry Classification 37 See note 22. administrative fee would be adjusted System Codes, United States Small Business 38 Applications to Become Registered under the Association (Oct. 1, 2017). The NAICS code was Controlled Substances Act to Manufacture updated for ‘Research and Development in the Marijuana to Supply Researchers in the United 39 21 U.S.C. 826(a). Physical, Engineering, and Life Sciences (except States, 81 FR 53846 (2016). This proposed rule, if 40 The phrase ‘‘multiple growers’’ includes the Biotechnology)’ from 541712 to 541715. The 2015 adopted, would superseded the 2016 policy possibility that the current grower is one of the SUSB data uses 541712 and the 2017 SBA size statement. ‘‘multiple growers.’’ standard uses 541715 for the same industry.

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the following number of small entities • 392 (93.1 percent of total) firms in the Development in the Physical, and percent of firms that are small area of ‘Medicinal and Botanical Engineering, and Life Sciences entities by industry: Manufacturing’ (325411) (except Biotechnology)’ (541712) • 9,090 (94.4 percent of total) firms in Table 4 details the calculation for the the area of ‘Research and number of small entities by industry.

TABLE 4—NUMBER OF SMALL ENTITIES BY INDUSTRY

Firm size by average SBA size % Small NAICS description employees Firms standard Small entities entities

325411—Medicinal and Botanical Manu- facturing ...... <500 384 1,000 384 100 500–749 3 ...... 3 100 750–999 5 ...... 5 100 1,000–1,499 6 ...... 0 1,500–1,999 2 ...... 0 2,000–2,499 1 ...... 0 2,500–4,999 7 ...... 0 5,000+ 13 ...... 0

Total ...... 421 ...... 392 93.1

541712—Research and Development in the Physical, Engineering, and Life Sciences (except Biotechnology)...... <500 8,972 1,000 8,972 100 500–749 68 ...... 68 100 750–999 50 ...... 50 100 1,000–1,499 70 ...... 0 1,500–1,999 40 ...... 0 2,000–2,499 35 ...... 0 2,500–4,999 132 ...... 0 5,000+ 267 ...... 0

Total ...... 9,634 ...... 9,090 94.4

Applying the calculated respective small entity bulk manufacturers Physical, Engineering, and Life Sciences percentage for small entities to the represent four percent of the estimated (except Biotechnology)’ (541712) number of affected bulk manufacturers 392 small entities in the ‘Medicinal and industry. Table 5 summarizes the and researchers, DEA estimates 14 (15 × Botanical Manufacturing’ (325412) calculations for the percentage of small 93.1 percent) bulk manufacturers and 38 industry, and the 38 affected small entities that are affected by the proposed (40 × 94.4 percent) researchers, for a entity researchers represent 0.4 percent rule. total of 52 small entities, will be affected of the estimated 9,090 small entities in by this proposed rule. The 14 affected the ‘Research and Development in the

TABLE 5—PERCENT OF SMALL ENTITIES AFFECTED BY INDUSTRY

Estimated SBA size Estimated number of Percentage of NAICS description Number of firms standard number of affected small entities small entities small entities affected

325411—Medicinal and Botanical Manu- facturing ...... 421 1,000 392 14 4 541712—Research and Development in the Physical, Engineering, and Life Sciences (except Biotechnology) ...... 9,634 1,000 9,090 38 0.4

Total ...... 10,055 N/A 9,482 52 N/A

DEA generally uses a threshold of 30 revenue to be a ‘‘significant economic to the buyer at the negotiated sale price, percent as a ‘‘substantial’’ number of impact’’ on an entity. As discussed between the grower and the buyer, plus affected small entities. Thus, the above earlier, DEA estimates that there will be the administrative fee assessed on a per analysis reveals that a non-substantial a new cost to DEA of $568,278 to kg basis. Based on the average of the amount of small bulk manufacturer $647,010 per year, or the average of the high and low estimates of $607,644 and entities (4 percent) and of small high and low estimates of $607,644 per MQ of 2,000 kgs, the administrative fee researcher entities (0.4 percent) will be year. DEA will recover the costs of is $304 per kg, adjusted annually. affected by this proposed rule. carrying out the proposed new aspects Furthermore, NIH-funded or other DEA generally considers impacts that of the diversion control program relating third-party funded researchers are likely are greater than three percent of annual to marihuana by selling the marihuana to request and receive enough funding

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for the full price of marihuana, Affected public who will be asked or including whether the information shall including the administrative fee. There required to respond: Business or other have practical utility. would be no impact to these for-profit. • The accuracy of DEA’s estimate of researchers. However, DEA does not Abstract: The Controlled Substances the burden of the proposed collection of have sufficient information to estimate Act requires all businesses and information, including the validity of the number of small entity researchers individuals who manufacture, the methodology and assumptions used. that would fall under this category. distribute, import, export, or conduct • Recommendations to enhance the Although DEA is unable to quantify the research and laboratory analysis with quality, utility, and clarity of the economic impact for the estimated 14 controlled substances to register with information to be collected. • small entity bulk manufacturers and 38 DEA. 21 U.S.C. 822; 21 CFR 1301.11, Recommendations to minimize the small entity researchers, the number of 1301.13. Registration is a necessary burden of the collection of information affected small entity manufacturers and control measure that helps to detect and on those who are to respond, including researchers is not a substantial number prevent diversion by ensuring that the through the use of automated collection of small entities in their respective closed system of distribution of techniques or other forms of information industries. controlled substances can be monitored technology. Please send written comments to the Based on the analysis above, and by DEA, and that the businesses and individuals handling controlled Office of Information and Regulatory because of these facts, DEA believes this Affairs, OMB, Attention: Desk Officer proposed rule, if promulgated, will not substances are accountable. If adopted, this proposed rule would for DOJ, Washington, DC 20503. Please have a significant economic impact on state that your comments refer to RIN a substantial number of small entities. amend the regulations governing applications by persons seeking to 1117–AB54/Docket No. DEA–506. All Unfunded Mandates Reform Act of 1995 become registered with DEA to grow comments must be submitted to OMB marihuana as bulk manufacturers and on or before May 22, 2020. The final In accordance with the Unfunded rule will respond to any OMB or public Mandates Reform Act of 1995 (UMRA), add provisions related to the purchase and sale of this marihuana by DEA. comments on the information collection 2 U.S.C. 1501 et seq., DEA has requirements contained in this proposed determined that this action would not Persons seeking to become registered with DEA to grow marihuana as bulk rule. result in any Federal mandate that may If you need a copy of the proposed result ‘‘in the expenditure by State, manufacturers would still apply for registration using the same DEA Form information collection instrument(s) local, and tribal governments, in the with instructions or additional aggregate, or by the private sector, of 225 as other bulk manufacturers, but DEA would use a new supplemental information, please contact the $100,000,000 or more (adjusted Regulatory Drafting and Policy Support annually for inflation) in any 1 year.’’ questionnaire unique to marihuana manufacturers in order to gather Section (DPW), Diversion Control See 2 U.S.C. 1532(a). Therefore, neither Division, Drug Enforcement a Small Government Agency Plan nor additional information about applicants. There would also be new questionnaires Administration; Mailing Address: 8701 any other action is required under the Morrissette Drive, Springfield, Virginia UMRA. used for importer applicants and non- marihuana bulk manufacturer 22152–2639; Telephone: (571) 362– Paperwork Reduction Act of 1995 applicants. Forms 225, 225A, and 225B 3261. would all receive minor revisions to Pursuant to the Paperwork Reduction List of Subjects improve clarity and usability for Act of 1995 (PRA), 44 U.S.C. 3501 et registrants. 21 CFR Part 1301 seq., DEA has identified the following DEA estimates the following number Administrative practice and collections of information related to this of respondents and burden associated procedure, Drug traffic control, Security proposed rule. A person is not required with this collection of information: measures. to respond to a collection of information • Number of respondents: 15,919. unless it displays a valid OMB control • Frequency of response: 1 per 21 CFR Part 1318 number. Copies of existing information respondent per year. Administrative practice and collections approved by OMB may be • Number of responses: 15,919. procedure, Drug traffic control. obtained at https://www.reginfo.gov/. • Burden per response: 0.1304 hours. For the reasons stated in the • A. Collections of Information Associated Total annual burden in hours: preamble, DEA proposes to amend 21 With the Proposed Rule 2,076. CFR chapter II as follows: B. Request for Comments Regarding the Title: Application for Registration PART 1301—REGISTRATION OF Proposed Collections of Information (DEA Form 225); Renewal Application MANUFACTURERS, DISTRIBUTORS, for Registration (DEA Form 225A); Written comments and suggestions AND DISPENSERS OF CONTROLLED Affidavit for Chain Renewal (DEA Form from the public and affected entities SUBSTANCES 225B). concerning the proposed collections of ■ 1. The authority citation for part 1301 OMB control number: 1117–0012. information are encouraged. Under the PRA, DEA is required to provide a continues to read as follows: Form numbers: DEA–225, DEA–225A, notice regarding the proposed DEA–225B. Authority: 21 U.S.C. 821, 822, 823, 824, collections of information in the Federal 831, 871(b), 875, 877, 886a, 951, 952, 956, Type of information collection: Register with the notice of proposed 957, 958, 965 unless otherwise noted. Revision of a currently approved rulemaking and solicit public comment. ■ 2. In § 1301.33, revise paragraph (c) collection. Pursuant to section 3506(c)(2) of the and add paragraph (d) to read as Applicable component of the PRA (44 U.S.C. 3506(c)(2)), DEA solicits follows: department sponsoring the collection: comment on the following issues: Department of Justice/Drug Enforcement • Whether the proposed collection of § 1301.33 Application for bulk manufacture Administration, Diversion Control information is necessary for the proper of Schedule I and II substances. Division. performance of the functions of DEA, * * * * *

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(c) Except as provided in paragraph cannabis preparation do not include location of the registered manufacturer (d) of this section, this section shall not any material, compound, mixture, or authorized to cultivate cannabis, then apply to the manufacture of basic preparation that falls outside the the Administration shall designate a classes of controlled substances listed in definition of marihuana in section location for the authorized grower to Schedule I or II as an incident to 102(16) of the Controlled Substances deliver the crop as soon as possible, but research or chemical analysis as Act (the Act) (21 U.S.C. 802(16)). not later than four months after the end authorized in § 1301.13(e)(1). (f) The term Single Convention means of the harvest. However, in all cases the (d) An application for registration to the Single Convention on Narcotic registrant must comply with the security manufacture marihuana that involves Drugs, 1961 (18 U.S.T. 1407). requirements specified in part 1301 of the planting, cultivating, growing, or (g) The term bona fide supply this chapter. harvesting of marihuana shall be subject agreement means a letter of intent, (b) The Administration shall, with to the requirements of this section and purchase order or contract between an respect to cannabis, have the exclusive the additional requirements set forth in applicant and a researcher or right of importing, exporting, wholesale part 1318 of this chapter. manufacturer registered under the Act. trading, and maintaining stocks other ■ 3. Add part 1318 to read as follows: (h) The term registered researcher or than those held by registered manufacturer means a person registered manufacturers and distributors of PART 1318—CONTROLS TO SATISFY under the Act to perform research or medicinal cannabis or cannabis THE REQUIREMENTS OF THE ACT manufacture of marihuana in Schedule preparations. Such exclusive right shall APPLICABLE TO THE I. not extend to medicinal cannabis or MANUFACTURING OF MARIHUANA cannabis preparations. The § 1318.03 Implementation of statutory Administration may exercise its Sec. requirements. 1318.01 Scope of this part. exclusive right by authorizing the 1318.02 Definitions. (a) As provided in section 303(a) of performance of such activities by 1318.03 Implementation of statutory the Act (21 U.S.C. 823(a)), the appropriately registered persons. The requirements. Administrator may grant an application Administration shall require prior 1318.04 Specific control measures for a registration to manufacture written notice of each proposed applicable to the bulk manufacture of marihuana, including the cultivation of importation, exportation, or distribution marihuana. cannabis, only if he determines that of cannabis that specifies the quantity of 1318.05 Application of the public interest such registration is consistent with the cannabis to be imported, exported, or factors. public interest and with United States distributed and the name, address, and 1318.06 Factors affecting prices for the obligations under the Single purchase and sale by the Administration registration number of the registered of cannabis. Convention. manufacturer or researcher to receive 1318.07 Non-liability of the Drug (b) In accordance with section 303(a) the cannabis before authorizing the Enforcement Administration. of the Act and § 1301.44(a) of this importation, exportation, or chapter, the burden shall be on the Authority: 21 U.S.C. 801(7), 821, 822(a)(1), distribution. All importation and (b), 823(a), 871(b), 886a. applicant to demonstrate that the exportation shall be performed in requirements for such registration have compliance with part 1312 of this § 1318.01 Scope of this part. been satisfied. chapter, as applicable. Under no circumstance shall a registered Procedures governing the registration § 1318.04 Specific control measures of manufacturers seeking to plant, grow, applicable to the bulk manufacture of manufacturer authorized to grow cultivate, or harvest marihuana are set marihuana. cannabis import, export, or distribute forth by this part. cannabis without the express written For a registration to manufacture authorization of the Administration. marihuana that involves the cultivation § 1318.02 Definitions. (c) A registered manufacturer of cannabis, the following provisions (a) Except as provided in paragraph authorized to grow cannabis shall notify must be satisfied: (e) of this section, the term cannabis in writing the Administration of its (a) All registered manufacturers who means any plant of the genus Cannabis. proposed date of harvest at least 15 days cultivate cannabis shall deliver their (b) Except as provided in paragraph before the commencement of the total crops of cannabis to the (e) of this section, the term medicinal harvest. cannabis means a drug product made Administration. The Administration from the cannabis plant, or derivatives shall purchase and take physical § 1318.05 Application of the public interest thereof, that can be legally marketed possession of such crops as soon as factors. under the Federal Food, Drug, and possible, but not later than four months (a) In accordance with section 303(a) Cosmetic Act. after the end of the harvest. The of the Act (21 U.S.C. 823(a)), the (c) Except as provided in paragraph Administration may accept delivery and Administrator shall consider the public (e) of this section, the term cannabis maintain possession of such crops at the interest factors set forth in paragraphs preparation means cannabis that was registered location of the registered (a)(1) through (6) of this section: delivered to the Administration and manufacturer authorized to cultivate (1) Maintenance of effective controls subsequently converted by a registered cannabis consistent with the against diversion of particular manufacturer into a mixture (solid or maintenance of effective controls controlled substances and any liquid) containing cannabis, cannabis against diversion. In such cases, the controlled substance in schedule I or II resin, or extracts of cannabis. Administration shall designate a secure compounded therefrom into other than (d) Except as provided in paragraph storage mechanism at the registered legitimate medical, scientific, research, (e) of this section, the term cannabis location in which the Administration or industrial channels, by limiting the resin means the separated resin, may maintain possession of the importation and bulk manufacture of whether crude or purified, obtained cannabis, and the Administration will such controlled substances to a number from the cannabis plant. control access to the stored cannabis. If of establishments which can produce an (e) As used in this part, the terms the Administration determines that no adequate and uninterrupted supply of cannabis, medicinal cannabis, and suitable location exists at the registered these substances under adequately

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competitive conditions for legitimate uninterrupted supply of cannabis under researchers and manufacturers medical, scientific, research, and adequately competitive conditions, the authorized to handle cannabis to industrial purposes; Administrator shall consider the determine a sale price for their (2) Compliance with applicable State holding of an approved marihuana cannabis. Upon entering into a contract and local law; research protocol by a registered for the provision of bulk cannabis and (3) Promotion of technical advances schedule I researcher seeking to grow prior to the exchange of cannabis, the in the art of manufacturing these cannabis for its own research or product parties shall pay to the Administration substances and the development of new development as evidence of the an administrative fee assessed based on substances; necessity of the applicant’s registration the number of kgs to be supplied. The (4) Prior conviction record of under this factor. administrative fee shall not be applicant under Federal and State laws (c) Applications accepted for filing recoverable in the event that delivery is relating to the manufacture, after [EFFECTIVE DATE OF FINAL rejected by the buyer. distribution, or dispensing of such RULE] will not be considered pending (2) The Administration shall sell the substances; for purposes of paragraph (a) of this cannabis to the buyer at the negotiated (5) Past experience in the manufacture section until all applications accepted sale price plus the administrative fee of controlled substances, and the for filing on or before [EFFECTIVE assessed on a per kg basis. Prior to the existence in the establishment of DATE OF FINAL RULE] have been purchase of the cannabis by the effective control against diversion; and granted or denied by the Administrator. Administration, the buyer shall pay the (6) Such other factors as may be Where an application is subject to negotiated purchase price and relevant to and consistent with the section 303(i) of the Act (21 U.S.C. administrative fee to the public health and safety. 823(i)), that section shall apply in lieu Administration. The Administration (b) The Administrator’s determination of this paragraph (c). shall hold funds equal to the purchase of which applicants to select will be (d) In determining the legitimate price in escrow until the delivery of the consistent with the public interest demand for cannabis and its derivatives cannabis by the grower to the factors set forth in section 303(a), with in the United States, the Administrator Administration. The administrative fee particular emphasis on the following shall consult with the U.S. Department shall not be recoverable in the event that criteria: of Health and Human Services, delivery is rejected by the buyer. (1) Whether the applicant has including its components. demonstrated prior compliance with the (3) After receiving the purchase price Act and this chapter; § 1318.06 Factors affecting prices for the and administrative fee from the buyer, (2) The applicant’s ability to purchase and sale by the Administration of the Administration shall purchase the consistently produce and supply cannabis. cannabis from the grower, on behalf of cannabis of a high quality and defined (a) In accordance with section the buyer, at the negotiated sale price. chemical composition; and 111(b)(3) of Public Law 102–395 (21 The Administration shall retain the (3)(i) In determining under section U.S.C. 886a(1)(C)), seeking to recover administrative fee. In the event the 303(a)(1) of the Act (21 U.S.C. 823(a)(1)) the full costs of operating the aspects of buyer fails to pay the purchase price the number of qualified applicants the diversion control program that are and the administrative fee, the necessary to produce an adequate and related to issuing registrations that Administration shall have no obligation uninterrupted supply of cannabis under comply with the Controlled Substances to purchase the crop and may order the adequately competitive conditions, the Act (CSA), the Administration shall grower to destroy the crop if the grower Administrator shall place particular assess an administrative fee. To set the cannot find an alternative buyer within emphasis on the extent to which any administrative fee, the Administration four months of harvest. applicant is able to supply cannabis or shall annually determine the preceding (4) In instances where the grower of its derivatives in quantities and varieties fiscal year’s cost of operating the the cannabis is the same entity as the that will satisfy the anticipated demand program to cultivate cannabis and shall buyer of the cannabis, or a related or of researchers and other registrants in divide the prior fiscal year’s cost by the subsidiary entity, the entity may the United States who wish to obtain number of kgs of cannabis authorized to establish a nominal price for the cannabis to conduct activities be manufactured in the current year’s purchase of the cannabis. The permissible under the Act, as quota to arrive at the administrative fee Administration shall then purchase the demonstrated through a bona fide per kg. The administrative fee per kg entity’s cannabis at that price and sell supply agreement with a registered shall be added to the sale price of the cannabis back to the entity, or a researcher or manufacturer as defined in cannabis purchased from the related or subsidiary entity, at the same this subpart. Administration. The administrative fee price with the addition of the (ii) If an applicant seeks registration to shall be paid to the Diversion Control administrative fee. grow cannabis for its own research or Fee Account. (c) Administrative fees set in product development, the applicant (b) As set forth in § 1318.04, the accordance with this part will be made must possess registration as a schedule Administration shall have the exclusive available, on an updated basis, on the I researcher with respect to marihuana right of, among other things, wholesale Administration’s website, no later than under § 1301.32 of this chapter. As trading in cannabis that it purchases December 15th of the year preceding the specified in § 1301.13 of this chapter, from registered manufacturers. The year in which the administrative fee chemical analysis and preclinical Administration will, therefore, buy from will be collected. research (including quality control such manufacturer, sell cannabis to (d) Nothing in this section shall analysis) are not coincident activities of registered researchers and prohibit the U.S. Department of Health a manufacturing registration for manufacturers, and establish prices for and Human Services from continuing to schedule I substances, including such purchase and sale. The fund the acquisition of cannabis for use cannabis. In determining under section Administration will set such prices in in research by paying, directly or 303(a)(1) of the Act (21 U.S.C. 823(a)(1)) the following manner: indirectly, the purchase cost and the number of qualified applicants (1) Bulk growers of cannabis shall administrative fee to the necessary to produce an adequate and negotiate directly with registered Administration.

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§ 1318.07 Non-liability of Drug Dated: March 16, 2020. viewing the docket, is available on the Enforcement Administration. R.D. James, site under ‘‘Help.’’ The Administration shall have no Assistant Secretary of the Army, (Civil Works). • Postal Mail, Commercial Delivery, liability with respect to the performance [FR Doc. 2020–05919 Filed 3–20–20; 8:45 am] or Hand Delivery: The Department of any contractual terms agreed to by a BILLING CODE 3720–58–P strongly encourages commenters to grower and buyer of bulk cannabis, submit their comments electronically. including but not limited to the quality However, if you mail or deliver your of any cannabis delivered to a buyer. In DEPARTMENT OF EDUCATION comments about the proposed waiver the event that a buyer deems the and extension, address them to: The delivered cannabis to be defective, the 34 CFR Chapter III Predominantly Black Institutions buyer’s sole remedy for damages shall Competitive Grant Program, CFDA be against the grower and not the [Docket No. ED–2020–OPE–0044] number 84.382A, Attention: Bernadette Administration. Proposed Waiver and Extension of the Miles, U.S. Department of Education, Dated: March 16, 2020. Project Period for the Predominantly 400 Maryland Avenue SW, Room 250– 22, Washington, DC 20202. Uttam Dhillon, Black Institutions Competitive Grant Privacy Note: The Department’s Program Acting Administrator. policy is to make all comments received [FR Doc. 2020–05796 Filed 3–20–20; 8:45 am] AGENCY: Office of Postsecondary from members of the public available for BILLING CODE 4410–09–P Education (OPE), Department of public viewing in their entirety on the Education. Federal eRulemaking Portal at ACTION: Proposed waiver and extension www.regulations.gov. Therefore, of project period. commenters should be careful to DEPARTMENT OF DEFENSE include in their comments only Department of the Army, Corps of SUMMARY: The Secretary proposes to information that they wish to make Engineers waive the requirements in the Education publicly available. Department General Administrative FOR FURTHER INFORMATION CONTACT: 33 CFR Part 209 Regulations that generally prohibit Bernadette Miles, U.S. Department of project periods exceeding five years and Education, 400 Maryland Avenue SW, project period extensions involving the [COE–2016–0016] Room 250–22, Washington, DC 20202. obligation of additional Federal funds. Telephone: 202–453–7892. Email: The proposed waiver and extension [email protected]. RIN 0710–AA72 would enable 23 projects under CFDA If you use a telecommunications number 84.382A to receive funding for Use of U.S. Army Corps of Engineers device for the deaf (TDD) or a text an additional period, not to exceed telephone (TTY), call the Federal Relay Reservoir Projects for Domestic, September 30, 2021. Municipal & Industrial Water Supply; Service (FRS), toll free, at 1–800–877– Withdrawal DATES: We must receive your comments 8339. on or before April 22, 2020. SUPPLEMENTARY INFORMATION: AGENCY: Army Corps of Engineers, DoD. ADDRESSES: Submit your comments Invitation to Comment: We invite you ACTION: Proposed rule; withdrawal. through the Federal eRulemaking Portal to submit comments regarding this or via postal mail, commercial delivery, proposed waiver and extension. SUMMARY: As a result of a policy or hand delivery. We will not accept We invite you to assist us in determination by the Assistant Secretary comments submitted by fax or by email complying with the specific of the Army (Civil Works), the U.S. or those submitted after the comment requirements of Executive Orders Army Corps of Engineers (Corps) is period. To ensure that we do not receive 12866, 13563, and 13771 and their withdrawing the proposed rule titled duplicate copies, please submit your overall requirement of reducing ‘‘Use of U.S. Army Corps of Engineers comments only once. In addition, please regulatory burden that might result from Reservoir Projects for Domestic, include the Docket ID at the top of your this proposed waiver and extension. Municipal & Industrial Water Supply,’’ comments. Please let us know of any further ways which was published on December 16, If you are submitting comments we could reduce potential costs or 2016. electronically, we strongly encourage increase potential benefits while DATES: The Corps is withdrawing the you to submit any comments or preserving the effective and efficient proposed rule published December 16, attachments in Microsoft Word format. administration of the program. 2016 (81 FR 91556) as of March 23, If you must submit a comment in Adobe During and after the comment period, 2020. Portable Document Format (PDF), we you may inspect all public comments ADDRESSES: U.S. Army Corps of strongly encourage you to convert the about this proposed waiver and Engineers, 441 G Street NW, PDF to print-to-PDF format or to use extension of the project period in Room Washington, DC 20314. some other commonly used searchable 5059, 550 12th Street SW, Washington, text format. Please do not submit the DC, between the hours of 8:30 a.m. and FOR FURTHER INFORMATION CONTACT: PDF in a scanned format. Using a print- 4:00 p.m., Eastern time, Monday Amy K. Frantz, Planning and Policy to-PDF format allows the Department to through Friday of each week, except (CECW–P); telephone number: (202) electronically search and copy certain Federal holidays. 761–0106; email address: portions of your submissions. Assistance to Individuals with [email protected]; or • Federal eRulemaking Portal: Go to Disabilities in Reviewing the Daniel Inkelas, Chief Counsel’s Office www.regulations.gov to submit your Rulemaking Record: On request, we will (CECC–L); phone number (202) 761– comments electronically. Information provide an appropriate accommodation 0345; email address: WSRULE2016@ on using Regulations.gov, including or auxiliary aid to an individual with a usace.army.mil. instructions for accessing agency disability who needs assistance to SUPPLEMENTARY INFORMATION: None. documents, submitting comments, and review the comments or other

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documents in the public rulemaking Institutions program; (2) the Asian Institution State Award record for this proposed waiver and American and Native American Pacific extension. If you want to schedule an Islander-serving program; (3) the Native Albany Technical Col- GA 600,000 appointment for this type of aid, please American-serving Non-Tribal lege. contact the person listed under FOR Institutions program; and (4) the Oconee Fall Line Tech- GA 545,459 nical College. FURTHER INFORMATION CONTACT. Hispanic-Serving Institutions Science, Augusta Technical Col- GA 591,493 Technology, Engineering, and Background lege. Mathematics and Articulation Program Central Georgia Tech- GA 596,148 On May 18, 2015, the Department of (HSI–STEM). The waivers and nical College. Education (Department) published in extensions would allow the Department Georgia State Univer- GA 600,000 the Federal Register (80 FR 28248) a to align and coordinate the award cycles sity. notice inviting applications for projects of the Title III, Part F programs, and Malcolm X College ...... IL 590,500 for fiscal year (FY) 2015 under the improve the efficiency and cost- Olive Harvey College .. IL 543,246 Predominantly Black Institutions (PBI) effectiveness of direct training and Chicago State Univer- IL 600,000 Competitive Grant program authorized technical assistance services focused on sity. Mississippi Delta Com- MS 600,000 under Title III, Part F, Section 371 of the the competitive strengthening Higher Education Act of 1965, as munity College. institutions programs. In addition, the Halifax Community Col- NC 600,000 amended (HEA). The purpose of the PBI Department will consider approaches lege. program is to strengthen PBIs to carry for improving coordination among Bloomfield College ...... NJ 600,000 out programs in the following areas: programs that provide these services to Medgar Evers College NY 600,000 Science, technology, engineering, or more efficiently and effectively meet the York College ...... NY 600,000 mathematics; health education; needs of these institutions and to allow Community College of PA 600,000 internationalization or globalization; for efficient use of the funding available Philadelphia. teacher preparation; or improving to support these activities. Northeastern Technical SC 599,252 educational outcomes of African- College. We do not believe that it would be in Florence-Darlington SC 599,993 American males. the public interest to run a competition In September 2015, the Department Technical College. for this program in FY 2020. The Central Carolina Tech- SC 599,921 made 23 60-month awards to eligible program has remaining FY 2019 nical College. institutions funded by the PBI Program appropriated funds to be carried over to Southwest Tennessee TN 600,000 as follows: the current FY 2020 grant cycle and Community College. would continue on an award cycle that Cedar Valley College .. TX 467,126 Institution State would not coordinate with the University of West Alabama ...... AL. Department’s existing part F Any activities carried out during the Arkansas State University ...... AR. discretionary grant programs. year of this continuation award must be Pulaski Technical College ...... AR. The Department has also concluded consistent with the scope, goals, and South Georgia Technical College ..... GA. that it would not be in the public objectives of the grantees’ applications Albany Technical College ...... GA. interest to run two consecutive program as approved in the 2015 competition. Oconee Fall Line Technical College GA. competitions with the first using the The requirements for continuation Augusta Technical College ...... GA. awards are set forth in 34 CFR 75.253. Central Georgia Technical College ... GA. appropriated 2019 carry over funds and Georgia State University ...... GA. the second using the funds appropriated Regulatory Flexibility Act Certification Malcolm X College ...... IL. by H.R. 2486, the Fostering Olive Harvey College ...... IL. Undergraduate Talent by Unlocking The Secretary certifies that the Chicago State University ...... IL. Resources for Education (FUTURE) Act, proposed waiver and extension of the Mississippi Delta Community College MS. because doing so would increase the project period would not have a Halifax Community College ...... NC. burden on the potential applicants. significant economic impact on a Bloomfield College ...... NJ. substantial number of small entities. Medgar Evers College ...... NY. For these reasons, the Secretary York College ...... NY. proposes to waive the requirements in The only entities that would be affected Community College of Philadelphia .. PA. 34 CFR 75.250, which prohibit project by the proposed waiver and extension of Northeastern Technical College ...... SC. periods exceeding five years, and the the project period are the current Florence-Darlington Technical Col- SC. requirements in 34 CFR 75.261(a) and grantees and any other potential lege. (c)(2), which allow the extension of a applicants. Central Carolina Technical College .. SC. The Secretary certifies that the Southwest Tennessee Community TN. project period only if the extension does College. not involve the obligation of additional proposed waiver and extension would Cedar Valley College ...... TX. Federal funds. The waiver would allow not have a significant economic impact the Department to issue one-time FY on these entities because the extension All current project periods for these 2020 continuation awards to the current of an existing project period imposes grantees end on September 30, 2020. PBI Program grantees estimated as minimal compliance costs, and the follows: activities required to support the Waivers and Extensions additional year of funding would not We are proposing to extend the 23 PBI Institution State Award impose additional regulatory burdens or projects in order to align and coordinate require unnecessary Federal the funding cycles of all discretionary University of West Ala- AL $414,672 supervision. grant programs authorized under Title bama. Arkansas State Univer- AR 599,996 Paperwork Reduction Act of 1995 III, Part F, Section 371 of the Higher sity. Education Act of 1965 (HEA). With the Pulaski Technical Col- AR 599,856 This notice of proposed waiver and proposed extension, the PBI Program lege. extension of the project period does not would align with (1) the Alaska Native South Georgia Tech- GA 600,000 contain any information collection and Native Hawaiian-serving nical College. requirements.

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Intergovernmental Review using the Clean Air Act (CAA) error enforcement of the NAAQS. In the These programs are subject to correction provision. EPA has 1970s and early 1980s, thousands of Executive Order 12372 and the determined that this rule was not relied state and local agency regulations were regulations in 34 CFR part 79. One of upon by Ohio to demonstrate attainment submitted to EPA for incorporation into the objectives of the Executive order is or maintenance of any National the SIP to fulfill the new Federal to foster an intergovernmental Ambient Air Quality Standards requirements. In many cases, states partnership and a strengthened (NAAQS). If EPA takes final action submitted entire regulatory air pollution federalism. The Executive order relies consistent with this proposal, the programs, including many elements not on processes developed by State and nuisance provision will no longer be required by the CAA. Due to time and local governments for coordination and part of the Ohio SIP. resource constraints, EPA’s review of review of proposed Federal financial DATES: Comments must be received on these submittals focused primarily on assistance. This document provides or before April 22, 2020. the rules addressing the new substantive early notification of our specific plans ADDRESSES: Submit your comments, requirements of the CAA, and we and actions for this program. identified by Docket ID No. EPA–R05– approved many other elements into the Accessible Format: Individuals with OAR–2020–0055 at http:// SIP with minimal review. We now disabilities can obtain this document in www.regulations.gov, or via email to recognize that some of these elements [email protected]. For comments an accessible format (e.g., braille, large are appropriate for state and local submitted at Regulations.gov, follow the print, audiotape, or compact disc) on agencies to adopt and implement, but request to the contact person listed online instructions for submitting not as federally enforceable SIP under FOR FURTHER INFORMATION comments. Once submitted, comments requirements. These include rules that CONTACT. cannot be edited or removed from Electronic Access to This Document: Regulations.gov. For either manner of prohibit air pollution nuisances. Such The official version of this document is submission, EPA may publish any rules generally have no connection to the document published in the Federal comment received to its public docket. the purposes for which SIPs are Register. You may access the official Do not submit electronically any developed and approved, namely the edition of the Federal Register and the information you consider to be implementation, maintenance, and Code of Federal Regulations at Confidential Business Information (CBI) enforcement of the NAAQS. www.govinfo.gov. At this site you can or other information whose disclosure is II. What is EPA’s authority to correct restricted by statute. Multimedia view this document, as well as all other errors in SIP rulemakings? documents of this Department submissions (audio, video, etc.) must be published in the Federal Register, in accompanied by a written comment. Section 110(k)(6) of the CAA provides text or Portable Document Format The written comment is considered the EPA with authority to make corrections (PDF). To use PDF you must have official comment and should include to prior SIP actions that are Adobe Acrobat Reader, which is discussion of all points you wish to subsequently found to be in error in the available free at the site. make. EPA will generally not consider same manner as the prior action, and to You may also access documents of the comments or comment contents located do so without requiring any further Department published in the Federal outside of the primary submission (i.e. submission from the state. This Register by using the article search on the web, cloud, or other file sharing determination and the basis must be feature at www.federalregister.gov. system). For additional submission provided to the state and the public. Specifically, through the advanced methods, please contact the person search feature at this site, you can limit identified in the FOR FURTHER III. Which rule is EPA proposing to your search to documents published by INFORMATION CONTACT section. For the remove? the Department. full EPA public comment policy, information about CBI or multimedia Ohio rule AP–2–07, ‘‘Air pollution Robert L. King, submissions, and general guidance on nuisances prohibited,’’ was approved by Assistant Secretary for Postsecondary making effective comments, please visit EPA into the Ohio SIP on April 15, Education. http://www2.epa.gov/dockets/ 1974. See 39 FR 13542. Subsequently, [FR Doc. 2020–05741 Filed 3–20–20; 8:45 am] commenting-epa-dockets. Ohio amended and renumbered the rule BILLING CODE 4000–01–P FOR FURTHER INFORMATION CONTACT: as OAC 3745–15–07 and submitted it as Rachel Rineheart, Environmental a revision to the SIP. EPA approved the Engineer, Attainment Planning and amended provision on August 13, 1984. ENVIRONMENTAL PROTECTION Maintenance Section, Air Programs See 49 FR 32182. OAC 3745–15–07 AGENCY Branch (AR–18J), Environmental prohibits the ‘‘emission or escape into 40 CFR Part 52 Protection Agency, Region 5, 77 West the open air from any source or sources Jackson Boulevard, Chicago, Illinois whatsoever, of smoke, ashes, dust, dirt, [EPA–R05–OAR–2020–0055 FRL–10006–83– 60604, (312) 886–7017, grime, acids, fumes, gases, vapors, Region 5] [email protected]. odors, or any other substances or Air Plan Approval; Ohio; Technical SUPPLEMENTARY INFORMATION: combinations of substances, in such Amendment Throughout this document whenever manner or in such amounts as to ‘‘we,’’ ‘‘us,’’ or ‘‘our’’ is used, we mean endanger the health, safety or welfare of AGENCY: Environmental Protection EPA. the public, or cause unreasonable injury Agency (EPA). I. Why is EPA proposing to remove or damage to property.’’ ACTION: Proposed rule. Ohio’s nuisance rule from the SIP? EPA has reviewed the docket files SUMMARY: The Environmental Protection The CAA was first enacted in 1970. regarding Ohio’s nuisance rule and Agency (EPA) is proposing to remove Section 110(a)(1) required each state to found no information indicating that the the air pollution nuisance rule from the submit to EPA SIPs that provided for the state has relied on, or ever intended to Ohio State Implementation Plan (SIP) implementation, maintenance and rely on, this rule for attainment or

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maintenance of any NAAQS.1 Executive Orders 12866 (58 FR 51735, Dated: March 9, 2020. Additionally, the Ohio Environmental October 4, 1993) and 13563 (76 FR 3821, Kurt A. Thiede, Protection Agency has confirmed that January 21, 2011); Regional Administrator, Region 5. they have not relied on, and did not • Is not an Executive Order 13771 (82 [FR Doc. 2020–05957 Filed 3–20–20; 8:45 am] intend to rely on, this rule for FR 9339, February 2, 2017) regulatory BILLING CODE 6560–50–P attainment or maintenance of any action because SIP approvals are NAAQS. exempted under Executive Order 12866; IV. What action is EPA taking? • Does not impose an information DEPARTMENT OF COMMERCE EPA is proposing to remove Ohio’s collection burden under the provisions nuisance provision from the Ohio SIP of the Paperwork Reduction Act (44 National Oceanic and Atmospheric because it does not have a reasonable U.S.C. 3501 et seq.); Administration connection to the attainment and • Is certified as not having a maintenance of the NAAQS. significant economic impact on a 50 CFR Part 679 Consequently, EPA finds that its prior substantial number of small entities RIN 0648–BJ49 approval of OAC 3745–15–07 into the under the Regulatory Flexibility Act (5 Ohio SIP was in error. To correct this U.S.C. 601 et seq.); Fisheries of the Exclusive Economic error, EPA is proposing to remove OAC • Does not contain any unfunded Zone Off Alaska; Reclassifying Sculpin 3745–15–07 from the approved Ohio Species in the Groundfish Fisheries of SIP pursuant to section 110(k)(6) of the mandate or significantly or uniquely affect small governments, as described the Bering Sea and Aleutian Islands CAA and to codify this removal by and the Gulf of Alaska revising the appropriate paragraph in the Unfunded Mandates Reform Act of 1995 (Pub. L. 104–4); under 40 CFR part 52, subpart KK, AGENCY: National Marine Fisheries § 52.1870 (Identification of Plan). • Does not have Federalism Service (NMFS), National Oceanic and implications as specified in Executive V. Incorporation by Reference Atmospheric Administration (NOAA), Order 13132 (64 FR 43255, August 10, Commerce. In this document, EPA is proposing to 1999); ACTION: Notice of availability; fishery amend regulatory text that includes • Is not an economically significant management plan amendments; request incorporation by reference. EPA is regulatory action based on health or for comments. proposing to remove 3745–15–07 ‘‘Air safety risks subject to Executive Order Pollution Nuisances Prohibited’’ of the 13045 (62 FR 19885, April 23, 1997); SUMMARY: The North Pacific Fishery EPA-Approved Ohio Regulations from Management Council submitted • Is not a significant regulatory action the Ohio State Implementation Plan, Amendment 121 to the Fishery subject to Executive Order 13211 (66 FR which is incorporated by reference in Management Plan for Groundfish of the 28355, May 22, 2001); accordance with the requirements of 1 Bering Sea and Aleutian Islands CFR part 51. EPA has made, and will • Is not subject to requirements of Management Area (BSAI FMP) and continue to make the State Section 12(d) of the National Amendment 110 to the Fishery Implementation Plan generally available Technology Transfer and Advancement Management Plan for Groundfish of the through www.epa.gov/air-quality- Act of 1995 (15 U.S.C. 272 note) because Gulf of Alaska (GOA FMP) (collectively implementation-plans/approved-air- application of those requirements would Amendments 121/110), to the Secretary quality-implementation-plans-region-5 be inconsistent with the CAA; and of Commerce for review. If approved, and at the EPA Region 5 Office (please • Does not provide EPA with the Amendments 121/110 would reclassify contact the person identified in the FOR discretionary authority to address, as sculpins in these fishery management FURTHER INFORMATION CONTACT section of appropriate, disproportionate human plans (FMPs) under the ecosystem this preamble for more information). health or environmental effects, using component (EC) category. This action is VI. Statutory and Executive Order practicable and legally permissible necessary to ensure sculpin species are Reviews methods, under Executive Order 12898 accurately classified in the FMPs based Under the CAA, the Administrator is (59 FR 7629, February 16, 1994). on the best available scientific required to approve a SIP submission In addition, the SIP is not approved information. Amendments 121/110 are that complies with the provisions of the to apply on any Indian reservation land intended to promote the goals and CAA and applicable Federal regulations. or in any other area where EPA or an objectives of the Magnuson-Stevens 42 U.S.C. 7410(k); 40 CFR 52.02(a). Indian tribe has demonstrated that a Fishery Conservation and Management Thus, in reviewing SIP submissions, tribe has jurisdiction. In those areas of Act, the FMPs, and other applicable EPA’s role is to approve state choices, Indian country, the rule does not have laws. provided that they meet the criteria of tribal implications and will not impose DATES: Comments must be received no the CAA. Accordingly, this action substantial direct costs on tribal later than May 22, 2020. merely approves state law as meeting governments or preempt tribal law as ADDRESSES: You may submit comments Federal requirements and does not specified by Executive Order 13175 (65 on this document, identified by NOAA– impose additional requirements beyond FR 67249, November 9, 2000). NMFS–2020–0004, by any of the those imposed by state law. For that List of Subjects in 40 CFR Part 52 following methods: reason, this action: • • Electronic Submission: Submit all Is not a significant regulatory action Environmental protection, Air electronic public comments via the subject to review by the Office of pollution control, Carbon monoxide, Federal e Rulemaking Portal. Go to Management and Budget under Incorporation by Reference, www.regulations.gov/ Intergovernmental relations, Lead, #!docketDetail;D=NOAA- NMFS-2020- 1 EPA has taken similar actions in a number of other states. See, e.g., Approval and Promulgation Nitrogen dioxide, Ozone, Particulate 0004, click the ‘‘Comment Now!’’ icon, of Implementation Plans; Michigan: Correction, 64 matter, Sulfur oxides, Volatile organic complete the required fields, and enter FR 7790 (February 17, 1999). compounds. or attach your comments.

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• Mail: Submit written comments to conservation and management that are Amendments 117/106 (83 FR 31460, Glenn Merrill, Assistant Regional caught incidentally during the pursuit July 6, 2018). Administrator, Sustainable Fisheries of target stocks. The second Sculpins are currently classified as Division, Alaska Region NMFS, Attn: classification is for EC species that do target species ‘‘in the fishery’’ in section Records Office. Mail comments to P.O. not require conservation and 3.1.2 of the groundfish FMPs and Box 21668, Juneau, AK 99802–1668. management, but may be listed in an directed fishing is allowed. However, Instructions: Comments sent by any FMP in order to achieve ecosystem sculpins are not a target species for any other method, to any other address or management objectives. Under the groundfish fishery in the BSAI or GOA. individual, or received after the end of groundfish FMPs, NMFS must establish Sculpins are only caught incidentally to the comment period, may not be an overfishing level (OFL), an other target groundfish. Sculpins are considered by NMFS. All comments acceptable biological catch (ABC), and a incidentally caught primarily in the received are a part of the public record total allowable catch (TAC) for each BSAI by trawl gear in directed fishing and will generally be posted for public stock or stock complex (i.e., species or for yellowfin sole, rock sole, and Atka viewing on www.regulations.gov species group) that is ‘‘in the fishery,’’ mackerel, as well as Pacific cod hook- without change. All personal identifying but not for those in the EC. and-line, pot, and trawl directed fishing information (e.g., name, address), The FMPs define the OFL as the catch (Table 3–4 and Table 3–5 of the confidential business information, or level above which overfishing is Analysis). Sculpins are caught primarily otherwise sensitive information occurring for a species or species group. in the GOA by Pacific cod, shallow- submitted voluntarily by the sender will NMFS manages fisheries in an effort to water flatfish directed fishing, and IFQ be publicly accessible. NMFS will ensure that no OFLs are exceeded in any halibut fisheries (Table 3–6 of the accept anonymous comments (enter ‘‘N/ year. The FMPs define the ABC as the Analysis). A’’ in the required fields if you wish to level of a species or species group’s For both the BSAI and GOA, sculpins remain anonymous). annual catch that accounts for the are managed as a Tier 5 species, which Electronic copies of the draft scientific uncertainty in the estimate of is the least preferred method of Environmental Assessment and the OFL and any other scientific specifying an overfishing limit when Regulatory Impact Review (collectively uncertainty. The FMPs define the TAC limited biological reference points are referred to as the ‘‘Analysis’’) prepared as the annual catch target for a species available. Only Tier 6 species, for which for this proposed rule may be obtained or species group, derived from the ABC no biological reference points are from www.regulations.gov. by considering social and economic available, are below Tier 5 in terms of factors and management uncertainty. limited information available. FOR FURTHER INFORMATION CONTACT: In 2010, Amendments 96/87 to the Nonetheless, specification of OFL for Megan Mackey, 907–586–7228. BSAI and GOA FMPs, respectively, Tier 5 species reflects the best estimate SUPPLEMENTARY INFORMATION: The established the EC category and possible for sculpins with the available Magnuson-Stevens Fishery designated prohibited species (salmon, data. As described in Section 3.2.3 of Conservation and Management Act steelhead trout, crab, halibut, and the Analysis, model estimates of sculpin (Magnuson-Stevens Act) requires that herring) and forage fish species (as abundance in the BSAI and GOA have each regional fishery management defined in Table 2c to 50 CFR part 679 been fairly stable over the years with no council (council) submit any fishery and § 679.20(i)) as EC species in the conservation concerns apparent. management plan amendment it groundfish FMPs. Additional detail is Stock assessments provide the prepares to NMFS for review and provided in the final rule implementing scientific basis for determining whether approval, disapproval, or partial Amendments 96/87 (75 FR 61639, a stock is experiencing overfishing (i.e. approval by the Secretary of Commerce October 6, 2010). when a stock’s recent harvest rate (Secretary). The Magnuson-Stevens Act In 2015, NMFS implemented exceeds sustainable levels) or overfished also requires that NMFS, upon receiving Amendments 100/91 to the BSAI and (i.e. already depleted), and for a fishery management plan amendment, GOA FMPs, respectively, to add calculating a sustainable harvest rate immediately publish a notice in the grenadiers to the EC category (80 FR and forecasting catches that correspond Federal Register announcing that the 11897, March 5, 2015). The Council and to that rate. For stocks in Tiers 4–6, no amendment is available for public NMFS added grenadiers to the FMPs in determination can be made of review and comment. This notice the EC category because grenadiers did overfished status or approaching an announces that proposed Amendments not require conservation and overfished condition as information is 121/110 are available for public review management, but acknowledged their insufficient to estimate the Maximum and comment. role in the ecosystem and limited the Sustainable Yield (MSY) stock level. NMFS manages the groundfish groundfish fisheries’ potential impact Therefore, it is not possible to determine fisheries in the exclusive economic zone on grenadiers. Adding grenadiers to the whether the sculpin complex is under the FMPs. The North Pacific EC category allowed for improved data overfished or whether it is approaching Fishery Management Council (Council) collection and catch monitoring an overfished condition because it is prepared the FMPs under the authority appropriate for grenadiers given their managed under Tier 5. However, in the of the Magnuson-Stevens Act, 16 U.S.C. abundance, distribution, and catch. absence of directed fishing, they are 1801 et seq. Regulations governing U.S. Additional detail is provided in the very unlikely to be overfished. Sculpins, fisheries and implementing the FMPs final rule implementing Amendments in general, are not retained. As noted in appear at 50 CFR parts 600 and 679. 100/91 (80 FR 11897, March 5, 2015). Section 3.2.2 of the Analysis, sculpin Section 3.1.2 of the FMPs define two In 2018, NMFS implemented catch has been substantially below ABC broad classifications for stocks or stock Amendments 117/106 to the BSAI and and OFL, and has been a small complexes (i.e., species or species GOA FMPs, respectively, to add squids proportion of the biomass each year. groups). The first classification is for to the FMPs in the EC category because Section 302(h)(1) of the Magnuson- stocks ‘‘in the fishery’’ that include they were, similar to grenadiers, Stevens Act requires a council to target stocks in need of conservation determined not to require conservation prepare an FMP for each fishery under and management that fishers seek to and management. Additional detail is its authority that is in need of catch, and non-target stocks in need of provided in the final rule implementing conservation and management.

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‘‘Conservation and management’’ is since they are not targeted, are rarely NMFS is soliciting public comments defined in section 3(5) of the Magnuson- retained, and future uses of sculpins on proposed Amendments 121/110 Stevens Act. The National Standard remain available. Maintaining sculpins through the end of the comment period guidelines at 50 CFR 600.305(c) (revised as a target species in the BSAI and GOA (see DATES). NMFS intends to publish in on October 18, 2016, 81 FR 71858), FMPs is not likely to change stock the Federal Register and seek public provide direction for determining which condition. comment on a proposed rule that would stocks will require conservation and In October of 2019, the Council implement Amendments 121/110, management and provide direction to recommended and NMFS proposes following NMFS’ evaluation of the regional councils and NMFS for how to Amendments 121/110 to reclassify proposed rule under the Magnuson- sculpins as EC category species in the consider these factors in making this Stevens Act. determination. Specifically, the FMPs. Based on a review of the Respondents do not need to submit guidelines direct regional councils and scientific information, and after the same comments on Amendments NMFS to consider a non-exhaustive list considering the revised NS guidelines, of ten factors when deciding whether the Council and NMFS determined that 121/110 and the proposed rule. All stocks require conservation and sculpins are not in need of conservation relevant written comments received by management. and management, and that classifying the end of the applicable comment sculpins in the EC category is an period, whether specifically directed to Section 2.2.1 in the Analysis appropriate action. the FMP amendments or the proposed considers each of the 10 factors’ While the Council determined that rule will be considered by NMFS in the relevance to sculpins. The analysis sculpins are not in need of conservation approval/disapproval decision for shows that while sculpins are currently and management as defined by the Amendments 121/110 and addressed in classified as a target species in the Magnuson-Stevens Act, and after the response to comments in the final FMPs, there has been no directed considering the revised NS guidelines, decision. Comments received after end fishing for sculpins since they were the Council and NMFS determined that of the applicable comment period will included in the FMPs. Sculpins are not there are benefits to retaining sculpins not be considered in the approval/ important to commercial, recreational, as an EC species complex in the FMPs disapproval decision on Amendments or subsistence users, nor are they because they are a part of the ecosystem 121/110. To be considered, comments important to the National or regional as benthic predators. economy. There are no developing Amendments 121/110 would amend must be received, not just postmarked or fisheries for sculpins in the EEZ off Section 3.1.2 of the FMPs to establish otherwise transmitted, by the last day of Alaska nor in waters of the State of the sculpins EC species complex in the the comment period (see DATES). Alaska. Because there is no directed FMPs. Amendments 121/110 would Authority: 16 U.S.C. 1801 et seq. fishing and incidental fishing-related allow NMFS to prohibit directed Dated: March 18, 2020. mortality is low, there is very little fisheries for sculpins and limit the probability that sculpins will become retention and commercial exchange of He´le`ne M.N. Scalliet, overfished. Sculpins are not in need of sculpins. By virtue of being classified as Acting Director, Office of Sustainable rebuilding, and are not targeted as a EC species, catch specifications for Fisheries, National Marine Fisheries Service. major food product in Alaska. There are sculpins (OFL, ABC, and TAC) would [FR Doc. 2020–06065 Filed 3–20–20; 8:45 a.m.] no conservation concerns for sculpins no longer be required. BILLING CODE 3510–22–P

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Notices Federal Register Vol. 85, No. 56

Monday, March 23, 2020

This section of the FEDERAL REGISTER persons are not required to respond to authorized by the U.S. Cotton Standards contains documents other than rules or the collection of information unless it Act. proposed rules that are applicable to the displays a currently valid OMB control Description of Respondents: Business public. Notices of hearings and investigations, number. committee meetings, agency decisions and or other for-profit. rulings, delegations of authority, filing of Agricultural Marketing Service Number of Respondents: 1,041. petitions and applications and agency Title: Cotton Classing, Testing, and statements of organization and functions are Frequency of Responses: Reporting: examples of documents appearing in this Standards. Annually; on occasion. section. OMB Control Number: 0581–0008. Summary of Collection: The U.S. Total Burden Hours: 184. Cotton Standards Act, 7 U.S.C. 51 53 Agricultural Marketing Service DEPARTMENT OF AGRICULTURE and 55, authorizes the USDA to supervise the various activities directly Title: Cotton Classification and Submission for OMB Review; associated with the classification or Market News Service. grading of cotton, cotton linters, and Comment Request OMB Control Number: 0581–0009. cottonseed based on official USDA March 18, 2020. Standards. The Cotton and Tobacco Summary of Collection: The Cotton The Department of Agriculture will Program of the Agricultural Marketing Statistics and Estimates Act, 7 U.S. Code submit the following information Service carries out this supervision and 471–476, authorizes the Secretary of collection requirement(s) to OMB for is responsible for the maintenance of the Agriculture to collect and publish review and clearance under the functions to which these forms relate. annually statistics or estimates Paperwork Reduction Act of 1995, USDA is the only Federal agency concerning the grades and staple lengths Public Law 104–13 on or after the date authorized to establish and promote the of stocks of cotton. In addition, of publication of this notice. Comments use of the official cotton standards of Agricultural Marketing Service (AMS) are requested regarding: Whether the the U.S. in interstate and foreign collects, authenticates, publishes, and collection of information is necessary commerce and to supervise the various distributes timely information of the for the proper performance of the activities associated with the market supply, demand, location, and functions of the agency, including classification or grading of cotton, market prices for cotton (7 U.S.C. 473B). whether the information will have cotton linters, and cottonseed based on This information is needed and used by practical utility; the accuracy of the official USDA standards. agency’s estimate of burden including Need and Use of the Information: The all segments of the cotton industry. the validity of the methodology and Agricultural Marketing Service collects Need and Use of the Information: assumptions used; ways to enhance the the information using various forms. AMS will collect information on the quality, utility and clarity of the Form FD–210 is submitted by owners of quality of cotton in the carryover stocks information to be collected; and ways to cotton to request cotton classification along with the size or volume of the minimize the burden of the collection of services. The request contains carryover. Growers use this information information on those who are to information for USDA to ascertain in making decisions relative to respond, including through the use of proper ownership of the samples marketing their present crop and appropriate automated, electronic, submitted, to distribute classification planning for the next one; cotton mechanical, or other technological results, and bill for services. Information merchants use the information in collection techniques or other forms of about the origin and handling of the marketing decisions; and the mills that information technology Comments cotton is necessary in order to properly provide the data also use the combined regarding these information collections evaluate and classify the samples. data in planning their future purchase to are best assured of having their full Form CN–246 is submitted by cotton cover their needs. Importers of U.S. effect if received by April 22, 2020. gins and warehouses seeking to serve as Written comments and licensed samplers. Licenses issued by cotton use the data in making their recommendations for the proposed the USDA–AMS Cotton and Tobacco plans for purchases of U.S. cotton. AMS information collection should be Program authorize the warehouse/gin to and other government agencies are users submitted within 30 days of the draw and submit samples to ensure the of the compiled information. publication of this notice on the proper application of standards in the Description of Respondents: Business following website www.reginfo.gov/ classification of cotton and to prevent or other for-profit. public/do/PRAMain. Find this deception in their use. Number of Respondents: 696. particular information collection by Form CN–383 is a package of forms selecting ‘‘Currently under 30-day designated as CN–383–a through CN– Frequency of Responses: Reporting: Review—Open for Public Comments’’ or 383–k that is submitted by cotton On occasion; Weekly; Annually. by using the search function producers, ginners, warehousemen, Total Burden Hours: 599. An agency may not conduct or cooperatives, manufacturers, merchants, sponsor a collection of information and crushers interested in acquiring Ruth Brown, unless the collection of information cotton classification standards and Departmental Information Collection displays a currently valid OMB control round testing services. Clearance Officer. number and the agency informs If this information is not collected or [FR Doc. 2020–06078 Filed 3–20–20; 8:45 am] potential persons who are to respond to collected less frequency, Federal BILLING CODE 3410–02–P the collection of information that such services could not be provided as

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DEPARTMENT OF AGRICULTURE public meetings will remain accessible Family Housing Preservation and Direct via the internet at the following address: Loan Division, USDA-Rural U.S. Codex Office www.codexalimentarius.org/meetings- Development, STOP 0781, 1400 reports/en. Independence Avenue SW, Washington, Codex Alimentarius Commission: DC 20250–0781, telephone (202) 690– Public Meetings of the Codex Done at Washington, DC, on March 17, 2020. 0759 (voice) (this is not a toll-free Alimentarius Commission: Meeting of number) or (800) 877–8339 (TDD- the Committee on Contaminants in Mary Lowe, U.S. Manager for Codex Alimentarius. Federal Information Relay Service) or Foods; the Committee on Food Import via email at, [email protected]. and Export Certification and Inspection [FR Doc. 2020–06067 Filed 3–20–20; 8:45 am] SUPPLEMENTARY INFORMATION: Systems; the Codex Committee on BILLING CODE P Methods of Analysis and Sampling, Priority Language for Funding and the Committee on Residues of Opportunities DEPARTMENT OF AGRICULTURE Veterinary Drugs in Foods The Agency encourages applications AGENCY: U.S. Codex Office, USDA. Rural Housing Service that will help improve life in rural America. See information on the ACTION: Notice of public meeting [Docket No. RHS–20–MFH–0007] changes. Interagency Task Force on Agriculture Notice of Solicitation of Applications and Rural Prosperity found at: SUMMARY: Due to circumstances related for the Section 533 Housing www.usda.gov/ruralprosperity. to the outbreak of the Coronavirus Preservation Grants for Fiscal Year Applicants are encouraged to consider (COVID–19), USDA is publishing this 2020 projects that provide measurable results notice to announce that arrangements in helping rural communities build have been changed to make the public AGENCY: Rural Housing Service, USDA. robust and sustainable economies meetings conducted by telephone ACTION: Notice. through strategic investments in conference only. infrastructure, partnerships and FOR FURTHER INFORMATION CONTACT: SUMMARY: The Rural Housing Service innovation. Doreen Chen-Moulec at 202–720–4063 (RHS), an Agency within Rural Key strategies include: or Mary Frances Lowe at 202–205–7760; Development, announces that it is • Achieving e-Connectivity for Rural U.S. Codex Office, 1400 Independence soliciting competitive applications America Avenue SW, Room 4861, South under its Housing Preservation Grant • Developing the Rural Economy Agriculture Building, Washington, DC (HPG) program. This action is taken to • Harnessing Technological Innovation 20250. Phone: (202) 205 7760, Fax: (202) comply with Agency regulations which • Supporting a Rural Workforce 720–3157, Email: [email protected]. requires the Agency to announce the • Improving Quality of Life opening and closing dates for receipt of SUPPLEMENTARY INFORMATION: The U.S. To leverage investments in rural pre-applications for HPG funds from Codex Office is publishing this notice to property, the Agency also encourages eligible applicants. The Agency will announce that arrangements for the projects located in rural Opportunity publish the amount of funding on its public meetings for the Codex Zones where projects should provide website at https://www.rd.usda.gov/ Alimentarius Commission: Meeting of measurable results in helping newsroom/notices-solicitation- the Codex Committee on Contaminants communities build robust and applications-nosas. Expenses incurred in Food (March 23, 2020) (85 FR 11047), sustainable economies. An Opportunity in developing applications will be at the Codex Alimentarius Commission: Zone is an economically-distressed applicant’s risk. Meeting of the Committee on Food community where new investments, Import and Export Certification and DATES: The closing deadline for receipt under certain conditions, may be Inspection Systems (March 25, 2020) (85 of all paper pre-applications in response eligible for preferential tax treatment. FR 12887), and Codex Alimentarius to this Notice is 5:00 p.m., local time for Localities qualify as Opportunity Zones Commission: Meeting of the Committee each Rural Development State Office on if they have been nominated for that on Methods if Analysis and Sampling May 7, 2020. If submitting the pre- designation by the State and that (April 16, 2020) (85 FR 10399), have application in electronic format, the nomination has been certified by the changed and will be conducted by closing deadline for receipt is 5:00 p.m. Secretary of the U.S. Treasury via his telephone conference only to be Eastern Daylight Time on May 7, 2020. delegation of authority to the Internal consistent with public health guidance Rural Development State Office Revenue Service. related to outbreaks of novel locations can be found at: http:// To combat a key threat to economic coronavirus (COVID19). The www.rd.usda.gov/contact-us/state- prosperity, rural workforce and quality arrangement for the public meeting of offices. RHS will not consider any of life, the Agency also encourages Codex Alimentarius Commission: application that is received after the applications that will support the Meeting of the Codex Committee on closing deadline. Applicants intending Administration’s goal to reduce the Residues of Veterinary Drugs in Foods to mail applications must provide morbidity and mortality associated with (April 30, 2020) (85 FR 13822) will be sufficient time to permit delivery on or Substance Use Disorder (including also be conducted by telephone before the closing deadline date and opioid misuse) in high-risk rural conference only for the same reason. time. Acceptance by the United States communities by strengthening the Please find information on the schedule, Postal Service or private mailer does not capacity to address prevention, telephone conference number and constitute delivery. Facsimile (FAX) and treatment and/or recovery at the passcode for public meetings at the postage due applications will not be community, County, State, and/or following address: www.usda.gov/ accepted. Regional levels: topics/trade/international-food- FOR FURTHER INFORMATION CONTACT: For Key strategies include: standards/codex-federal-register- general information, applicants may • Prevention: Reducing the notices-and-public-meetings. Please contact Bonnie Edwards-Jackson, occurrence of Substance Use Disorder note that the documents related to these Finance and Loan Analyst, Multi- (including opioid misuse) and fatal

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substance-related overdoses through tenants will only apply to the units that include State and local Governments, community and provider education and are repaired with the HPG funding. Any non-profit corporations; which may harm reduction measures such as the units within the property that were not include, but not be limited to Faith- strategic placement of overdose repaired with HPG funding will not be Based and community organizations, reversing devices, such as naloxone; subject to the 5-year restriction. federally recognized Indian Tribes, and • Treatment: Implementing or B. Federal Award Information consortia of eligible entities. HPG expanding access to evidence-based applicants who were previously treatment practices for Substance Use The funding instrument for the HPG selected for HPG funds are eligible to Disorder (including opioid misuse) such program will be a grant agreement. The submit new applications to apply for FY as medication-assisted treatment (MAT); term of the grant can vary from 1 to 2 2020 HPG program funds. More and years, depending on available funds and eligibility requirements can be found at • Recovery: Expanding peer recovery demand. No maximum or minimum 7 CFR 1944.658, 1944.661, and and treatment options that help people grant levels have been established at the 1944.662. start and stay in recovery. National level. In accordance with 7 2. Cost Sharing or Matching. Pursuant To focus investments in areas with CFR 1944.652, coordination and to 7 CFR 1944.652, grantees are the largest opportunity for growth in leveraging of funding for repair and expected to coordinate and leverage prosperity, the Agency encourages rehabilitation activities with housing funding for repair and rehabilitation applications that serve the smallest and community development activities; as well as replacement communities with the lowest incomes, organizations or activities operating in housing, with housing and community the same geographic area are expected, with an emphasis on areas where at development organizations or activities but not required. You should contact the least 20 percent of the population is operating in the same geographic area. Rural Development State Office to living in poverty, according to the While HPG funds may be leveraged with determine the allocation. HPG American Community Survey data by other resources, cost sharing or applicants who were previously census tracts. matching is not a requirement for the selected for HPG funds are eligible to HPG applicant as the HPG applicant Overview submit new applications to apply for would not be denied an award of HPG fiscal year (FY) 2020 HPG program Federal Agency Name: Rural Housing funds if all other project selection funds. Service, USDA. criteria have been met. Funding Opportunity Title: Housing The amount of funding available for Preservation Grants. the HPG program may be found at the 3. Other. Awards made under this Announcement Type: Notice. following link: http://www.rd.usda.gov/ Notice are subject to the provisions Catalog of Federal Domestic programs-services/housing- contained in the Consolidated Assistance Number: 10.433. preservation-grants. In addition, the Appropriations Act, 2019 (Pub. L. 116– Consolidated Appropriations Act, 2019 6) sections 744 and 745 regarding Paperwork Reduction Act (Pub. L. 116–6) set-aside for grants Corporate Felony Convictions and The reporting requirements contained located in Rural Economic Area Corporate Federal Tax Delinquencies. in this Notice have been approved by Partnership Zones (REAP Zones). The To comply with these provisions, only the Office of Management and Budget State Office will indicate on the list applicants that are or propose to be under OMB Number 0575–0115. submitted to the National Office if the corporations will submit this form as part of their pre-application. Form AD– A. Program Description application is eligible for the REAP Zones set-aside. The National Office 3030, ‘‘Representations Regarding The HPG program is a grant program, will then compile a national list, rank Felony Conviction and Tax Delinquent authorized under 42 U.S.C. 1490m and the REAP Zones applicants based on the Status for Corporate Applicants,’’ can be implemented at 7 CFR part 1944, point allocations set forth in this found here: http://www.ocio.usda.gov/ subpart N, which provides qualified Federal Register Notice, and distribute document/ad3030. public agencies, private non-profit the HPG REAP Zones set-aside starting D. Application and Submission organizations including, but not limited with the highest scoring eligible HPG Information to, Faith-Based and neighborhood REAP Zones applicants. Other funds partnerships, and other eligible entities; will be distributed under a formula 1. Address to Request Application grant funds to assist low- and very low- allocation to States pursuant to 7 CFR Package: Applicants wishing to submit income homeowners in repairing and part 1940, subpart L, ‘‘Methodology and a paper application in response to this rehabilitating their homes in rural areas. Formulas for Allocation of Loan and Notice must contact the Rural In addition, the HPG program assists Grant Program Funds.’’ Decisions on Development State Office serving the cooperative housing complexes and funding will be based on pre- State of the proposed HPG housing rental property owners in rural areas in application scores. Anyone interested in project in order to receive further repairing and rehabilitating their units if submitting an application for funding information and copies of the paper they agree to make such units available under this program is encouraged to application package. You may find the to very low- and low- income persons. consult the Rural Development website addresses and contact information for Rental property owners can include periodically for updated information each State Office following this link: Section 515 rental properties if the regarding the status of funding http://www.rd.usda.gov/contact-us/ eligibility requirements for the HPG authorized for this program. state-offices. Rural Development will program are met. In accordance with 7 The commitment of program dollars date and time stamp incoming paper CFR part 1944.663, rental property will be made to selected applicants that applications to evidence timely receipt owners must agree to make the units have fulfilled the necessary and; upon request, will provide the repaired or rehabilitated available for requirements for obligation. applicant with a written occupancy to very low- or low-income acknowledgment of receipt. You may persons for a period of not less than 5 C. Eligibility Information access the electronic grant pre- years. The minimum 5-year restriction 1. Eligible Applicants. Eligible entities application for Housing Preservation to rent the very low- and low- income for these competitively awarded grants Grants at: http://www.grants.gov.

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2. Content and Form of Application: (4) The development standard(s) the (16) Any other information necessary 7 CFR part 1944, subpart N provides applicant will use for the housing to explain the proposed HPG program; details on what information must be preservation work; and, if not the Rural and contained in the pre-application Development standards for existing (17) The outreach efforts outlined in package. Entities wishing to apply for dwellings, the evidence of its 7 CFR 1944.671(b). assistance should contact the Rural acceptance by the jurisdiction where the (b) Complete information about the Development State Office to receive grant will be implemented; applicant’s experience and capacity to further information, the State allocation (5) The time schedule for completing carry out the objectives of the proposed of funds, and copies of the pre- the program; HPG program. application package. Unless otherwise (6) The staffing required to complete (c) Evidence of the applicant’s legal noted, applicants wishing to apply for the program; existence, including, in the case of a assistance must make its statement of (7) The estimated number of very low- private non-profit organization, which activities available to the public for and low-income minority and may include, but not be limited to, comment. The applicant(s) must nonminority persons the grantee will Faith-Based and community announce the availability of its assist with HPG funds; and, if a rental organizations, a copy of, or an accurate statement of activities for review in a property or cooperative assistance reference to, the specific provisions of newspaper of general circulation in the program, the number of units and the State law under which the applicant is project area and allow at least 15 days term of restrictive covenants on their organized; a certified copy of the for public comment. The start of this 15- use for very low- and low-income; applicant’s Articles of Incorporation and day period must occur no later than 16 (8) The geographical area(s) to be Bylaws or other evidence of corporate days prior to the last day for acceptance served by the HPG program; existence; certificate of incorporation for of pre-applications by the United States (9) The annual estimated budget for other than public bodies; evidence of Department of Agriculture (USDA)- the program period based on the good standing from the State when the Rural Development. Federally financial needs to accomplish the corporation has been in existence one recognized Indian Tribes, pursuant to 7 objectives outlined in the proposal. The year or more; and the names and CFR 1944.674, are exempt from the budget should include proposed direct addresses of the applicant’s members, requirement to consult with local and indirect administrative costs, such directors and officers. If other leaders including announcing the as personnel, fringe benefits, travel, organizations are members of the availability of its statement of activities equipment, supplies, contracts, and applicant-organization, or the applicant for review in a newspaper. other cost categories, detailing those is a consortium, pre-applications should All applicants will file an original and costs for which the grantee proposes to be accompanied by the names, two copies of Standard Form (SF)-424, use the HPG grant separately from non- addresses, and principal purpose of the ‘‘Application for Federal Assistance,’’ HPG resources, if any. The applicant other organizations. If the applicant is a and supporting information with the budget should also include a schedule consortium, documentation showing appropriate Rural Development State (with amounts) of how the applicant compliance with paragraph (4)(ii) under Office. A pre-application package; proposes to draw HPG grant funds, i.e., the definition of ‘‘organization’’ in 7 including SF–424, is available in any monthly, quarterly, lump sum for CFR 1944.656 must also be included. Rural Development State Office. All pre- program activities, etc.; (d) For a private non-profit entity, applications shall be accompanied by (10) A copy of an indirect cost which may include, but not be limited the following information which Rural proposal when the applicant has to, Faith-Based and community Development will use to determine the another source of Federal funding in organizations, the most recent audited applicant’s eligibility to undertake the addition to the Rural Development HPG statement and a current financial HPG program and to evaluate the pre- program; statement dated and signed by an application under the project selection (11) A brief description of the authorized officer of the entity showing criteria of 7 CFR 1944.679. accounting system to be used; the amounts and specific nature of (a) A statement of activities proposed (l2) The method of evaluation to be assets and liabilities together with by the applicant for its HPG program as used by the applicant to determine the information on the repayment schedule appropriate to the type of assistance the effectiveness of its program which and status of any debt(s) owed by the applicant is proposing, including: encompasses the requirements for applicant. (1) A complete discussion of the type quarterly reports to Rural Development (e) A brief narrative statement which of and conditions for financial in accordance with 7 CFR 1944.683(b) includes information about the area to assistance for housing preservation, and the monitoring plan for rental be served and the need for improved including whether the request for properties and cooperatives (when housing (including both percentage and assistance is for a homeowner assistance applicable) according to 7 CFR the actual number of both low-income program, a rental property assistance 1944.689; and low-income minority households program, or a cooperative assistance (13) The source and estimated amount and substandard housing), the need for program; of other financial resources to be the type of housing preservation (2) The process for selecting obtained and used by the applicant for assistance being proposed, the recipients for HPG assistance, both HPG activities and housing anticipated use of HPG resources for determining housing preservation needs development and/or supporting historic properties, the method of of the dwelling, performing the activities; evaluation to be used by the applicant necessary work, and monitoring/ (14) The use of program income; if in determining the effectiveness of its inspecting work performed; any, and the tracking system used for efforts. (3) A description of the process for monitoring same; (f) A statement containing the coordinating with other public and (15) The applicant’s plan for component for alleviating any private organizations and programs that disposition of any security instruments overcrowding as defined by 7 CFR provide assistance in rehabilitation of held by them as a result of its HPG 1944.656. historic properties in accordance with 7 activities in the event of its loss of legal (g) A signed copy of the CFR 1944.673; status; documentation in accordance with 7

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CFR 1944.673 (as a companion to (a)(3) from the deadline for paper format. The 533 Housing Preservation Grants above); electronic format deadline will be based (HPG).’’ (h) The applicant must submit written on Eastern Standard Time. The paper Applicants are encouraged; but not statements and related correspondence format deadline is local time for each required, to also provide an electronic reflecting compliance with 7 CFR Rural Development State Office. copy of all hard copy forms and 1944.674(a) and (c) regarding Users of Grants.gov will be able to documents submitted in the pre- consultation with local Government download a copy of the pre-application application/application package as leaders in the preparation of its program package, complete it off line, and then requested by this Notice. The forms and and the consultation with local and upload and submit the application via documents must be submitted as read- State Government pursuant to the the Grants.gov site. You may not email only Adobe Acrobat PDF files on an provisions of Executive Order 12372. an electronic copy of a grant pre- electronic media such as CDs, DVDs or (i) The applicant is to make its application to USDA Rural USB drives. For each electronic device statement of activities available to the Development; however, the Agency that you submit, you must include a public for comment prior to submission encourages your participation in Table of Contents listing all of the to Rural Development pursuant to 7 CFR Grants.gov. documents and forms on that device. 1944.674(b). The application must The following are useful tips and The electronic medium must be contain a description of how the instructions on how to use the website: submitted to the local Rural • comments (if any were received) were When you enter the Grants.gov site, Development State Office where the addressed. you will find information about project will be located. (j) The applicant must submit an submitting an application electronically Please Note: If you receive a loan or original and one copy of Form RD 400– through the website as well as the hours grant award under this Notice, USDA 1, ‘‘Equal Opportunity Agreement’’ and of operation. USDA-Rural Development reserves the right to post all information Form RD 400–4, ‘‘Assurance strongly recommends that you do not that is not protected by the Privacy Act Agreement’’ in accordance with 7 CFR wait until the application deadline date submitted as part of the pre-application/ 1944.676. to begin the application process through application package on a public website Applicants should review 7 CFR part Grants.gov. To use Grants.gov, with free and open access to any 1944, subpart N for a comprehensive list applicants must have a DUNS number. member of the public. of all application requirements. • You may submit all documents 3. Address Unique Entity Identifier electronically through the website, E. Application Review Information and System for Award Management: As including all information typically 1. Criteria. All paper applications for part of the application, all applicants, included on the Application for Section 533 HPG funds must be filed except for individuals or agencies Housing Preservation Grants, and all with the appropriate Rural Development excepted under 2 CFR 25.110(d), must necessary assurances and certifications. State Office and all paper or electronic be: (1) registered in the System for • After you electronically submit applications must meet the Award Management (SAM); (2) provide your application through the website, requirements of this Notice and 7 CFR a valid unique entity identifier in its you will receive an automatic part 1944, subpart N. Pre-applications applications; and (3) maintain an active acknowledgement from Grants.gov that determined not eligible and/or not SAM registration with current contains a Grants.gov tracking number. meeting the selection criteria will be • information at all times during which it RHS may request that you provide notified by the Rural Development State has an active Federal award or original signatures on forms at a later Office. application. An award may not be made date. 2. Review and Selection Process. The • to the applicant until the applicant has If you experience technical Rural Development State Offices will complied with the unique entity difficulties on the closing date and are utilize the following threshold project identifier and SAM requirements. unable to meet the 5:00 p.m. (Eastern selection criteria for applicants in 4. Intergovernmental Review: The Standard Time) deadline, print out your accordance with 7 CFR 1944.679: HPG program is subject to the application and submit it to your State (a) Providing a financially feasible provisions of Executive Order 12372, Office; you must meet the closing date program of housing preservation which requires intergovernmental and local time deadline. assistance. ‘‘Financially feasible’’ is • consultation with State and local Please note that you must locate the defined as proposed assistance which officials. downloadable application package for will be affordable to the intended 5. Funding Restrictions: There are no this program by the CFDA Number or recipient or result in affordable housing limits on proposed direct and indirect FedGrants Funding Opportunity for very low- and low-income persons. costs. Expenses incurred in developing Number, which can be found at http:// (b) Serving eligible rural areas with a pre-applications will be at the www.grants.gov. concentration of substandard housing applicant’s risk. In addition to the electronic pre- for households with very low- and low- 6. Other Submission Requirements: application at: http://www.grants.gov income. To comply with the President’s website, all applicants must complete (c) Being an eligible applicant as Management Agenda, USDA is and submit the FY 2020 pre-application defined in 7 CFR 1944.658. participating as a partner in the package, detailed later in this Notice, for (d) Meeting the requirements of Government-wide grants.gov site. the Section 533 HPG program. A copy consultation and public comment in Housing Preservation Grants [Catalog of of a suggested coversheet is included accordance with 7 CFR 1944.674. Federal Domestic Assistance #10.433] is with this Notice. Applicants are (e) Submitting a complete pre- one of the programs included at this encouraged to submit this pre- application as outlined in 7 CFR website. If you are an applicant under application coversheet electronically by 1944.676. the HPG program, you may submit your accessing the website: http:// 3. Scoring. For applicants meeting all pre-application to the Agency in either www.rd.usda.gov/programs-services/ of the requirements listed above, the electronic or paper format. Please be housing-preservation-grants. Click on Rural Development State Offices will mindful that the pre-application the Forms & Resources tab to access the use weighted criteria in accordance with deadline for electronic format differs ‘‘FY 2020 Pre-Application for Section 7 CFR part 1944, subpart N as selection

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for the grant recipients. Each pre- population) as defined in 7 CFR Applicant X’s rental unit will be application and its accompanying 1944.656: 10 points. available for occupancy under the statement of activities will be evaluated (e) The program will use less than 20 program for 10 years and, based solely on the information percent of HPG funds for administration Applicant B’s rental unit will be contained in the pre-application, the purposes: available for occupancy under the applicant’s proposal will be numerically (1) More than 20%: Not eligible program for 5 years rated on each criteria within the range (2) 20%: 0 points Applicant X is ranked higher than provided. The highest-ranking (3) 19%: 1 point Applicant B applicant(s) will be selected based on (4) 18%: 2 points Applicant X will be funded before allocation of funds available to the (5) 17%: 3 points Applicant B State. (6) 16%: 4 points If any of the applicants that remain (a) Points are awarded based on the (7) 15% or less: 5 points tied after the 1st and 2nd tie-breaks are percentage of very low-income persons (f) The proposed program contains a offering to assist single family owners, that the applicant proposes to assist, component for alleviating overcrowding then the 3rd tie-break would not be using the following scale: as defined in 7 CFR 1944.656: 5 points. applicable, and a lottery would be used (1) More than 80%: 20 points In the event more than one pre- to select the applicant to be funded. (2) 61% to 80%: 15 points application receives the same amount of If there is still a tie after the first two (3) 41% to 60%: 10 points points, those pre-applications will then [or three, when applicable] tie-breaks, (4) 20% to 40%: 5 points be ranked based on the actual then a lottery system will be used to (5) Less than 20%: 0 points percentage figure used for determining select the applicant to be funded. The lottery will be conducted at the National (b) The applicant’s proposal may be the points in item (a) in the ‘‘Scoring’’ Office. The lottery will consist of the expected to result in the following section of this Notice (7 CFR names of each application with equal percentage of HPG fund use (excluding 1944.679(b)(1)). scores printed onto a same size piece of administrative costs) to total cost of unit Example of 1st tie-break: paper, which will then be placed into a preservation. This percentage reflects Both Applicants score 80 points receptacle that fully obstructs the view maximum repair or rehabilitation with Applicant X’s percentage in ‘‘Scoring’’ of the names. The Director of the the least possible HPG funds due to section item (a) is 65% Preservation and Direct Loan Division, leveraging, innovative financial Applicant B’s percentage in ‘‘Scoring’’ section item (a) is 75% in the presence of two witnesses, will assistance, owner’s contribution or other draw a piece of paper from the specified approaches. Points are Applicant B is ranked higher than Applicant X receptacle. The name on piece of paper awarded based on the following drawn will be the applicant to be percentage of HPG funds (excluding Applicant B will be funded before Applicant X funded. administrative costs) to total funds: After the award selections are made, (1) 50% or less: 20 points Further, in the event that pre- all applicants will be notified of the (2) 51% to 65%: 15 points applications are still tied, then those status of their applications by mail with (3) 66% to 80%: 10 points pre-applications still tied will be ranked form AD–622 Form, ‘‘Notice of Pre- (4) 81% to 95%: 5 points based on the percentage figures used for Application Review Action.’’ (5) 96% to 100%: 0 points determining the points in item (b) in the Applicants will be given their review (c) The applicant has demonstrated its ‘‘Scoring’’ section of this Notice (7 CFR rights or appeal rights in accordance administrative capacity in assisting very 1944.679(b)(2)). with 7 CFR 1944.682. low- and low-income persons to obtain Example of 2nd tie-break: adequate housing based on the Both Applicants score 80 points F. Federal Award Administration following: Both Applicants percentage in Information (1) The organization or a member of ‘‘Scoring’’ section item (a) is 65% 1. Federal Award Notices. The Agency its staff has at least one or more years’ Applicant X’s percentage in ‘‘Scoring’’ will notify; in writing, applicants whose experience successfully managing and section item (b) is 55% pre-applications have been selected for operating a rehabilitation or Applicant B’s percentage in ‘‘Scoring’’ funding. At the time of notification, the weatherization type program: 10 points. section item (b) is 60% Agency will advise the applicant what (2) The organization or a member of Applicant X is ranked with a lower further information and documentation its staff has at least one or more years’ percentage than Applicant B is required along with a timeline for experience successfully managing and Applicant X will be funded before submitting the additional information. If operating a program assisting very low- Applicant B the Agency determines it is unable to and low-income persons obtain housing Further, 7 CFR 1944.679(c), for select the application for funding, the assistance: 10 points. applications where HPG assistance to applicant will be informed in writing. (3) If the organization has rental properties or co-ops is proposed, Such notification will include the administered grant programs, there are those still tied will be further ranked reasons the applicant was not selected. no outstanding or unresolved audit or based on the number of years the units The Agency will advise applicants, investigative findings which might are available for occupancy under the whose pre-applications did not meet impair carrying out the proposal: 10 program (a minimum of five years is eligibility and/or selection criteria, of points. required). For this part, ranking will be their review rights or appeal rights in (d) The proposed program will be based from most to least number of accordance with 7 CFR 1944.682. undertaken entirely in rural areas years. 2. Administrative and National Policy outside Metropolitan Statistical Areas, Example of 3rd tie-break: Requirements. Rural Development is also known as MSAs, identified by Both Applicants score 80 points encouraging applications for projects Rural Development as having Both Applicants percentage in that will support rural areas with populations below 10,000 or in remote ‘‘Scoring’’ section item (a) is 65% persistent poverty and in Opportunity parts of other rural areas (i.e., rural areas Both Applicants percentage in Zones. This emphasis will support contained in MSAs with less than 5,000 ‘‘Scoring’’ section item (b) is 55% Rural Development’s mission of

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improving the quality of life for Rural civil rights activity, in any program or www.ascr.usda.gov/complaint_filing_ Americans and commitment to directing activity conducted or funded by USDA cust.html, and at any USDA office or resources to those who most need them. (not all bases apply to all programs). write a letter addressed to USDA and 3. Reporting. Post-award reporting Remedies and complaint filing provide in the letter all of the requirements can be found in the Grant deadlines vary by program or incident. information requested in the form. To Agreement. Persons with disabilities who require request a copy of the complaint form, G. Non-Discrimination Statement alternative means of communication for call (866) 632–9992. Submit your completed form or letter to USDA by: In accordance with Federal civil program information (e.g., Braille, large (1) Mail: United States Department of rights law and USDA civil rights print, audiotape, American Sign regulations and policies, the USDA, its Language, etc.) should contact the Agriculture, Office of the Assistant Agencies, offices, and employees and responsible Agency or USDA’s TARGET Secretary for Civil Rights, 1400 institutions participating in or Center at (202) 720–2600 (voice and Independence Avenue SW, Washington, administering USDA programs are TTY) or contact USDA through the DC 20250–9410; prohibited from discrimination based on Federal Relay Service, at (800) 877– (2) Fax: (202) 690–7442; or race, color, national origin, religion, sex, 8339. Additionally, program (3) Email: [email protected]. gender identity, (including gender information may be made available in languages other than English. USDA is an equal opportunity expression), sexual orientation, provider, employer, and lender. disability, age, marital status, family/ To file a program discrimination parental status, income derived from a complaint, complete the USDA Program Bruce W. Lammers, public assistance program, political Discrimination Complaint Form (PDF), Administrator, Rural Housing Service. beliefs, or reprisal or retaliation for prior found online at: http:// BILLING CODE 3410–XV–P

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[FR Doc. 2020–05984 Filed 3–20–20; 8:45 am] 1522. Telephone: (202)720–2825. Email techniques or other forms of information BILLING CODE 3410–XV–C [email protected]. technology. Comments may be sent by the Federal SUPPLEMENTARY INFORMATION: The Office eRulemaking Portal: Go to http:// DEPARTMENT OF AGRICULTURE of Management and Budget’s (OMB) www.regulations.gov and, in the lower regulation (5 CFR 1320) implementing ‘‘Search Regulations and Federal Rural Housing Service provisions of the Paperwork Reduction Actions’’ box, select ‘‘[insert Agency Act of 1995 (Pub. L. 104–13) requires [Docket No. RHS–20–CF–0006] name]’’ from the agency drop-down that interested members of the public menu, then click on ‘‘Submit.’’ In the Notice of Request for Revision of a and affected agencies have an Docket ID column, select [insert docket Currently Approved Information opportunity to comment on information number] to submit or view public Collection collection and recordkeeping activities comments and to view supporting and (see 5 CFR 1320.8(d)). This notice related materials available AGENCY: Rural Housing Service (RHS), identifies an information collection that electronically. Information on using USDA. RUS is submitting to OMB for revision. Regulations.gov, including instructions ACTION: Notice; comment requested. for accessing documents, submitting Comments SUMMARY: In accordance with the comments, and viewing the docket after Paperwork Reduction Act of 1995, this Comments are invited on: (a) Whether the close of the comment period, is notice announces the intention of the the proposed collection of information available through the site’s ‘‘User Tips’’ above-named Agencies to request Office is necessary for the proper performance link. Title: 7 CFR 1951–E, Servicing of of Management and Budget’s (OMB) of the functions of the Agency, Community and Direct Business approval for a revision of a currently including whether the information will Programs Loans and Grants. approved information collection in have practical utility; (b) The accuracy OMB Number: 0575–0066. support of the servicing of Community of the Agency’s estimate of the burden Expiration Date of Approval: May 31, and Direct Business Programs Loans and of the proposed collection of 2021. Grants. information including the validity of the Type of Request: Revision of a DATES: Comments on this notice must be methodology and assumptions used; (c) currently approved information received by May 22, 2020 to be assured Ways to enhance the quality, utility and collection. of consideration. clarity of the information to be Abstract: The Community Facilities FOR FURTHER INFORMATION CONTACT: collected; and (d) Ways to minimize the program is authorized to make loans Arlette Mussington, Rural Development burden of the collection of information and grants to public entities, nonprofit Innovation Center—Regulations on those who are to respond, including corporations, and Indian tribes for the Management Division, USDA, 1400 through the use of appropriate development of essential community Independence Avenue SW, Room 4227, automated, electronic, mechanical, or facilities primarily serving rural South Building, Washington, DC 20250– other technological collection residents. The Direct Business and

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Industry program, under Rural borrower; performing civil rights DEPARTMENT OF COMMERCE Business-Cooperative Service, is compliance reviews; and assisting in the authorized to make loans to improve, development of workout agreements. Economic Development Administration develop, or finance business, industry, Information will be collected by the and employment, and improve the field offices from applicants, borrowers, Notice of Petitions by Firms for economic and environmental climate in consultants, lenders, and attorneys. Determination of Eligibility To Apply rural communities. Failure to collect information could for Trade Adjustment Assistance The purpose of this collection is to result in improper servicing of these establish security servicing policies, loans. AGENCY: Economic Development assist recipients in meeting the Estimate of Burden: Public reporting Administration, U.S. Department of objectives of the loans and grants, repay burden for this collection of information Commerce. loans on schedule, comply with is estimated to average 1 hour per ACTION: agreements, and protect the response. Notice and opportunity for Government’s financial interest. Routine Respondents: State, local or tribal public comment. servicing responsibilities include Governments, Not-for-profit institutions, collection of payments, compliance businesses, and individuals. SUMMARY: The Economic Development reviews, security inspections, review of Estimated Number of Respondents: 15 Administration (EDA) has received financial reports, determining Estimated Number of Responses per petitions for certification of eligibility to applicant/borrower eligibility and Respondent: 1. apply for Trade Adjustment Assistance project feasibility for various servicing Estimated Number of Responses: from the firms listed below. actions, monitoring delinquent 1,773. Accordingly, EDA has initiated accounts, and supervision activities. Estimated Total Annual Burden on investigations to determine whether The revision is a result of an increase Respondents: 1,663. increased imports into the United States of 138 responses and 123 burden hours Copies of this information collection of articles like or directly competitive since our last submission. This increase can be obtained from Arlette with those produced by each of the is due to the fact that there has been an Mussington, Innovation Center— firms contributed importantly to the increase of funding availability and Regulations Management Division, at total or partial separation of the firms’ initiatives for the direct Community (202) 720–2825. Email: workers, or threat thereof, and to a Facilities loan program over the past [email protected]. decrease in sales or production of each few years. All responses to this notice will be Supervision by the Agencies include, summarized and included in the request petitioning firm. but is not limited to: Review of budgets, for OMB approval. All comments will SUPPLEMENTARY INFORMATION: management reports, audits and also become a matter of public record. financial statements; performing security inspections; providing, Bruce W. Lammers, arranging, or recommending technical Administrator, Rural Housing Service. assistance; evaluating environmental [FR Doc. 2020–05977 Filed 3–20–20; 8:45 am] impacts of proposed actions by the BILLING CODE 3410–XV–P

LIST OF PETITIONS RECEIVED BY EDA FOR CERTIFICATION OF ELIGIBILITY TO APPLY FOR TRADE ADJUSTMENT ASSISTANCE [3/12/2020 through 3/16/2020]

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

FiberLok Technologies, Inc ..... 811 Stockton Avenue, Fort 3/12/2020 The firm manufactures textile graphics, primarily labels and Collins, CO 80524. badges. Marathon Boat Group, Inc ...... 1 Grumman Way, Marathon, 3/12/2020 The firm manufactures aluminum canoes, pontoon boats, NY 13803. and flat-bottom boats. Lozier Corporation ...... 6336 John J. Pershing Drive, 3/13/2020 The firm manufactures retail fixtures, including shelving, Omaha, NE 68110. counters, cabinets, and display racks. Apex Manufacturing Services, 520 Charles Street, Billings, 3/16/2020 The firm manufactures metal and plastic parts. Ltd. MT 59101. Industrial Screen & Mainte- 2285 Logos Court, Grand 3/16/2020 The firm manufactures metal screens and strainers for indus- nance, Inc. Junction, CO 81505. trial uses.

Any party having a substantial received pursuant to section 251 of the these petitions are submitted is 11.313, interest in these proceedings may Trade Act of 1974, as amended. Trade Adjustment Assistance for Firms. request a public hearing on the matter. Please follow the requirements set A written request for a hearing must be Irette Patterson, forth in EDA’s regulations at 13 CFR Program Analyst. submitted to the Trade Adjustment 315.9 for procedures to request a public [FR Doc. 2020–05975 Filed 3–20–20; 8:45 am] Assistance Division, Room 71030, hearing. The Catalog of Federal Economic Development Administration, BILLING CODE 3510–WH–P Domestic Assistance official number U.S. Department of Commerce, and title for the program under which Washington, DC 20230, no later than ten (10) calendar days following publication of this notice. These petitions are

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DEPARTMENT OF COMMERCE [email protected] or (202) with respect to Korvan, Woojin, and 482–1963. Fortune.2 Foreign-Trade Zones Board Dated: March 17, 2020. After initiating this review with respect to Korvan, Woojin, and Fortune, [B–18–2020] Andrew McGilvray, on July 25, 2019, Commerce issued an Executive Secretary. Foreign-Trade Zone (FTZ) 158— antidumping duty questionnaire to each Jackson, Mississippi, Notification of [FR Doc. 2020–06056 Filed 3–20–20; 8:45 am] of these companies.3 Korvan and Proposed Production Activity, Traxys BILLING CODE 3510–DS–P Woojin submitted no shipments letters.4 Cometals USA, LLC (Manganese and Fortune did not respond to the Aluminum Alloying Agents), questionnaire. DEPARTMENT OF COMMERCE Burnsville, Mississippi On January 22, 2020, Commerce extended the due date for issuing the International Trade Administration Traxys Cometals USA, LLC (Traxys preliminary results of this review until Cometals) submitted a notification of [A–580–886] March 6, 2020.5 proposed production activity to the FTZ For a complete description of the Board for its facility in Burnsville, Ferrovanadium From the Republic of events that followed the initiation of Mississippi. The notification Korea: Preliminary Results of this AR, see the Preliminary Decision conforming to the requirements of the Antidumping Duty Administrative Memorandum which is hereby adopted regulations of the FTZ Board (15 CFR Review and Preliminary Determination by this notice.6 of No Shipments in Part; 2017–2018 400.22) was received on March 11, Scope of the Order 2020. AGENCY: Traxys Cometals already has authority Enforcement and Compliance, The product covered by this review is to produce high-grade manganese and International Trade Administration, ferrovanadium from Korea. For a full aluminum alloying agents within FTZ Department of Commerce. description of the scope see the 158. The current request would add a SUMMARY: The Department of Commerce Preliminary Decision Memorandum. (Commerce) has preliminarily finished product and a foreign status Methodology material/component to the scope of determined that two of the three authority. Pursuant to 15 CFR 400.14(b), respondents in this administrative Commerce is conducting this review additional FTZ authority would be review (AR) of the antidumping duty in accordance with section 751(a)(1)(B) limited to the specific foreign-status (AD) order on ferrovanadium from the of the Tariff Act of 1930, as amended material/component and the specific Republic of Korea (Korea), Korvan Ind, (the Act). For a full description of the methodology underlying our finished product described in the Co., Ltd. (Korvan) and Woojin Ind. Co., conclusions, see the Preliminary submitted notification (as described Ltd. (Woojin), made no shipments of Decision Memorandum. A list of the below) and subsequently authorized by subject merchandise to the United topics included in the Preliminary the FTZ Board. States during the period of review Production under FTZ procedures (POR), May 1, 2018 through April 30, Decision Memorandum is included as could exempt Traxys Cometals from 2019. Commerce has preliminarily an appendix to this notice. The customs duty payments on the foreign- assigned the third respondent, Fortune Preliminary Decision Memorandum is a status materials/components used in Metallurgical Group Co., Ltd. (Fortune), public document and is made available to the public via Enforcement and export production. On its domestic an AD margin based upon the Compliance’s Antidumping and sales, for the foreign-status material/ application of total adverse facts Countervailing Duty Centralized component noted below and in the available. We invite interested parties to Electronic Service System (ACCESS). existing scope of authority, Traxys comment on these preliminary results. ACCESS is available to registered users Cometals would be able to choose the DATES: Applicable March 23, 2020. at https://access.trade.gov, and it is duty rate during customs entry FOR FURTHER INFORMATION CONTACT: available to all parties in the Central procedures that applies to low-carbon Karine Gziryan, AD/CVD Operations, Records Unit, Room B8024 of the main ferromanganese powder (duty rate Office IV, Enforcement and Compliance, Commerce building. In addition, a 2.3%). Traxys Cometals would be able International Trade Administration, complete version of the Preliminary to avoid duty on foreign-status Department of Commerce, 1401 Decision Memorandum is available at components which become scrap/waste. Constitution Avenue NW, Washington, Customs duties also could possibly be DC 20230; telephone: (202) 482–4081. 2 See Petitioner’s Letter, ‘‘Ferrovanadium from the deferred or reduced on foreign-status SUPPLEMENTARY INFORMATION: Republic of Korea: Request For Administrative production equipment. Review,’’ dated May 31, 2019. The material/component sourced Background 3 See Commerce Letters to Korvan, Woojin, and Fortune with the AD Questionnaire attached dated from abroad is manganese powder (duty On May 1, 2019, Commerce notified rate 14%). July 25, 2019. interested parties of the opportunity to 4 Public comment is invited from See Woojin’s Letter, ‘‘Ferrovanadium from the request an AR of orders, findings, or Republic of Korea: Statement of No Shipments’’ interested parties. Submissions shall be suspended investigations with dated August 12, 2019; see also Korvan’s addressed to the Board’s Executive Submission dated August 16, 2019 (which is a anniversaries in May 2019, including Secretary and sent to: [email protected]. The corrected version of an August 8, 2019, submission the AD order on ferrovanadium from closing period for their receipt is May 4, that Commerce rejected due to filing deficiencies). Korea.1 Commerce received a request 5 See Memorandum, ‘‘Ferrovanadium from the 2020. Republic of Korea: Extension of Deadline for A copy of the notification will be from AMG Vanadium LLC (the petitioner), to conduct an AR of the AD Preliminary Results of Antidumping Duty available for public inspection in the Administrative Review,’’ dated January 22, 2020. order on ferrovanadium from Korea ‘‘Reading Room’’ section of the Board’s 6 See Memorandum, ‘‘Decision Memorandum for website, which is accessible via the Preliminary Results in the Antidumping Duty 1 See Antidumping or Countervailing Duty Order, Administrative Review of Ferrovanadium from the www.trade.gov/ftz. Finding, or Suspended Investigation; Opportunity Republic of Korea; 2018–2019,’’ dated concurrently, For further information, contact To Request Administrative Review, 84 FR 18479 and hereby adopted by, this notice (Preliminary Christopher Wedderburn at (May 1, 2019). Decision Memorandum).

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http://enforcement.trade.gov/frn/. The where applicable.9 We intend to issue are encouraged to submit with each signed Preliminary Decision liquidation instructions to CBP 15 days argument: (1) A statement of the issue, Memorandum and the electronic after publication of the final results of (2) a brief summary of the argument, version of the Preliminary Decision this review. Pursuant to Commerce’s and (3) a table of authorities.12 Memorandum are identical in content. practice, if we continue to determine Pursuant to 19 CFR 351.310(c), that Korvan and Woojin made no sales Preliminary Determination of No interested parties who wish to request a or shipments of subject merchandise to Shipments hearing must submit a written request the United States during the POR, any for a hearing, filed electronically via Commerce preliminarily determines suspended entries of subject ACCESS, to the Assistant Secretary for that Korvan and Woojin, each of which merchandise during the POR under Enforcement and Compliance within 30 claimed to have made no shipments of their case numbers will be liquidated at days after the date of publication of this subject merchandise to the United the all-others rate. notice.13 An electronically filed States during the POR, did not have any Cash Deposits document must be received successfully shipments during the POR. For details in its entirety by Commerce’s electronic regarding this determination, see the The following cash deposit records system, ACCESS, by 5:00 p.m. Preliminary Decision Memorandum. requirements for estimated antidumping Eastern Time on the due date. Hearing Consistent with Commerce’s practice, duties will be effective upon publication requests should contain: (1) The we are not rescinding this AR with of the notice of final results of this requestor’s name, address and telephone respect to these two companies, but we review for all shipments of number; (2) the number of persons from ferrovanadium from Korea entered, or intend to complete the review and issue the requestor that will participate in the withdrawn from warehouse, for appropriate instructions to CBP based hearing; and (3) a list of issues the 7 consumption on or after the date of on the final results of the review. requestor will discuss at the hearing. publication of the notice as provided by Issues raised in the hearing will be Adverse Facts Available section 751(a)(2)(C) of the Act: (1) The limited to those issues raised in case Pursuant to sections 776(a) and (b) of cash deposit rate for Fortune will be briefs. Commerce intends to issue the the Act, Commerce has preliminarily equal to the weighted-average dumping final results of this AR, including the assigned Fortune an AD margin of 54.69 margin for Fortune established in the results of its analysis of the issues raised percent, as AFA, because it did not final results of the review; (2) for in any written briefs, not later than 120 respond to Commerce’s AD merchandise exported by companies not days after the date of publication of questionnaire. For details regarding this covered in this review but covered in a these preliminary results of review in determination, see the Preliminary prior segment of this proceeding, the the Federal Register, pursuant to Decision Memorandum. cash deposit rate will continue to be the company-specific rate established for section 751(a)(3)(A) of the Act, unless Preliminary Results of Review the most recently completed segment of extended. Commerce preliminarily determines the proceeding; (3) if the exporter is not Notification to Importers that the following estimated weighted- a firm covered in this review, in a prior average dumping margin exists: review, or in the investigation in this This notice serves as a preliminary proceeding but the producer is, then the reminder to importers of their Estimated cash deposit rate will be the rate responsibility under 19 CFR weighted- established for the producer of the 351.402(f)(2) to file a certificate average regarding the reimbursement of Exporter/producer dumping merchandise in the most recently margin completed segment of the proceeding; antidumping duties prior to liquidation (percent) and (4) the cash deposit rate for all other of the relevant entries during this period producers or exporters will continue to of review. Failure to comply with this Fortune Metallurgical Group Co., be 3.22 percent, the all-others rate requirement could result in Commerce’s Ltd ...... 54.69 established in the less-than-fair-value presumption that reimbursement of investigation.10 These cash deposit antidumping duties occurred and the Assessment Rates requirements, when imposed, shall subsequent assessment of double Upon issuance of the final results of remain in effect until further notice. antidumping duties. review, Commerce will determine, and Commerce is issuing and publishing Public Comment U.S. Customs and Border Protection these results of review in accordance (CBP) shall assess, antidumping duties Pursuant to 19 CFR 351.309(c), with sections 751(a)(1) and 777(i) of the on all appropriate entries covered by interested parties may submit case briefs Act and 19 CFR 351.221(b)(4). this review.8 The final results of this AR to the Assistant Secretary for Dated: March 4, 2020. Enforcement and Compliance not later shall be the basis for the assessment of Jeffrey I. Kessler, antidumping duties on entries of than 30 days after the date of publication of this notice, unless the Assistant Secretary for Enforcement and merchandise under review and for Compliance. future deposits of estimated duties, Secretary alters the time limit. Rebuttal briefs, limited to issues raised in the Appendix 7 case briefs, may be filed not later than See, e.g., Certain Frozen Warmwater Shrimp List of Topics Discussed in the Preliminary from Thailand; Preliminary Results of Antidumping five days after the date for filing case Decision Memorandum Duty Administrative Review, Partial Rescission of briefs.11 Interested parties who submit Review, Preliminary Determination of No case briefs or rebuttal briefs in this AR I. Summary Shipments; 2012–2013, 79 FR 15951, 15952 (March II. Background 24, 2014), unchanged in Certain Frozen Warmwater III. Scope of the Order 9 Shrimp from Thailand: Final Results of See section 751(a)(2)(C) of the Act. IV. Preliminary Determination of No 10 Antidumping Duty Administrative Review, Final See Ferrovanadium From the Republic of Shipments Determination of No Shipments, and Partial Korea: Final Determination of Sales at Less Than Rescission of Review; 2012–2013, 79 FR 51306 Fair Value, 82 FR 14874 (March 23, 2017). (August 28, 2014). 11 See 19 CFR 351.309(d); see also 19 CFR 12 See 19 CFR 351.309(c)(2) and (d)(2). 8 See 19 CFR 351.212(b). 351.303 (for general filing requirements). 13 See 19 CFR 351.310(c).

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V. Application of Facts Available and with respect to the 121 companies disclosed under APO in accordance Adverse Inferences named by Nucor.3 On October 17, 2019, with 19 CFR 351.305(a)(3), which VI. Recommendation Nucor timely withdrew its July 31, continues to govern business [FR Doc. 2020–06055 Filed 3–20–20; 8:45 am] 2019, review request for all 121 proprietary information in this segment BILLING CODE 3510–DS–P companies.4 of the proceeding. Timely written notification of the return or destruction Rescission of Review of APO materials or conversion to DEPARTMENT OF COMMERCE Pursuant to 19 CFR 351.213(d)(1), judicial protective order is hereby Commerce will rescind an requested. Failure to comply with the International Trade Administration administrative review, in whole or in regulations and the terms of an APO is [A–570–910] part, if the party that requested the a sanctionable violation. review withdraws its request within 90 This notice is issued and published in Circular Welded Carbon Quality Steel days of the publication date of the accordance with sections 751(a)(1) and Pipe From the People’s Republic of notice of initiation of the requested 777(i)(1) of the Act and 19 CFR China: Rescission of Antidumping review. The petitioner withdrew its 351.213(d)(4). Duty Administrative Review; 2018– request for review within the 90-day Dated: March 17, 2020. 2019 deadline. Because Commerce received James Maeder, AGENCY: Enforcement and Compliance, no other requests for review, we are rescinding the administrative review of Deputy Assistant Secretary for Antidumping International Trade Administration, and Countervailing Duty Operations. Department of Commerce. the AD order on circular welded pipes from China covering the POR July 1, [FR Doc. 2020–06053 Filed 3–20–20; 8:45 am] SUMMARY: The Department of Commerce 2018, through June 30, 2019, in full, in BILLING CODE 3510–DS–P (Commerce) is rescinding the accordance with 19 CFR 351.213(d)(1). administrative review of the antidumping duty (AD) order on Assessment DEPARTMENT OF COMMERCE circular welded carbon quality steel Commerce will instruct U.S. Customs International Trade Administration pipe (circular welded pipes) from the and Border Protection (CBP) to assess People’s Republic of China (China) for AD duties on all appropriate entries of [A–570–920] the period of review (POR) July 1, 2018, circular welded pipes from China through June 30, 2019, based on the during the period July 1, 2018, through Lightweight Thermal Paper From the timely withdrawal of the request for June 30, 2019, at rates equal to the cash People’s Republic of China: Final review. deposit rate for estimated AD duties Results of Expedited Second Sunset DATES: Applicable March 23, 2020. required at the time of entry, or Review of the Antidumping Duty Order FOR FURTHER INFORMATION CONTACT: withdrawal from warehouse, for AGENCY: Enforcement and Compliance, Paola Aleman Ordaz, AD/CVD consumption, in accordance with 19 International Trade Administration, Operations, Office IV, Enforcement and CFR 351.212(c)(1)(i). Commerce intends Department of Commerce. Compliance, International Trade to issue appropriate assessment SUMMARY: As a result of this sunset Administration, U.S. Department of instructions to CBP 15 days after the review, the Department of Commerce Commerce, 1401 Constitution Avenue date of publication of this notice in the (Commerce) finds that revocation of the NW, Washington, DC 20230; telephone: Federal Register. antidumping duty (AD) order on (202) 482–4031. Notification to Importers lightweight thermal paper (LWTP) from SUPPLEMENTARY INFORMATION: This notice serves as the only the People’s Republic of China (China) Background reminder to importers of their would be likely to lead to continuation On July 1, 2019, Commerce published responsibility under 19 CFR or recurrence of dumping at the in the Federal Register a notice of 351.402(f)(2) to file a certificate dumping margins identified in the opportunity to request an administrative regarding the reimbursement of AD ‘‘Final Results of Review’’ section of this review of the Order for the POR.1 In duties prior to liquidation of the notice. accordance with section 751(a)(1) of the relevant entries during this review DATES: Applicable March 23, 2020. Tariff Act of 1930, as amended (the Act), period. Failure to comply with this FOR FURTHER INFORMATION CONTACT: Kyle and 19 CFR 351.213(b), on July 31, requirement could result in the Clahane, AD/CVD Operations, Office III, 2019, Independence Tube Corporation, presumption that reimbursement of AD Enforcement and Compliance, a Nucor Company, and Southland Tube, duties occurred and the subsequent International Trade Administration, Incorporated, a Nucor Company (Nucor) assessment of doubled AD duties. U.S. Department of Commerce, 1401 requested a review of the Order with Constitution Avenue NW, Washington, Notification Regarding Administrative respect to 121 companies.2 On DC 20230; telephone: (202) 482–5449. Protective Order September 9, 2019, in accordance with SUPPLEMENTARY INFORMATION: section 751(a) of the Act and 19 CFR This notice also serves as the only Background 351.221(c)(1)(i), Commerce initiated an reminder to parties subject to administrative review of the AD order administrative protective orders (APO) On December 2, 2019, Commerce on circular welded pipes from China of their responsibility concerning the published the notice of initiation of the disposition of proprietary information second sunset review of the Order on 1 See Antidumping or Countervailing Duty Order, LWTP from China, pursuant to section Finding, or Suspended Investigation; Opportunity 3 See Initiation of Antidumping and 751(c)(2) of the Tariff Act of 1930, as to Request Administrative Review, 84 FR 31295 Countervailing Duty Administrative Reviews, 84 FR amended (the Act).1 On December 13, (July 1, 2019) (Order). 47242 (September 9, 2019). 2 See Nucor’s letter ‘‘Circular Welded Carbon 4 See Nucor’s letter ‘‘Circular Welded Carbon 2019, Commerce received a notice of Quality Steel Pipe from The People’s Republic of Quality Steel Pipe from The People’s Republic of China: Request for Administrative Review’’ dated China: Withdraw of Request for Administrative 1 See Initiation of Five-Year (Sunset) Reviews, 84 July 31, 2019. Review’’ dated October 17, 2019. FR 65968 (December 2, 2019).

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intent to participate from Appvion 4811.90.9050.89 Although HTSUS Notification Regarding Administrative Operations, Inc. and Kanzaki Specialty subheadings are provided for Protective Order Papers Inc. (collectively, domestic convenience and customs purposes, the This notice also serves as the only interested parties) within the deadline written description of the scope of this reminder to parties subject to 2 specified in 19 CFR 351.218(d)(1)(i). order is dispositive. administrative protective order (APO) of On December 23, 2019, Commerce Analysis of Comments Received their responsibility concerning the received a complete substantive return or destruction of proprietary response from the domestic interested Commerce addresses all issues raised information disclosed under APO in parties within the 30-day deadline in this sunset review in the Issues and accordance with 19 CFR 351.305. specified in 19 CFR 351.218(d)(3)(i).3 Decision Memorandum, which is hereby Timely notification of the return or We did not receive any responses from adopted by this notice.10 The Issues and destruction of APO materials or respondent interested parties in this Decision Memorandum is a public conversion to judicial protective order is proceeding. As a result, pursuant to 19 document and is on file electronically hereby requested. Failure to comply CFR 351.218(e)(1)(ii)(C)(2), Commerce is via Enforcement and Compliance’s with the regulations and terms of an conducting an expedited (120-day) Antidumping and Countervailing Duty APO is a violation which is subject to sunset review of the Order. Centralized Electronic Service System sanction. (ACCESS). ACCESS is available to Scope of the Order Notification to Interested Parties registered users at https:// We are issuing and publishing these The products covered by this order access.trade.gov, and to all parties in the final results and notice in accordance include certain lightweight thermal Central Records Unit, Room B8024 of with sections 751(c), 752, and 777(i)(1) paper, which is thermal paper with a the main Commerce building. A list of of the Act and 19 CFR 351.218. basis weight of 70 grams per square topics discussed in the Issues and meter (g/m2) (with a tolerance of ±4.0 g/ Decision Memorandum is included as Dated: March 16, 2020. m2) or less; irrespective of dimensions; 4 an appendix to this notice. In addition, Jeffrey I. Kessler, with or without a base coat 5 on one or a complete version of the Issues and Assistant Secretary for Enforcement and both sides; with thermal active Decision Memorandum can be accessed Compliance. 6 coating(s) on one or both sides that is at http://enforcement.trade.gov/frn/. Appendix a mixture of the dye and the developer The signed Issues and Decision that react and form an image when heat Memorandum and the electronic List of Topics Discussed in the Issues and is applied; with or without a top coat; 7 version of the Issues and Decision Decision Memorandum and without an adhesive backing. Memorandum are identical in content. I. Summary Certain lightweight thermal paper is II. Background Final Results of Review typically (but not exclusively) used in III. Scope of the Order IV. History of the Order point-of-sale applications such as ATM Pursuant to sections 751(c)(1) and V. Legal Framework receipts, credit card receipts, gas pump 752(c)(1) and (3) of the Act, Commerce VI. Discussion of the Issues receipts, and retail store receipts. The determines that revocation of the 1. Likelihood of Continuation of merchandise subject to this order may antidumping duty order on lightweight Recurrence of Dumping be classified in the Harmonized Tariff thermal paper from China would be 2. Magnitude of the Margin Likely to Schedule of the United States (HTSUS) likely to lead to continuation or Prevail VII. Final Results of Third Expedited Sunset under subheadings 3703.10.60, recurrence of dumping, and that the 4811.59.20, 4811.90.8040, 4811.90.9090, Review magnitude of the margin likely to VIII. Recommendation 4820.10.20, 4823.40.00, 4811.90.8030, prevail would be weighted-average [FR Doc. 2020–06054 Filed 3–20–20; 8:45 am] 4811.90.8050, 4811.90.9030, and margins of up to 115.29 percent. BILLING CODE 3510–DS–P

2 See Domestic Interested Parties’ Letter, ‘‘Five- 8 HTSUS subheading 4811.90.8000 was a Year (Sunset) Review of Antidumping Order on classification used for LWTP until January 1, 2007. DEPARTMENT OF COMMERCE Lightweight Thermal Paper from the People’s Effective that date, subheading 4811.90.8000 was Republic of China: Domestic Industry’s Notice of replaced with 4811.90.8020 (for gift wrap, a non- Intent to Participate’’ dated December 13, 2019. subject product) and 4811.90.8040 (for ‘‘other’’ National Oceanic and Atmospheric 3 See Domestic Interested Parties’ Letter, ‘‘Five- including LWTP). HTSUS subheading 4811.90.9000 Administration Year (Sunset) Review of Antidumping Order on was a classification for LWTP until July 1, 2005. Lightweight Thermal Paper from the People’s Effective that date, subheading 4811.90.9000 was [RTID 0648–XR108] Republic of China: Domestic Industry Substantive replaced with 4811.90.9010 (for tissue paper, a non- Response,’’ dated December 23, 2019. subject product) and 4811.90.9090 (for ‘‘other,’’ Marine Mammals; File No. 23672 4 LWTP is typically produced in jumbo rolls that including LWTP). are slit to the specifications of the converting 9 As of January 1, 2009, the International Trade AGENCY: National Marine Fisheries equipment and then converted into finished slit Commission deleted HTSUS subheadings Service (NMFS), National Oceanic and rolls. Both jumbo and converted rolls (as well as 4811.90.8040 and 4811.90.9090 and added HTSUS Atmospheric Administration (NOAA), LWTP in any other form, presentation, or subheadings 4811.90.8030, 4811.90.8050, dimension) are covered by the scope of these 4811.90.9030, and 4811.90.9050 to the Harmonized Commerce. orders. Tariff Schedule of the United States (2009). See ACTION: Notice; receipt of application. 5 A base coat, when applied, is typically made of Harmonized Tariff Schedule of the United States clay and/or latex and like materials and is intended (2009), available at ww.usitc.gov. These HTSUS SUMMARY: Notice is hereby given that to cover the rough surface of the paper substrate subheadings were added to the scope of the order and to provide insulating value. in lightweight thermal paper’s LTFV investigation. Environmental Investigation Agency, 6 A thermal active coating is typically made of 10 See Memorandum, ‘‘Issues and Decision P.O. Box 53343, Washington, DC 20009 sensitizer, dye, and co-reactant Memorandum for the Final Results of the Expedited (Responsible Party: Allan Thornton), 7 A top coat, when applied, is typically made of Second Sunset Review of the Antidumping Duty has applied in due form for a permit to polyvinyl acetone, polyvinyl alcohol, and/or like Order on Lightweight Thermal Paper from the materials and is intended to provide environmental People’s Republic of China,’’ dated concurrently conduct commercial and educational protection, an improved surface for press printing, with, and hereby adopted by, this notice (Issues and photography on beluga whales and/or wear protection for the thermal print head. Decision Memorandum). (Delphinapterus leucas).

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DATES: Written, telefaxed, or email Commission and its Committee of Æ Email: [email protected]. Include comments must be received on or before Scientific Advisors. OMB Control Number 0704–0253 in the April 22, 2020. subject line of the message. Dated: March 18, 2020. Æ ADDRESSES: Fax: 571–372–6094. These documents are Julia Marie Harrison, Æ available upon written request or by Mail: Defense Acquisition Chief, Permits and Conservation Division, Regulations System, Attn: Ms. Kimberly appointment in the Permits and Office of Protected Resources, National Conservation Division, Office of Marine Fisheries Service. Ziegler, OUSD(A&S)DPC/DARS, Room 3B941, 3060 Defense Pentagon, Protected Resources, NMFS, 1315 East- [FR Doc. 2020–06066 Filed 3–20–20; 8:45 am] Washington, DC 20301–3060. West Highway, Room 13705, Silver BILLING CODE 3510–22–P Spring, MD 20910; phone (301) 427– Comments received generally will be 8401; fax (301) 713–0376. posted without change to http:// www.regulations.gov, including any Written comments on this application DEPARTMENT OF DEFENSE personal information provided. should be submitted to the Chief, Permits and Conservation Division, at Defense Acquisition Regulations FOR FURTHER INFORMATION CONTACT: Ms. the address listed above. Comments may System Kimberly Ziegler, telephone 571–372– also be submitted by facsimile to (301) 6095. [Docket Number DARS–2020–0013; OMB 713–0376, or by email to Control Number 0704–0253] SUPPLEMENTARY INFORMATION: [email protected]. Please Title and OMB Number: include the File No. in the subject line Information Collection Requirement; Subcontracting Policies and of the email comment. Defense Federal Acquisition Procedures—DoD FAR Supplement Part Those individuals requesting a public Regulation Supplement; 244; OMB Control Number 0704–0253. hearing should submit a written request Subcontracting Policies and Type of Request: Extension. to the Chief, Permits and Conservation Procedures Affected Public: Businesses or other Division at the address listed above. The for-profit and not-for-profit institutions. request should set forth the specific AGENCY: Defense Acquisition Respondent’s Obligation: Required to reasons why a hearing on this Regulations System, Department of obtain or retain benefits. application would be appropriate. Defense (DoD). Respondents: 22. ACTION: Notice and request for FOR FURTHER INFORMATION CONTACT: Responses per Respondent: 2. comments regarding a proposed revision Amy Hapeman or Courtney Smith, (301) Annual Responses: 44. of an approved information collection Hours per Response: 8. 427–8401. requirement. Estimated Hours: 372. SUPPLEMENTARY INFORMATION: The Reporting Frequency: On occasion. subject permit is requested under the SUMMARY: In compliance with section Needs and Uses: Administrative authority of the Marine Mammal 3506(c)(2)(A) of the Paperwork contracting officers use this information Protection Act of 1972, as amended Reduction Act of 1995, DoD announces in making decisions to approve or (MMPA; 16 U.S.C. 1361 et seq.), and the the proposed revision and extension of disapprove a contractors purchase regulations governing the taking and a public information collection system. The disapproval of a importing of marine mammals (50 CFR requirement, and seeks public comment contractor’s purchasing system would part 216). on the provisions thereof. DoD invites necessitate Government consent to The applicant proposes to film beluga comments on: Whether the proposed individual subcontracts and possibly whales in Bristol Bay, Alaska for a short collection of information is necessary prompt a financial withhold or other documentary to educate the public on for the proper performance of the Government rights and remedies. the importance of protecting beluga functions of DoD, including whether the DFARS 244.305, entitled Granting, whales and the threats that affect their information will have practical utility; Withholding, or Withdrawing Approval, populations. Filmmakers would the accuracy of the estimate of the provides policy guidance for photograph or film up to 500 beluga burden of the proposed information administrative contracting officers to whales annually using an unmanned collection; ways to enhance the quality, determine the acceptability of the aircraft system. They may incidentally utility, and clarity of the information to contractor’s purchasing system and harass up to 10 minke whales be collected; and ways to minimize the approve or disprove the system, at the (Balaenoptera acutorostrata), 500 burden of the information collection on completion of the in-plant portion of a harbor porpoise (Phocoena phocoena), respondents, including the use of contractor purchasing system review, 10 Dall’s porpoises (Phocoenoides automated collection techniques or and to pursue correction of any dalli), and 500 Pacific white-sided other forms of information technology. deficiencies with the contractor. DFARS dolphins (Lagenorhynchus obliquidens) The Office of Management and Budget clause 252.244–7001, Contractor annually while filming. The permit (OMB) has approved this information Purchasing System Administration, would expire on December 1, 2021. collection requirement for use through requires the contractor to respond In compliance with the National May 31, 2020. DoD proposes that OMB within 30 days to a written initial Environmental Policy Act of 1969 (42 extend its approval for an additional determination from the contracting U.S.C. 4321 et seq.), an initial three years. officer that identifies significant determination has been made that the DATES: DoD will consider all comments deficiencies in the contractor’s activity proposed is categorically received by May 22, 2020. purchasing system. The contracting excluded from the requirement to ADDRESSES: You may submit comments, officer will evaluate the contractor’s prepare an environmental assessment or identified by OMB Control Number response to this initial determination environmental impact statement. 0704–0253, using any of the following and notify the contractor in writing of Concurrent with the publication of methods: any remaining significant deficiencies, this notice in the Federal Register, Æ Federal eRulemaking Portal: http:// the adequacy of any proposed or NMFS is forwarding copies of the www.regulations.gov. Follow the completed corrective action and system application to the Marine Mammal instructions for submitting comments. disapproval if the contracting officer

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determines that one or more significant cancellation of the previously noticed information collection request when deficiencies remain. If the contractor meeting for March 24, 2020—March 25, requesting documents or submitting receives the contracting officer’s final 2020. Accordingly, the Advisory comments. Please note that comments determination of significant Committee Management Officer for the submitted by fax or email and those deficiencies, the contractor has 45 days Department of Defense, pursuant to 41 submitted after the comment period will to either correct the significant CFR 102–3.150(b), waives the 15- not be accepted. Written requests for deficiencies or submit an acceptable calendar day notification requirement. information or comments submitted by corrective action plan. On February 20, 2020 (85 FR 9751– postal mail or delivery should be 9752), the DoD published a notice that addressed to the Director of the Strategic Jennifer Lee Hawes, announced the next meeting of the Collections and Clearance Governance Regulatory Control Officer, Defense Defense Advisory Committee on and Strategy Division, U.S. Department Acquisition Regulations System. Military Personnel Testing, which was of Education, 400 Maryland Ave. SW, [FR Doc. 2020–05355 Filed 3–20–20; 8:45 am] scheduled for Tuesday, March 24, 2020 LBJ, Room 6W–208B, Washington, DC BILLING CODE 5001–06–P from 9:00 a.m. to 4:45 p.m. and 20202–4537. Wednesday, March 25, 2020 from 9:00 FOR FURTHER INFORMATION CONTACT: For a.m. to 1:30 p.m. DoD is publishing this DEPARTMENT OF DEFENSE specific questions related to collection notice to announce that this federal activities, please contact Stephanie Office of the Secretary advisory committee meeting has been Valentine, 202–453–7061. cancelled and will be re-scheduled at a SUPPLEMENTARY INFORMATION: The later date. The rescheduled meeting will Defense Advisory Committee on Department of Education (ED), in be announced in the Federal Register. Military Personnel Testing; Notice of accordance with the Paperwork Federal Advisory Committee Meeting; Dated: March 17, 2020. Reduction Act of 1995 (PRA) (44 U.S.C. Cancellation Aaron T. Siegel, 3506(c)(2)(A)), provides the general AGENCY: Under Secretary of Defense for Alternate OSD Federal Register Liaison public and Federal agencies with an Officer, Department of Defense. Personnel and Readiness, Department of opportunity to comment on proposed, Defense (DoD). [FR Doc. 2020–05952 Filed 3–20–20; 8:45 am] revised, and continuing collections of BILLING CODE 5001–06–P information. This helps the Department ACTION: Notice of Federal Advisory assess the impact of its information Committee Meeting; cancellation. collection requirements and minimize SUMMARY: On February 20, 2020, the DEPARTMENT OF EDUCATION the public’s reporting burden. It also helps the public understand the Department of Defense (DoD) published [Docket No.: ED–2020–SCC–0013] a notice that announced the next Department’s information collection meeting of the Defense Advisory Agency Information Collection requirements and provide the requested Committee on Military Personnel Activities; Submission to the Office of data in the desired format. ED is Testing (‘‘the Committee’’), which was Management and Budget for Review soliciting comments on the proposed scheduled for Tuesday, March 24, 2020 and Approval; Comment Request; information collection request (ICR) that from 9:00 a.m. to 4:45 p.m. and Generic Clearance for the Collection of is described below. The Department of Wednesday, March 25, 2020 from 9:00 Qualitative Feedback on Agency Education is especially interested in a.m. to 1:30 p.m. DoD is publishing this Service Delivery public comment addressing the notice to announce that this federal following issues: (1) Is this collection advisory committee meeting has been AGENCY: Office of Management (OM), necessary to the proper functions of the cancelled and will be re-scheduled at a Department of Education (ED). Department; (2) will this information be later date. ACTION: Notice. processed and used in a timely manner; (3) is the estimate of burden accurate; DATES: Committee Meeting; SUMMARY: In accordance with the Cancellation. (4) how might the Department enhance Paperwork Reduction Act of 1995, ED is the quality, utility, and clarity of the Day 1: March 24, 2020—Cancelled. proposing an extension of an existing Day 2: March 25, 2020—Cancelled. information to be collected; and (5) how information collection. might the Department minimize the ADDRESSES: Not Applicable. Meeting is DATES: Interested persons are invited to burden of this collection on the cancelled. submit comments on or before April 22, respondents, including through the use FOR FURTHER INFORMATION CONTACT: 2020. of information technology. Please note Sofiya Velgach, (703) 697–9271 (Voice), ADDRESSES: To access and review all the that written comments received in (703) 614–9272 (Facsimile), documents related to the information response to this notice will be osd.pentagon.ousd-p-r.mbx.dacmpt@ collection listed in this notice, please considered public records. mail.mil (Email). Mailing address is use http://www.regulations.gov by Title of Collection: Generic Clearance Assistant Director, Accession Policy, searching the Docket ID number ED– for the Collection of Qualitative Office of the Under Secretary of Defense 2020–SCC–0013. Comments submitted Feedback on Agency Service Delivery. for Personnel and Readiness, Room in response to this notice should be OMB Control Number: 1880–0542. 3D1066, The Pentagon, Washington, DC submitted electronically through the Type of Review: An extension of an 20301–4000. Federal eRulemaking Portal at http:// existing information collection. SUPPLEMENTARY INFORMATION: Due to www.regulations.gov by selecting the Respondents/Affected Public: circumstances beyond the control of the Docket ID number or via postal mail, Individuals or Households. Department of Defense and the commercial delivery, or hand delivery. Total Estimated Number of Annual Designated Federal Officer, the Defense If the regulations.gov site is not Responses: 450,000. Advisory Committee on Military available to the public for any reason, Total Estimated Number of Annual Personnel Testing was unable to provide ED will temporarily accept comments at Burden Hours: 225,000. public notification required by 41 CFR [email protected]. Please include the Abstract: This collection of 102–3.150(a) concerning the docket ID number and the title of the information is necessary to enable the

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Agency to garner customer and and Strategy Division, U.S. Department whose significant visual impairment stakeholder feedback in an efficient, of Education, 400 Maryland Ave. SW, makes competitive integrated timely manner in accordance with our LBJ, Room 6W–208D, Washington, DC employment difficult to attain, but for commitment to improving service 20202–4537. whom independent living goals are delivery. The information collected FOR FURTHER INFORMATION CONTACT: For feasible. from our customers and stakeholders specific questions related to collection Dated: March 18, 2020. will help ensure that users have an activities, please contact James Billy, Kate Mullan, effective, efficient, and satisfying 202–245–7273. PRA Coordinator, Strategic Collections and experience with the Agency’s programs. SUPPLEMENTARY INFORMATION: The Clearance Governance and Strategy Division, Dated: March 18, 2020. Department of Education (ED), in Office of Chief Data Officer. Stephanie Valentine, accordance with the Paperwork [FR Doc. 2020–06059 Filed 3–20–20; 8:45 am] PRA Coordinator, Strategic Collections and Reduction Act of 1995 (PRA) (44 U.S.C. BILLING CODE 4000–01–P Clearance, Governance and Strategy Division, 3506(c)(2)(A)), provides the general Office of Chief Data Officer, Office of public and Federal agencies with an Planning, Evaluation and Policy opportunity to comment on proposed, DEPARTMENT OF ENERGY Development. revised, and continuing collections of [FR Doc. 2020–06068 Filed 3–20–20; 8:45 am] information. This helps the Department Federal Energy Regulatory BILLING CODE 4000–01–P assess the impact of its information Commission collection requirements and minimize [Docket No. EL20–33–000] the public’s reporting burden. It also DEPARTMENT OF EDUCATION helps the public understand the City of Goose Creek v. South Carolina [Docket No.: ED–2020–SCC–0051] Department’s information collection Public Service Authority; Notice of requirements and provide the requested Complaint Agency Information Collection data in the desired format. ED is Activities; Comment Request; Written soliciting comments on the proposed Take notice that on March 16, 2020, Application for the Independent Living information collection request (ICR) that pursuant to sections 206 and 306 of the Services for Older Individuals Who Are is described below. The Department of Federal Power Act,1 and Rule 206 of the Blind Program Education is especially interested in Rules of Practice and Procedures of the public comment addressing the Federal Energy Regulatory Commission AGENCY: Office of Special Education and following issues: (1) Is this collection (Commission), 18 CFR 385.206, the City Rehabilitative Services (OSERS), necessary to the proper functions of the of Goose Creek, (Complainant) filed a Department of Education (ED). Department; (2) will this information be formal complaint against the South ACTION: Notice. processed and used in a timely manner; Carolina Public Service Authority (3) is the estimate of burden accurate; (Santee Cooper or Respondent) alleging SUMMARY: In accordance with the (4) how might the Department enhance that Santee Cooper has unjustly and Paperwork Reduction Act of 1995, ED is the quality, utility, and clarity of the unreasonably denied transmission proposing an extension of an existing information to be collected; and (5) how service to the City of Goose Creek and information collection. might the Department minimize the unduly discriminated against the City of DATES: Interested persons are invited to burden of this collection on the Goose Creek by denial of this service, as submit comments on or before May 22, respondents, including through the use more fully explained in the complaint. 2020. of information technology. Please note The Complainant certifies that copies ADDRESSES: To access and review all the that written comments received in of the complaint were served on the documents related to the information response to this notice will be contacts for the Respondent as listed on collection listed in this notice, please considered public records. the Commission’s list of Corporate use http://www.regulations.gov by Title of Collection: Written Officials. searching the Docket ID number ED– Application for the Independent Living Any person desiring to intervene or to 2020–SCC–0051. Comments submitted Services for Older Individuals Who Are protest this filing must file in in response to this notice should be Blind Program. accordance with Rules 211 and 214 of submitted electronically through the OMB Control Number: 1820–0660. the Commission’s Rules of Practice and Federal eRulemaking Portal at http:// Type of Review: An extension of an Procedure (18 CFR 385.211, 385.214). www.regulations.gov by selecting the existing information collection. Protests will be considered by the Docket ID number or via postal mail, Respondents/Affected Public: State, Commission in determining the commercial delivery, or hand delivery. Local, and Tribal Governments. appropriate action to be taken, but will If the regulations.gov site is not Total Estimated Number of Annual not serve to make protestants parties to available to the public for any reason, Responses: 56. the proceeding. Any person wishing to ED will temporarily accept comments at Total Estimated Number of Annual become a party must file a notice of [email protected]. Please include the Burden Hours: 9. intervention or motion to intervene, as docket ID number and the title of the Abstract: This application is used by appropriate. The Respondent’s answer information collection request when States to request funds to administer the and all interventions, or protests must requesting documents or submitting Independent Living Services for Older be filed on or before the comment date. comments. Please note that comments Individuals Who Are Blind (IL–OIB) The Respondent’s answer, motions to submitted by fax or email and those program. The IL–OIB program is intervene, and protests must be served submitted after the comment period will provided under Title VII, Chapter 2, on the Complainant. not be accepted. Written requests for Section 752 of the Rehabilitation Act of The Commission encourages information or comments submitted by 1973 (Rehabilitation Act), as amended electronic submission of protests and postal mail or delivery should be by Title IV of the Workforce Innovation interventions in lieu of paper using the addressed to the Director of the Strategic and Opportunity Act (WIOA), to assist Collections and Clearance Governance individuals who are age 55 or older 1 16 U.S.C. 824e, 824i, 824j, 825e (2019).

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‘‘eFiling’’ link at http://www.ferc.gov. Filed Date: 3/17/20. Filed Date: 3/16/20. Persons unable to file electronically Accession Number: 20200317–5005. Accession Number: 20200316–5191. should submit an original and 5 copies Comments Due: 5 p.m. ET 4/7/20. Comments Due: 5 p.m. ET 4/6/20. of the protest or intervention to the Docket Numbers: ER19–1886–001. Docket Numbers: ER20–1315–000. Federal Energy Regulatory Commission, Applicants: Stony Creek Wind Farm, Applicants: Citizens Sunrise 888 First Street NE, Washington, DC LLC. Transmission LLC. 20426. Description: Report Filing: Refund Description: Request for Limited This filing is accessible on-line at Report Under Docket ER19–1886 to be Tariff Waiver of Citizens Sunrise http://www.ferc.gov, using the effective N/A. Transmission LLC. ‘‘eLibrary’’ link and is available for Filed Date: 3/17/20. Filed Date: 3/16/20. electronic review in the Commission’s Accession Number: 20200317–5004. Accession Number: 20200316–5204. Public Reference Room in Washington, Comments Due: 5 p.m. ET 4/7/20. Comments Due: 5 p.m. ET 4/6/20. DC. There is an ‘‘eSubscription’’ link on Docket Numbers: ER20–608–002. Docket Numbers: ER20–1316–000. the website that enables subscribers to Applicants: Bear Valley Electric Applicants: Pacific Gas and Electric receive email notification when a Service, Inc. Company. document is added to a subscribed Description: Tariff Amendment: Description: § 205(d) Rate Filing: docket(s). For assistance with any FERC Second Amendment to MBR Transmission Access Charge Balancing Online service, please email Application Request for Waivers & Account (2020 TACBAA) Revisions to [email protected], or call Blanket Authority to be effective 5/1/ be effective 12/31/9998. (866) 208–3676 (toll free). For TTY, call 2020. Filed Date: 3/17/20. (202) 502–8659. Filed Date: 3/16/20. Accession Number: 20200317–5083. Comment Date: 5:00 p.m. Eastern Accession Number: 20200316–5131. Comments Due: 5 p.m. ET 4/7/20. Time on April 6, 2020. Comments Due: 5 p.m. ET 4/6/20. Docket Numbers: ER20–1317–000. Dated: March 17, 2020. Docket Numbers: ER20–930–001. Applicants: Arizona Public Service Nathaniel J. Davis, Sr., Applicants: South Carolina Company. Deputy Secretary. Generating Company, Inc. Description: Compliance filing: [FR Doc. 2020–06044 Filed 3–20–20; 8:45 am] Description: Tariff Amendment: Compliance Filing—Modification of BILLING CODE 6717–01–P Amendment of GENCO Unit Power Formula Rate to be effective 1/27/2020. Sales Agreement to be effective 1/31/ Filed Date: 3/17/20. 2020. Accession Number: 20200317–5086. DEPARTMENT OF ENERGY Filed Date: 3/17/20. Comments Due: 5 p.m. ET 4/7/20. Accession Number: 20200317–5070. Take notice that the Commission Federal Energy Regulatory Comments Due: 5 p.m. ET 4/7/20. Commission received the following electric securities Docket Numbers: ER20–1300–000. filings: Combined Notice of Filings #1 Applicants: PJM Interconnection, Docket Numbers: ES20–18–000. L.L.C. Applicants: Midcontinent Take notice that the Commission Description: § 205(d) Rate Filing: First Independent System Operator, Inc. received the following electric corporate Revised ISA, SA No. 4114; Queue No. Description: Application Under filings: AC2–016 to be effective 2/13/2020. Section 204 of the Federal Power Act for Docket Numbers: EC20–47–000. Filed Date: 3/17/20. Authorization to Issue Securities of Applicants: Nuveen Asset Accession Number: 20200317–5000. Midcontinent Independent System Management, LLC, Symphony Asset Comments Due: 5 p.m. ET 4/7/20. Operator, Inc. Management LLC. Docket Numbers: ER20–1311–000. Filed Date: 3/16/20. Description: Application for Applicants: Southwest Power Pool, Accession Number: 20200316–5179. Authorization Under Section 203 of the Inc. Comments Due: 5 p.m. ET 4/6/20. Federal Power Act, et al. of Nuveen Description: § 205(d) Rate Filing: The filings are accessible in the Asset Management, LLC, et al. 1276R21 Evergy Metro NITSA NOA to Filed Date: 3/16/20. Commission’s eLibrary system by be effective 3/1/2020. clicking on the links or querying the Accession Number: 20200316–5201. Filed Date: 3/17/20. Comments Due: 5 p.m. ET 4/6/20. docket number. Accession Number: 20200317–5027. Any person desiring to intervene or Take notice that the Commission Comments Due: 5 p.m. ET 4/7/20. received the following electric rate protest in any of the above proceedings filings: Docket Numbers: ER20–1312–000. must file in accordance with Rules 211 Applicants: Tri-State Generation and and 214 of the Commission’s Docket Numbers: ER19–260–003. Transmission Association, Inc. Applicants: Duke Energy Carolinas, Regulations (18 CFR 385.211 and Description: § 205(d) Rate Filing: Rate LLC. 385.214) on or before 5:00 p.m. Eastern Description: Compliance filing: DEF Schedule FERC No. 271 between Tri- time on the specified comment date. Schedule 2 Settlement Compliance State and Wheatland to be effective 3/ Protests may be considered, but Filing to be effective 6/1/2019. 18/2020. intervention is necessary to become a Filed Date: 3/17/20. Filed Date: 3/17/20. party to the proceeding. Accession Number: 20200317–5047. Accession Number: 20200317–5040. eFiling is encouraged. More detailed Comments Due: 5 p.m. ET 4/7/20. Comments Due: 5 p.m. ET 4/7/20. information relating to filing Docket Numbers: ER19–1730–001. Docket Numbers: ER20–1314–000. requirements, interventions, protests, Applicants: Wind Park Bear Creek, Applicants: Sunflower Electric Power service, and qualifying facilities filings L.L.C. Corporation. can be found at: http://www.ferc.gov/ Description: Report Filing: Refund Description: Petition for Tariff Waiver docs-filing/efiling/filing-req.pdf. For Report Under Docket ER19–1730 to be of Sunflower Electric Power other information, call (866) 208–3676 effective N/A. Corporation. (toll free). For TTY, call (202) 502–8659.

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Dated: March 17, 2020. communication, if written, or a proceeding in accordance with Rule Nathaniel J. Davis, Sr., summary of the substance of any oral 2010, 18 CFR 385.2010. Deputy Secretary. communication. Exempt off-the-record [FR Doc. 2020–06045 Filed 3–20–20; 8:45 am] Prohibited communications are communications are included in the included in a public, non-decisional file BILLING CODE 6717–01–P decisional record of the proceeding, associated with, but not a part of, the unless the communication was with a decisional record of the proceeding. cooperating agency as described by 40 Unless the Commission determines that DEPARTMENT OF ENERGY CFR 1501.6, made under 18 CFR the prohibited communication and any 385.2201(e)(1)(v). Federal Energy Regulatory responses thereto should become a part Commission of the decisional record, the prohibited The following is a list of off-the- off-the-record communication will not record communications recently [Docket No. RM98–1–000] be considered by the Commission in received by the Secretary of the Commission. The communications Records Governing Off-the-Record reaching its decision. Parties to a listed are grouped by docket numbers in Communications; Public Notice proceeding may seek the opportunity to respond to any facts or contentions ascending order. These filings are This constitutes notice, in accordance made in a prohibited off-the-record available for electronic review at the with 18 CFR 385.2201(b), of the receipt communication and may request that Commission in the Public Reference of prohibited and exempt off-the-record the Commission place the prohibited Room or may be viewed on the communications. communication and responses thereto Commission’s website at http:// Order No. 607 (64 FR 51222, in the decisional record. The www.ferc.gov using the eLibrary link. September 22, 1999) requires Commission will grant such a request Enter the docket number, excluding the Commission decisional employees, who only when it determines that fairness so last three digits, in the docket number make or receive a prohibited or exempt requires. Any person identified below as field to access the document. For off-the-record communication relevant having made a prohibited off-the-record assistance, please contact FERC Online to the merits of a contested proceeding, communication shall serve the Support at FERCOnlineSupport@ to deliver to the Secretary of the document on all parties listed on the ferc.gov or toll free at (866) 208–3676, or Commission, a copy of the official service list for the applicable for TTY, contact (202) 502–8659.

Docket No. File Date Presenter or Requester

Prohibited: NONE. Exempt: 1. P–405–106 ...... 2–28–2020 U.S. Congress 1 2. RP19–1353–000 ...... 3–3–2020 FERC Staff 2 3. CP14–96–000 ...... 3–9–2020 New York Senator Peter B. Harckham. 4. EC19–120–000 ...... 3–10–2020 U.S. Senate 3 1 U.S. Senator Chris Van Hollen, Congressman Jamie Raskin, and Congressman John P. Sarbanes. 2 Memorandum of communication regarding Northern Natural Gas Company. 3 U.S. Senator Jeffrey Merkley, U.S. Senator Edward Markey, and U.S. Senator Bernard Sanders.

Dated: March 17, 2020. the design, manufacture, selection, and abtassoc.com and [email protected]. Nathaniel J. Davis, Sr., use of products with safer chemicals, The docket for this action, identified by Deputy Secretary. which furthers outstanding or docket information (ID) number EPA– [FR Doc. 2020–06043 Filed 3–20–20; 8:45 am] innovative source reduction. All Safer HQ–OPPT–2019–0104 (2020 Safer BILLING CODE 6717–01–P Choice stakeholders and program Choice Partner of the Year Awards participants in good standing are Program), is available at http:// eligible for recognition. Interested www.regulations.gov or at the Office of ENVIRONMENTAL PROTECTION parties who would like to be considered Pollution Prevention and Toxics Docket AGENCY for this award should submit to EPA (OPPT Docket), Environmental information about their Protection Agency Docket Center (EPA/ [EPA–HQ–OPPT–2019–0104; FRL–10004– accomplishments and contributions DC), West William Jefferson Clinton 83] during 2019. There is no form Bldg., Rm. 3334, 1301 Constitution Ave. Safer Choice Partner of the Year associated with this year’s application. NW, Washington, DC. The Public Awards Call for Submissions Award winners will be recognized at a Reading Room is open from 8:30 a.m. to Safer Choice Partner of the Year Awards 4:30 p.m., Monday through Friday, AGENCY: Environmental Protection ceremony that is being planned for in excluding legal holidays. The telephone Agency (EPA). the Fall of 2020. number for the Public Reading Room is ACTION: Notice. DATES: Submissions are due on or before (202) 566–1744, and the telephone number for the OPPT Docket is (202) SUMMARY: The EPA Safer Choice May 31, 2020. 566–0280. Please review the visitor program is accepting submissions for its ADDRESSES: Candidates interested in instructions and additional information 2020 Safer Choice Partner of the Year learning more about the Partner of the about the docket available at http:// Awards. EPA developed the Partner of Year Awards should refer to the Safer www.epa.gov/dockets. the Year Awards to recognize the Choice website: https://www.epa.gov/ leadership contributions of Safer Choice saferchoice/safer-choice-partner-year- FOR FURTHER INFORMATION CONTACT: partners and stakeholders who, over the awards. Please submit materials by Linda Rutsch, Chemistry, Economics past year, have shown achievement in email to saferchoice_support@ and Sustainable Strategies Division,

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Office of Pollution Prevention and Nanobiotechnology) (Primary) (NAICS Safer Choice Partner of the Year Awards Toxics, Environmental Protection code 541714); should refer to the Safer Choice website: Agency, Mail Code 7406M, 1200 • Facilities Support Services (NAICS https://www.epa.gov/saferchoice/safer- Pennsylvania Ave. NW, Washington, DC code 561210); choice-partner-year-awards. • 20460–0001; telephone number: (202) Janitorial Services (NAICS code Authority: 15 U.S.C. 2601 et seq. 343–9924; email address: rutsch.linda@ 561720); epa.gov. • Carpet and Upholstery Cleaning Dated: March 17, 2020. Alexandra Dapolito Dunn, SUPPLEMENTARY INFORMATION: Services (NAICS code 561740); • Elementary and Secondary Schools Assistant Administrator, Office of Chemical I. Does this action apply to me? (NAICS code 611110); Safety and Pollution Prevention. • You may be potentially affected by Colleges, Universities, and [FR Doc. 2020–06072 Filed 3–20–20; 8:45 am] this action if you are a Safer Choice Professional Schools (NAICS code BILLING CODE 6560–50–P program partner or stakeholder. The 611310); • following list of North American Promoters of Performing Arts, Industrial Classification System Sports, and Similar Events with ENVIRONMENTAL PROTECTION Facilities (NAICS code 711310); AGENCY (NAICS) codes is not intended to be • exhaustive, but rather provides a guide Drycleaning and Laundry Services [EPA–HQ–OPPT–2020–0077; FRL–10006– (NAICS code 8123); to help readers determine whether this • 61] document applies to them. Potentially Civic and Social Organizations (Primary) (NAICS code 813410); Certain New Chemicals; Receipt and affected entities may include: • • Other Basic Inorganic Chemical Business Associations (Primary) Status Information for February 2020 (NAICS code 813910); Manufacturing (NAICS code 325180); AGENCY: • • Administration of Air and Water Environmental Protection All Other Basic Organic Chemical Agency (EPA). Manufacturing (Primary) (NAICS code Resource and Solid Waste Management ACTION: Notice. 325199); Programs (Primary) (NAICS code • 924110); and Pesticide and Other Agricultural • SUMMARY: EPA is required under the Chemical Manufacturing (NAICS code Other General Government Support (NAICS code 921190). Toxic Substances Control Act (TSCA), 325320); as amended by the Frank R. Lautenberg • Paint and Coating Manufacturing II. Background Chemical Safety for the 21st Century (NAICS code 325510); As part of its environmental mission, Act, to make information publicly • Adhesive Manufacturing (NAICS the Safer Choice program partners with available and to publish information in code 325520); the Federal Register pertaining to • Soap and Other Detergent businesses to help consumers and commercial buyers identify products submissions under TSCA Section 5, Manufacturing (NAICS code 325611); including notice of receipt of a • Polish and Other Sanitation Good with safer chemical ingredients, without sacrificing quality or performance. Premanufacture notice (PMN), Manufacturing (NAICS code 325612); Significant New Use Notice (SNUN) or • Surface Active Agent Toward this end, the Safer Choice program certifies products containing Microbial Commercial Activity Notice Manufacturing (Primary) (NAICS code (MCAN), including an amended notice 325613); ingredients that have met the program’s • specific and rigorous human health and or test information; an exemption Toilet Preparation Manufacturing application (Biotech exemption); an (NAICS code 325620); environmental toxicological criteria. • The Safer Choice program allows the application for a test marketing Photographic Film, Paper, Plate, exemption (TME), both pending and/or and Chemical Manufacturing (NAICS use of its label on products that perform and contain safer ingredients, as concluded; a notice of commencement code 325992); (NOC) of manufacture (including • All Other Miscellaneous Chemical determined by expert evaluation. The import) for new chemical substances; Product and Preparation Manufacturing Safer Choice program recognition and a periodic status report on new (NAICS code 325998); represents a high level of achievement chemical substances that are currently • Service Establishment Equipment in formulating products that are safer for under EPA review or have recently and Supplies Merchant Wholesalers people and the environment. The concluded review. This document (Primary) (NAICS code 423850); purpose of the Partner of the Year • Other Chemical and Allied Awards is to recognize the leadership covers the period from 02/01/2020 to Products Merchant Wholesalers contributions of Safer Choice partners 02/29/2020. (Primary) (NAICS code 424690); and stakeholders who, over the past DATES: Comments identified by the • Supermarkets and Other Grocery year, have shown achievement in the specific case number provided in this (except Convenience) Stores (Primary) design, manufacture, selection, and use document must be received on or before (NAICS code 445110); of products with safer chemicals, which April 22, 2020. • All Other Specialty Food Stores furthers outstanding or innovative ADDRESSES: Submit your comments, (NAICS code 445299); source reduction. identified by docket identification (ID) • Pharmacies and Drug Stores (NAICS number EPA–HQ–OPPT–2020–0077, III. How can I participate? code 446110); and the specific case number for the • Office Supplies and Stationery To be considered for a Partner of the chemical substance related to your Stores (NAICS code 453210); Year Award, candidates should notify comment, by one of the following • All Other Miscellaneous Store the Safer Choice program of their methods: Retailers (except Tobacco Stores) interest. They should submit supporting • Federal eRulemaking Portal: http:// (Primary) (NAICS code 453998); information on their accomplishments www.regulations.gov. Follow the online • Electronic Shopping and Mail- and contributions focusing on calendar instructions for submitting comments. Order Houses (NAICS code 454110); year 2019. There is no form associated Do not submit electronically any • Research and Development in with this year’s application. Candidates information you consider to be Biotechnology (except interested in learning more about the Confidential Business Information (CBI)

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or other information whose disclosure is B. What is the Agency’s authority for C. Does this action apply to me? restricted by statute. taking this action? This action provides information that • Mail: Document Control Office is directed to the public in general. Under the Toxic Substances Control (7407M), Office of Pollution Prevention Act (TSCA), 15 U.S.C. 2601 et seq., a D. Does this action have any and Toxics (OPPT), Environmental incremental economic impacts or Protection Agency, 1200 Pennsylvania chemical substance may be either an paperwork burdens? Ave. NW, Washington, DC 20460–0001. ‘‘existing’’ chemical substance or a • ‘‘new’’ chemical substance. Any No. Hand Delivery: To make special chemical substance that is not on EPA’s arrangements for hand delivery or TSCA Inventory of Chemical Substances E. What should I consider as I prepare delivery of boxed information, please (TSCA Inventory) is classified as a ‘‘new my comments for EPA? follow the instructions at http:// chemical substance,’’ while a chemical 1. Submitting confidential business www.epa.gov/dockets/contacts.html. substance that is listed on the TSCA information (CBI). Do not submit this Additional instructions on Inventory is classified as an ‘‘existing information to EPA through commenting or visiting the docket, chemical substance.’’ (See TSCA section regulations.gov or email. Clearly mark along with more information about 3(11).) For more information about the the part or all of the information that dockets generally, is available at http:// TSCA Inventory go to: https:// you claim to be CBI. For CBI www.epa.gov/dockets. www.epa.gov/tsca-inventory. information in a disk or CD–ROM that FOR FURTHER INFORMATION CONTACT: you mail to EPA, mark the outside of the Any person who intends to disk or CD–ROM as CBI and then For technical information contact: Jim manufacture (including import) a new identify electronically within the disk or Rahai, Information Management chemical substance for a non-exempt CD–ROM the specific information that Division (MC 7407M), Office of commercial purpose, or to manufacture is claimed as CBI. In addition to one Pollution Prevention and Toxics, or process a chemical substance in a complete version of the comment that Environmental Protection Agency, 1200 non-exempt manner for a use that EPA includes information claimed as CBI, a Pennsylvania Ave. NW, Washington, DC has determined is a significant new use, copy of the comment that does not 20460–0001; telephone number: (202) is required by TSCA section 5 to contain the information claimed as CBI 564–8593; email address: rahai.jim@ provide EPA with a PMN, MCAN or must be submitted for inclusion in the epa.gov. SNUN, as appropriate, before initiating public docket. Information so marked For general information contact: The the activity. EPA will review the notice, will not be disclosed except in TSCA-Hotline, ABVI-Goodwill, 422 make a risk determination on the accordance with procedures set forth in South Clinton Ave., Rochester, NY chemical substance or significant new 40 CFR part 2. 14620; telephone number: (202) 554– use, and take appropriate action as 2. Tips for preparing your comments. 1404; email address: TSCA-Hotline@ described in TSCA section 5(a)(3). When preparing and submitting your epa.gov. comments, see the commenting tips at TSCA section 5(h)(1) authorizes EPA http://www.epa.gov/dockets/ SUPPLEMENTARY INFORMATION: to allow persons, upon application and comments.html. under appropriate restrictions, to I. Executive Summary manufacture or process a new chemical II. Status Reports A. What action is the Agency taking? substance, or a chemical substance In the past, EPA has published subject to a significant new use rule individual notices reflecting the status This document provides the receipt (SNUR) issued under TSCA section of TSCA section 5 filings received, and status reports for the period from 5(a)(2), for ‘‘test marketing’’ purposes, pending or concluded. In 1995, the 02/01/2020 to 02/29/2020. The Agency upon a showing that the manufacture, Agency modified its approach and is providing notice of receipt of PMNs, processing, distribution in commerce, streamlined the information published SNUNs and MCANs (including use, and disposal of the chemical will in the Federal Register after providing amended notices and test information); not present an unreasonable risk of notice of such changes to the public and an exemption application under 40 CFR injury to health or the environment. an opportunity to comment (See the part 725 (Biotech exemption); TMEs, This is referred to as a test marketing Federal Register of May 12, 1995, (60 both pending and/or concluded; NOCs FR 25798) (FRL–4942–7). Since the to manufacture a new chemical exemption, or TME. For more information about the requirements passage of the Lautenberg amendments substance; and a periodic status report to TSCA in 2016, public interest in on new chemical substances that are applicable to a new chemical go to: http://www.epa.gov/oppt/newchems. information on the status of section 5 currently under EPA review or have cases under EPA review and, in recently concluded review. Under TSCA sections 5 and 8 and particular, the final determination of EPA is also providing information on EPA regulations, EPA is required to such cases, has increased. In an effort to its website about cases reviewed under publish in the Federal Register certain be responsive to the regulated the amended TSCA, including the information, including notice of receipt community, the users of this section 5 PMN/SNUN/MCAN and of a PMN/SNUN/MCAN (including information, and the general public, to exemption notices received, the date of amended notices and test information); comply with the requirements of TSCA, receipt, the final EPA determination on an exemption application under 40 CFR to conserve EPA resources and to the notice, and the effective date of part 725 (biotech exemption); an streamline the process and make it more EPA’s determination for PMN/SNUN/ application for a TME, both pending timely, EPA is providing information on MCAN notices on its website at: https:// and concluded; NOCs to manufacture a its website about cases reviewed under www.epa.gov/reviewing-new-chemicals- new chemical substance; and a periodic the amended TSCA, including the under-toxic-substances-control-act-tsca/ status report on the new chemical section 5 PMN/SNUN/MCAN and status-pre-manufacture-notices. This substances that are currently under EPA exemption notices received, the date of information is updated on a weekly review or have recently concluded receipt, the final EPA determination on basis. review. the notice, and the effective date of

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EPA’s determination for PMN/SNUN/ indicates whether the submission is an Submissions which are initial MCAN notices on its website at: https:// initial submission, or an amendment, a submissions will not have a letter www.epa.gov/reviewing-new-chemicals- notation of which version was received, following the case number. Submissions under-toxic-substances-control-act-tsca/ the date the notice was received by EPA, which are amendments to previous status-pre-manufacture-notices. This the submitting manufacturer (i.e., submissions will have a case number information is updated on a weekly domestic producer or importer), the followed by the letter ‘‘A’’ (e.g. P–18– basis. potential uses identified by the 1234A). The version column designates manufacturer in the notice, and the submissions in sequence as ‘‘1’’, ‘‘2’’, III. Receipt Reports chemical substance identity. ‘‘3’’, etc. Note that in some cases, an For the PMN/SNUN/MCANs that As used in each of the tables in this initial submission is not numbered as have passed an initial screening by EPA unit, (S) indicates that the information version 1; this is because earlier during this period, Table I provides the in the table is the specific information version(s) were rejected as incomplete following information (to the extent that provided by the submitter, and (G) or invalid submissions. Note also that such information is not subject to a CBI indicates that this information in the future versions of the following tables claim) on the notices screened by EPA table is generic information because the may adjust slightly as the Agency works during this period: The EPA case specific information provided by the to automate population of the data in number assigned to the notice that submitter was claimed as CBI. the tables. TABLE I—PMN/SNUN/MCANS APPROVED * FROM 02/01/2020 TO 02/29/2020

Case No. Version Received date Manufacturer Use Chemical substance

P–16–0424A ...... 4 02/18/2020 Sachem Inc ...... (G) Directing agent ...... (G) Tetraalkylpiperidinium hydroxide. P–16–0425A ...... 5 02/05/2020 CBI ...... (G) A chemical reactant used in manufac- (G) amino-silane. turing a polymer. P–17–0178A ...... 5 02/26/2020 Shin-Etsu Microsi ..... (G) Microlithography for electronic device (G) Sulfonium, triphenyl-, salt with sub- manufacturing. stituted-alkyl 4-substituted-benzoate. P–17–0355A ...... 7 02/05/2020 CBI ...... (G) Site intermediate ...... (G) Benzoic acid, 2-hydroxy-, -alkyl derivs. P–18–0013A ...... 3 02/26/2020 Shin-Etsu Microsi ..... (G) Microlithography for electronic device (G) Substituted-triphenylsulfonium, inner manufacturing. salt. P–18–0014A ...... 3 02/26/2020 Shin-Etsu Microsi ..... (G) Microlithography for electronic device (G) Sulfonium, triphenyl-, salt with manufacturing. disubstituted-heterocyclic compound (1:1). P–18–0037A ...... 2 02/26/2020 Shin-Etsu Microsi ..... (G) Microlithography for electronic device (G) Sulfonium, triphenyl-, salt with 2,4,5- manufacturing. trisubstituted-benzenesulfonate (1:1). P–18–0151A ...... 9 02/04/2020 Struers Inc ...... (S) A curing agent for curing epoxy sys- (S) Formaldehyde, reaction products with tems. 1,3-benzenedimethanamine and p-tert- butylphenol. P–18–0154A ...... 8 02/19/2020 CBI ...... (G) Crosslinking agent for coatings ...... (G) Isocyanic acid, polyalkylenepolycycloalkylene ester, 2- alkoxy alkanol and 1-alkoxy alkanol and alkylene diol blocked. P–18–0211A ...... 2 02/17/2020 Patcham USA LLC .. (S) Wetting and dispersing agent for pig- (G) Alkaneamine, (aminoalkyl)-, polymer ment formulations, paints, and coatings. with aziridine and 1,6- diisocyanatohexane, polyethylene glycol alkyl ether- and polyethylene-poly- propylene glycol aminoalkyl alkyl ether- and alkenyl benzenated polyethylene glycol Ph ether. P–18–0273A ...... 5 02/05/2020 CBI ...... (G) Used in polymer manufacturing ...... (S) 1,4-Cyclohexanedicarboxylic acid, 1,4- bis(2-ethylhexyl) ester. P–18–0283A ...... 6 02/21/2020 CBI ...... (G) Open, non-dispersive use ...... (G) Hydroxy alkanoic acid, compds. with aminoalkoxyalcohol-epoxy polymer- alkanolamine reaction products. P–18–0289A ...... 4 02/13/2020 CBI ...... (G) Gas scrubbing, (G) landfill (G) 2-(2(methylcaboxymonocyclic) deoderizing, (G) wastewater deoderizing. amino)ethoxy)-alcohol. P–18–0290A ...... 4 02/13/2020 CBI ...... (G) wastewater deodorizing, (G) Gas (G) Carbomonocylic-oxazolidine. scrubbing, (G) Landfill odor neutralizing. P–18–0302A ...... 5 02/15/2020 CBI ...... (G) Chemical intermediate ...... (S) D-glucaric acid, ammonium salt (1:1). P–18–0323A ...... 5 02/25/2020 Kuraray America, Inc (G) Raw material for polymer manufac- (S) 2-Propenoic acid, 2-methyl-, 3-methyl- turing. 3-buten-1-yl ester. P–18–0323A ...... 6 02/28/2020 Kuraray America, Inc (G) Raw material for polymer manufac- (S) 2-Propenoic acid, 2-methyl-, 3-methyl- turing. 3-buten-1-yl ester. P–18–0326A ...... 6 02/24/2020 CBI ...... (G) Chemical Intermediate ...... (G) Alkanoic acid, alkyl ester, manuf. of, byproducts from, distn. residues. P–18–0379A ...... 2 02/11/2020 CBI ...... (G) Hardener for waterborne epoxy sys- (G) Cashew nutshell liquid polymer with tem. Epichlorohydrin, formaldehyde, phenol, amines and glycol., P–18–0387A ...... 2 02/06/2020 CBI ...... (G) Plastic Additive ...... (G) Alkanal, reaction products with alkanediyl bis[alkyl-tris(alkyl- heterocycle)-1,3,5-triazine-2,4,6-triamine and hydrogen peroxide. P–18–0388A ...... 2 02/06/2020 CBI ...... (G) Plastic additive ...... (G) 1,3,5-triazine-2,4,6-triamine, alkanediyl bis[alkyl-tris(alkyl-heterocycle)-, allyl derivs., oxidized, hydrogenated. P–19–0053A ...... 7 02/28/2020 Wacker Chemical (S) Used as a surface treatment, sealant, (S) 1-Butanamine, N-butyl-N- Corporation. caulk, and coating for mineral building [(triethoxysilyl)methyl]- materials such as concrete, brick, lime- stone, and plaster, as well as on wood, metal and other substrates.

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TABLE I—PMN/SNUN/MCANS APPROVED * FROM 02/01/2020 TO 02/29/2020—Continued

Case No. Version Received date Manufacturer Use Chemical substance

P–19–0064A ...... 6 02/21/2020 The Sherwin Wil- (G) Polymeric film former for coatings ...... (G) 4,4′-methylenebis[2,6-dimethyl phenol] liams Company. polymer with 2-(chloromethyl)oxirane, 1,4-benzyl diol, 2-methyl-2-propenoic acid, butyl 2-methyl 2-propenoate, ethyl 2-methyl 2-propenoate, and ethyl 2- propenoate, reaction products with 2- (dimethylamino) ethanol. P–19–0077A ...... 10 02/19/2020 CBI...... (G) Agricultural...... (G) Alkenylamide. P–19–0085A ...... 3 02/18/2020 Neste oil US, Inc ...... (G) The PMN substance will be used as a (G) Aliphatic hydrocarbons, C16-18- functional fluid in electrical equipment. branched and linear. P–19–0088A ...... 4 02/26/2020 CBI ...... (G) Feedstock for amine recovery ...... (S) Ethanamine, N-ethyl-, 2-hydroxy-1,2,3- propanetricarboxylate (1:?). P–19–0109A ...... 8 02/20/2020 Arch Chemicals, Inc (G) A component of a cleaning formulation (S) Copper, [[2,2′,2″-(nitrilo- to improve the wettability of the overall .kappa.N)tris[ethanolato-.kappa.O]](2-)]- cleaning solution on the substrate. (S) Copper, bis[2-(amino- .kappa.N)ethanolato-.kappa.O]-; P–19–0170A ...... 2 02/06/2020 CBI ...... (S) Coupling agent in elastomer-based for- (G) Heteroatom-substituted alkyl mulations that will be used in molding triethoxysilane, reaction products with operations to manufacture different methylated formaldehyde-melamine types of rubber articles including but not polymer. limited to rubber tires. P–20–0008A ...... 2 02/13/2020 Archroma U.S., Inc .. (S) Dye for use with paper, paper prod- (G) 7-Heteropolycyclicsulfonic acid, 2-[4- ucts, and nonwoven products produced [2-[1-[[(2-methoxy-5-methyl-4- from paper. sulfophenyl)amino]carbonyl]-2- oxopropyl]diazenyl]phenyl]-6-methyl-, compd. with (alkylamino)alkanol and (hydroxyalkyl)amine. P–20–0010A ...... 4 02/21/2020 CBI ...... (G) Polymerization auxiliary ...... (G) Carboxylic acid, reaction products with metal hydroxide, inorganic dioxide and metal. P–20–0012A ...... 6 02/07/2020 CBI ...... (G) Ink Additive ...... (G) Polyol, polymer with alkyl diisocyanate, alkyl substituted heterocycle blocked. P–20–0013A ...... 2 02/17/2020 Arkema Inc ...... (G) UV curable inks ...... (S) 2-Propenoic acid, 2-methyl-, (2-oxo- 1,3-dioxolan-4-yl)methyl ester. P–20–0015A ...... 5 02/05/2020 GE Healthcare ...... (S) Used in the manufacture of hollow (G) N-alkyl heteromonocyclic fiber products. diphenolamide, polymer with Bisphenol A, haloaryl-substituted sulfone, compd. with cyclic sulfonate ester, polyaryl alco- hol terminated. P–20–0024A ...... 4 02/21/2020 CBI ...... (G) Dispersant polymer for coatings ...... (G) Phenol-formaldehyde polymer with amino-oxirane copolymer and nitrobenzoates. P–20–0026A ...... 4 02/04/2020 GE Healthcare ...... (S) The new monomer is isolated and (G) N-alkyl heteromonocyclic used for subsequent polymerization. diphenolamide. P–20–0026A ...... 5 02/05/2020 GE Healthcare ...... (S) The new monomer is isolated and (G) N-alkyl heteromonocyclic used for subsequent polymerization. diphenolamide. P–20–0026A ...... 6 02/06/2020 GE Healthcare ...... (S) The new monomer is isolated and (G) N-alkyl heteromonocyclic used for subsequent polymerization. diphenolamide. P–20–0036 ...... 2 02/06/2020 Sigma-Aldrich Co (G) Used in the manufacture of Lithium-6 (S) Carbonic acid, di(lithium-6Li) salt. LLC. Chloride. P–20–0037 ...... 3 02/12/2020 Sigma-Aldrich Co (G) Used in manufacturing devices for (S) Lithium Chloride (6LiCl). LLC. gamma and neutron radiation detection. P–20–0043 ...... 4 02/23/2020 Saproterra ...... (S) Soil and Plant amendment ...... (S) Acetic acid, 2-[[3-(4-pyridinyl)-1H-1,2,4- triazol-5-yl]thio]-, compd. with 2- aminoethanol (1:1). P–20–0044A ...... 2 02/21/2020 Angus Chemical (G) Curing additive: Automotive paint, (G) (S) 1-Propanamine, 3-methoxy-N,N-di- Company. Neutralization, stability and pigment methyl. dispersancy in industrial latex paints, (G) Neutralization, solubilization and sta- bility in commercial waterborne and sol- vent borne coatings and varnishes used for wood, metal, composites and other substrates, (G) Solubilizer for high acid value styrene acrylic polymers for use in ink applications, (G) Additive for indus- trial polyurethane dispersions. P–20–0045 ...... 2 02/27/2020 Torrecid USA LLC ... (G) Raw material in ceramic tiles produc- (S) Iron oxide (Fe2O3), mixed with silica, tion. calcined. P–20–0050 ...... 2 02/05/2020 CBI ...... (G) Additive in consumer products ...... (S) Benzenepentanol, alpha, gamma- dimethyl- P–20–0050A ...... 3 02/20/2020 CBI ...... (G) Additive in consumer products ...... (S) Benzenepentanol, alpha, gamma- dimethyl- P–20–0051A ...... 2 02/07/2020 CBI ...... (S) Curing agent for Industrial epoxy coat- (S) 1,8-Octanediamine, 4-(aminomethyl)-, ing systems. N-benzyl derivs. P–20–0052 ...... 1 02/05/2020 Evonik Corporation .. (S) Liquid shrinkage reducing admixture (S) Oxirane, 2-methyl-, polymer with for concrete. oxirane, mono(3,5,5- trimethylhexanoate). P–20–0054 ...... 1 02/07/2020 CBI ...... (G) Catalyst is used in a closed process ... (S) Nitrile hydratase.

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TABLE I—PMN/SNUN/MCANS APPROVED * FROM 02/01/2020 TO 02/29/2020—Continued

Case No. Version Received date Manufacturer Use Chemical substance

P–20–0056 ...... 2 02/12/2020 CBI ...... (G) Pigment dispersant ...... (G) Polyphosphoric acids, 2-[(alkyl-1-oxo- alkene-1-yl)oxy]alkyl esters, polymers with acrylic acid, alkyl acrylate, alkyl methacrylate, hydroxyalkyl methacrylate and carbomonocycle, 2,2′-(1,2- diazenediyl)bis[2,4- dialkylalkanenitrogensubstituted]-initi- ated. P–20–0057 ...... 1 02/11/2020 Nusil Technology (G) Silane coupling agent used in silicone (G) Arene, trimethoxysilyl-, hydrolyzed. LLC. formulations. P–20–0058 ...... 2 02/19/2020 CBI ...... (G) Additive for automatic dishwashing, (G) Polysaccharide, polymer with unsatu- (G) Additive for hard surface cleaner. rated carboxylic acid and methacryloxyethyltrimethyl ammonium chloride, sodium salt, acid salt initiated. P–20–0059 ...... 3 02/28/2020 CBI ...... (S) Colorant for thermoplastic resins ...... (G) Propanedinitrile, 2-[[4-[ethyl[2-[4-(sub- stitute methyl butyl)phenoxy]ethyl]amino]-2- methylphenyl]methylene]. SN–20–0001 ...... 1 02/05/2020 CBI ...... (G) Carrier fluids, (G) Precision and gen- (S) 2-Butene, 1,1,1,4,4,4-hexafluoro-, (2Z)- eral cleaning, (G) Aerosol solvent. * The term ‘Approved’ indicates that a submission has passed a quick initial screen ensuring all required information and documents have been provided with the submission prior to the start of the 90-day review period, and in no way reflects the final status of a complete submission review.

In Table II of this unit, EPA provides to the NOC including whether the type of amendment (e.g., amendment to the following information (to the extent submission was an initial or amended generic name, specific name, technical that such information is not claimed as submission, the date the NOC was contact information, etc.) and chemical CBI) on the NOCs that have passed an received by EPA, the date of substance identity. initial screening by EPA during this commencement provided by the period: The EPA case number assigned submitter in the NOC, a notation of the TABLE II—NOCS APPROVED* FROM 02/01/2020 TO 02/29/2020

Commencement Case No. Received date date If amendment, type of amendment Chemical Substance

P–12–0315 ..... 02/07/2020 01/22/2020 N ...... (G) 2-alkenoic acid, 2-alkyl-, polymer with alkyl 2-alkyl alkanoate, vinyl carbomonocycle, alkyl alkanoate and alkanediol alkanoate, tert-alkyl alkane peroxoate and tert-alkyl alkylalkaneperoxoate initiated. P–15–0054A ... 02/13/2020 09/30/2015 CBI Substantiation provided ...... (G) Carbon nanotubes. P–15–0361 ..... 02/24/2020 02/20/2020 N ...... (G) Alkyl and aralkyl and trimethoxysilylethylene modified polysiloxane. P–18–0108 ..... 02/11/2020 01/27/2020 N ...... (G) Aromatic anhydride polymer with bisalkylbiphenylbisamine com- pound with alkylaminoalkyl acrylate ester. P–18–0133 ..... 02/13/2020 02/04/2020 N ...... (G) Polyol adduct of bisaldehyde. P–18–0160 ..... 02/21/2020 02/12/2020 N ...... (G) Heteropolycyclic, halo substituted alkyl substituted- diaromatic amino substituted carbomonocycle, halo substituted alkyl substituted heteropolycyclic, tetraaromatic metalloid salt (1:1). P–18–0258 ..... 02/06/2020 01/24/2020 N ...... (G) Dioic acids, polymers with caprolactam and alkyldiamines. P–18–0277A ... 02/21/2020 05/15/2019 CBI Substantiation provided ...... (G) Poly[2-(dimethylamino)ethyl acrylate chloride salt, vinyl acetate, methacrylic acid and alkyl acrylates]. P–18–0358 ..... 02/14/2020 01/20/2020 N...... (S) 1H-Imidazole-1-propanenitrile,2-ethyl-ar-methyl- P–19–0055 ..... 02/14/2020 02/12/2020 N ...... (S) 1,3-propanediol, 2-ethyl-2-(hydroxymethyl)-, polymer with oxirane, 4-(dimethylamino)benzoate. P–19–0130A ... 02/04/2020 10/23/2019 CBI Substantiation provided ...... (G) Aminohydroxy naphthalenesulfonic acid, coupled with diazotized [(aminophenyl)sulfonyl]ethyl hydrogen sulfate and diazotized amino[[ (sulfooxy)ethyl]sulfonyl]benzenesulfonic acid, salts. P–19–0152 ..... 02/03/2020 01/18/2020 N...... (G) Alkaneic acid, dialkyl ester polymer with alkanediol, (isocyanatocarbomonocycle) alkyl) carbomonocycle) carbamate. * The term ‘Approved’ indicates that a submission has passed a quick initial screen ensuring all required information and documents have been provided with the submission.

In Table III of this unit, EPA provides been received during this time period: type of test information submitted, and the following information (to the extent The EPA case number assigned to the chemical substance identity. such information is not subject to a CBI test information; the date the test claim) on the test information that has information was received by EPA, the

TABLE III—TEST INFORMATION RECEIVED FROM 02/01/2020 TO 02/29/2020

Case No. Received date Type of Test Information Chemical Substance

P–16–0543 .. 01/29/2020 Exposure Monitoring Report ...... (G) Halogenophosphoric acid metal salt.

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TABLE III—TEST INFORMATION RECEIVED FROM 02/01/2020 TO 02/29/2020—Continued

Case No. Received date Type of Test Information Chemical Substance

LM–18–0050 02/19/2020 Fish Acute Toxicity Test (OCED (G) Heterocyclic amine, 1-[2-[[4-[2-[2-amino-6-[2-[2,5-dialkoxy-4-[[2- Test Guideline 203), Ready (sulfooxy)alkyl]sulfonyl]aromaticyl]]diazenyl]-5-hydroxy-7-sulfo-1- Biodegradability (OECD Test aromaticyl]]diazenyl]-3-sulfoaromaticyl]]sulfonyl]alkyl]-3-carboxy-, inner Guideline 301F), Hydrolysis as a salt, alkali metal. function of pH (OECD Test Guide- line 111), S, E, R, F Value Table. P–18–0159 .. 02/04/2020 Acute Oral Toxicity in the Rat (G) Thiophenium, 1-(2,7-disubstituted-1-naphthalenyl)tetrahydro-, salt (OECD Test Guideline 420). with polyfluoro-n-polyfluoroalkylsulfonyl-1-alkanesulfonamide(1:1). P–18–0202 .. 01/29/2020 Water Solubility: Column Elution (G) Trialkyl alkanal, polymer with phenol. Method; Shake Flask Method (OCSPP Test Guideline 830.7840).

If you are interested in information ADDRESSES: Written comments and All comments received, including any that is not included in these tables, you recommendations for the proposed personal information provided, also will may contact EPA’s technical information collection should be sent be available for public inspection during information contact or general within 30 days of publication of this normal business hours by appointment information contact as described under notice to www.reginfo.gov/public/do/ only at the EEOC Headquarters’ Library, FOR FURTHER INFORMATION CONTACT to PRAMain. Find this particular 131 M Street NE, Washington, DC access additional non-CBI information information collection by selecting 20507. Upon request, individuals who that may be available. ‘‘Currently under 30-day Review—Open require assistance viewing comments Authority: 15 U.S.C. 2601 et seq. for Public Comments’’ or by using the are provided appropriate aids such as search function. Commenters are also Dated: March 12, 2020. readers or print magnifiers. To schedule encouraged to send comments to the an appointment to inspect the Pamela Myrick, EEOC using any of the following Director, Information Management Division, comments at the EEOC’s library, contact methods—please use only one method: the library staff at (202) 663–4630 Office of Pollution Prevention and Toxics. Federal eRulemaking Portal: http:// [FR Doc. 2020–06063 Filed 3–20–20; 8:45 am] (voice) or (800) 669–6820 (TTY). (These www.regulations.gov. Follow the are not toll-free numbers.) BILLING CODE 6560–50–P instructions on the website for submitting comments. FOR FURTHER INFORMATION CONTACT: Mail: Comments may be submitted by Rashida Dorsey, Ph.D., MPH, Director, mail to Bernadette B. Wilson, Executive Data Development and Information EQUAL EMPLOYMENT OPPORTUNITY Officer, Executive Secretariat, Equal Products Division and Senior Advisor COMMISSION Employment Opportunity Commission, on Data Strategy, Office of Enterprise Agency Information Collection 131 M Street NE, Washington, DC Data and Analytics, Equal Employment Activities: Existing Collection 20507. Opportunity Commission, 131 M Street Fax: Comments totaling six or fewer NE, Washington, DC 20507, (202) 663– AGENCY: Equal Employment pages can be sent by facsimile (‘‘fax’’) 4355 (voice) or (202) 663–7063 (TTY). Opportunity Commission. machine to (202) 663–4114. (This is not Requests for this notice in an alternative ACTION: Notice of information a toll-free number.) Receipt of fax format should be made to the Office of collection—request for new control transmittals will not be acknowledged, Communications and Legislative Affairs number and approval of collection: except that the sender may request at (202) 663–4191 (voice) or (202) 663– Employer Information Report (EEO–1) confirmation of receipt by calling the 4494 (TTY). Component 1; revision of existing Executive Secretariat staff at (202) 663– SUPPLEMENTARY INFORMATION: approval for EEO–1 Component 2. 4070 (voice) or (800) 669–6820 (TTY). (These are not toll-free telephone I. Background SUMMARY: In accordance with the numbers.) Paperwork Reduction Act (PRA), the Instructions: All comments received A. The EEO–1 Report Equal Employment Opportunity must include the agency name and Since 1966, the EEOC has required Commission (EEOC or Commission) docket number. All comments received announces that it has submitted to the will be posted without change to http:// EEO–1 filers to submit demographic Office of Management and Budget www.regulations.gov, including any data (Component 1) on an annual basis. (OMB) a request for a three-year PRA personal information provided. All private employers that are covered approval of Component 1 of the However, the EEOC reserves the right to by Title VII of the Civil Rights Act of 1 Employer Information Report (EEO–1). refrain from posting libelous or 1964, as amended (Title VII) and that The EEOC is seeking OMB approval to otherwise inappropriate comments, have 100 or more employees are remove Component 1 from OMB control including those that contain obscene, required to file Component 1 data. In number 3046–0007 and assign it a new indecent, or profane language; that addition, Office of Federal Contract PRA control number. The EEOC is not contain threats or defamatory Compliance Programs (OFCCP) submitting a request to approve statements; that contain hate speech regulations require certain federal Component 2 of the EEO–1 collection. directed at race, color, sex, national contractors to file the EEO–1 if they DATES: Written comments on this notice origin, age, religion, disability, or have 50 or more employees and are not must be submitted on or before April 22, genetic information; or that promote or 2020. endorse services or products. 1 42 U.S.C. 2000e, et seq.

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exempt as provided for by 41 CFR 60– C. Factors Necessitating the Intended Component 2 data was complete. This 1.5.2 Positions in the 60-Day Notice case is now pending on appeal before the U.S. Court of Appeals for the D.C. B. The 60-Day Notice: The (1) EEO–1 Components 1 and 2 Now Circuit. National Women’s Law Center, Commission’s Statement of Intention for Have Different Timelines the EEO–1 et al. v. Office of Management and In 2016, the EEOC sought OMB Budget, et al., Case No. 19–5130 (D.C. On September 12, 2019, the approval under the PRA to collect Cir.). Commission published a Notice in the specific summary pay data as The EEOC must now seek PRA Federal Register announcing its Component 2 of the long-established authorization from OMB to continue to intention to seek OMB approval for a EEO–1 report. On September 29, 2016, collect EEO–1 data for calendar years three-year PRA authorization to collect OMB authorized the EEOC to collect 2019, 2020, and 2021. To minimize EEO–1 Component 1 data from covered Component 2 data for calendar years confusion in light of the above- employers (‘‘60-Day Notice’’). The 60- 2017 and 2018 under OMB control referenced litigation involving Day Notice also stated the Commission’s number 3046–0007, with the first filing Component 2, the EEOC is asking OMB intention to request that OMB remove deadline being March 31, 2018 (for 2017 to approve Component 1 under a new Component 1 from OMB control number pay data). This OMB approval also OMB control number. 3046–0007 and provide a new control authorized the EEOC to collect number.3 In the same 60-Day Notice, the Component 1 EEO–1 data for calendar (2) EEO–1 Burden Calculations in 2016 Commission announced that it did not years 2016, 2017, and 2018.5 Were Based on Incorrect Assumptions intend to seek OMB approval of PRA On August 29, 2017, OMB exercised In May 2018, the EEOC created the authorization for Component 2 of the its authority under the PRA to initiate Office of Enterprise Data and Analytics EEO–1 (the summary pay data a review of the Component 2 collection (OEDA) with the goal of creating a 21st component). The Commission reached and stay the EEOC’s collection of century data and analytics program the decision to renew Component 1 but Component 2 data, but not Component within the agency. OEDA is now staffed not Component 2 based on its 1 data.6 Subsequently, the National largely by data scientists and assessment of the proven utility of Women’s Law Center and the League of statisticians who did not work at the Component 1 data and the uncertain United Latin American Citizens EEOC in 2016 when the Commission utility of Component 2 data, balanced (LULAC) challenged this action in court developed the 2016 PRA package for the against updated calculations of the and, on March 4, 2019, the court in EEO–1. When the EEOC began burden that the Components 1 and 2 National Women’s Law Center, et al. v. preparing materials to seek this PRA collections impose on covered Office of Management and Budget, et approval of the EEO–1 collection, staff employers, as defined by the PRA. In al., Civil Action No. 17–cv–2458 in OEDA revisited the methodology the Notice, the Commission requested (D.D.C.), vacated OMB’s stay of used in 2016 for calculating EEO–1 public comments during a sixty-day Component 2. The court ordered that burden estimates. OEDA staff period ending November 12, 2019 OMB’s September 29, 2016 PRA considered the methodology the EEOC (hence the Notice is referred to as the approval of the revised EEO–1 was in used prior to 2016 and, significantly, ‘‘60-Day Notice’’). In addition, on effect. On April 25, 2019, the court also referenced Government November 20, 2019, the Commission further ordered that the PRA approval Accountability Office (GAO) held a public hearing pursuant to for the EEO–1, including Component 2 statements 7 and OMB instructions 8 on Section 709(c) of Title VII. 42 U.S.C. data, under OMB control number 3046– 2000e–8(c) and considered the 0007, would expire no later than April 7 See Government Accountability Office Report testimony of six witnesses representing 5, 2021. The court also ordered that the GAO–18–381, ‘‘PAPERWORK REDUCTION ACT, both employer and employee collection of Component 2 data would Agencies Could Better Leverage Review Processes not be deemed complete until the and Public Outreach to Improve Burden Estimates,’’ stakeholders, as well as labor July 2018 (GAO Report), https://www.gao.gov/ 4 economists. percentage of filers submitting assets/700/693057.pdf. Component 2 reports equaled or 8 ROCIS HOW TO Guide for Agency Users of the 2 Unless otherwise noted, the term ‘‘contractor’’ exceeded the mean percentage of EEO– (ICR) Module, April 5, 2017, https://www.rocis.gov/ refers to federal contractors and first-tier 1 reporters that actually submitted EEO– rocis/jsp3/common/ROCIS_HOW_TO_Guide_for_ subcontractors that satisfy the employee and 1 reports in each of the past four AGENCY_Users_of_ICR_Module-04052017.pdf, p. contract size coverage criteria that subject them to 105, ¶ 12. (‘‘Provide estimates of the hour burden the EEO–1 reporting obligations. The term ‘‘private reporting years. The court ordered the of the collection of information. The statement employers’’ or ‘‘private industry’’ refers to all other EEOC to collect Component 2 data for should: * Indicate the number of respondents, entities required to file the EEO–1 that are not 2017 and 2018 with a submission frequency of response, annual hour burden, and an included in the ‘‘contractor’’ designation. The terms deadline for covered employers of explanation of how the burden was estimated. ‘‘employer,’’ ‘‘covered employer,’’ or ‘‘filer’’ refer to Unless directed to do so, agencies should not all entities that are required to file EEO–1 data. September 30, 2019. On October 29, conduct special surveys to obtain information on 3 84 FR 48138. The Commission voted to approve 2019, the court ordered the EEOC to which to base hour burden estimates. Consultation this 60-Day Notice in September 2019. Chair Janet continue to collect Component 2 data with a sample (fewer than 10) of potential Dhillon was sworn in as a Commission member on through January 31, 2020, and on respondents is desirable. If the hour burden on May 15, 2019, ending a four-month period during February 10, 2020, the court ordered respondents is expected to vary widely because of which the Commission lacked a quorum and differences in activity, size, or complexity, show the therefore could not consider or approve documents that the EEOC’s collection of range of estimated hour burden, and explain the like the 60-day Notice. There also was a partial reasons for the variance. Generally, estimates government shutdown from December 22, 2018– Employer Information Report (EEO–1), https:// should not include burden hours for customary and January 25, 2019. www.eeoc.gov/eeoc/meetings/11-20-19/index.cfm. usual business practices. 4 See Notice of public hearing on proposed EEO– 5 These Component 1 collections were timely, * If this request for approval covers more than 1 Report amendments, 84 FR 59619. The press except for the collection of 2018 Component 1 data, one form, provide separate hour burden estimates release on the hearing is available at EEOC which was delayed due to the partial government for each form and aggregate the hour burdens. Examines the Efficacy of EEOC’s Pay Data shutdown from December 22, 2018 through January * Provide estimates of annualized cost to Collection Model (Nov. 20, 2019), https:// 25, 2019. The filing deadline for that 2018 respondents for the hour burdens for collections of www.eeoc.gov/eeoc/newsroom/release/11-20- collection was extended to May 31, 2019. information, identifying and using appropriate 19.cfm. More information about the hearing is 6 During the term of this stay, the EEOC collected wage rate categories. The cost of contracting out or available at EEOC, Hearing of November 20, 2019— Component 1 data for reporting years 2017 and paying outside parties for information collection Public Hearing on the Proposed Revisions of the 2018. Continued

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the appropriate methodology for assumption led to the conclusion that Æ An employer choosing to submit calculating burden estimates in federal ‘‘the total estimated annual burden hour type 8 ‘Establishment Reports’ provides information collections. Per guidance costs for employers and contractors that a separate type 8 report for each published in a 2018 GAO report: will complete both Components 1 and 2 establishment employing fewer than 50 A single information collection request in 2017 and 2018 will be employees. Like filers submitting the may contain multiple burden hour estimate $53,546,359.08.’’ 12 type 4 ‘Establishment Report, filers formulas depending, for example, on whether By contrast, the methodology used to choosing to create a type 8 report enter there are different forms or different types of develop the burden estimates in this 30- employment data categorized by race or respondents. The total annual burden hour estimate is the sum of all of individual Day Notice returns to the approach used ethnicity, gender, and job category for burden hour estimate formulas. If the by the EEOC prior to 2016, which each type 8 report. The employment information request is for the maximum 3- accounted for the burden of filing each data entered for each such year period, then the annual burden estimate different type of EEO–1 ‘‘report.’’ The establishment on a type 8 report will is the average over that 3-year period.9 EEO–1 Instructions direct covered automatically populate the filer’s type 2 In light of these considerations, OEDA employers to use different reports for Consolidated Report on the EEOC’s staff concluded that the EEOC’s 2016 different purposes, and OMB and GAO system. Æ burden estimate for the EEO–1 had direct agencies to account for the An employer choosing to submit a underestimated the burden to submit burden of filing each different kind of type 6 ‘Establishment List’ should Component 1 and Component 2 data. report.13 An employer with only a single provide the establishment names, After Janet Dhillon was sworn in as location files one EEO–1 report—a type complete addresses, and total number of Chair of the EEOC on May 15, 2019, she 1 EEO–1 report—and an employer with employees for all physical location consulted with the Director of OEDA numerous locations files a where fewer than 50 employees are about the EEO–1 burden calculation and corresponding number of EEO–1 working. Because the type 6 report does other aspects of the PRA process. ‘‘establishment’’ reports, plus a not tally the number of employees, OEDA staff concluded that the 2016 headquarters report and a consolidated employers choosing a type 6 data report methodology did not adhere to the report, as follows: 14 for each establishment employing fewer standard approach of OMB and GAO, • A type 2 ‘Consolidated Report,’ than 50 employees must manually enter which was to account for the burden of which must include all employees of data categorized by race or ethnicity, filing each different type of the EEO–1 the employer categorized by race, gender, and job category to the type 2 ‘‘report’’ (see explanation below of the gender and job category; ‘Consolidated Report’ to include all five types of EEO–1 reports). Rather, the • A type 3 ‘Headquarters Report,’ company employees. 2016 burden methodology initially which must include employees working Accounting for the burden of filing assessed employer burden entirely at at the main office site of the employer each different type of form or report, the the firm level, assuming that covered and those employees who work from Commission’s September 12, 2019 60- employers would use automated data home and report to the corporate office. Day Notice concluded that the burden systems to centralize EEO–1 data In addition, a separate EEO–1 report for for Components 1 and 2 of the EEO–1 collection and then utilize the EEOC’s the headquarters establishment is was $614,391,388 in 2017 and upload file function to send data to the required even if there are fewer than 50 $622,015,798 in 2018.15 agency.10 Although later acknowledging employees working at the headquarters establishment. II. The Public Comments on the 60-Day that tasks such as data entry would Notice necessarily be performed at the • A type 4 ‘Establishment Report’ establishment level, especially if a must be submitted for each physical The Commission received and posted covered employer did not use the establishment with 50 or more 11,504 timely public comments in EEOC’s upload file function, the final employees. Employment data must be response to the 60-Day Notice.16 The 2016 burden methodology still asserted categorized by race or ethnicity, gender, comments were submitted by individual that ‘‘the bulk of the tasks performed in and job category. members of the public, employers, completing the EEO–1 report will be • A type 6 or type 8 ‘Establishment employer associations, Members of completed at the firm level due to the Report’ must be submitted for each Congress, civil rights groups, women’s centrality of automation’’ and calculated establishment site with fewer than 50 organizations, industry and trade burden at the firm level.11 This employees: groups, human resources organizations, and social scientists. Several thousand activities should not be included here. Instead, this submitted by one data upload filed by the firm on of the posted comments were part of cost should be included under ‘Annual Cost to behalf of all the establishments. While still mass comment-writing campaigns and Federal Government’.’’) reflecting that the bulk of the tasks performed in opposed the proposal not to continue 9 completing the EEO–1 report will be completed at GAO Report at p. 8, Footnote a. to Figure 2. Component 2. 10 Agency Information Collection Activities; the firm level due to the centrality of automation, Notice of Submission for OMB Review, Final the EEOC’s 30-Day Notice recognizes that there are Comment Request: Revision of the Employer certain tasks that will be performed at the 15 See 84 FR. 48138, 48140–48141. The EEOC Information Report (EEO–1), 81 FR 45479, 45493 establishment level for employers who enter their uses 2017 and 2018 data as an example because it (July 14, 2016) (‘‘the EEOC [initially] concluded that EEO–1 data directly onto the Joint Reporting is the agency’s most recent data. For 2017, the most employers would be filing the EEO–1 with a Committee’s secure portal. Therefore, the 30-Day EEOC calculates that of the $614,391388, digital file upload by the time they file their EEO– Notice burden calculations are based on the number $247,959,388 is attributable to Component 1 and 1 reports for 2017 and 2018. Therefore, in the 60- of hours needed to complete the tasks at the firm $366,431,751 is attributable to Component 2. For Day Notice, the EEOC reasoned that ‘each level and also at the establishment level for the 2018, the EEOC calculates that of the $622,015,388, additional report filed [would have] just a marginal proportion of EEO–1 filers who do not now use $250,626,707 is attributable to Component 1 and additional cost.’ Accordingly, the burden centralized, secure data uploads.’’) $371,389,091 is attributable to Component 2. See calculation in the [2016] 60-Day Notice was based 12 Id. footnote 28, infra (describing how the burden on the number of firms filing one or more EEO–1 13 Not all employers are required to file all form estimates for Component 2 were calculated). reports, not on the number of reports submitted or types. 16 11,504 timely comments were posted on the number of separate establishments submitting 14 See Table 1 in section V.B. for the projected regulations.gov. One timely comment was not reports.’’) annual burden to report Component 1 data in posted because its content was irrelevant to the 60- 11 Id. (‘‘Second, the EEOC no longer assumes that reporting years 2019–2021, by report type and Day Notice and therefore the EEOC determined it all the EEO–1 reports for 2017 and 2018 will be reporting time. was submitted in error.

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III. Scope of the Public Comments on data currently collected on Component are based on the EEOC’s experience the 60-Day Notice 1 could be collected just as accurately during the data submission process. but more efficiently if the EEOC Even using modest assumptions about A. Component 1 implemented only Component 2. the time needed to complete various (1) Summary of 60-Day Notice A small number of commenters EEO–1 reports, as explained in detail in The 60-Day Notice announced the suggested changes to the Component 1 the 60-Day Notice, the EEOC estimated Commission’s intention to continue its data collection. Two commenters, both with this new methodology that the collection of Component 1 data, even as of which are firms that assist clients combined burden hour costs for the EEOC recalculated the burden on with EEO–1 reporting, suggested the submitting both Components 1 and 2 employers and concluded that it was EEOC should consider implementing was $614,391,388 in 2017 and 20 higher than previously contemplated. changes that would facilitate the $622,015,798 in 2018. The EEOC Nonetheless, the Commission noted that reporting of gender for non-binary concluded in the 60-Day Notice that the collection of Component 1 data is a employees. revised burden calculation, which was long-held practice that has occurred for The few commenters who addressed substantially higher than the over 50 years and it has already proven the EEOC’s request for a separate OMB Commission’s 2016 burden calculation its utility to the EEOC’s enforcement of Control number for Component 1 and higher than the burden for employment discrimination laws in supported the proposal. Component 1, was too high to justify the continuance of the Component 2 many ways. The 60-Day Notice B. Component 2 recognized that Component 1 EEO–1 collection, especially in light of data is an important internal resource (1) Summary of 60-Day Notice Component 2’s uncertain utility. Because the EEOC must balance the for analysis of industries and regions, The EEOC announced its intention and also for EEOC investigators who use utility of the data to its enforcement not to seek approval of the Component programs against the burden the data the EEO–1 along with other data sources 2 summary pay data collection in the as they start to assess allegations of collection imposes on the employers 60-Day Notice because it determined who must submit it, the Commission discrimination. Under these that the uncertain utility of the data was circumstances, even with a higher said in the 60-Day Notice that it should outweighed by the burden on employers consider information from the ongoing burden estimate, the EEOC concluded collecting the data. The 60-Day Notice Component 2 data collection before that the continued collection of outlined the EEOC’s methodology for deciding whether to submit another pay Component 1 data would be necessary calculating the employer reporting data collection request to OMB. Without for the continued effectiveness of the burden and why the EEOC decided to this assessment,21 the 60-Day Notice agency. use this methodology. The EEOC reasoned that the practical utility to the (2) Summary of Public Comments explained in the 60-Day Notice that it EEOC’s enforcement program of the pay now calculated the burden by Almost all the public comments data as defined in the 2016 Component deconstructing the total number of supported the EEOC’s proposal in the 2 was far outweighed by the burden reports submitted by report type and by 60-Day Notice to continue to collect imposed on employers that must filer type, and then estimating an Component 1 data.17 Even while comply with the reporting obligation. average burden based on the number supporting the proposed continuation of For this reason, the EEOC decided not and types of reports submitted.18 These Component 1, however, many to seek renewal of the Component 2 estimates account for the different commenters questioned the accuracy of summary pay data collection. amounts of time required to complete the Component 1 estimated burden different types of EEO–1 reports,19 and (2) Summary of Public Comments calculation as set forth in the 60-Day Almost all commenters emphasized Notice. Some of these commenters 18 See footnote 2, supra; see also, e.g., Mortality the importance of addressing pay stated that the EEOC’s higher burden in Correctional Institutions, 84 FR 1507, 1508–09 inequity in the U.S. workforce. Many of estimate for Component 1 still (2019). the commenters who had also provided 19 Using Component 1 2017 data as the basis for underestimated the actual employer input on the original 2016 proposal to burden. Notwithstanding this concern an example of the new methodology, 75,043 EEO– 1 filers submitted a total of 1,597,036 Component about the accuracy of the burden 1 reports to the EEOC. Forty percent, or 30,203 Department of Labor’s Bureau of Labor Statistics estimates, these commenters concluded filers, submitted a report for only a single wage rates, the associated total annual burden hour that the utility of the Component 1 establishment. Single establishment filers are cost is $297,381,066 for required filers. The EEOC collection continued to justify the referred to as ‘‘Type 1’’ filers by the EEOC. Each estimates that the total cost of the administration of Type 1 filer submitted a single report, yielding a the EEO–1 Component data collection to the federal burden. Other commenters stated that total of 30,203 reports in 2017. These Type 1 filers government is $2 million annually. the estimated burden for Component 1 have the lowest burden, with an average estimated 20 The EEOC uses 2017 and 2018 data as an set forth in the 60-Day Notice overstated burden of 45 minutes annually to complete their example because it is the agency’s most recent data. the burden on employers. These submission of Component 1. Multiple Because the 2016 PRA package combined the establishment filers are referred to as ‘‘Type 2’’ Component 1 and 2 burdens for filers that would commenters nonetheless supported the filers by the EEOC. In 2017, Type 2 filers accounted complete both Components 1 and 2 in 2017 and EEOC’s proposal to continue collecting for 60%, or 44,840 filers of Component 1, and in 2018, the recalculated burden reflected in the 60- Component 1 data. 2017 submitted a total of 1,566,833 reports, or 98% Day Notice similarly provided a combined burden One commenter, representing a of all Component 1 EEO–1 reports submitted. Type calculation for Components 1 and 2 for 2017 and 2 filers have a higher reporting burden because they 2018. However, above the Commission has consulting firm that assisted clients are required to submit a combination of reports: one provided a breakdown of how much the burden was with Component 2 filings, suggested the type 2 (‘‘consolidation’’) report, one type 3 attributable to each Component. See footnote.15, EEOC should discontinue the (‘‘headquarters’’) report, and a type 4 establishment supra. Component 1 collection in its entirety report, a type 8 establishment report, or a type 6 21 At the time of the September 12, 2019, 60-Day establishment list for each establishment. The Notice, the collection of Component 2 data for 2017 and argued that all the demographic estimated burden for Type 2 filers varies between and 2018 was ongoing. The Component 2 data 3.5 and 9.5 hours, depending on the report type collection has now been completed, pursuant to the 17 One anonymous commenter expressed concern combination. This new method for calculating the February 10, 2020 court order in the matter of about government oversight generally, and that filers’ burden yielded a total estimated burden of National Women’s Law Center, et al., v. Office of individuals should turn to internal HR processes or 7,643,874 hours for 75,043 filers to submit Management and Budget, et al., Civil Action No. litigation to address unfair treatment. 1,597,036 reports for data year 2017. Per U.S. 17–cv–2458 (D.D.C.) . . .

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create Component 2 reiterated the Similarly, one commenter, a both ‘‘false positives’’ (Type 1 statistical arguments they raised at that time, consulting firm representing multiple errors) and ‘‘false negatives’’ (Type 2 whether for or against the Component 2 businesses, explained why its own statistical errors) and that extensive summary pay data collection. experience with Component 2, and that Type 1 and Type 2 errors would render of its clients, demonstrated that the a. Comments Supporting the the data of minimal to no utility for Discontinuation of Component 2 burden of collecting, organizing, and attributing any differences observed to filing the data exceeded the firm’s own the presence of illegal employment Almost all the comments urging the estimates of the burden. All told, the discrimination. Some commenters and discontinuation of the Component 2 time actually spent by the firm on first- some hearing witnesses (including collection were submitted by year implementation costs as a third- EEO–1 filers and entities that provide consultants who provide compliance, party vendor was approximately 20% filing assistance to said filers) said their technical and/or human resources greater than the time it had estimated experience conducting the 2017 and assistance to EEO–1 filers, and by trade for this process in the firm’s 2016 2018 Component 2 collections and industry groups. Members of Component 2 Comments to the EEOC. demonstrated that the Component 2 pay Congress also submitted comments The firm explained it took 280 hours to data would not be useful to them for urging the EEOC to discontinue the update its software to accept employer assessing their own pay policies and Component 2 collection. Commenters Component 2 data and create a data practices and that it was burdensome. sometimes reiterated concerns they had upload file to comply with the Commenters similarly argued that any raised in 2016 with the Component 2 Component 2 Data Specifications. An EEOC publications of aggregated data collection and stated that employers’ additional 20 hours of time was spent organized in pay bands and job actual experiences with the 2017 and by the firm’s consultants and subject 2018 Component 2 collections not only categories would not be useful to matter experts advising their employers in undertaking self- validated, but in some respects programming team on the Component 2 heightened, their earlier concerns. assessments for the purposes of data requirements, reviewing, and voluntarily complying with equal pay These comments questioned the EEOC’s approving the programming files, and authority to implement the Component laws. One economist/consultant who communicating and resolving error worked with employers filing 2 collection, expressed concerns about messages with the batch upload file both the burden and the utility of the Component 2 data testified that the during the Component 2 filing process. Component 2 pay bands are unlikely to Component 2 collection, and expressed Notably, the consulting firm rejected the unease about the confidentiality and reflect actual compensation distribution notion that in the future employers privacy of the data the EEOC collects. at many companies, and that would be able to file Component 2 data Many commenters asserted that any Component 2 does not collect any with little or no burden because of the EEOC pay data collection should be information about the legitimate factors time already invested for the 2017 and undertaken only pursuant to for pay differentials (e.g., length of 2018 collections. According to the firm, rulemaking, which they argued would employment). He noted that an the belief that the burden will be provide for a more robust notice-and- employee starting her career would be significantly less for future collections comment process. reported in the same way as an With respect to the burden ‘‘reflects a complete misunderstanding employee with 30 years of experience in calculations, some commenters of how employers store and use the data the same occupation. This consultant indicated that although the Component points being collected.’’ This is just one also stated that a simulated study found 2 burden in the 60-Day Notice was more of the numerous examples provided by the predictive value of Component 2 accurate than the 2016 estimate, they commenters regarding the real-world pay data was no better than random believed the burden on employers was burden experienced in attempting to selection (using either Mann-Whitney or even higher than the estimate in the 60- complete the Component 2 data compared to other firms). collection. Day Notice due to a number of factors. Some commenters noted that the Despite expressing concern about pay These factors included the difficulty EEOC failed to implement the inequities and reiterating their matching the W–2, Box 1 information recommendations in the 2012 report commitment to identifying and with the demographic data, and from the National Research Council, eliminating unfair pay practices, many complications arising when employees’ National Academy of Sciences (NAS of these commenters concluded the employment status changes during the Report).22 Many of these commenters Component 2 summary pay data reporting year—for example, when an argued that the EEOC failed to collection would be ineffective in employee moves between exempt and implement the NAS Report’s non-exempt status, or from one job addressing pay equity issues. Many recommendation to conduct a true pilot category to another. They argued that commenters argued that both the W–2, study. Some commenters argued that addressing these issues required manual Box 1 data and the hours-worked data the Commission possibly could have adjustments and therefore the were inaccurate and inappropriate developed a pay data collection that Component 2 reporting process could measurements and, when combined addressed their utility and burden not be fully automated. They noted that together, created further inaccuracies concerns had it more fully implemented even when an employer used the upload because the W–2, Box 1 wages, which the recommendations of the NAS file function it nonetheless had to include pay for hours not worked, did Report. Other commenters suggested expend significant time on manual not correspond with the hours-worked there may be no form of pay data adjustments and analyses before data. Commenters also argued that collection that would have sufficient uploading the data. Commenters also organizing the data into job categories utility to justify the burden on observed that many of these issues, as and pay bands resulted in inaccurate respondents. well as complications caused by and misleading comparisons. Some business changes such as mergers and commenters also stated that collecting 22 National Research Council, 2012. Collecting acquisitions, meant this burden would and reporting aggregate W–2, Box 1 Compensation Data from Employers. Washington, not be significantly reduced in future wage data in wide pay bands across DC: National Academies Press, http:// years. broad occupational categories increases www.nap.edu/read/13496/chapter/1#ii.

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Commenters also expressed concern inadequately explained and/or based on with the process the EEOC used to that the EEOC failed to address faulty assumptions or calculations. develop the 2016 burden calculations, adequately the NAS Report’s In addressing the pay gap, arguing the 2016 process was more recommendations that would more commenters focused on how the pay transparent and the result of many years adequately protect the confidentiality of gap impacts workers, their families, of careful study and analysis, in sensitive employer pay data and that businesses, and the economy as a addition to notice and comment under would ensure employee personal whole. Commenters often cited pay gap the PRA process and Title VII’s identifying information would not be statistics, frequently focusing on the pay requirement for a public hearing. exposed in any EEOC publications of gap impacting their members and c. Comments Specific to the Burden aggregated pay data. They also constituents. Commenters also Estimation Methodology expressed concerns that the pay data frequently highlighted statistics may not be adequately protected from showing how the pay gap is wider for The EEOC also received several disclosure when it is shared outside the women of color. These commenters comments about the burden estimate EEOC, including with OFCCP 23 and concluded that the Component 2 stated in the 60-Day Notice. Some other agencies that are not bound by collection was a critical tool for commenters said the 60-Day Notice Title VII’s confidentiality provisions.24 identifying and addressing these pay inadequately explained the estimated inequalities. In addition to serving as a time needed to complete the type 1 and b. Comments Opposing the critical tool for the EEOC’s effective and type 2 reports. Some commenters Discontinuation of Component 2 efficient enforcement of equal pay laws, expressed concern about how the EEOC Comments opposing the EEOC’s the commenters argued Component 2 calculated the burden for single- vs. decision to discontinue the Component would incentivize employers to multi-establishment firms and about the 2 collection were submitted by members voluntarily comply with those laws and EEOC’s assumptions relating to the time of Congress, several employee advocacy would provide them useful data that needed to complete each report. One groups representing diverse workers in will assist their self-assessments.25 commenter argues that the GAO several segments of the U.S. workforce, Finally, commenters contended the guidance referenced in the 60-Day academics, and thousands of concerned aggregated data (job categories and pay Notice does not require a calculation individuals. Most of the thousands of bands) would help to identify pay based on number of forms. At least one individual comments were submitted as trends in industries and geographic commenter questioned why the EEOC part of comment-writing campaigns. In areas, and would also expose other included burden calculations for some many instances, those who had forms of discrimination such as job forms that employers would no longer commented on the EEOC’s 2016 segregation. use. One commenter suggested that the proposal reiterated arguments Some commenters argued that the burden calculation includes an supporting the Component 2 summary EEOC was premature in concluding that arithmetic mistake and questioned why pay data collection that were reflected the Component 2 collection was overly the burden calculation does not assume in those earlier comments. burdensome because the 2017 and 2018 employers will use only the least costly Comments opposing the collections were still underway when and least time-consuming alternatives discontinuation of Component 2 the EEOC reached that conclusion. for filing. These commenters questioned the generally argued that Component 2 is a IV. Commission Decisions and Final EEOC’s motivations for not seeking necessary and effective tool for EEOC Proposals to OMB identifying and addressing the renewal of the Component 2 collection, persistent gender and race/ethnicity pay suggesting the EEOC should have A. The EEOC Will Seek Three-Year gaps, and that the decision not to continued the Component 2 collection Extension of the EEO–1, Component 1, continue the Component 2 collection and assessed its burden only after the and Request a New OMB Control undermines the EEOC’s ability to 2017 and 2018 collections had Number for Component 1 combat pay discrimination. They concluded, thereby allowing the EEOC After evaluating the comments and asserted that Component 2 not only is to take into consideration the actual holding a public hearing, the an essential tool for the EEOC to fulfill experience of employers who filed Commission will seek OMB approval for its enforcement mandate, but that it also Component 2 for 2017 and 2018. a three-year extension of Component 1 Some commenters asserted that many provides critical information for of the EEO–1. The EEOC also will of the initial implementation costs of workers and employers to help identify request that OMB assign a new Control the Component 2 collection have pay inequities. The majority of these number to Component 1, thereby already been incurred by employers and commenters also criticized the EEOC for separating it from the collection of therefore future Component 2 not addressing and analyzing the utility Component 2 data under OMB Control collections would be less burdensome; of Component 2 in the 60-Day Notice number 3046–0007 that was ongoing relatedly, they argued that a different before concluding its utility could not until February 2020. The Component 1 form of pay data collection would justify the reporting burden on data collection, which the Commission increase employer burden. Commenters employers. Commenters stated that the has conducted for over 50 years, also argued the EEOC’s burden EEOC’s burden calculations were continues to prove its utility to the calculations do not adequately account EEOC’s enforcement of employment for how, in the long term, automation 23 The EEOC’s 2016 Component 2 proposal had discrimination laws on a regular basis. and technology decrease employer reflected the contemporaneous expectation that the Component 1 EEO–1 data remains an EEOC would share some part of the Component 2 burden. important tool for the Commission’s dataset with OFCCP. As discussed in the ‘‘Data Finally, some commenters contrast enforcement of federal laws prohibiting Sharing’’ section below, the EEOC no longer intends the process the EEOC used to develop to provide any Component 2 data to OFCCP. discrimination in employment. EEOC the 60-Day Notice burden estimates 24 42 U.S.C. 2000e–8(e). Title VII forbids the investigators use the EEO–1, together EEOC or any EEOC officer or employee from making public any information, including EEO–1 25 Many of these commenters also argued that the with other data sources, in their data, before a Title VII proceeding is instituted that Component 2 data would enhance OFCCP’s assessments of allegations of involves that information. enforcement efforts. discrimination. The EEOC also uses the

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Component 1 data to analyze written comments and by testimony at commissioned 2012 study from the employment patterns within companies, the November 20, 2019 hearing from National Academy of Sciences (NAS), industries, or regions. For these reasons, those with actual experience collecting entitled ‘‘Collecting Compensation Data and even with the higher burden Component 2 data.27 Based on the from Employers,’’ (NAS Study),30 that estimate for Component 1 outlined Commission’s evaluation of the public the EEOC: below, as compared to the 2016 burden comments received in response to the 1. Develops a plan for using pay data estimates, the EEOC believes the 60-Day Notice and the agency’s own before initiating any data collection. collection of Component 1 data is burden calculations,28 and because the Clearly articulating the ultimate uses of necessary for the proper performance of PRA requires an agency to demonstrate the data will help determine both which the agency’s functions and concludes its that the practical utility of the data elements need to be collected as practical utility to the fulfillment of the information collection outweighs the well as the best approach to collecting EEOC’s mission justifies the burden on burden of the collection, the the data to ensure the validity, employers. Commission cannot justify continuing reliability, and utility of the data Further, because the EEOC is not to collect Component 2 data. collected. seeking renewal of Component 2 for the If the EEOC seeks to pursue a pay data 2. Initiates a scientifically sound pilot reasons addressed below, the EEOC is collection in the future, it will do so study to test the pay data collection requesting a new OMB control number using notice and comment rulemaking instrument and the plan for the use of for Component 1 that is separate from and a public hearing pursuant to Title the data; and the current control number under which VII 29 because a pay data collection 3. Uses a definition of compensation the 2017 and 2018 Component 2 would be a significant new collection that is measurable, collectable, and summary pay data collections were and reporting requirement. The EEOC meaningful. being conducted until February 2020. believes that there should be a Further, the EEOC concludes that the As noted in the 60-Day Notice and transparent and open process, aligning 2016 burden estimate was developed above, Component 2 approval under with the recommendations in the EEOC- using an inadequate methodology that control number 3046–0007 will expire significantly underestimated the burden no later than April 5, 2021, by order of 27 See the summary of comments in Section of the Component 2 collection. By the court in National Women’s Law III.B.2 above. contrast, the methodology used to 28 The estimated number of respondents who develop the burden estimates in this 30- Center, et al. v. Office of Management must file EEO–1 Component 2 data was 62,718 and Budget, et al.26 A new and separate filers for calendar year 2017 and 66,126 filers for Day Notice returns to the methodology control number for Component 1 will calendar year 2018. The estimated number of used by the EEOC prior to 2016 and minimize confusion for EEO–1 filers. responses was 1,558,927 for reference year 2017 takes into consideration GAO and OMB and 1,588,882 for reference year 2018. The EEOC guidance on calculating burden Because the number of Component 1 estimated that about 40% of Component 2 filers increased to 87,021 by the close of respondents (23,149 in 2017 and 24,182 in 2018) estimates in federal information data year 2018, the EEOC estimates that would report data on a single establishment, and collections. Commenters’ experience the number of filers required to submit that it would take these filers an average of 60 with submitting Component 2 data minutes per reporting year to complete their confirmed the EEOC’s revised burden Component 1 will increase again to Component 2 EEO–1 report. About 60% of approximately 90,000 for data years Component 2 filers (39,569 in 2017 and 41,944 in estimates to submit Component 2 data. 2019 through 2021. Table 1 below in the 2018) would report data on multiple These commenters explained why every ‘Component 1’ subsection of the Formal establishments. Multi-establishment filers complete year, gathering and submitting both type 2 and type 3 reports, in addition to Component 2 data would continue to be Paperwork Reduction Act Statement completing either a type 4, 6, or 8 report for each section provides a breakdown of the establishment, totaling, 1,535,778 multi- very time consuming, and that increased number of estimated records by type establishment reports for reporting year 2017 and automation would not meaningfully 1,564,700 multi-establishment reports for reporting reduce the burden and drive cost that will be submitted by the estimated year 2018. Single establishments submitted 23,149 90,000 filers. Accordingly, the EEOC is reports in 2017 and 24,182 in 2018. savings. Based on these comments and calculating the burden estimates in this For the 2017 and 2018 Component 2 data the Commission’s own calculations, the 30-Day Notice based on this revised collection effort, we estimated that a total of burden estimate contained in the 60-Day estimate of the number of filers. 3,147,809 reports would be submitted. While the Notice and this Notice is more accurate actual time spent by multi-establishment filers than the 2016 burden estimate. B. The EEOC Will Not Seek a PRA varies based on a number of factors, as noted in the Component 1 section above, we estimated that it In response to specific comments Extension of Component 2 would take a filer, on average, 7.3 hours to complete about the burden calculations in the 60- The necessity of filing now with OMB Component 2 data for 2018. We further estimated Day Notice, the EEOC responds as to request a new PRA approval of the that completing 2017 Component 2 data would be follows: more burdensome for filers than completing 2018 1. Regarding the comments about the EEO–1 requires the EEOC to make Component 2 data because filers would need decisions based on the information additional time to locate historical records. As a estimated time needed to complete the available. After evaluating the result, we estimated that it would take a filer, on reports, as the EEOC indicated in the 60- comments and holding a public hearing, average, 7.4 hours to complete Component 2 data Day Notice and also concludes in this for 2017. We estimated the average burden for filers 30-Day Notice, the estimated average of the Commission will not seek OMB to submit 2017 and 2018 Component 2 data to be 31 approval for an extension of Component 7.3 hours. 45 minutes each to complete both the 2. The Commission concludes that at The collection of EEO–1 Component 2 data for this time it cannot state that Component calendar years 2017 and 2018 is estimated to have 30 National Research Council. 2012. Collecting imposed total burden hours of 22,744,870 for Compensation Data from Employers. Washington, 2 data has significant practical utility in 3,147,809 Component 2 reports. We estimate the DC: National Academies Press. Available at https:// assisting the Commission in fulfilling its total cost of the 2017 collection ($366,443,051) and www.nap.edu/catalog/13496/collecting- mission in combating illegal 2018 collection of ($371,400,532) Component 2 data compensation-data-from-employers. employment discrimination. The to be $737,843,583. 31 This is the estimate for a single establishment 29 See, 42 U.S.C. 2000e–8(c). See also, to file their EEO–1 Component 1 report, which is Commission’s decision is supported by ‘‘Amendments to the Regulations at 29 CFR part being used because the Commission is seeking 1602 to Provide for a Pay Survey’’ in the EEOC’s approval for the collection of Component 1. The 26 Civil Action No. 17–cv–2458 (D.D.C.) On Fall 2019 Regulatory Agenda, https:// Commission estimates under the burden February 10, 2020, the court ordered that the 2017 www.reginfo.gov/public/do/eAgendaViewRule? methodology set forth in the 60-Day Notice and this and 2018 Component 2 collections were complete. pubId=201910&RIN=3046-AB15. Notice. that it would take a single establishment 60

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type 1 and the type 2 report was based Component 2 collection against its comply with the confidentiality on feedback that EEO–1 project staff practical utility. Based on this provisions of Title VII. For the EEOC, its received from employers filing type 1 assessment, the EEOC has concluded agents and contractors, Title VII only and type 2 reports during the 2018 that the utility of the current permits disclosure of information after EEO–1 Component 1 data collection. As Component 2 collection does not justify suit is filed in a particular matter on the stated above, feedback from commenters the burden of the collection on issues that were investigated at the who file EEO–1 reports largely employers. For this reason, the EEOC administrative level. does not seek OMB’s PRA approval to supported the Commission’s revised With respect to data-sharing with burden estimates and the determination continue the Component 2 information state and local fair employment that the burden was higher for the EEO– collection. practices agencies (FEPAs), Title VII 1 than the Commission estimated in C. Data Sharing itself states that the EEOC may only give 2016. 2. On the concerns about single vs. Title VII forbids the EEOC or any FEPAs information (including EEO–1 multi-establishment firms, the 60-Day EEOC officer or employee from making data) about employers in their Notice explains in detail the public any information, including EEO– jurisdiction on the condition that they calculations for single vs. multi- 1 data, before a Title VII proceeding is not make it public prior to the establishment firms as well as the instituted that involves that institution of a proceeding under state estimated completion time for each type information.32 EEOC staff who violate or local law involving such of required report. This 30-Day Notice this prohibition may be found guilty of information.34 The EEOC’s current also explains that calculation in detail. a criminal misdemeanor and could be practice is to share EEO–1 data with a It also includes Table 1 (see below) to fined or imprisoned. contracted FEPA only upon request and further elucidate the Commission’s The EEO–1 data are collected under to share only EEO–1 data for an approach. Title VII and Executive Order 11246. employer within the FEPA’s jurisdiction 3. Regarding the comment about GAO The EEO–1, administered by the EEOC’s and only when that employer is a guidance, as the EEOC explains in the Office of Enterprise Data and Analytics, respondent to a particular charge of 60-Day Notice and again in this 30-Day is a single data collection designed to discrimination cited by the FEPA in its Notice, the GAO report provides meet the enforcement data needs of both data request. Title VII authorizes the guidance on scientifically sound the EEOC and OFCCP while EEOC to decline to honor a FEPA’s methods and techniques for calculating simultaneously avoiding duplication. subsequent requests for information if burden for federal information With respect to sharing data with the FEPA violates Title VII’s collections. In light of the GAO OFCCP, and consistent with EEOC’s confidentiality requirements.35 guidance, we believe the scientifically updated practices, the EEOC will share with OFCCP only Component 1 data for To align with provisions of Title VII, sound way to conduct this data the Federal Information Security collection is to calculate based on forms. federal contractors. Further, in light of the OFCCP’s announcement of its Modernization Act of 2014 (FISMA),36 Agency submission of accurate burden the Foundations for Evidence-Based estimates using scientifically sound decision not to request, accept, or use Component 2 data from the EEOC, the Policymaking Act of 2018 (Evidence methods and techniques is required by Act),37 and OMB Memorandum M–19– the PRA. EEOC does not intend to provide any 15 Improving Implementation of the 4. On the comment about estimating Component 2 data to OFCCP. See, OFCCP Intention not to Request, Accept, Information Quality Act issued on April for forms that are no longer used, all 38 estimates used by the EEOC in both the or Use Employer Information Report 24, 2019, the EEOC is modernizing its 60-Day Notice and this 30-Day Notice (EEO–1) Component 2 Data, 84 FR policies and procedures concerning data 33 are based on forms that were actually 64932 (Nov. 25, 2019). access to EEO–1 data for approved filed by employers in the 2018 EEO–1 The EEOC directly imposes Title VII’s external data users. The EEOC is Component 1 data collection. As the confidentiality requirement on all of its reviewing and updating all current data EEOC noted, not all employers are contractors, including contract workers sharing memoranda with other federal required to file all form types. and contractor companies, as a enforcement agencies. The EEOC will 5. Regarding the comment alleging an condition of their contracts. With only provide approved users access to arithmetic mistake, the burden respect to other federal agencies with a the minimum data necessary to adhere calculations in 60-Day Notice do not legitimate law enforcement purpose, the to the specific terms of the relevant contain any arithmetic mistakes. The EEOC gives access to information memoranda. Consistent with the commenter is attempting to calculate collected under Title VII only if the requirements of the Evidence Act, the average burden at the individual agencies agree, by letter or EEOC is exploring secure mechanisms employer level which changes the unit memorandum of understanding, to to facilitate access to EEO–1 restricted of analysis. As the EEOC explains in data for approved researchers for 32 42 U.S.C. 2000e–8(e). Consistent with these statistical purposes and for developing both the 60-Day Notice and this 30-Day confidentiality requirements, the EEOC has released Notice, the appropriate unit of analysis aggregate EEO–1 data in the past that does not evidence. As defined by the Evidence for burden estimation is at the form type reveal the identity of individual filers. Act, ‘‘evidence’’ only means level. Additionally, the EEOC does not 33 In the Supporting Statement issued with the ‘‘information produced as a result of dictate filing methods (i.e., online portal 2016 PRA, the EEOC stated: ‘‘OFCCP will not statistical activities conducted for a receive EEO–1 summary pay data for companies or upload) and employers are free to that are not federal contractors under OFCCP’s statistical purpose.’’ See, 44 U.S.C. choose whichever filing method they jurisdiction.’’ FINAL EEO–1 Supporting Statement 3561(6). deem appropriate. (September 28, 2016). Notwithstanding this statement, the EEOC’s practice was to share all As required by the PRA, the EEOC has 34 42 U.S.C. 2000e–8(d). employer Component 1 data with OFCCP 35 evaluated the significant burden of the (regardless of federal contractor status). The EEOC Id. has ceased the practice of sharing all Component 1 36 Public Law 113–283 (2014). minutes to file an EEO–1 Component 2 report due employer data with OFCCP and going forward, the 37 Public Law 115–435 (2019). to the additional data elements. See footnote 28, Commission will only provide OFCCP Component 38 https://www.whitehouse.gov/wp-content/ supra. 1 EEO–1 data for federal contractors. uploads/2019/04/M-19-15.pdf.

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V. Formal Paperwork Reduction Act accurate reports’’ annually.43 Currently, clearance 48 was 1,952,146 hours. After Statement Component 1 of the EEO–1 directs reviewing the methodology used to certain covered employers with more calculate the 2016 burden for A. Overview of Information Collection than 50 employees (contractors) or 100 Component 1, we identified an Component 1 employees (private industry) to report approach we believe is substantially annually the number of individuals they more precise and is supported by Collection Title: Employer employ by job category and by race, comments received in response to the Information Report (EEO–1) Component ethnicity, and sex.44 The data include 60-Day Notice and public hearing on 1. seven race and ethnicity categories 45 November 20, 2019. OMB Number: 3046–XXXX and ten job categories,46 by sex. The The methodology used in this notice (previously 3046–0007). individual EEO–1 reports are to calculate the burden for Component Frequency of Report: Annual. confidential. EEO–1 data are used by the 1 is to separate Type 1 (single Type of Respondent: Private EEOC to investigate charges of establishment) and Type 2 (multi- employers with 100 or more employees employment discrimination against establishment) filers and calculate the and certain federal government employers in private industry and to burden by considering the following contractors and first-tier subcontractors provide information about the factors: Type of filer, the combination of with 50 or more employees. employment status of minorities and report types submitted by the filer, and Description of Affected Public: Private women.47 the total number of reports filers will employers with 100 or more employees certify to complete their EEO–1 and certain federal government B. Burden Statement submission. contractors and first-tier subcontractors The previous annual estimated Reporting time estimates for EEO–1 with 50 or more employees. burden for Component 1 under the 2016 Component 1 filers are based on the Reporting Hours: 9,167,393. most recently completed Component 1 Respondent Burden Hour Cost: $297 43 41 CFR 60–1.7(a). The EEOC may also share collection cycle. During the 2018 data million.39 EEO–1 data with state and local Fair Employment collection cycle (which took place in Federal Cost: $2 million. Practices Agencies under the authority of section 709(d) of Title VII. Subject to their agreement to 2019), 80,396 of the 87,021 eligible Number of Forms: 1. retain confidentiality as required by 42 U.S.C. EEO–1 Component 1 filers submitted a Abstract: Section 709(c) of Title VII of 2000e–8(e), the EEOC shares EEO–1 reports with total of 1,628,897 records. Based on data the Civil Rights Act of 1964 (Title VII) the Department of Justice (DOJ), the Federal Insurance Corporation (FDIC), and the National trends over the last five data collection requires employers to make and keep Credit Union Administration (NCUA). The FDIC years, we expect that the total number records relevant to the determination of and NCUA use EEO–1 data pursuant to the Dodd- of eligible filers submitting data will whether unlawful employment practices Frank Wall Street Reform and Consumer Protection increase to 90,000 filers. We further have been or are being committed, to Act of 2010 to help analyze diversity in management, employment, and business activities. estimate that of the 90,000 filers, Type preserve such records, and to produce DOJ uses the EEO–1 data when it defends OFCCP 1 filers will continue to represent about reports as the Commission prescribes by in litigation, in the event a federal contractor sues 40% of filers and these filers will regulation or order.40 Pursuant to this OFCCP to prevent debarment. submit less than 2% of all records, statutory authority, the EEOC in 1966 44 The EEO–1 uses federal race and ethnicity categories, which were adopted by the Commission while type 2 filers will continue to issued a regulation requiring certain in 2005 and implemented in 2007. represent about 60% of filers and will employers to file executed copies of the 45 Hispanic or Latino—A person of Cuban, submit more than 98% of records. We EEO–1 in conformity with the directions Mexican, Puerto Rican, South or Central American, have no reason to believe that and instructions on the form, which or other Spanish culture or origin regardless of race. completion time by record type will White (Not Hispanic or Latino)—A person having called for reporting employee data by origins in any of the original peoples of Europe, the vary from previous years and we believe job category, ethnicity, race, and sex.41 Middle East, or North Africa. that filers will continue to submit the Pursuant to Executive Order 11246,42 Black or African American (Not Hispanic or same record combination types, e.g. the Office of Federal Contract Latino)—A person having origins in any of the black Type 1 filers will submit a type 1 report Compliance Programs (OFCCP), U.S. racial groups of Africa. only, and type 2 filers will submit type Native Hawaiian or Other Pacific Islander (Not Department of Labor, in 1978 issued its Hispanic or Latino)—A person having origins in 2 and type 3 reports, and then either regulation describing the EEO–1 as a any of the peoples of Hawaii, Guam, Samoa, or type 4, type 6 or type 8 reports, report ‘‘promulgated jointly with the other Pacific Islands. depending on their business structure. Equal Employment Opportunity Asian (Not Hispanic or Latino)—A person having Using the 90,000 number, we estimate origins in any of the original peoples of the Far East, Commission’’ and requiring certain Southeast Asia, or the Indian Subcontinent, that Component 1 EEO–1 filers will contractors to submit ‘‘complete and including, for example, Cambodia, China, India, submit a total of 1,915,345 records Japan, Korea, Malaysia, Pakistan, the Philippine annually, for data years 2019 and 2021. Islands, Thailand, and Vietnam. 39 This estimate is based on the most recent We estimate that the 36,223 type 1 filers American Indian or Alaska Native (Not Hispanic median pay data from the Bureau of Labor or Latino)—A person having origins in any of the will submit 36,223 type 1 records, and Statistics. We estimated that a computer support original peoples of North and South America it will take them 27,167 hours to submit specialist would account for 60% of the estimated (including Central America), and who maintain these records. We estimate the 53,777 hourly wage; a database administrator would tribal affiliation or community attachment. account for 20%; an HR specialist would account type 2 filers will submit 1,879,122 Two or More Races (Not Hispanic or Latino)—All for 10%; legal counsel would account for 5% and persons who identify with more than one of the records. Based on 2018 data, we an CEO would account for 5%, for a total estimated above five races. calculated that the ratio of type 2 hourly wage of $32.44. See U.S. Dept. of Labor, 46 The ten job groups are: Executive/Senior Level records to type 3 records was 1:1, or Bureau of Labor Statistics, Occupational Outlook Officials and Managers; First/Mid Level Officials Handbook, https://www.bls.gov/ooh/business-and- type 2 filers submit an equal number of and Managers; Professionals; Technicians; Sales financial/human-resources-specialists.htm. Workers; Administrative Support Workers; Craft type 3 headquarters records. Since type 40 42 U.S.C. 2000e–8(c). Workers; Operatives; Laborers and Helpers; and 41 The EEOC’s EEO–1 regulation is at 29 CFR part Service Workers. 48 The 2016 burden was estimated to be 6.6 hours 1602 Subpart B. The EEOC is responsible for 47 Any reports the EEOC publishes based on EEO– per respondent, multiplied by 60,886 respondents. obtaining OMB’s PRA approval for the EEO–1 1 data include only aggregated EEO–1 data that The EEOC has now determined that the proper unit report. protects the confidentiality of each employer’s of analysis to calculate burden should be the 42 Exec. Order No. 11,246, 30 FR 12,319 (Sept. 24, information, as well as the privacy of each number of reports submitted by report type, rather 1965). employee’s personal information. than the number of respondents.

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4, 6 and 8 records report establishment type 8 records to type 2 records is Component 1 EEO–1 filers is 9,167,393 data, the ratios of type 4-to-type 2; type 13.1:1, or for every type 2 record, about hours. The aggregate reporting time for 6-to-type 2; and type 8-to-type 2 records 13 type records were submitted. These Component 1 EEO–1 filers by record are considerably larger. Specifically, the ratios were then applied to the type varies between a low of 27,167 ratio of type 4 records to type 2 records estimated number of type 2 filers— hours for type 1 filers submitting type is 4.9:1, or for every type 2 record 53,777—to estimate the total number of 1 reports, and 6,414,815 hours for type submitted, nearly 5 type 4 records were records by type we expect to receive for 2 filers submitting type 6 reports. The submitted. The ratio for type 6 records data years 2019 through 2021. We table below outlines that number of to type 2 records is 14.9:1, or for every estimate it will take filers a total of records, the average reporting time by type 2 record submitted, nearly 15 type 9,140,226 hours to submit these records. record type, and the total number of 6 records were submitted. The ratio for The total aggregate reporting time for hours estimated to submit these records.

TABLE 1—PROJECTED ANNUAL BURDEN FOR COMPONENT 1 DATA YEARS 2019–2021, BY REPORT TYPE AND REPORTING TIME

Average Aggregate Number of reporting time reporting records (minutes) time, hours

Type 1 ...... 36,223 45 27,167 Type 2 a ...... 53,777 45 40,333 Type 3 b ...... 53,777 45 40,333 Type 4 c ...... 264,403 120 528,806 Type 6 d ...... 801,852 480 6,414,815 Type 8 e ...... 705,313 180 2,115,940

Total ...... 1,915,345 ...... 9,167,393 a The Consolidated Report must include all employees of the company categorized by race, gender and job category. b Headquarters Report (Required)—The Headquarters Report must include employees working at the main office site of the company and those employees that work from home that report to the corporate office. Employment data must be categorized by race, gender and job cat- egory. A separate EEO–1 report for the headquarters establishment is required even if there are fewer than 50 employees working at the head- quarters establishment. c Establishment Report—A separate EEO–1 Type 4 report must be submitted for each physical establishment with 50 or more employees. Em- ployment data must be categorized by race, gender and job category. d Establishment list—includes establishment name, address and total number of employees for each location with less than 50 employees. Em- ployers choosing Type 6 reports must also manually enter data categorized by race, gender and job category into the accompanying Type 2 re- port and include all company employees. e A separate EEO–1 report must be submitted for each establishment employing fewer than 50 employees. Like the Type 4 report, Type 8 re- port employment data must also be categorized by race, gender and job category. Employers choosing Type 8 reports must enter employment data categorized by race, gender and job category for each Type 8 report. The employment data entered for each such establishment will auto- matically populate the Type 2 Report.

An estimate of the total number of establishment filers varies,49 for based on data from prior respondents and the amount of time purposes of this exercise we estimate administrations of Component 1 of the estimated for an average respondent to that it will take a filer, on average, under EEO–1. respond: The estimated number of 5 hours to complete their Component 1 An estimate of the total public burden respondents who must annually file EEO–1 report. Each filer will be asked (in hours) associated with the collection: EEO–1 Component 1 data for the next to respond to Component 1 of the EEO– The collection of EEO–1 Component 1 three years is 90,000 filers each year. 1 once annually. The burden estimate is data for calendar years 2019, 2020, and The EEOC estimates that the 90,000 2021 is estimated to impose a total of 49 Burden for single establishment filers is based filers will submit 1,915,345 reports. on a single report. Burden for multi-establishment 9,167,393 annual burden hours for Reports represent the annual number of reporters is cumulative and is based on the report 1,915,345 Component 1 reports. Filers responses. About 40% of Component 1 type combination. EEO–1 project staff estimate that are encouraged to report data the average completion time for the type 2 report electronically to decrease burden. filers (36,223 filers) will submit a single would be 45 minutes, the completion of the type report on a single establishment, and it 3 report adds an average of 45 minutes to the Dated: March 11, 2020. burden, and the completion of type 4 reports adds is estimated that it will take these filers For the Commission. an average of 45 minutes per reporting an average of 2 hours to the burden, so a Type 2 filer completing type 4 reports will have an average Janet Dhillon, year to complete their Component 1 burden of 3.5 hours (45 minutes for the type 2 EEO–1 report. About 60% of report, plus 45 minutes for the type 3 report, plus Chair. 2 hours for the type 4 reports). A Type 2 filer [FR Doc. 2020–06008 Filed 3–20–20; 8:45 am] Component 1 filers (53,777 filers) will completing type 6 reports will add—on average— report data on multiple establishments. 8 hours to the burden, for a total burden of 9.5 BILLING CODE P All multi-establishment filers must hours. A Type 2 filer completing type 8 reports will add—on average—3 hours to the burden, for a total complete both type 2 and type 3 reports, burden of 4.5 hours. While this analysis recognizes in addition to completing either a type that individual filers’ burdens will vary, on average FEDERAL TRADE COMMISSION 4, 6, or 8 report for each establishment a multi-establishment filer submitting 2/3/4 reports would have the lowest estimated burden of 3.5 for each reporting year, for a total of hours while a filer submitting 2/3/6 reports would Privacy Act of 1974; System of 1,879,122 multi-establishment EEO–1 have the highest estimated average burden of 9.5 Records reports submitted by 53,777 multi- hours. Once Type 1, or single establishment filers, establishment filers. While the actual and filers submitting 2/3/8 are considered, the average estimated burden for EEO–1 filers is AGENCY: Federal Trade Commission submission time for single and multi- approximately 5 hours. (FTC).

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ACTION: Notice of modified systems of entities may collect about individuals, if the FTC has any records about him or records. which may be covered by other privacy her and, if so, how the individual may laws. request access to or amendment of those SUMMARY: The FTC is making technical On June 12, 2008, the FTC records in the FTC’s systems (Appendix revisions to several of the notices that it republished and updated all of its II); and the location of FTC buildings has published under the Privacy Act of SORNs, describing all of the agency’s and offices where the FTC maintains its 1974 to describe its systems of records. systems of records covered by the records subject to the Act (Appendix This action is intended to make these Privacy Act in a single document for III). notices clearer, more accurate, and up- ease of use and reference. See 73 FR • Fourth, the FTC is republishing the to-date. 33592. To ensure the SORNs remain full text of each of the above SORNs, DATES: These technical revisions shall accurate, FTC staff reviews each SORN incorporating the technical become final and effective on March 23, on a periodic basis. As a result of this amendments, for the convenience of the 2020. systematic review, the FTC made reader and in accordance with OMB FOR FURTHER INFORMATION CONTACT: G. revisions to several of its SORNs on Circular A–108 (2016), which Richard Gold and Alex Tang, Attorneys, April 17, 2009 (74 FR 17863), August reorganized the format and content for Office of the General Counsel, FTC, 600 27, 2010 (75 FR 52749), February 23, SORNs published by Federal agencies. Pennsylvania Avenue NW, Washington, 2015 (80 FR 9460), November 2, 2017 The FTC is not substantively adding DC 20580, (202) 326–2424. (82 FR 50871), November 6, 2018 (83 FR or amending any routine uses of its 55541), and April 19, 2019 (84 FR Privacy Act system records. SUPPLEMENTARY INFORMATION: To inform 16493). Accordingly, the FTC is not required to the public, the FTC publishes in the Based on a periodic review of its provide prior public comment or notice Federal Register and posts on its SORNs, the FTC is publishing these to OMB or Congress for these technical website a ‘‘system of records notice’’ additional technical revisions, to ensure amendments, which are final upon (SORN) for each system of records that that the FTC’s SORNs remain clear, publication. See U.S.C. 552a(e)(11) and the FTC currently maintains within the accurate, and up-to-date: 552a(r); OMB Circular A–108, supra. meaning of the Privacy Act of 1974, as • First, the FTC is amending several A SORN-by-SORN summary, amended, 5 U.S.C. 552a (‘‘Privacy Act’’ SORNs to clarify or update information including a more detailed description of or ‘‘Act’’). See https://www.ftc.gov/ about the applicable records disposition each SORN and how it is being about-ftc/foia/foia-reading-rooms/ schedules published or approved by the amended, appears below, followed by privacy-act-systems. The Privacy Act National Archives and Records the full text of the SORNs, as amended. protects records about individuals in Administration (NARA), which systems of records collected and determine how long agency records in II. Federal Trade Commission maintained by Federal agencies. (A each system should be retained and Personnel Systems of Records system is not a ‘‘system of records’’ destroyed. FTC–II–12 (Learning Management under the Act unless the agency • Second, the FTC is amending System—FTC.). This SORN covers the maintains and retrieves records in the multiple SORNs applicable to FTC system used by the FTC’s Human system by the relevant individual’s financial-related records (FTC–III–2 and Capital Management Office to track and name or other personally assigned FTC–III–3) to take account of the FTC’s log requests of FTC employees to attend identifier.) Each Federal agency, migration of these systems, previously training courses. The FTC is revising including the FTC, must publish a serviced under an interagency this SORN to update the ‘‘system name SORN that describes the records agreement with the Department of and number’’ heading. The ‘‘category of maintained in each of its Privacy Act Interior’s National Business Center, to records’’ section of the SORN is also systems, including the categories of the Department of Treasury’s being amended to recognize that records individuals that the records in the Administrative Resource Center (ARC), in this system contain employee names, system are about, where and how the part of the Bureau of Fiscal Services, as but no longer include social security agency maintains these records, and of October 1, 2019; to also address the numbers or dates of birth. The ‘‘policies how individuals can find out whether new interagency service agreement with and practices for retrieval of records’’ an agency system contains any records ARC for acquisition procurement section is revised to reflect that records about them or request access to such support (FTC–III–4), and to make other are not retrieved by social security records, if any. The FTC, for example, technical changes (e.g., updating the number. maintains 40 systems of records under official title of the system manager, FTC–II–13 (Staff Time and Activity the Act. Some of these systems contain explaining how individuals may now Reporting (STAR) System—FTC). This records about the FTC’s own employees, access certain records online). SORN covers the system that the FTC such as personnel and payroll files, • Third, after consultation with staff uses to compile statistics on time spent while other FTC systems contain at the Office of Management & Budget by each employee on various FTC records about members of the public, (OMB), which provides guidance to matters. The Commission has updated such as public comments, consumer Federal agencies on complying with the the ‘‘retention and disposal’’ section to complaints, or phone numbers Privacy Act, the FTC is amending the cite the applicable General Records submitted to the FTC’s Do Not Call above SORNs to include specific Schedule approved by NARA for Registry. references to the Federal Register government-wide use. The FTC’s SORNs discussed in this notices where the FTC previously notice apply only to the FTC’s own published three SORN Appendices III. Federal Trade Commission Privacy Act record systems. They do not applicable to all FTC SORNs. Financial Systems of Records cover Privacy Act records that other Specifically, these Appendices, which FTC–III–2 (Travel Management Federal agencies may collect and are posted on the FTC’s website: List the System—FTC). This SORN covers travel maintain in their own systems. authorized disclosures and routine uses documentation for FTC employees and Likewise, the FTC’s SORNs and the applicable to all FTC systems of records other authorized individuals on official Privacy Act of 1974 do not cover records (Appendix I); how an individual can travel for the FTC. This SORN is revised that private businesses or other non-FTC make a Privacy Act request to determine to take account of the FTC’s migration

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of this system, which was previously IV. FTC Correspondence Systems of employees and contractors relating to serviced under an interagency Records computer assistance, repairs, loss, etc., agreement with the Department of FTC–IV–3 (National Do Not Call of FTC equipment and IT resources. The Interior’s National Business Center, to Registry—FTC). This SORN covers Commission has updated the official the Department of Treasury’s records of individuals who wish to be title and contact information for the Administrative Resource Center as of placed on the FTC’s telemarketing do- ‘‘system manager(s)’’. The Commission October 1, 2019. Thus, the sections on not-call list. It also covers information is also updating the ‘‘retention and ‘‘system location’’ and ‘‘categories of collected from telemarketers, sellers, or disposal’’ section to cite the applicable records in the system’’ are also being agents who are required to comply with General Records Schedule approved by updated. The Commission is also the list, but only to the extent, if any, NARA for government-wide use. FTC–VII–8 (Administrative Service updating the ‘‘retention and disposal’’ that such telemarketers, sellers, or Order System—FTC). This SORN covers section to cite the applicable General agents are also ‘‘individuals’’ within the the database system used by the FTC’s Records Schedule approved by NARA meaning of the Privacy Act. The Administrative Service Office to track for government-wide use. Commission has updated the official and fulfill requests made by employees title and contact information for the FTC–III–3 (Financial Management or other individuals for building repairs, ‘‘system manager(s)’’. The Commission System—FTC). This SORN covers FTC maintenance, or other administrative is also updating the ‘‘retention and records of payments or reimbursements services. The Commission has updated disposal’’ section to cite the applicable for official travel by its employees and the official title and contact information General Records Schedule approved by other individuals (compare FTC–III–2 for the ‘‘system manager(s)’’. The NARA for government-wide use. above) and miscellaneous payments for Commission is also updating the the acquisition of goods or services VII. FTC Miscellaneous Systems of ‘‘retention and disposal’’ section to cite (compare FTC–III–4 below). This SORN Records the applicable General Records is revised to take account of the FTC’s FTC–VII–3 (Computer Systems User Schedule approved by NARA for migration of this system, previously Identification and Access Records— government-wide use. serviced under an interagency FTC). This SORN covers records that the FTC Systems of Records Notices agreement with the Department of FTC maintains on individual users of In light of the updated SORN template Interior’s National Business Center, to computer systems operated by the FTC the Department of Treasury’s set forth in revised OMB Circular A–108 or on its behalf in order to monitor and (2016), the FTC is reprinting the entire Administrative Resource Center as of control their usage of such systems. The text of each amended SORN for the October 1, 2019. Conforming Commission has updated the official public’s benefit, to read as follows: amendments are also being made to title and contact information for the ‘‘system location’’, ‘‘system manager(s)’’, ‘‘system manager(s)’’. The Commission * * * * * and ‘‘categories of records in the is also updating the ‘‘retention and II. Federal Trade Commission system’’, and a non-substantive update disposal’’ section to cite the applicable Personnel Systems of Records is being made to routine uses (i.e., citing General Records Schedule approved by the related Treasury SORN). The NARA for government-wide use. SYSTEM NAME AND NUMBER: Commission has also updated the FTC–VII–4 (Call Detail Records— Learning Management System–FTC ‘‘retention and disposal’’ section to cite FTC). This SORN covers records that the (FTC–II–12). the applicable General Records FTC maintains on FTC telephone usage SECURITY CLASSIFICATION: Schedule that was approved by NARA by its employees, contractors, and other Unclassified. for government-wide use. individuals. The Commission has updated the official title and contact SYSTEM LOCATION: FTC–III–4 (Automated Acquisitions information for the ‘‘system System—FTC). This SORN covers the Federal Trade Commission, 600 manager(s)’’. The Commission is also Pennsylvania Avenue NW, Washington, system used by the FTC to track updating the ‘‘retention and disposal’’ DC 20580. For other locations where requisitions (orders) for goods or section to cite the applicable General records may be maintained or accessed, services from non-FTC sources. This Records Schedule approved by NARA see Appendix III (Locations of FTC SORN is revised to take account of the for government-wide use. Buildings and Regional Offices), FTC’s new interagency service FTC–VII–5 (Property Management available on the FTC’s website at agreement for acquisition systems System—FTC). This SORN covers https://www.ftc.gov/about-ftc/foia/foia- support with the Department of property logs or other records that the reading-rooms/privacy-act-systems and Treasury’s Administrative Resource FTC maintains to account for FTC office at 80 FR 9460, 9465 (Feb. 23, 2015). Center as of October 1, 2019. equipment, keys, or other FTC property Conforming amendments are being assigned to individual employees or SYSTEM MANAGER(S): made to ‘‘system location’’ and others. The Commission is updating the Chief Human Capital Officer, Human ‘‘categories of records in the system’’ contact information for the ‘‘system Capital Management Office (HCMO), (also citing to the relevant Government- manager(s)’’. Finally, the Commission is Federal Trade Commission, 600 wide General Services Administration updating the ‘‘retention and disposal’’ Pennsylvania Avenue NW, Washington, (GSA) SORN that includes the same section to cite the applicable General DC 20580, email: [email protected]. record categories). The Commission is Records Schedule approved by NARA AUTHORITY FOR MAINTENANCE OF THE SYSTEM: also updating the contact information for government-wide use. Federal Trade Commission Act, 15 for the ‘‘system manager(s)’’. Finally, the FTC–VII–7 (Information Technology U.S.C. 41 et seq.; 5 U.S.C. ch. 41; 5 CFR Commission is updating the ‘‘retention Service Ticket System—FTC). This 410.701. and disposal’’ section to cite the SORN applies to records maintained by applicable General Records Schedule or on behalf of the agency to track FTC PURPOSE(S) OF THE SYSTEM: approved by NARA for government- ‘‘help desk’’ requests or other To provide information to agency wide use. information from or about FTC managers necessary to indicate the

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training that has been requested and POLICIES AND PRACTICES FOR RETRIEVAL OF SYSTEM LOCATION: provided to individual employees; to RECORDS: Financial Management Office, Federal determine course offerings and Indexed by employee name. Trade Commission, 600 Pennsylvania frequency; and to manage the training Avenue NW, Washington, DC 20580. program administered by the Human POLICIES AND PRACTICES FOR RETENTION AND For other locations where records may DISPOSAL OF RECORDS: Capital Management Office. Since this be maintained or accessed, see system is legally part of the OPM’s Employee training records are Appendix III (Locations of FTC Government-wide system of records generally retained according to General Buildings and Regional Offices), notice for this system, OPM/GOVT–1, it Records Schedule (GRS) 2.6, issued by available on the FTC’s website at is subject to the same purposes set forth the National Archives and Records https://www.ftc.gov/about-ftc/foia/foia- for that system by OPM, see OPM/ Administration. reading-rooms/privacy-act-systems and GOVT–1, or any successor OPM system ADMINISTRATIVE, TECHNICAL, AND PHYSICAL at 80 FR 9460, 9465 (Feb. 23, 2015). notice that may be published for this SAFEGUARDS: SYSTEM MANAGER(S): system (visit www.opm.gov for more Access is restricted to agency information). Chief Financial Officer, Financial personnel or contractors whose Management Office, Office of the CATEGORIES OF INDIVIDUALS COVERED BY THE responsibilities require access. Paper Executive Director, Federal Trade SYSTEM: records are maintained in lockable Commission, 600 Pennsylvania Avenue rooms or file cabinets. Access to Individuals who, at the time the NW, Washington, DC 20580, email: electronic records is controlled by ‘‘user [email protected]. records are added to the system, are FTC ID’’ and password combination and/or employees who registered to attend other appropriate electronic access and AUTHORITY FOR MAINTENANCE OF THE SYSTEM: training courses offered by the Human network controls (e.g., firewalls). FTC 31 U.S.C., subtitle III, chapter 35; 31 Capital Management Office. buildings are guarded and monitored by U.S.C. 1104, 1105, and 1115; 5 U.S.C. 306; OMB Circular A–11; OMB Bulletin CATEGORIES OF RECORDS IN THE SYSTEM: security personnel, cameras, ID checks, and other physical security measures. 97–01. Employee name, position title, pay plan, series, grade, organizational code, RECORD ACCESS PROCEDURES: PURPOSE(S) OF THE SYSTEM: work address, work phone number, See § 4.13 of the FTC’s Rules of To track the time spent by FTC staff supervisor, work email address, course Practice, 16 CFR 4.13. For additional on individual investigations, projects, number, course title, course date and guidance, see also Appendix II (How To and other activities of the agency and to time, attendance indicator, separation Make A Privacy Act Request), available compare expended staff time against date, etc. on the FTC’s website at https:// statutory mandates and FTC policy; to www.ftc.gov/about-ftc/foia/foia-reading- generate program and performance RECORD SOURCE CATEGORIES: rooms/privacy-act-systems and at 73 FR information for annual budget Individual about whom the record is 33592, 33634 (June 12, 2008). submissions, Government Performance maintained, supervisors, managers, and and Results Act (GPRA) plans and Human Capital Management Office staff CONTESTING RECORD PROCEDURES: reports, and agency financial statements responsible for the training program. See § 4.13 of the FTC’s Rules of that are provided to Congress, the Office Practice, 16 CFR 4.13. For additional of Management and Budget (OMB), the ROUTINE USES OF RECORDS MAINTAINED IN THE guidance, see also Appendix II (How To Commission, and others. SYSTEM, INCLUDING CATEGORIES OF USERS AND Make A Privacy Act Request), available THE PURPOSES OF SUCH USES: CATEGORIES OF INDIVIDUALS COVERED BY THE on the FTC’s website at https:// SYSTEM: Since this system is legally part of the www.ftc.gov/about-ftc/foia/foia-reading- Current and former FTC employees. OPM’s Government-wide system of rooms/privacy-act-systems and at 73 FR records notice for this system, OPM/ 33592, 33634 (June 12, 2008). CATEGORIES OF RECORDS IN THE SYSTEM: GOVT–1, it is subject to the same Employee names; staff time reported NOTIFICATION PROCEDURES: routine uses set forth for that system by in hours, by mission, organization, and OPM, see OPM/GOVT–1, or any See § 4.13 of the FTC’s Rules of specific FTC matter, activity, or successor OPM system notice that may Practice, 16 CFR 4.13. For additional program. be published for this system (visit guidance, see also Appendix II (How To www.opm.gov for more information). Make A Privacy Act Request), available RECORD SOURCE CATEGORIES: For other ways that the Privacy Act on the FTC’s website at https:// FTC employees and consultants, permits the FTC to use or disclose www.ftc.gov/about-ftc/foia/foia-reading- including staff responsible for STAR system records outside the agency, see rooms/privacy-act-systems and at 73 FR data entry, STAR coordinators, STAR Appendix I (Authorized Disclosures and 33592, 33634 (June 12, 2008). administrative officers, STAR approving officials, and STAR administrators. Routine Uses Applicable to All FTC EXEMPTIONS PROMULGATED FOR THE SYSTEM: Privacy Act Systems of Records), None. ROUTINE USES OF RECORDS MAINTAINED IN THE available on the FTC’s website at SYSTEM, INCLUDING CATEGORIES OF USERS AND https://www.ftc.gov/about-ftc/foia/foia- HISTORY: THE PURPOSES OF SUCH USES: reading-rooms/privacy-act-systems and 75 FR 52749–52751 (August 27, 2010) Records in this system may be at 83 FR 55541, 55542–55543 (Nov. 6, 73 FR 33591–33634 (June 12, 2008). disclosed to or shared with Congress, 2018). OMB, or others where relevant and SYSTEM NAME AND NUMBER: necessary in connection with annual POLICIES AND PRACTICES FOR STORAGE OF Staff Time and Activity Reporting budget submissions, GPRA plans and RECORDS: (STAR) System–FTC (FTC–II–13). reports, and agency financial Records are stored in electronic statements. record systems and temporary paper SECURITY CLASSIFICATION: For other ways that the Privacy Act printouts. Unclassified. permits the FTC to use or disclose

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system records outside the agency, see NOTIFICATION PROCEDURES: local travel vouchers; to generate travel Appendix I (Authorized Disclosures and See § 4.13 of the FTC’s Rules of expense reports; and to enable travel Routine Uses Applicable to All FTC Practice, 16 CFR 4.13. For additional agents who are under contract to the Privacy Act Systems of Records), guidance, see also Appendix II (How To Federal government to issue and available on the FTC’s website at Make A Privacy Act Request), available account for travel provided to https://www.ftc.gov/about-ftc/foia/foia- on the FTC’s website at https:// individuals. reading-rooms/privacy-act-systems and www.ftc.gov/about-ftc/foia/foia-reading- CATEGORIES OF INDIVIDUALS COVERED BY THE at 83 FR 55541, 55542–55543 (Nov. 6, rooms/privacy-act-systems and at 73 FR SYSTEM: 2018). 33592, 33634 (June 12, 2008). FTC employees or other individuals POLICIES AND PRACTICES FOR STORAGE OF EXEMPTIONS PROMULGATED FOR THE SYSTEM: (e.g., witnesses) who travel on official RECORDS: None. business; FTC administrative staff who Data are stored in an electronic perform administrative tasks in the HISTORY: database. Paper may be used for inputs system on behalf of traveling employees and paper 73 FR 33591–33634 (June 12, 2008). or other individuals; and FTC printouts generated by the database. * * * * * supervisors who approve travel plans Records are stored either on site or at an for employees or others. SYSTEM NAME AND NUMBER: off-site managed information storage CATEGORIES OF RECORDS IN THE SYSTEM: facility. Travel Management System—FTC (FTC–III–2). Names, Social Security numbers, POLICIES AND PRACTICES FOR RETRIEVAL OF home and/or business phone numbers, SECURITY CLASSIFICATION: RECORDS: home and/or business addresses, vendor Not applicable. ID numbers, email addresses, emergency Indexed by employee name and by contact information (names, addresses, various codes for mission, organization SYSTEM LOCATION : and phone numbers), and credit card and specific FTC matter, activity, or Financial Management Office, Federal information (personal and/or program. Trade Commission, 600 Pennsylvania government-issued). For traveling FTC Ave. NW, Washington, DC 20580. This POLICIES AND PRACTICES FOR RETENTION AND employees or other individuals (e.g., DISPOSAL OF RECORDS: system of records is principally witnesses) only, additional data may be operated and maintained off-site for the maintained, such as passport numbers Records are retained in accordance FTC under an interagency agreement with the National Archives and Records (for international travelers), frequent with the Department of the Treasury’s flyer or other rewards membership Administration’s General Records Administrative Resource Center, which Schedule 5.7. numbers, and trip-specific information is part of the Bureau of Fiscal Services, (travel dates, flight numbers, ADMINISTRATIVE, TECHNICAL, AND PHYSICAL although this system is also intended to destinations, accommodations, vehicle SAFEGUARDS: include any miscellaneous official FTC rental, miscellaneous expenses For records other than those made travel data that may be maintained on- claimed). public, access is restricted to agency site by individual FTC offices and Other types of records covered by this personnel or contractors whose retrieved by name or other personally system are set out in the Department of responsibilities require access. Paper assigned identifier about individuals on Treasury’s Treasury.009 (Treasury records are maintained in lockable official FTC travel. For other locations Financial Management Systems), and rooms or file cabinets. Access to where records may be maintained or the General Services Administration’s electronic records is controlled by ‘‘user accessed, see Appendix III (Locations of (GSA) separate government-wide ID’’ and password combination and/or FTC Buildings and Regional Offices), Privacy Act system of records notice other appropriate electronic access or available on the FTC’s website at applicable to this system, GSA/GOVT– network controls (e.g., firewalls). FTC https://www.ftc.gov/about-ftc/foia/foia- 4, or any successor system notice for buildings are guarded and monitored by reading-rooms/privacy-act-systems and this system. at 80 FR 9460, 9465 (Feb. 23, 2015). security personnel, cameras, ID checks, RECORD SOURCE CATEGORIES: and other physical security measures. SYSTEM MANAGER(S): Traveling employees or other RECORD ACCESS PROCEDURES: Chief Financial Officer, Financial individuals (e.g., witnesses), FTC Management Office, Federal Trade administrative staff, FTC supervisors, See § 4.13 of the FTC’s Rules of Commission, 600 Pennsylvania Ave. credit card companies and travel service Practice, 16 CFR 4.13. For additional NW, Washington, DC 20580, email: providers. guidance, see also Appendix II (How To [email protected]. Make A Privacy Act Request), available ROUTINE USES OF RECORDS MAINTAINED IN THE on the FTC’s website at https:// AUTHORITY FOR MAINTENANCE OF THE SYSTEM: SYSTEM, INCLUDING CATEGORIES OF USERS AND www.ftc.gov/about-ftc/foia/foia-reading- 31 U.S.C. 3511, 3512 and 3523; 5 THE PURPOSES OF SUCH USES: rooms/privacy-act-systems and at 73 FR U.S.C. Chapter 57; and implementing (1) For any routine use noted in the 33592, 33634 (June 12, 2008). Federal Travel Regulations (41 CFR GSA Privacy Act system of records parts 301–304). notice applicable to this system, GSA/ CONTESTING RECORD PROCEDURES: GOVT–4, or any successor system notice See § 4.13 of the FTC’s Rules of PURPOSE(S) OF THE SYSTEM: for this system. Practice, 16 CFR 4.13. For additional To plan, authorize, arrange, process For other ways that the Privacy Act guidance, see also Appendix II (How To and manage official FTC travel; to permits the FTC to use or disclose Make A Privacy Act Request), available maintain records on individuals who system records outside the agency, see on the FTC’s website at https:// are current FTC employees on travel Appendix I (Authorized Disclosures and www.ftc.gov/about-ftc/foia/foia-reading- and individuals being provided travel Routine Uses Applicable to All FTC rooms/privacy-act-systems and at 73 FR by the Government; to obtain travel Privacy Act Systems of Records), 33592, 33634 (June 12, 2008). authorizations; to prepare and submit available on the FTC’s website at

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https://www.ftc.gov/about-ftc/foia/foia- Make A Privacy Act Request), available paid and received; and to process travel reading-rooms/privacy-act-systems and on the FTC’s website at https:// authorizations and claims. at 83 FR 55541, 55542–55543 (Nov. 6, www.ftc.gov/about-ftc/foia/foia-reading- 2018). rooms/privacy-act-systems and at 73 FR CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: 33592, 33634 (June 12, 2008). POLICIES AND PRACTICES FOR STORAGE OF Employees who claim reimbursement RECORDS: EXEMPTIONS PROMULGATED FOR THE SYSTEM: from the FTC for travel or other Data are entered into system database None. reimbursable expenses personally by traveling individuals and/or incurred; individuals doing business as administrative staff through system HISTORY: sole proprietors; and individuals who website and stored electronically; 82 FR 50872–50882 (November 2, are reimbursed by the FTC for travel or temporary paper printouts. 2017); other miscellaneous expenses. Miscellaneous travel data maintained by 75 FR 52749–52751 (August 27, individual FTC offices are stored in 2010); CATEGORIES OF RECORDS IN THE SYSTEM: electronic files on secured agency 73 FR 33591–33634 (June 12, 2008). For current and former FTC servers. employees, records include names, SYSTEM NAME AND NUMBER: home addresses, employee supplier POLICIES AND PRACTICES FOR RETRIEVAL OF Financial Management System—FTC numbers, Social Security numbers, RECORDS: (FTC–III–3). banking account numbers for electronic Indexed by individual name and SECURITY CLASSIFICATION: fund transfer payments, invoices and travel order number. claims for reimbursements. Unclassified. POLICIES AND PRACTICES FOR RETENTION AND For non-employee individuals and DISPOSAL OF RECORDS: SYSTEM LOCATION: sole proprietors, records include names, home or business addresses, Social See National Archives and Records Financial Management Office, Federal Security numbers, banking account Administration’s General Records Trade Commission, 600 Pennsylvania numbers for electronic fund transfer Schedules 1.1, 2.2 and 5.1. Avenue NW, Washington, DC 20580. This system of records is principally payments, invoices and claims for ADMINISTRATIVE, TECHNICAL, AND PHYSICAL operated and maintained off-site for the reimbursement. Records in this system SAFEGUARDS: FTC under interagency agreement with are subject to the Privacy Act only to the Access is restricted to agency the Department of the Treasury’s extent, if any, they are about an personnel or contractors whose Administrative Resource Center (ARC), individual within the meaning of the responsibilities require access. Paper which is part of the Bureau of Fiscal Act, and not if they are about a business records are maintained in lockable Services. or other non-individual. rooms or file cabinets. Access to For other locations where records may The FTC system is also covered by the electronic records is controlled by ‘‘user be maintained or accessed, see system notice published by the ARC for ID’’ and password combination and/or Appendix III (Locations of FTC this system, Treasury.009 (Treasury other appropriate electronic access or Buildings and Regional Offices), Financial Management Systems), or any network controls (e.g., firewalls). FTC available on the FTC’s website at successor system notice published by buildings are guarded and monitored by https://www.ftc.gov/about-ftc/foia/foia- ARC for this system. security personnel, cameras, ID checks, reading-rooms/privacy-act-systems and RECORD SOURCE CATEGORIES: and other physical security measures. at 80 FR 9460, 9465 (Feb. 23, 2015). See GSA/GOVT–4 for additional Employees and former employees safeguards applicable to electronic SYSTEM MANAGER(S): seeking reimbursement from the FTC for records in this system. (1) Chief Financial Officer, Financial expenses personally incurred, vendor as Management Office, Federal Trade a corporate entity or federal agency, RECORD ACCESS PROCEDURES: Commission, 600 Pennsylvania Avenue individual vendor (e.g., sole See § 4.13 of the FTC’s Rules of NW, Washington, DC 20580, email: proprietors), and individual point of Practice, 16 CFR 4.13. For additional [email protected]; contact for a vendor. guidance, see also Appendix II (How To (2) The following system manager has ROUTINE USES OF RECORDS MAINTAINED IN THE Make A Privacy Act Request), available overall responsibility for the Federal SYSTEM, INCLUDING CATEGORIES OF USERS AND on the FTC’s website at https:// Financial System: Fiscal Accounting, THE PURPOSES OF SUCH USES: www.ftc.gov/about-ftc/foia/foia-reading- Assistant Commissioner, Department of Records in this system: rooms/privacy-act-systems and at 73 FR the Treasury’s Administrative Resource (1) May be disclosed for any routine 33592, 33634 (June 12, 2008). Center (ARC). use noted in the Department of Treasury CONTESTING RECORD PROCEDURES: AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Privacy Act system of records notice See § 4.13 of the FTC’s Rules of 5 U.S.C. 4111(b), 5514, 5701 et seq.; applicable to their system, Treasury.009 Practice, 16 CFR 4.13. For additional 26 U.S.C. 6103(m); 31 U.S.C. 3512, (Treasury Financial Management guidance, see also Appendix II (How To 3711, 3716; 41 CFR parts 301–304; U.S. Systems, or any successor system notice Make A Privacy Act Request), available Treasury Financial Manual. for this system; and on the FTC’s website at https:// (2) To the extent they pertain to FTC www.ftc.gov/about-ftc/foia/foia-reading- PURPOSE(S) OF THE SYSTEM: acquisition activities, may be rooms/privacy-act-systems and at 73 FR To perform core accounting functions, transmitted or disclosed to the General 33592, 33634 (June 12, 2008). which includes but is not limited to Service Administration’s Federal supporting and documenting expenses Procurement Data System, a central NOTIFICATION PROCEDURES: incurred in the performance of official repository for statistical information on See § 4.13 of the FTC’s Rules of agency duties; to bill and follow-up; to Government contracting, for purposes of Practice, 16 CFR 4.13. For additional pay creditors; to account for goods and providing public access to Government- guidance, see also Appendix II (How To services received; to account for funds wide data about agency contract actions.

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For other ways that the Privacy Act 73 FR 33591–33634 (June 12, 2008). the requisition. Records in this system permits the FTC to use or disclose are subject to the Privacy Act only to the system records outside the agency, see SYSTEM NAME AND NUMBER: extent, if any, they are about an Appendix I (Authorized Disclosures and Automated Acquisitions System–FTC individual within the meaning of the Routine Uses Applicable to All FTC (FTC–III–4). Act, and not if they are about a business Privacy Act Systems of Records), SECURITY CLASSIFICATION: or other non-individual. available on the FTC’s website at The FTC system is also covered by the Unclassified. https://www.ftc.gov/about-ftc/foia/foia- system notice published by the reading-rooms/privacy-act-systems and SYSTEM LOCATION: government-wide GSA/GOVT–10 at 83 FR 55542–55543 (Nov. 6, 2018). Federal Trade Commission, 600 (Federal Acquisition Regulation (FAR) Data Collection System), or any POLICIES AND PRACTICES FOR STORAGE OF Pennsylvania Avenue NW, Washington, RECORDS: DC 20580. This system of records is successor system notice published for this system. Stored on magnetic disks and tape principally operated and maintained and on paper. off-site for the FTC under interagency RECORD SOURCE CATEGORIES: agreement with the Department of the POLICIES AND PRACTICES FOR RETRIEVAL OF Treasury’s Administrative Resource Vendors, FTC staff who requisition RECORDS: Center (ARC), which is part of the goods or services. Records are retrievable electronically, Bureau of Fiscal Services. ROUTINE USES OF RECORDS MAINTAINED IN THE and are indexed or indexable by For other locations where records may SYSTEM, INCLUDING CATEGORIES OF USERS AND virtually any data field available (see be maintained or accessed, see THE PURPOSES OF SUCH USES: record categories above). Appendix III (Locations of FTC Records in this system pertaining to POLICIES AND PRACTICES FOR RETENTION AND Buildings and Regional Offices), FTC acquisition activities may be DISPOSAL OF RECORDS: available on the FTC’s website at transmitted or disclosed to the General https://www.ftc.gov/about-ftc/foia/foia- ADMINISTRATIVE, TECHNICAL, AND PHYSICAL Service Administration’s Federal reading-rooms/privacy-act-systems and SAFEGUARDS: Procurement Data System, a central at 80 FR 9460, 9465 (Feb. 23, 2015). Records are retained in accordance repository for statistical information on with the applicable National Archives SYSTEM MANAGER(S): Government contracting, for purposes of and Records Administration schedules, Chief, Acquisitions Branch, Financial providing public access to Government- including GRS 1.1, Item 10. Most Management Office, Federal Trade wide data about agency contract actions. records are destroyed 6 years after final Commission, 600 Pennsylvania Avenue For other ways that the Privacy Act payment or cancellation, but longer NW, Washington, DC 20580, email: permits the FTC to use or disclose retention is authorized if required for [email protected]. system records outside the agency, see business use. Appendix I (Authorized Disclosures and AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Routine Uses Applicable to All FTC RECORD ACCESS PROCEDURES: 31 U.S.C. 3512; 41 U.S.C. 401 et seq.; Privacy Act Systems of Records), See § 4.13 of the FTC’s Rules of Federal Acquisition Regulation, 48 CFR. available on the FTC’s website at Practice, 16 CFR 4.13. For additional https://www.ftc.gov/about-ftc/foia/foia- guidance, see also Appendix II (How To PURPOSE(S) OF THE SYSTEM: reading-rooms/privacy-act-systems and Make A Privacy Act Request), available To manage the work and fulfillment at 83 FR 55542–55543 (Nov. 6, 2018). on the FTC’s website at https:// process for the procurement www.ftc.gov/about-ftc/foia/foia-reading- (acquisition) of goods and services by POLICIES AND PRACTICES FOR STORAGE OF rooms/privacy-act-systems and at 73 FR the FTC, and provide short-term RECORDS: 33592, 33634 (June 12, 2008). electronic storage of FTC procurement Data entered and stored in a structured electronic database using a CONTESTING RECORD PROCEDURES: records; to help prepare agency financial reports. commercial software application. Paper See § 4.13 of the FTC’s Rules of may be used for inputs and paper Practice, 16 CFR 4.13. For additional CATEGORIES OF INDIVIDUALS COVERED BY THE printouts generated by the database. guidance, see also Appendix II (How To SYSTEM: Records are stored either on site or at an Make A Privacy Act Request), available Current or former agency vendors, if off-site managed information storage on the FTC’s website at https:// any, who are ‘‘individuals’’ within the facility. www.ftc.gov/about-ftc/foia/foia-reading- meaning of the Privacy Act; FTC staff rooms/privacy-act-systems and at 73 FR who have requisitioned goods or POLICIES AND PRACTICES FOR RETRIEVAL OF 33592, 33634 (June 12, 2008). services; FTC authorizing officials; FTC RECORDS: NOTIFICATION PROCEDURES: staff who are on the routing list for the Indexed by requisition number, requisition. contract number, vendor name and See § 4.13 of the FTC’s Rules of number. Practice, 16 CFR 4.13. For additional CATEGORIES OF RECORDS IN THE SYSTEM: guidance, see also Appendix II (How To Name of vendor; business address, POLICIES AND PRACTICES FOR RETENTION AND Make A Privacy Act Request), available business telephone, tax identification DISPOSAL OF RECORDS: on the FTC’s website at https:// number (i.e., employer identification Records are retained and destroyed in www.ftc.gov/about-ftc/foia/foia-reading- number or Social Security number), and accordance with General Records rooms/privacy-act-systems and at 73 FR bank routing and account number(s); Schedule (GRS) 1.1. Inputs, outputs, 33592, 33634 (June 12, 2008). supporting documents and related and ad hoc reports are covered by GRS EXEMPTIONS PROMULGATED FOR THE SYSTEM: correspondence from active contracts 5.2, item 020, and can be destroyed None. and also from pending contracts prior to upon verification of successful creation formal acceptance; name, phone or of the final document or file, or when HISTORY: other administrative point-of-contact no longer needed for business use, 80 FR 9460–9465 (February 23, 2015) information for FTC staff involved in whichever is later.

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ADMINISTRATIVE, TECHNICAL, AND PHYSICAL Buildings and Regional Offices), or agent acting in a non-individual SAFEGUARDS: available on the FTC’s website at business capacity. Access is restricted to agency https://www.ftc.gov/about-ftc/foia/foia- personnel or contractors whose reading-rooms/privacy-act-systems and CATEGORIES OF RECORDS IN THE SYSTEM: responsibilities require access. Paper at 80 FR 9460, 9465 (Feb. 23, 2015). Telephone numbers of individuals records are maintained in lockable who do not wish to receive rooms or file cabinets. Access to SYSTEM MANAGER(S): telemarketing calls; information electronic records is controlled by ‘‘user National Do Not Call Registry Program automatically generated by the system, ID’’ and password combination and/or Manager, Division of Consumer including date and/or time that the other network access or security Response and Operations, Bureau of telephone number was placed on or controls (e.g., firewalls). FTC buildings Consumer Protection, Federal Trade removed from the Registry; and other are guarded and monitored by security Commission, 600 Pennsylvania Avenue information that the individual may be personnel, cameras, ID checks, and NW, Washington, DC 20580, email: asked to provide voluntarily (such as other physical security measures. This [email protected]. email address, if the individual registers system is also subject to periodic See Treasury/FMS.017 for the system through the National Do Not Call internal reviews and annual audits by manager and address of the Registry website). Telemarketers, sellers, the FTC Office of the Inspector General. www.pay.gov system. and their agents are also required to submit information to pay for and RECORD ACCESS PROCEDURES: AUTHORITY FOR MAINTENANCE OF THE SYSTEM: obtain authorized access to the system, See § 4.13 of the FTC’s Rules of Federal Trade Commission Act, 15 including the names of, or other Practice, 16 CFR 4.13. For additional U.S.C. 41 et seq., Telemarketing and identifiers that may be associated with, guidance, see also Appendix II (How To Consumer Fraud and Abuse Prevention individuals (e.g., name of contact Make A Privacy Act Request), available Act, 15 U.S.C. 6101–6108; Do-Not-Call person, name of the person to whom the on the FTC’s website at https:// Implementation Act, Pub. L. 108–10 credit card is issued, email address, www.ftc.gov/about-ftc/foia/foia-reading- (2003); Do-Not-Call Improvement Act of etc.). Such information is part of this rooms/privacy-act-systems and at 73 FR 2007, Pub. L. 110–187 (2008); Do-Not- FTC system of records only to the 33592, 33634 (June 12, 2008). Call Registry Fee Extension Act of 2007, extent, if any, that such information is Pub. L. 110–188 (2008). maintained in the FTC’s records and is CONTESTING RECORD PROCEDURES: ‘‘about [the] individual’’ within the PURPOSE(S) OF THE SYSTEM: See § 4.13 of the FTC’s Rules of meaning of the Privacy Act, and not Practice, 16 CFR 4.13. For additional To maintain records of the telephone about a telemarketer, seller, or agent guidance, see also Appendix II (How To numbers of individuals who do not acting in a non-individual business Make A Privacy Act Request), available wish to receive telemarketing calls; to capacity. on the FTC’s website at https:// disclose such records to telemarketers, Otherwise, user fee payment data www.ftc.gov/about-ftc/foia/foia-reading- sellers, and their agents in order for from telemarketers, sellers, and their rooms/privacy-act-systems and at 73 FR them to reconcile their do-not-call lists agents required to participate in the 33592, 33634 (June 12, 2008). with the Registry and comply with the National Do Not Call Registry are do-not-call provisions of the NOTIFICATION PROCEDURES: principally collected and maintained on Commission’s Telemarketing Sales Rule, behalf of the Government by the See § 4.13 of the FTC’s Rules of 16 CFR part 310; to enable the Practice, 16 CFR 4.13. For additional www.pay.gov website operated by the Commission and other law enforcement Department of Treasury Financial guidance, see also Appendix II (How To officials to determine whether a Make A Privacy Act Request), available Management Service (FMS). Those data company is complying with the Rule; to are covered by the applicable system on the FTC’s website at https:// provide statistical data that may lead to www.ftc.gov/about-ftc/foia/foia-reading- notice published by Treasury/FMS, or be incorporated into law enforcement Treasury/FMS.017 (Collections rooms/privacy-act-systems and at 73 FR investigations and litigation; or for other 33592, 33634 (June 12, 2008). Records), and any successor system law enforcement, regulatory or notice that may be published for that EXEMPTIONS PROMULGATED FOR THE SYSTEM: informational purposes. Information system submitted by or compiled on None. telemarketers, sellers, and their agents is RECORD SOURCE CATEGORIES: HISTORY: used for purposes of fee collection, Individuals who inform the 73 FR 33591–33634 (June 12, 2008). authorizing their access to the system, Commission through the procedures * * * * * and related purposes and uses as established by the Commission that they described in this notice. do not wish to receive telemarketing SYSTEM NAME AND NUMBER: calls. Some records may come from do- CATEGORIES OF INDIVIDUALS COVERED BY THE National Do Not Call Registry SYSTEM: not-call lists that some states or System—FTC (FTC–IV–3). organizations separately maintain. Individuals who notify the Record sources for this system may also SECURITY CLASSIFICATION: Commission that they do not wish to include telemarketers, sellers, and Unclassified. receive telemarketing calls. Individually agents, but only to the extent, if any, identifiable information (e.g., name, that they are ‘‘individuals’’ within the SYSTEM LOCATION: email address) that telemarketers, meaning of the Privacy Act. Federal Trade Commission, 600 sellers, or their agents must submit Pennsylvania Avenue NW, Washington, when paying for and obtaining access to ROUTINE USES OF RECORDS MAINTAINED IN THE DC 20580. System database is the system is covered by this system SYSTEM, INCLUDING CATEGORIES OF USERS AND maintained and operated off-site by a only to the extent, if any, that such THE PURPOSES OF SUCH USES: contractor. For other locations where information is ‘‘about [the] individual’’ (1) Telephone numbers, but not any records may be maintained or accessed, within the meaning of the Privacy Act, email addresses, submitted by see Appendix III (Locations of FTC and is not about the telemarketer, seller, individuals may be made available or

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referred on an automatic or other basis Intermediary records) and in accordance the meaning of the Privacy Act) when to telemarketers, sellers, and their with agency electronic data deletion seeking to contest the accuracy of agents for the purpose of determining or procedures. The retention and system information maintained on verifying that an individual does not destruction of payment data collected them, except for system information, if wish to receive telemarketing calls; from telemarketers, sellers, and their any, that can be contested or corrected (2) Information submitted by or agents by Treasury’s FMS is described through the automated system. compiled on telemarketers, sellers, and in the system notice for the NOTIFICATION PROCEDURES: their agents may be used and disclosed www.pay.gov system, Treasury/ to other Federal, state, or local FMS.017. To obtain notification of whether the government authorities for payment or system contains a record pertaining to billing purposes, including referral to ADMINISTRATIVE, TECHNICAL, AND PHYSICAL that individual (i.e., the individual’s debt collection agencies or other SAFEGUARDS: telephone number), individuals use a governmental entities for collection, tax Access is generally restricted to those dial-in system or a designated website reporting, or other related purposes. agency personnel, contractors and other that will enable the identification and Information that is submitted by or law enforcement users subject to verification of their telephone numbers. compiled on telemarketers, sellers, and confidentiality agreements whose Individuals filing written requests their agents and that is incorporated responsibilities require access, or to pursuant to 16 CFR 4.13 will be into the www.pay.gov system shall also approved telemarketers, sellers, and acknowledged and directed to use those be subject to routine uses, if any, that their agents. Electronic access is subject automated systems. To the extent, if may be separately published for that to login ID, password, and other any, that the Privacy Act applies to system, Treasury/FMS.017 (Collections electronic access and security controls information submitted by or compiled Records), or any successor system notice (e.g., firewalls). Contractors are required on telemarketers, sellers, or their agents, for that system. to sign confidentiality and the system provides notice (i.e., For other ways that the Privacy Act nondisclosure agreements. confirms) that the system is maintaining permits the FTC to use or disclose such information when an individual system records outside the agency, see RECORD ACCESS PROCEDURES: accesses the system using the account Appendix I (Authorized Disclosures and To request access to any information number that was previously assigned to Routine Uses Applicable to All FTC maintained with your registration that is the telemarketer, seller, or agent at the Privacy Act Systems of Records), not available to you through the time that entity originally entered available on the FTC’s website at automated dial-in system or the information into the system to establish https://www.ftc.gov/about-ftc/foia/foia- designated website described in the the relevant account. reading-rooms/privacy-act-systems and notification procedures above, you must EXEMPTIONS PROMULGATED FOR THE SYSTEM: at 83 FR 55542–55543 (Nov. 6, 2018). submit your request in writing. See Appendix II for details. The same access None. POLICIES AND PRACTICES FOR STORAGE OF procedure applies to the extent, if any, HISTORY: RECORDS: that the Privacy Act applies to Records in the system are collected 74 FR 17863–17866 (April 17, 2009) information submitted by or compiled 73 FR 33591–33634 (June 12, 2008). and maintained by an off-site FTC on telemarketers, sellers, or their agents, contractor in an electronic database where that information is not made * * * * * with Web-based access subject to strict available for review or amendments SYSTEM NAME AND NUMBER: security controls (see ‘‘Safeguards’’ when the telemarketer, seller, or agent Computer Systems User Identification below). accesses the system. and Access Records–FTC (FTC–VII–3). POLICIES AND PRACTICES FOR RETRIEVAL OF CONTESTING RECORD PROCEDURES: SECURITY CLASSIFICATION: RECORDS: Where an individual believes the Indexed by area code and phone Unclassified. system has erroneously recorded or number of individuals who have omitted information that is collected SYSTEM LOCATION: informed the Commission that they do and maintained by the system, the Federal Trade Commission, 600 not wish to receive telemarketing calls. individual will be afforded the Pennsylvania Avenue NW, Washington, May also be retrieved by other data, if opportunity to register, change, or delete DC 20580. any, compiled or otherwise maintained that information after the automated For other locations where records may with the record. For information system identifies and verifies the be maintained or accessed, see submitted by or compiled on telephone number from which the Appendix III (Locations of FTC telemarketers, sellers, or their agents, individual is calling, if the individual is Buildings and Regional Offices), records may be indexed and retrieved using the designated website, or the available on the FTC’s website at by any category of data that is submitted individual provides other identifying https://www.ftc.gov/about-ftc/foia/foia- by or compiled on such telemarketers, information, if requested by the reading-rooms/privacy-act-systems and sellers, or agents. automated system. To contest the at 80 FR 9460, 9465 (Feb. 23, 2015). POLICIES AND PRACTICES FOR RETENTION AND accuracy of any other information that SYSTEM MANAGER(S): DISPOSAL OF RECORDS: is not accessible to the individual Core Engineering and ISSO Services Information is retained until the through the automated dial-in system or Program Manager, Office of the Chief individual requests deletion of their website as described in the Information Officer, Federal Trade information from the system or when ‘‘Notification procedures’’ section Commission, 600 Pennsylvania Avenue the agency determines it no longer has above, the request must be submitted to NW, Washington, DC 20580, email: a business need for the data. Disposition the FTC in writing. See Appendix II for [email protected]. is in accordance with applicable records details. The same written request schedules issued or approved by the requirement applies to telemarketers, AUTHORITY FOR MAINTENANCE OF THE SYSTEM: National Archives and Records sellers, or their agents (to the extent, if Federal Trade Commission Act, 15 Administration (GRS 5.2, item 020 any, that they are ‘‘individuals’’ within U.S.C. 41 et seq.; Federal Information

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Security Management Act of 2002, Pub. RECORD SOURCE CATEGORIES: www.ftc.gov/about-ftc/foia/foia-reading- L. 107–347, Title III. Individual about whom record is rooms/privacy-act-systems and at 73 FR maintained; internal and external 33592, 33634 (June 12, 2008). PURPOSE(S) OF THE SYSTEM: information systems that record usage. NOTIFICATION PROCEDURES: To monitor usage of computer ROUTINE USES OF RECORDS MAINTAINED IN THE See § 4.13 of the FTC’s Rules of systems; to support server and desktop SYSTEM, INCLUDING CATEGORIES OF USERS AND Practice, 16 CFR 4.13. For additional hardware and software; to ensure the THE PURPOSES OF SUCH USES: guidance, see also Appendix II (How To availability and reliability of the agency Records in this system may be Make A Privacy Act Request), available computer facilities; to help document disclosed to contractors in connection on the FTC’s website at https:// and/or control access to various with developing, maintaining, operating www.ftc.gov/about-ftc/foia/foia-reading- computer systems; to audit, log, and or servicing FTC computerized systems. rooms/privacy-act-systems and at 73 FR alert responsible FTC personnel when For other ways that the Privacy Act 33592, 33634 (June 12, 2008). certain personally identifying permits the FTC to use or disclose information is accessed in specified system records outside the agency, see EXEMPTIONS PROMULGATED FOR THE SYSTEM: systems; to prepare budget requests for Appendix I (Authorized Disclosures and None. automated services; to identify the need Routine Uses Applicable to All FTC for and to conduct training programs, Privacy Act Systems of Records), HISTORY: which can include the topics of available on the FTC’s website at 80 FR 9460–9465 (February 23, 2015) information security, acceptable https://www.ftc.gov/about-ftc/foia/foia- computer practices, and FTC reading-rooms/privacy-act-systems and 74 FR 17863–17866 (April 17, 2009) information security policies and at 83 FR 55542–55543 (Nov. 6, 2018). 73 FR 33591–33634 (June 12, 2008). procedures; to monitor security on SYSTEM NAME AND NUMBER: computer systems; to add and delete POLICIES AND PRACTICES FOR STORAGE OF RECORDS: users; to investigate and make referrals Call Detail Records–FTC (FTC–VII–4). for disciplinary or other action if Electronic and paper records. SECURITY CLASSIFICATION: improper or unauthorized use is POLICIES AND PRACTICES FOR RETRIEVAL OF suspected or detected. RECORDS: Unclassified.

Indexed by individual’s name; SYSTEM LOCATION: CATEGORIES OF INDIVIDUALS COVERED BY THE employee identification number; and SYSTEM: organization code, or other searchable Federal Trade Commission, 600 data fields or codes. Pennsylvania Avenue NW, Washington, Commission employees and others DC 20580. (e.g., contractors) with access to FTC POLICIES AND PRACTICES FOR RETENTION AND For other locations where records may computer systems, including various DISPOSAL OF RECORDS: be maintained or accessed, see system platforms, applications, and Records are retained according to GRS Appendix III (Locations of FTC databases (e.g., Outlook, Business 3.2, item 030, and are destroyed when Buildings and Regional Offices), Objects, Oracle, Redress, STAFFID, CIS, business use ceases. available on the FTC’s website at etc.), operated by the FTC or by a https://www.ftc.gov/about-ftc/foia/foia- contractor for the FTC. ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS: reading-rooms/privacy-act-systems and at 80 FR 9460, 9465 (Feb. 23, 2015). CATEGORIES OF RECORDS IN THE SYSTEM: Access is restricted to agency This Privacy Act system consists of personnel and contractors whose SYSTEM MANAGER(S): the login and other user identification responsibilities require access. Paper Core Engineering and ISSO Services and access records that FTC computer records, if any, maintained in lockable Program Manager, Office of the Chief systems routinely compile and maintain rooms or file cabinets. Access to Information Officer, Federal Trade about users of those systems. These electronic records is controlled by ‘‘user Commission, 600 Pennsylvania Avenue records include user data such as: user ID’’ and passphrase combination and/or NW, Washington, DC 20580, email: name; email address; employee or other other appropriate electronic access or [email protected]. user identification number; organization network controls (e.g., firewalls). FTC code; systems or services to which the buildings are guarded and monitored by AUTHORITY FOR MAINTENANCE OF THE SYSTEM: individual has access; systems and security personnel, cameras, ID checks, Federal Trade Commission Act, 15 services used; amount of time spent and other physical security measures. U.S.C. 41 et seq. using each system; number of usage RECORD ACCESS PROCEDURES: PURPOSE(S) OF THE SYSTEM: sessions; and user profile. These system See § 4.13 of the FTC’s Rules of records include log-in, passphrase, and Practice, 16 CFR 4.13. For additional To manage agency other system usage files and directories guidance, see also Appendix II (How To telecommunications resources; to when they contain data on specific Make A Privacy Act Request), available monitor appropriate use of such users. Many FTC computer systems on the FTC’s website at https:// resources; to detect and deter possible collect and maintain additional www.ftc.gov/about-ftc/foia/foia-reading- improper or unauthorized use of such information, other than system use data, rooms/privacy-act-systems and at 73 FR resources; in cases where such use is about individuals inside and outside the 33592, 33634 (June 12, 2008). detected, to determine whether FTC. See a complete list of FTC Privacy disciplinary or other action, assessment, Act systems on the FTC’s website, CONTESTING RECORD PROCEDURES: charge, or referral is warranted; to http://www.ftc.gov/foia/ See § 4.13 of the FTC’s Rules of determine appropriate types and levels listofpaysystems.shtm, to learn about Practice, 16 CFR 4.13. For additional of service that should be available to other categories of information collected guidance, see also Appendix II (How To agency staff; and to review and and maintained about individuals in the Make A Privacy Act Request), available authorize payment of FTC’s computer systems. on the FTC’s website at https:// telecommunications invoices.

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CATEGORIES OF INDIVIDUALS COVERED BY THE POLICIES AND PRACTICES FOR RETENTION AND SYSTEM NAME AND NUMBER: SYSTEM: DISPOSAL OF RECORDS: Property Management System–FTC FTC personnel, consultants, and See National Archives and Records (FTC–VII–5). Administration General Records contractors assigned office telephones, SECURITY CLASSIFICATION: cell phones, telephone calling cards, Schedule 3.1, item 020, regarding Unclassified. pagers or other telecommunications information technology operations and resources. maintenance records which are SYSTEM LOCATION: destroyed three years after project Federal Trade Commission, 600 CATEGORIES OF RECORDS IN THE SYSTEM: completion, but longer retention is Pennsylvania Avenue NW, Washington, Name, office telephone number, cell authorized if required for business use. DC 20580. phone number, telephone calling card See GRS 5.5, item 20, regarding mail, For other locations where records may number, pager number, originating printing, and telecommunication be maintained or accessed, see telephone number, telephone numbers services control records that are retained Appendix III (Locations of FTC called, length of telephone calls, cost of for one year, but longer retention is Buildings and Regional Offices), telephone calls. authorized if required for business use. available on the FTC’s website at https://www.ftc.gov/about-ftc/foia/foia- ADMINISTRATIVE, TECHNICAL, AND PHYSICAL RECORD SOURCE CATEGORIES: reading-rooms/privacy-act-systems and SAFEGUARDS: at 80 FR 9460, 9465 (Feb. 23, 2015). Telephone assignment records; Access is restricted to agency and computer software that captures contractor personnel whose official SYSTEM MANAGER(S): telephone call information and permits responsibilities require access. Paper Director, Administrative Services query and reports generation; logs, records are maintained in lockable Office, Office of the Executive Director, reports, or other service records that the cabinets or offices. Access to electronic Federal Trade Commission, 600 FTC may receive from records is protected by ‘‘user ID’’ and Pennsylvania Avenue NW, Washington, telecommunications service providers. password combination and/or other DC 20580, email: [email protected]. ROUTINE USES OF RECORDS MAINTAINED IN THE electronic access and network controls AUTHORITY FOR MAINTENANCE OF THE SYSTEM: SYSTEM, INCLUDING CATEGORIES OF USERS AND (e.g., firewalls). FTC buildings are Federal Trade Commission Act, 15 THE PURPOSES OF SUCH USES: guarded and monitored by security U.S.C. 41 et seq.; Federal Property and personnel, cameras, ID checks, and Records in this system may be Administrative Services Act of 1949; other physical security measures. disclosed: Pub. L. 84–863 (1956). (1) To a telecommunications company RECORD ACCESS PROCEDURES: PURPOSE(S) OF THE SYSTEM: and/or the General Services See § 4.13 of the FTC’s Rules of To maintain and control physical Administration when providing the FTC Practice, 16 CFR 4.13. For additional resources, including to document the with telecommunications support in guidance, see also Appendix II (How To assignment to and acknowledgment of order to verify billing or perform other Make A Privacy Act Request), available individual responsibility for such servicing to the account; and on the FTC’s website at https:// resources; to conduct routine and (2) To respond to a Federal agency’s www.ftc.gov/about-ftc/foia/foia-reading- periodic maintenance on equipment; to request made in connection with the rooms/privacy-act-systems and at 73 FR maintain, confirm, and audit an hiring or retention of an employee, the 33592, 33634 (June 12, 2008). inventory of physical resources. letting of a contract or issuance of a grant, license or other benefit by the CONTESTING RECORD PROCEDURES: CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: requesting agency, but only to the extent See § 4.13 of the FTC’s Rules of Past and present Commission that the information disclosed is Practice, 16 CFR 4.13. For additional employees or others assigned relevant and necessary to the requesting guidance, see also Appendix II (How To responsibility for Commission physical agency’s decision on the matter. Make A Privacy Act Request), available resources. For other ways that the Privacy Act on the FTC’s website at https:// permits the FTC to use or disclose www.ftc.gov/about-ftc/foia/foia-reading- CATEGORIES OF RECORDS IN THE SYSTEM: system records outside the agency, see rooms/privacy-act-systems and at 73 FR Name of individual; employee or Appendix I (Authorized Disclosures and 33592, 33634 (June 12, 2008). other identification number; property Routine Uses Applicable to All FTC item assigned to individual; equipment NOTIFICATION PROCEDURES: Privacy Act Systems of Records), maintenance information. This system available on the FTC’s website at See § 4.13 of the FTC’s Rules of also includes miscellaneous property https://www.ftc.gov/about-ftc/foia/foia- Practice, 16 CFR 4.13. For additional management records pertaining to reading-rooms/privacy-act-systems and guidance, see also Appendix II (How To individuals assigned specific items of at 83 FR 55542–55543 (Nov. 6, 2018). Make A Privacy Act Request), available agency property, such as property on the FTC’s website at https:// passes or acknowledgment forms POLICIES AND PRACTICES FOR STORAGE OF www.ftc.gov/about-ftc/foia/foia-reading- completed and signed by individuals. RECORDS: rooms/privacy-act-systems and at 73 FR RECORD SOURCE CATEGORIES: Maintained in paper and/or other 33592, 33634 (June 12, 2008). digital or non-digital formats. Individual responsible for the EXEMPTIONS PROMULGATED FOR THE SYSTEM: equipment and staff responsible for POLICIES AND PRACTICES FOR RETRIEVAL OF None. maintaining the equipment. RECORDS: ROUTINE USES OF RECORDS MAINTAINED IN THE HISTORY: Indexed by office telephone number, SYSTEM, INCLUDING CATEGORIES OF USERS AND cell phone number, pager number, or 80 FR 9460–9465 (February 23, 2015) THE PURPOSES OF SUCH USES: telephone calling card number, or 74 FR 17863–17866 (April 17, 2009) Records in this system may be individual’s name. 73 FR 33591–33634 (June 12, 2008). disclosed to contractors in connection

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with surveying, maintaining, or NOTIFICATION PROCEDURES: when an individual begins or ends otherwise servicing or tracking agency See § 4.13 of the FTC’s Rules of employment at the FTC, to answer physical resources. Practice, 16 CFR 4.13. For additional questions or provide assistance when For other ways that the Privacy Act guidance, see also Appendix II (How To FTC staff have problems with computer permits the FTC to use or disclose Make A Privacy Act Request), available or network access or other FTC IT system records outside the agency, see on the FTC’s website at https:// equipment or software issues, etc. Appendix I (Authorized Disclosures and www.ftc.gov/about-ftc/foia/foia-reading- CATEGORIES OF INDIVIDUALS COVERED BY THE Routine Uses Applicable to All FTC rooms/privacy-act-systems and at 73 FR SYSTEM: Privacy Act Systems of Records), 33592, 33634 (June 12, 2008). FTC employees, contractors or other available on the FTC’s website at authorized individuals who have https://www.ftc.gov/about-ftc/foia/foia- EXEMPTIONS PROMULGATED FOR THE SYSTEM: requested service related to the reading-rooms/privacy-act-systems and None. automated information technology at 83 FR 55542–55543 (Nov. 6, 2018). HISTORY: equipment and systems available to the POLICIES AND PRACTICES FOR STORAGE OF 73 FR 33591–33634 (June 12, 2008). FTC staff (e.g., computers, laptops, etc.). RECORDS: * * * * * CATEGORIES OF RECORDS IN THE SYSTEM: Electronic and paper records. SYSTEM NAME AND NUMBER: FTC personnel, consultants, and POLICIES AND PRACTICES FOR RETRIEVAL OF Information Technology Service contractors assigned office telephones, RECORDS: Ticket System–FTC (FTC–VII–7). cell phones, or other Indexed by employee name, employee telecommunications resources; name of identification number, and assigned SECURITY CLASSIFICATION: requesting individual, organization organization. Unclassified. code, telephone number, date of reported problem, nature of problem, POLICIES AND PRACTICES FOR RETENTION AND SYSTEM LOCATION: and action taken to resolve problem. DISPOSAL OF RECORDS: Federal Trade Commission, 600 The applicable retention schedules Pennsylvania Avenue NW, Washington, RECORD SOURCE CATEGORIES: are National Archives and Records DC 20580. System data are currently Individual about whom the record is Administration (NARA) General maintained off-site by an FTC maintained and staff who responded to Records Schedules (GRS) 5.4 and 5.6. contractor. the request for service. Retention periods can vary from 3 For other locations where records may ROUTINE USES OF RECORDS MAINTAINED IN THE months to 3 years, depending on the be maintained or accessed, see SYSTEM, INCLUDING CATEGORIES OF USERS AND record. At the FTC, records are generally Appendix III (Locations of FTC THE PURPOSES OF SUCH USES: retained for the life of the physical Buildings and Regional Offices), Records in this system may be resource. available on the FTC’s website at compiled and used by the FTC’s https://www.ftc.gov/about-ftc/foia/foia- contractors to track and fulfill IT service ADMINISTRATIVE, TECHNICAL, AND PHYSICAL reading-rooms/privacy-act-systems and SAFEGUARDS: requests. For other ways that the Privacy at 80 FR 9460, 9465 (Feb. 23, 2015). Act permits the FTC to use or disclose Access is restricted to agency system records outside the agency, see personnel or contractors whose SYSTEM MANAGER(S): Appendix I (Authorized Disclosures and responsibilities require access. Paper Core Engineering and ISSO Services Routine Uses Applicable to All FTC records are maintained in lockable Program Manager, Office of the Chief Privacy Act Systems of Records), rooms or file cabinets. Access to Information Officer, Federal Trade available on the FTC’s website at electronic records is controlled by ‘‘user Commission, 600 Pennsylvania Avenue https://www.ftc.gov/about-ftc/foia/foia- ID’’ and password combination and/or NW, Washington, DC 20580, email: reading-rooms/privacy-act-systems and other appropriate electronic access and [email protected]. at 83 FR 55542–55543 (Nov. 6, 2018). network controls (e.g., firewalls). FTC AUTHORITY FOR MAINTENANCE OF THE SYSTEM: buildings are guarded and monitored by POLICIES AND PRACTICES FOR STORAGE OF security personnel, cameras, ID checks, Federal Trade Commission Act, 15 RECORDS: and other physical security measures. U.S.C. 41 et seq. Data are entered and stored in the PURPOSE(S) OF THE SYSTEM: system electronically by the FTC’s help RECORD ACCESS PROCEDURES: desk contractor using proprietary See § 4.13 of the FTC’s Rules of To register, track and control usage of software in a structured database. Practice, 16 CFR 4.13. For additional office telephones, cell telephones and guidance, see also Appendix II (How To other telecommunication devices by POLICIES AND PRACTICES FOR RETRIEVAL OF Make A Privacy Act Request), available individual users; to record the receipt of RECORDS: on the FTC’s website at https:// requests for information technology (IT) Indexed by employee name and www.ftc.gov/about-ftc/foia/foia-reading- service by the FTC’s enterprise service tracking number assigned to each rooms/privacy-act-systems and at 73 FR desk (i.e., help desk) and the actions service request. taken to resolve those requests; to 33592, 33634 (June 12, 2008). POLICIES AND PRACTICES FOR RETENTION AND provide agency management with DISPOSAL OF RECORDS: CONTESTING RECORD PROCEDURES: information identifying trends in Records are retained according to GRS See § 4.13 of the FTC’s Rules of questions and problems for use in 5.8 and are destroyed 1 year after Practice, 16 CFR 4.13. For additional managing the Commission’s hardware resolved, or when no longer needed for guidance, see also Appendix II (How To and software resources. The FTC’s help business use, whichever is appropriate. Make A Privacy Act Request), available desk, currently operated by a contractor, on the FTC’s website at https:// generates and maintains these records ADMINISTRATIVE, TECHNICAL, AND PHYSICAL www.ftc.gov/about-ftc/foia/foia-reading- (‘‘service tickets’’) in the course of SAFEGUARDS: rooms/privacy-act-systems and at 73 FR fulfilling requests or orders to create or Access is restricted to agency 33592, 33634 (June 12, 2008). close email and other network accounts personnel and contractors whose

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responsibilities require access. SYSTEM MANAGER(S): POLICIES AND PRACTICES FOR RETRIEVAL OF Electronic access to FTC records in the Chief Administrative Services Officer, RECORDS: contractor’s database is provided via the Administrative Services Office, Office of Indexed by name of requesting internet, using unique IDs and password the Executive Director, Federal Trade individual and tracking number combinations, and can be accessed only Commission, 600 Pennsylvania Avenue assigned to each service request. from internet Protocol (IP) addresses NW, Washington, DC 20580, email: belonging to the FTC. When not in use, [email protected]. POLICIES AND PRACTICES FOR RETENTION AND access automatically ‘‘times out’’ (cuts DISPOSAL OF RECORDS: off) after 30 minutes. The contractor’s AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Records are retained according to GRS servers have firewalls and intrusion Federal Trade Commission Act, 15 5.8 and are destroyed 1 year after detection, and are maintained in locked U.S.C. 41 et seq. resolved, or when no longer needed for rooms secured with electronic card PURPOSE(S) OF THE SYSTEM: business use, whichever is appropriate. access. To record the receipt of requests for RECORD ACCESS PROCEDURES: service and the actions taken to resolve ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS: See § 4.13 of the FTC’s Rules of those requests; to provide agency Practice, 16 CFR 4.13. For additional management with information Access is restricted to agency guidance, see also Appendix II (How To identifying trends in questions and personnel or contractors whose Make A Privacy Act Request), available problems for use in managing the responsibilities require access. Access to on the FTC’s website at https:// Commission’s office space, furniture, or electronic records is controlled by ‘‘user www.ftc.gov/about-ftc/foia/foia-reading- other physical resources and property. ID’’ and password combination and/or rooms/privacy-act-systems and at 73 FR other appropriate electronic access and CATEGORIES OF INDIVIDUALS COVERED BY THE 33592, 33634 (June 12, 2008). SYSTEM: network controls (e.g., firewalls). FTC buildings are guarded and monitored by CONTESTING RECORD PROCEDURES: Current and former FTC employees, security personnel, cameras, ID checks, See § 4.13 of the FTC’s Rules of contractors, or other authorized and other physical security measures. Practice, 16 CFR 4.13. For additional individuals who request or previously guidance, see also Appendix II (How To requested service related to FTC RECORD ACCESS PROCEDURES: Make A Privacy Act Request), available building maintenance and on the FTC’s website at https:// administrative support services. See § 4.13 of the FTC’s Rules of Practice, 16 CFR 4.13. For additional www.ftc.gov/about-ftc/foia/foia-reading- CATEGORIES OF RECORDS IN THE SYSTEM: rooms/privacy-act-systems and at 73 FR guidance, see also Appendix II (How To 33592, 33634 (June 12, 2008). Records include name of requesting Make A Privacy Act Request), available individual, organization code, telephone on the FTC’s website at https:// NOTIFICATION PROCEDURES: number, date of reported problem, www.ftc.gov/about-ftc/foia/foia-reading- See § 4.13 of the FTC’s Rules of nature of problem, and action taken to rooms/privacy-act-systems and at 73 FR Practice, 16 CFR 4.13. For additional resolve problem. 33592, 33634 (June 12, 2008). guidance, see also Appendix II (How To RECORD SOURCE CATEGORIES: Make A Privacy Act Request), available CONTESTING RECORD PROCEDURES: Individual about whom the record is on the FTC’s website at https:// See § 4.13 of the FTC’s Rules of maintained and staff who responded to www.ftc.gov/about-ftc/foia/foia-reading- Practice, 16 CFR 4.13. For additional the request for service. rooms/privacy-act-systems and at 73 FR guidance, see also Appendix II (How To 33592, 33634 (June 12, 2008). ROUTINE USES OF RECORDS MAINTAINED IN THE Make A Privacy Act Request), available SYSTEM, INCLUDING CATEGORIES OF USERS AND on the FTC’s website at https:// EXEMPTIONS PROMULGATED FOR THE SYSTEM: THE PURPOSES OF SUCH USES: www.ftc.gov/about-ftc/foia/foia-reading- None. Records in this system may be rooms/privacy-act-systems and at 73 FR HISTORY: disclosed to FTC contractors as needed 33592, 33634 (June 12, 2008). 80 FR 9460-9465 (February 23, 2015) for purposes of fulfilling service NOTIFICATION PROCEDURES: 73 FR 33591–33634 (June 12, 2008). requests. For other ways that the Privacy Act permits the FTC to use or disclose See § 4.13 of the FTC’s Rules of SYSTEM NAME AND NUMBER: system records outside the agency, see Practice, 16 CFR 4.13. For additional Administrative Service Call System– Appendix I (Authorized Disclosures and guidance, see also Appendix II (How To FTC (FTC–VII–8). Routine Uses Applicable to All FTC Make A Privacy Act Request), available Privacy Act Systems of Records), on the FTC’s website at https:// SECURITY CLASSIFICATION: available on the FTC’s website at www.ftc.gov/about-ftc/foia/foia-reading- Unclassified. https://www.ftc.gov/about-ftc/foia/foia- rooms/privacy-act-systems and at 73 FR reading-rooms/privacy-act-systems and SYSTEM LOCATION: 33592, 33634 (June 12, 2008). at https://www.ftc.gov/about-ftc/foia/ Federal Trade Commission, 600 foia-reading-rooms/privacy-act-systems EXEMPTIONS PROMULGATED FOR THE SYSTEM: Pennsylvania Avenue NW, Washington, and at 83 FR 55542–55543 (Nov. 6, DC 20580. 2018). None. For other locations where records may be maintained or accessed, see POLICIES AND PRACTICES FOR STORAGE OF HISTORY: Appendix III (Locations of FTC RECORDS: 73 FR 33591–33634 (June 12, 2008). Buildings and Regional Offices), Service call records are maintained in available on the FTC’s website at an electronic database using a Josephine Liu, https://www.ftc.gov/about-ftc/foia/foia- commercial software application. Work Assistant General Counsel for Legal Counsel. reading-rooms/privacy-act-systems and orders are generated from these records [FR Doc. 2020–06071 Filed 3–20–20; 8:45 am] at 80 FR 9460, 9465 (Feb. 23, 2015). and printed out. BILLING CODE 6750–01–P

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DEPARTMENT OF HEALTH AND and electronic database searches of the be notified when the draft is posted, HUMAN SERVICES literature by requesting information please sign up for the email list at: from the public (e.g., details of studies https://www.effective Agency for Healthcare Research and conducted). We are looking for studies healthcare.ahrq.gov/email-updates. Quality that report on Platelet-rich Plasma for The systematic review will answer the Wound Care in the Medicare following questions. This information is Supplemental Evidence and Data Population, including those that provided as background. AHRQ is not Request on Platelet-rich Plasma for describe adverse events. The entire requesting that the public provide Wound Care in the Medicare research protocol is available online at: answers to these questions. Population https://www.ahrq.gov/sites/default/files/ Key Questions (KQ) AGENCY: Agency for Healthcare Research wysiwyg/research/findings/ta/ and Quality (AHRQ), HHS. topicrefinement/platelet-rich-plasma- Comparative Effectiveness Questions protocol.pdf. ACTION: Request for Supplemental This is to notify the public that the KQ 1. What are the benefits and Evidence and Data Submissions. EPC Program would find the following harms of treatment strategies including information on Platelet-rich Plasma for PRP alone with or without other wound SUMMARY: The Agency for Healthcare Wound Care in the Medicare Population care treatments compared to other Research and Quality (AHRQ) is seeking wound care treatments in patients with scientific information submissions from helpful: D A list of completed studies that your diabetic, venous and pressure chronic the public. Scientific information is organization has sponsored for this wounds, for patient oriented outcomes being solicited to inform our review on indication. In the list, please indicate such as at least the following: Platelet-rich Plasma for Wound Care in whether results are available on Completely closed/healed wounds (skin the Medicare Population, which is ClinicalTrials.gov along with the closure with complete re- currently being conducted by the ClinicalTrials.gov trial number. epithelialization without drainage or AHRQ’s Evidence-based Practice D For completed studies that do not dressing requirements), time to Centers (EPC) Program. Access to have results on ClinicalTrials.gov, a complete wound closure, wound published and unpublished pertinent summary, including the following reoccurrence, risk of developing wound scientific information will improve the elements: Study number, study period, infection, amputation, hospitalization quality of this review. design, methodology, indication and (frequency and duration), return to DATES: Submission Deadline on or diagnosis, proper use instructions, baseline activities and function, before 30 days after the date of inclusion and exclusion criteria, reduction of wound size, pain, opioid publication of this notice in the Federal primary and secondary outcomes, medication use, exudate and odor, Register. baseline characteristics, number of quality of life and adverse effects. ADDRESSES: Email submissions: epc@ patients screened/eligible/enrolled/lost KQ 1.a. Describe the risk of bias in the ahrq.hhs.gov. to follow-up/withdrawn/analyzed, studies examined by chronic wound Print submissions: effectiveness/efficacy, and safety results. type and study design. KQ 1.b. What are the differences in Mailing Address: Center for Evidence D A list of ongoing studies that your formulation techniques and components and Practice Improvement, Agency for organization has sponsored for this between these preparations? What are Healthcare Research and Quality, indication. In the list, please provide the the differences in application ATTN: EPC SEADs Coordinator, 5600 ClinicalTrials.gov trial number or, if the techniques, frequency of application Fishers Lane, Mail Stop 06E53A, trial is not registered, the protocol for and ‘‘dosage’’ (amounts applied)? Rockville, MD 20857 the study including a study number, the KQ 1.c. What are the study Shipping Address (FedEx, UPS, etc.): study period, design, methodology, characteristics (such as those listed Center for Evidence and Practice indication and diagnosis, proper use below) in each included investigation Improvement, Agency for Healthcare instructions, inclusion and exclusion for each chronic wound type treated by Research and Quality, ATTN: EPC criteria, and primary and secondary PRP? SEADs Coordinator, 5600 Fishers outcomes. D a. Comparator (if standard care, Lane, Mail Stop 06E77D, Rockville, Description of whether the above describe in detail) MD 20857 studies constitute ALL Phase II and above clinical trials sponsored by your b. Study inclusion/exclusion criteria FOR FURTHER INFORMATION CONTACT: organization for this indication and an and patient characteristics of enrollees, Jenae Benns, Telephone: 301–427–1496 index outlining the relevant information including at least age, gender, and or Email: [email protected]. in each submitted file. general health (e.g., status of HbA1c, SUPPLEMENTARY INFORMATION: The Your contribution is very beneficial to diabetes, peripheral vascular disease, Agency for Healthcare Research and the Program. Materials submitted must obesity, smoking, renal), wound Quality has commissioned the be publicly available or able to be made characteristics, and prior and Evidence-based Practice Centers (EPC) public. Materials that are considered concurrent wound treatments. Program to complete a review of the confidential; marketing materials; study c. Wound characteristics of enrollees evidence for Platelet-rich Plasma for types not included in the review; or including at least wound type, wound Wound Care in the Medicare information on indications not included size/depth/duration/severity, vascular Population. AHRQ is conducting this in the review cannot be used by the EPC status, infection status and whether systematic review pursuant to Section Program. This is a voluntary request for there were inter- and intra-rater checks 902(a) of the Public Health Service Act, information, and all costs for complying of wound measurements. 42 U.S.C. 299a(a). with this request must be borne by the d. Basic study design and conduct The EPC Program is dedicated to submitter. information including at least method of identifying as many studies as possible The draft of this review will be posted patient enrollment, care setting, and use that are relevant to the questions for on AHRQ’s EPC Program website and of run-in period each of its reviews. In order to do so, we available for public comment for a e. Definition of wound characteristics: are supplementing the usual manual period of 4 weeks. If you would like to Definition of ‘‘failure to heal’’, and

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definition of a successfully healed KQ 1.d. Based on the included KQ 3. What PRP preparations are wound (re-epithelialization) studies, what are the patient currently being investigated in ongoing f. Method of applying skin PRP characteristics commonly considered for trials? including provider, frequency of the initiation and continuation/ KQ 4. What best practices in study application, definition of standard of discontinuation of PRP in patients with design could be used to produce high care, and handling of infections chronic wounds? quality evidence on PRP? g. Measurement and assessment KQ 5. What are the evidence gaps methods including method of Contextual Questions found in this body of research? assessment(s); frequency and time KQ 2. What types of PRP preparations points for assessment(s) (including long are currently being marketed in US PICOTS (Populations, Interventions, term assessments for durability of heal); medical practices (gel, liquid, etc.)? Comparators, Outcomes, Timing, and blinding of assessors Future Research Questions: Settings)

PICOTS elements Inclusion criteria Exclusion criteria

Populations ...... Adult patients (18 years and older) with ...... • Animals. • Lower extremity diabetic wounds ...... • Children (age <18 years). • Lower extremity venous ulcers ...... • Wounds of other etiologies. • Pressure wounds in any location ...... • Studies with mixed, non stratified diabetic wounds/ve- nous ulcers/pressure wounds. • Traumatic wounds. • Peripheral arterial disease (PAD) related wounds in non diabetics (i.e., diabetic wounds are to be included re- gardless of the presence of PAD, but PAD alone wounds without diabetes are a reason of exclusion). • Wounds <4 weeks. Intervention ...... Any preparation of autologous platelet-rich plasma with or without other treatments. Comparators ...... Any other wound care without PRP ...... None. Outcomes ...... • Completely closed/healed wounds (skin closure with None. complete re-epithelialization without drainage or dress- ing requirements versus failure to heal). • Time to complete wound closure. • Healing durability (Time to wound reoccurrence). • Wound infection (improvement of wound infection or re- duced risk of developing wound infection). • Amputation. • Hospitalization. • Return to baseline activities of daily living and function. • Wound size. • Pain. • Opioid medication use. • Quality of life. • Adverse effects. Timing ...... None. Settings ...... Any ...... None. Study design ...... KQ 1 ...... In vitro studies, non-original data (e.g.narrative reviews, • Original data ...... editorials, letters, or erratum), single-arm observational • Any sample size ...... studies, case series, qualitative studies, cost-benefit • RCTs ...... analysis, cross-sectional (i.e., non-longitudinal) studies, • Comparative observational studies ...... before-after studies that do not have a comparison • Relevant systematic reviews, or meta-analyses group, survey. (used for identifying additional studies). Subgroup analysis ...... • Age. • Gender. • Settings. • Comorbidities (e.g., status of HbA1c, diabetes, periph- eral vascular disease, obesity, smoking, renal disease, liver disease). • Wound characteristics (wound type, area, depth, vol- ume, duration, severity, vascular status, infection status, and prior and concurrent wound treatments). • Anatomical location (lower extremity diabetic wounds only). • PRP formulation techniques. • PRP components. • PRP application techniques. • PRP frequency. • PRP ‘‘dosage’’ (amounts applied). • PRP offloading procedures (e.g., total contact casting, removable CAM WalkerTM, irremovable offloading de- vices). • Use of immunosuppressant medication. • Nutrition status. • Pain medication (opioids, others).

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PICOTS elements Inclusion criteria Exclusion criteria

Publications ...... Studies published in English only ...... Foreign language studies. Abbreviations: KQ = key question; PICOTS = populations, interventions, comparators, outcomes, timing, and settings; RCT = randomized con- trolled trial.

Dated: March 17, 2020. (a) Evaluate whether the proposed Management and Budget, 725 17th Virginia Mackay-Smith, collection of information is necessary Street NW, Washington, DC 20503 or by Associate Director, Office of the Director, for the proper performance of the fax to (202) 395–5806. Provide written AHRQ. functions of the agency, including comments within 30 days of notice [FR Doc. 2020–05994 Filed 3–20–20; 8:45 am] whether the information will have publication. BILLING CODE 4160–90–P practical utility; (b) Evaluate the accuracy of the Proposed Project agencies estimate of the burden of the Data Calls for the Laboratory DEPARTMENT OF HEALTH AND proposed collection of information, Response Network (OMB Control HUMAN SERVICES including the validity of the Number 0920–0881, Exp. 3/31/2020)— methodology and assumptions used; Extension—National Center for Centers for Disease Control and (c) Enhance the quality, utility, and Emerging and Zoonotic Infectious Prevention clarity of the information to be Diseases (NCEZID), Centers for Disease collected; [30Day–20–0881] (d) Minimize the burden of the Control and Prevention (CDC). Agency Forms Undergoing Paperwork collection of information on those who Background and Brief Description Reduction Act Review are to respond, including, through the use of appropriate automated, The LRN Program Office maintains a In accordance with the Paperwork electronic, mechanical, or other database of information for each Reduction Act of 1995, the Centers for technological collection techniques or member laboratory that includes contact Disease Control and Prevention (CDC) other forms of information technology, information as well as staff and has submitted the information e.g., permitting electronic submission of equipment inventories. However, during collection request titled ‘‘Data Calls for responses; and emergency response, the LRN Program the Laboratory Response Network’’ to (e) Assess information collection Office may conduct a Special Data Call the Office of Management and Budget costs. to obtain additional information from (OMB) for review and approval. CDC To request additional information on LRN Member Laboratories in regards to previously published a ‘‘Proposed Data the proposed project or to obtain a copy biological preparedness. The LRN has Collection Submitted for Public of the information collection plan and not used the Generic 0920–0881 in the Comment and Recommendations’’ instruments, call (404) 639–7570. previous three years but it is critical that notice on October 18, 2019 to obtain Comments and recommendations for the the LRN retain its ability to survey its comments from the public and affected proposed information collection should members in a timely fashion during agencies. CDC did not receive comments be sent within 30 days of publication of emergencies. Special Data calls may be related to the previous notice. This this notice to www.reginfo.gov/public/ conducted via queries that are notice serves to allow an additional 30 do/PRAMain. Find this particular distributed by broadcast emails or by days for public and affected agency information collection by selecting survey tools (i.e., Survey Monkey). This comments. ‘‘Currently under 30-day Review—Open is a request for an extension to this CDC will accept all comments for this for Public Comments’’ or by using the generic clearance. CDC requests proposed information collection project. search function. Direct written approval for 68 annual burden hours. The Office of Management and Budget comments and/or suggestions regarding There is no cost to respondents other is particularly interested in comments the items contained in this notice to the than their time to respond to the data that: Attention: CDC Desk Officer, Office of call.

ESTIMATED ANNUALIZED BURDEN HOURS

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

Public Health Laboratorians ...... Special Data Call ...... 136 1 30/60

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Jeffrey M. Zirger, (c) Enhance the quality, utility, and drinking water not protected by the Lead, Information Collection Review Office, clarity of the information to be SDWA (herein referred to as private Office of Scientific Integrity, Office of Science, collected; wells), that is not the case. There is no Centers for Disease Control and Prevention. (d) Minimize the burden of the comprehensive knowledge about the [FR Doc. 2020–06021 Filed 3–20–20; 8:45 am] collection of information on those who locations of private wells, the BILLING CODE 4163–18–P are to respond, including, through the populations served by these sources, use of appropriate automated, potential contaminants that might be electronic, mechanical, or other present in private well water in specific DEPARTMENT OF HEALTH AND technological collection techniques or areas of the country, or the potential HUMAN SERVICES other forms of information technology, health risks associated with drinking e.g., permitting electronic submission of water from these sources. Centers for Disease Control and responses; and Prevention The purpose of this generic clearance (e) Assess information collection information collection request (Generic [30Day–20–1173] costs. ICR) is to assess the health risks To request additional information on associated with exposure to Agency Forms Undergoing Paperwork the proposed project or to obtain a copy contaminants in drinking water from Reduction Act Review of the information collection plan and private wells across varied geographic instruments, call (404) 639–7570. In accordance with the Paperwork areas of the United States in partnership Comments and recommendations for the with the requesting agency (state, Reduction Act of 1995, the Centers for proposed information collection should Disease Control and Prevention (CDC) territorial, local, or tribal health be sent within 30 days of publication of department). The information obtained has submitted the information this notice to www.reginfo.gov/public/ collection request titled ‘‘Assessment of from these investigations will be used to do/PRAMain Find this particular describe health risks from exposure to Potential Exposure from Private Wells information collection by selecting for Drinking Water’’ to the Office of contaminants in drinking water from ‘‘Currently under 30-day Review—Open private wells within a defined time Management and Budget (OMB) for for Public Comments’’ or by using the review and approval. CDC previously period and geographic distribution. This search function. Direct written information will be used to inform published a ‘‘Proposed Data Collection comments and/or suggestions regarding Submitted for Public Comment and public health protection activities the items contained in this notice to the conducted by the requesting agencies. Recommendations’’ notice on Attention: CDC Desk Officer, Office of The respondents are defined as adults September 17, 2019, to obtain comments Management and Budget, 725 17th at least 18 years old, who use private from the public and affected agencies. Street NW, Washington, DC 20503 or by wells for drinking water, who are CDC received five comments related to fax to (202) 395–5806. Provide written willing to receive and return a tap water the previous notice. This notice serves comments within 30 days of notice sampling kit and urine specimen kit or to allow an additional 30 days for public publication. and affected agency comments. to provide a blood specimen, and who CDC will accept all comments for this Proposed Project are willing to answer survey questions. proposed information collection project. Assessment of Potential Exposure They will be recruited from geographic The Office of Management and Budget from Private Wells for Drinking Water areas of interest as defined by the is particularly interested in comments (OMB Control No. 0920–1173, Exp. 03/ requesting agency. that: 31/2020)—Extension—National Center This is an extension ICR. There are no (a) Evaluate whether the proposed for Environmental Health (NCEH), changes to the number of respondents or collection of information is necessary Centers for Disease Control and burden hours requested. Based on our for the proper performance of the Prevention (CDC). historical activities, we estimate that functions of the agency, including CDC will conduct up to 10 whether the information will have Background and Brief Description investigations per year. Each practical utility; The Safe Drinking Water Act of 1974 investigation will involve on average (b) Evaluate the accuracy of the (SDWA) ensures that most Americans 200 respondents, for which CDC will agencies estimate of the burden of the are provided access to water that meets screen 250 potential respondents. The proposed collection of information, established public health standards. total time burden requested is 2,084 including the validity of the However, for over 38 million Americans hours. There will be no cost to the methodology and assumptions used; who rely on private wells or other respondents other than their time.

ESTIMATED ANNUALIZED BURDEN HOURS

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

Adults at least 18 years old using a private Screening Form ...... 2,500 1 6/60 well for tap water. Questionnaire ...... 2,000 1 35/60 Urine Specimen and Tap Water Sample Col- 2,000 1 20/60 lection.

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Jeffrey M. Zirger, Instructions: All submissions received 4. Minimize the burden of the Lead, Information Collection Review Office, must include the agency name and collection of information on those who Office of Scientific Integrity, Office of Science, Docket Number. CDC will post, without are to respond, including through the Centers for Disease Control and Prevention. change, all relevant comments to use of appropriate automated, [FR Doc. 2020–06022 Filed 3–20–20; 8:45 am] Regulations.gov. electronic, mechanical, or other BILLING CODE 4163–18–P Please note: Submit all comments technological collection techniques or through the Federal eRulemaking portal other forms of information technology, (regulations.gov) or by U.S. mail to the e.g., permitting electronic submissions DEPARTMENT OF HEALTH AND address listed above. of responses. HUMAN SERVICES FOR FURTHER INFORMATION CONTACT: To 5. Assess information collection costs. Centers for Disease Control and request more information on the Proposed Project Prevention proposed project or to obtain a copy of the information collection plan and National Disease Surveillance [60Day-20–0004; Docket No. CDC–2020– instruments, contact Jeffrey M. Zirger, Program II Disease Summaries (OMB 0031] Information Collection Review Office, Control Number 0920–0004, Expiration Date 10/31/2020) — Revision — Proposed Data Collection Submitted Centers for Disease Control and Prevention, 1600 Clifton Road NE, MS– National Center for Immunization and for Public Comment and Respiratory Diseases (NCIRD), Centers Recommendations D74, Atlanta, Georgia 30329; phone: 404–639–7570; email: [email protected]. for Disease Control and Prevention AGENCY: Centers for Disease Control and (CDC). SUPPLEMENTARY INFORMATION: Under the Prevention (CDC), Department of Health Paperwork Reduction Act of 1995 (PRA) Background and Brief Description and Human Services (HHS). (44 U.S.C. 3501–3520), Federal agencies ACTION: Notice with comment period. CDC requests a three-year approval for must obtain approval from the Office of the revision of the National Disease SUMMARY: The Centers for Disease Management and Budget (OMB) for each Surveillance Program II Disease Control and Prevention (CDC), as part of collection of information they conduct Summaries information collection. As its continuing effort to reduce public or sponsor. In addition, the PRA also with the previous approval, these data burden and maximize the utility of requires Federal agencies to provide a are essential for measuring trends in government information, invites the 60-day notice in the Federal Register diseases, evaluating the effectiveness of general public and other Federal concerning each proposed collection of current preventive strategies, and agencies the opportunity to comment on information, including each new determining the need to modify current a proposed and/or continuing proposed collection, each proposed preventive measures. The following information collection, as required by extension of existing collection of diseases in this surveillance program are the Paperwork Reduction Act of 1995. information, and each reinstatement of Influenza Virus, Caliciviruses, This notice invites comment on a previously approved information Respiratory and Enteric Viruses. proposed information collection project collection before submitting the Proposed revisions include removal of titled National Disease Surveillance collection to the OMB for approval. To the National Outbreak Reporting System Program—II. Disease Summaries comply with this requirement, we are (NORS) from this information collection information collection. This collection publishing this notice of a proposed request (NORS is now being submitted is used to determine the prevalence of data collection as described below. as its own information collection disease and for planning and evaluating The OMB is particularly interested in request, separate from 0920–0004), and programs for prevention and control of comments that will help: addition of bocavirus and norovirus to infectious diseases. 1. Evaluate whether the proposed two worksheets (CDC 55.83A and CDC DATES: CDC must receive written collection of information is necessary 55.83D). The data will enable rapid comments on or before May 22, 2020. for the proper performance of the detection and characterization of ADDRESSES: You may submit comments, functions of the agency, including outbreaks of known pathogens, as well identified by Docket No. CDC–2020– whether the information will have as potential newly emerging viral 0031 by any of the following methods: practical utility; pathogens. • Federal eRulemaking Portal: 2. Evaluate the accuracy of the The total burden estimate for all Regulations.gov. Follow the instructions agency’s estimate of the burden of the collection instruments in this revision for submitting comments. proposed collection of information, request is 24,115. The frequency of • Mail: Jeffrey M. Zirger, Information including the validity of the response for each form will depend on Collection Review Office, Centers for methodology and assumptions used; the disease and surveillance need. This Disease Control and Prevention, 1600 3. Enhance the quality, utility, and reduction in burden hours is primarily Clifton Road NE, MS–D74, Atlanta, clarity of the information to be attributed to the removal of NORS from Georgia 30329. collected; and this information collection.

ESTIMATED ANNUALIZED BURDEN HOURS

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

Epidemiologist ...... Attachment E—WHO COLLABORATING CENTER 53 52 10/60 459 FOR INFLUENZA Influenza Virus Surveillance. Epidemiologist ...... Attachment F—U.S. WHO Collaborating Labora- 113 1 10/60 19 tories Influenza Testing Methods Assessment.

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ESTIMATED ANNUALIZED BURDEN HOURS—Continued

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

Epidemiologist ...... Attachment G—U.S. Outpatient Influenza-like Illness 1,800 52 10/60 15,600 Surveillance Network (ILINet) Weekly—CDC 55.20. Epidemiologist ...... Attachment H—U.S. Outpatient Influenza-like Illness 1,800 1 5/60 150 Surveillance Network (ILINet) Workfolder 55.20E. Epidemiologist ...... Attachment J—Influenza-Associated Pediatric Mor- 57 2 30/60 57 tality—Case Report Form. Epidemiologist ...... Attachment K—Human Infection with Novel Influenza 57 2 30/60 57 A Virus Case Report Form. Epidemiologist ...... Attachment M—Human Infection with Novel Influ- 57 1 90/60 86 enza A Virus Severe Outcomes. Epidemiologist ...... Attachment P—Novel Influenza A Virus Case 57 1 15/60 14 Screening Form. Epidemiologist ...... Attachment T—Antiviral Resistant Influenza Infection 57 3 30/60 86 Case Report Form. Epidemiologist ...... Attachment U—National Respiratory & Enteric Virus 550 52 15/60 7,150 Surveillance System (NREVSS) (55.83A, B, D) (electronic). Epidemiologist ...... Attachment V—National Enterovirus Surveillance 20 12 15/60 60 Report: (CDC 55.9) (electronic). Epidemiologist ...... Attachment W—National Adenovirus Type Reporting 13 4 15/60 13 System (NATRS). Epidemiologist ...... Attachment X—Middle East Respiratory Syndrome 57 3 25/60 71 (MERS) Patient Under Investigation (PUI) Short Form. Epidemiologist ...... Attachment Y—Viral Gastroenteritis Outbreak Sub- 20 5 5/60 8 mission Form. Epidemiologist ...... Attachment AA—Influenza Virus (Electronic, Year 57 52 5/60 247 Round), PHLIP_HL7 messaging Data Elements. Epidemiologist ...... Attachment BB—Influenza virus (electronic, year 3 52 5/60 13 round) (PHIN–MS). Epidemiologist ...... Attachment CC—Suspect Respiratory Virus Patient 10 5 30/60 25 Form.

Total ...... 24,115

Jeffrey M. Zirger, general public and other Federal received will be posted without change Lead, Information Collection Review Office, agencies to take this opportunity to to Regulations.gov, including any Office of Scientific Integrity, Office of Science, comment on proposed and/or personal information provided. For Centers for Disease Control and Prevention. continuing information collections, as access to the docket to read background [FR Doc. 2020–06019 Filed 3–20–20; 8:45 am] required by the Paperwork Reduction documents or comments received, go to BILLING CODE 4163–18–P Act of 1995. This notice invites Regulations.gov. comment on the Customer Surveys Please note: All public comment Generic Clearance for the National should be submitted through the DEPARTMENT OF HEALTH AND Center for Health Statistics. This Federal eRulemaking portal HUMAN SERVICES collection is used to assess NCHS (regulations.gov) or by U.S. mail to the customers’ satisfaction with the content, address listed above. Centers for Disease Control and quality and relevance of the information FOR FURTHER INFORMATION CONTACT: To Prevention it produces. request more information on the [60Day-FY–2020; Docket No. CDC–2020– DATES: Written comments must be proposed project or to obtain a copy of 0032] received on or before May 22, 2020. the information collection plan and ADDRESSES: instruments, contact Jeffrey M. Zirger, Proposed Data Collection Submitted You may submit comments, identified by Docket No. CDC–2020– Information Collection Review Office, for Public Comment and Centers for Disease Control and Recommendations 0032 by any of the following methods: • Federal eRulemaking Portal: Prevention, 1600 Clifton Road NE, MS– AGENCY: Centers for Disease Control and Regulations.gov. Follow the instructions D74, Atlanta, Georgia 30329; phone: Prevention (CDC), Department of Health for submitting comments. 404–639–7570; Email: [email protected]. and Human Services (HHS). • Mail: Jeffrey M. Zirger, Information SUPPLEMENTARY INFORMATION: Under the ACTION: Notice with comment period. Collection Review Office, Centers for Paperwork Reduction Act of 1995 (PRA) Disease Control and Prevention, 1600 (44 U.S.C. 3501–3520), Federal agencies SUMMARY: The Centers for Disease Clifton Road NE, MS–D74, Atlanta, must obtain approval from the Office of Control and Prevention (CDC), as part of Georgia 30329. Management and Budget (OMB) for each its continuing effort to reduce public Instructions: All submissions received collection of information they conduct burden and maximize the utility of must include the agency name and or sponsor. In addition, the PRA also government information, invites the Docket Number. All relevant comments requires Federal agencies to provide a

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60-day notice in the Federal Register Proposed Project focus groups, automated and electronic concerning each proposed collection of Customer Surveys Generic Clearance technology (e.g., email, Web-based information, including each new for the National Center for Health surveys), and telephone surveys. proposed collection, each proposed Statistics (OMB Control No. 0920–0729, Systematic surveys of several groups extension of existing collection of Exp. 09/30/2020)—Extension—National will be folded into the program. Among information, and each reinstatement of Center for Health Statistics (NCHS), these are Federal customers and policy previously approved information Centers for Disease Control and makers, state and local officials who collection before submitting the Prevention (CDC). rely on NCHS data, the broader collection to OMB for approval. To educational, research, and public health comply with this requirement, we are Background and Brief Description community, and other data users. publishing this notice of a proposed Section 306 of the Public Health Respondents may include data users data collection as described below. Service (PHS) Act (42 U.S.C. 242k), as who register for and/or attend NCHS The OMB is particularly interested in amended, authorizes that the Secretary sponsored conferences; persons who comments that will help: of Health and Human Services (DHHS), access the NCHS website and the 1. Evaluate whether the proposed acting through NCHS, shall collect detailed data available through it; collection of information is necessary statistics on ‘‘the extent and nature of consultants; and others. Respondent for the proper performance of the illness and disability of the population data items may include (in broad functions of the agency, including of the United States.’’ This is an categories) information regarding whether the information will have extension request for a generic approval respondent’s gender, age, occupation, practical utility; from OMB to conduct customer surveys affiliation, location, etc., to be used to 2. Evaluate the accuracy of the over the next three years at an overall characterize responses only. Other agency’s estimate of the burden of the burden rate of 4000 hours. questions will attempt to obtain proposed collection of information, As part of a comprehensive program, information that will characterize the including the validity of the the National Center for Health Statistics respondents’ familiarity with and use of methodology and assumptions used; (NCHS) plans to continue to assess its NCHS data, their assessment of data 3. Enhance the quality, utility, and customers’ satisfaction with the content, content and usefulness, general clarity of the information to be quality and relevance of the information satisfaction with available services and collected; and it produces. NCHS will conduct products, and suggestions for 4. Minimize the burden of the voluntary customer surveys to assess improvement of surveys, services and collection of information on those who strengths in agency products and products. are to respond, including through the services and to evaluate how well it In order to capture anticipated use of appropriate automated, addresses the emerging needs of its data feedback opportunities, this extension electronic, mechanical, or other users. Results of these surveys will be request allows a total estimated annual technological collection techniques or used in future planning initiatives. burden total of 4,000 hours. There is no other forms of information technology, The data will be collected using a cost to respondents other than their time e.g., permitting electronic submissions combination of methodologies to participate in the survey. The of responses. appropriate to each survey. These may resulting information will be for NCHS 5. Assess information collection costs. include: evaluation forms, mail surveys, internal use.

ESTIMATED ANNUALIZED BURDEN HOURS

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

Questionnaire for conference Public/private researchers, Consultants, 6,000 1 15/60 1,500 registrants/attendees. and others. Focus groups ...... Public/private researchers, Consultants, 500 1 1 500 and others. Web-based ...... Public/private researchers, Consultants, 6,000 1 15/60 1,500 and others. Other customer surveys ...... Public/private researchers, Consultants, 2,000 1 15/60 500 and others.

Total ...... 4,000

Jeffrey M. Zirger, DEPARTMENT OF HEALTH AND ACTION: Notice. Lead, Information Collection Review Office, HUMAN SERVICES Office of Scientific Integrity, Office of Science, SUMMARY: The meeting of the Blood Centers for Disease Control and Prevention. Food and Drug Administration Products Advisory Committee (BPAC) [FR Doc. 2020–06023 Filed 3–20–20; 8:45 am] scheduled for April 2–3, 2020, is postponed. The Food and Drug BILLING CODE 4163–18–P [Docket No. FDA–2020–N–0008] Administration (FDA), like other Blood Products Advisory Committee; government agencies, is taking the Postponed necessary steps to ensure the Agency is prepared to continue our vital public AGENCY: Food and Drug Administration, health mission in the event that our day- HHS. to-day operations are impacted by the

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COVID–19 public health emergency. DATES: Submit either electronic or How to Prepare a Pre-Request for Therefore, we are canceling or written comments on the collection of Designation.’’ Received comments, postponing all non-essential meetings information by May 22, 2020. those filed in a timely manner (see through the month of April. We will ADDRESSES: You may submit comments ADDRESSES), will be placed in the docket reassess on an ongoing basis for future as follows. Please note that late, and, except for those submitted as months. Therefore, this meeting is being untimely filed comments will not be ‘‘Confidential Submissions,’’ publicly postponed. The meeting was announced considered. Electronic comments must viewable at https://www.regulations.gov in the Federal Register on February 13, be submitted on or before May 22, 2020. or at the Dockets Management Staff 2020. The https://www.regulations.gov between 9 a.m. and 4 p.m., Monday electronic filing system will accept through Friday. FOR FURTHER INFORMATION CONTACT: • Christina Vert, Center for Biologics comments until 11:59 p.m. Eastern Time Confidential Submissions—To Evaluation and Research, Food and at the end of May 22, 2020. Comments submit a comment with confidential Drug Administration, 10903 New received by mail/hand delivery/courier information that you do not wish to be Hampshire Ave., Bldg. 71, Rm. 6268, (for written/paper submissions) will be made publicly available, submit your Silver Spring, MD 20993–0002, 240– considered timely if they are comments only as a written/paper 402–8054, [email protected], or postmarked or the delivery service submission. You should submit two FDA Advisory Committee Information acceptance receipt is on or before that copies total. One copy will include the Line, 1–800–741–8138 (301–443–0572 date. information you claim to be confidential with a heading or cover note that states in the Washington, DC area), and follow Electronic Submissions the prompts to the desired center or ‘‘THIS DOCUMENT CONTAINS product area. Please call the Information Submit electronic comments in the CONFIDENTIAL INFORMATION.’’ The Line for up-to-date information on this following way: Agency will review this copy, including • Federal eRulemaking Portal: meeting, which was announced in the the claimed confidential information, in https://www.regulations.gov. Follow the Federal Register of February 13, 2020, its consideration of comments. The instructions for submitting comments. 85 FR 8299. second copy, which will have the Comments submitted electronically, claimed confidential information Dated: March 18, 2020. including attachments, to https:// redacted/blacked out, will be available Lowell J. Schiller, www.regulations.gov will be posted to for public viewing and posted on Principal Associate Commissioner for Policy. the docket unchanged. Because your https://www.regulations.gov. Submit [FR Doc. 2020–06082 Filed 3–20–20; 8:45 am] comment will be made public, you are both copies to the Dockets Management BILLING CODE 4164–01–P solely responsible for ensuring that your Staff. If you do not wish your name and comment does not include any contact information to be made publicly confidential information that you or a available, you can provide this DEPARTMENT OF HEALTH AND third party may not wish to be posted, information on the cover sheet and not HUMAN SERVICES such as medical information, your or in the body of your comments and you anyone else’s Social Security number, or must identify this information as Food and Drug Administration confidential business information, such ‘‘confidential.’’ Any information marked as a manufacturing process. Please note as ‘‘confidential’’ will not be disclosed [Docket No. FDA 2020–N–0956] that if you include your name, contact except in accordance with 21 CFR 10.20 information, or other information that and other applicable disclosure law. For Agency Information Collection identifies you in the body of your more information about FDA’s posting Activities; Proposed Collection; comments, that information will be of comments to public dockets, see 80 Comment Request; Guidance for posted on https://www.regulations.gov. FR 56469, September 18, 2015, or access Industry and Food and Drug • If you want to submit a comment the information at: https:// Administration Staff; Combination with confidential information that you www.govinfo.gov/content/pkg/FR-2015- Products: How To Prepare a Pre- do not wish to be made available to the 09-18/pdf/2015-23389.pdf. Request for Designation public, submit the comment as a Docket: For access to the docket to written/paper submission and in the read background documents or the AGENCY: Food and Drug Administration, manner detailed (see ‘‘Written/Paper electronic and written/paper comments HHS. Submissions’’ and ‘‘Instructions’’). received, go to https:// ACTION: Notice. Written/Paper Submissions www.regulations.gov and insert the docket number, found in brackets in the SUMMARY: The Food and Drug Submit written/paper submissions as heading of this document, into the Administration (FDA or Agency) is follows: announcing an opportunity for public • ‘‘Search’’ box and follow the prompts Mail/Hand Delivery/Courier (for and/or go to the Dockets Management comment on the proposed collection of written/paper submissions): Dockets certain information by the Agency. Staff, 5630 Fishers Lane, Rm. 1061, Management Staff (HFA–305), Food and Rockville, MD 20852. Under the Paperwork Reduction Act of Drug Administration, 5630 Fishers FOR FURTHER INFORMATION CONTACT: 1995 (PRA), Federal Agencies are Lane, Rm. 1061, Rockville, MD 20852. required to publish notice in the • For written/paper comments Amber Sanford, Office of Operations, Federal Register concerning each submitted to the Dockets Management Food and Drug Administration, Three proposed collection of information, Staff, FDA will post your comment, as White Flint North, 10A–12M, 11601 including each proposed extension, and well as any attachments, except for Landsdown St., North Bethesda, MD to allow 60 days for public comment in information submitte, marked and 20852, 301–796–8867, PRAStaff@ response to the notice. This notice identified, as confidential, if submitted fda.hhs.gov. solicits comments on the type of as detailed in ‘‘Instructions.’’ SUPPLEMENTARY INFORMATION: Under the information recommended for a Pre- Instructions: All submissions received PRA (44 U.S.C. 3501–3521), Federal Request for Designation (Pre-RFD) must include the Docket No. FDA 2020– Agencies must obtain approval from the submission. N–0956 for ‘‘Combination Products: Office of Management and Budget

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(OMB) for each collection of assumptions used; (3) ways to enhance information about a non-combination or information they conduct or sponsor. the quality, utility, and clarity of the combination product’s assignment to ‘‘Collection of information’’ is defined information to be collected; and (4) the appropriate Agency Center (Center in 44 U.S.C. 3502(3) and 5 CFR ways to minimize the burden of the for Drug Evaluation and Research 1320.3(c) and includes Agency requests collection of information on (CDER), Center for Devices and or requirements that members of the respondents, including through the use Radiological Health (CDRH), or Center public submit reports, keep records, or of automated collection techniques, for Biologics Evaluation and Research provide information to a third party. when appropriate, and other forms of (CBER)) for premarket review and Section 3506(c)(2)(A) of the PRA (44 information technology. regulation. Specifically, this guidance U.S.C. 3506(c)(2)(A)) requires Federal Guidance for Industry and Food and explains the Pre-RFD process at the Agencies to provide a 60-day notice in Drug Administration Staff; Office of Combination Products (OCP) the Federal Register concerning each Combination Products: How to Write a and helps a sponsor understand the type proposed collection of information, Pre-Request For Designation of information to provide in a Pre-RFD. including each proposed extension of an This guidance describes how to prepare existing collection of information, OMB Control Number 0845—Extension a Pre-RFD submission. The guidance before submitting the collection to OMB The purpose of this guidance is to provides recommendations regarding for approval. To comply with this clarify the type of information the Office the information that should be requirement, FDA is publishing notice of Combination Products (OCP) submitted in a Pre-RFD request and of the proposed collection of recommends that a sponsor include in procedures that should be followed for information set forth in this document. a Pre-RFD. This goal of this guidance is meetings or conference calls between With respect to the following to assist sponsors in obtaining a the Office of Combination Products, the collection of information, FDA invites preliminary assessment from the U.S. Centers, and industry representatives or comments on these topics: (1) Whether Food and Drug Administration (FDA or sponsors. the proposed collection of information Agency) through the Pre-RFD process. is necessary for the proper performance The Pre-RFD process is available to The proposed collections of of FDA’s functions, including whether provide informal, non-binding feedback information are necessary to allow the the information will have practical regarding the regulatory identity or Agency to receive Pre-RFD requests in utility; (2) the accuracy of FDA’s classification of a human medical order to implement this voluntary estimate of the burden of the proposed product as a drug, device, biological submission program. collection of information, including the product, or combination product. In FDA estimates the burden of this validity of the methodology and addition, this informal process provides collection of information as follows:

TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1

Number of Number of responses Total annual Average Activity respondents per responses burden per Total hours respondent response

Pre-RFD Submissions ...... 83 1 83 12 996 Pre-RFD Meetings ...... 83 1 83 1 83

Total ...... 1,079 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

Our estimated burden for the DEPARTMENT OF HEALTH AND (COVID–19) pandemic, FDA has information collection reflects an HUMAN SERVICES received a number of queries concerning overall decrease of 689 hours. We compounding of alcohol-based hand attribute this adjustment to a decrease in Food and Drug Administration sanitizers. The Agency is issuing this response time for the number of [Docket No. FDA–2020–D–1106] guidance to communicate its policy for submissions we received over the past the temporary compounding of certain 3 years. Policy for Temporary Compounding of alcohol-based hand sanitizer products Certain Alcohol-Based Hand Sanitizer by pharmacists in State-licensed Dated: March 16, 2020. Products During the Public Health pharmacies or Federal facilities and Lowell J. Schiller, Emergency; Immediately in Effect registered outsourcing facilities (referred Principal Associate Commissioner for Policy. Guidance for Industry; Availability to collectively in this notice and the [FR Doc. 2020–06031 Filed 3–20–20; 8:45 am] guidance as compounders) for the AGENCY: Food and Drug Administration, BILLING CODE 4164–01–P duration of the public health emergency HHS. declared by the Secretary of Health and ACTION: Notice of availability. Human Services on January 31, 2020. The guidance document is immediately SUMMARY: The Food and Drug in effect, but it remains subject to Administration (FDA or Agency) is comment in accordance with the announcing the availability of a Agency’s good guidance practices. guidance for industry entitled ‘‘Policy for Temporary Compounding of Certain DATES: The announcement of the Alcohol-Based Hand Sanitizer Products guidance is published in the Federal During the Public Health Emergency.’’ Register on March 23, 2020. The Due to the Coronavirus Disease 2019 guidance document is immediately in

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effect, but it remains subject to comment • Confidential Submissions—To SUPPLEMENTARY INFORMATION: in accordance with the Agency’s good submit a comment with confidential I. Background guidance practices. information that you do not wish to be FDA is announcing the availability of ADDRESSES: You may submit either made publicly available, submit your electronic or written comments on comments only as a written/paper a guidance entitled ‘‘Policy for Agency guidances at any time as submission. You should submit two Temporary Compounding of Certain Alcohol-Based Hand Sanitizer Products follows: copies total. One copy will include the information you claim to be confidential During the Public Health Emergency.’’ Electronic Submissions with a heading or cover note that states Due to the COVID–19 pandemic and the Submit electronic comments in the ‘‘THIS DOCUMENT CONTAINS resulting public health concerns, FDA following way: CONFIDENTIAL INFORMATION.’’ The has received a number of queries concerning compounding of alcohol- • Federal eRulemaking Portal: Agency will review this copy, including based hand sanitizers. We understand https://www.regulations.gov. Follow the the claimed confidential information, in that some consumers and healthcare instructions for submitting comments. its consideration of comments. The professionals are currently experiencing Comments submitted electronically, second copy, which will have the difficulties accessing alcohol-based including attachments, to https:// claimed confidential information hand sanitizers containing at least 60 www.regulations.gov will be posted to redacted/blacked out, will be available percent alcohol or 70 percent isopropyl the docket unchanged. Because your for public viewing and posted on alcohol. We are also aware of reports comment will be made public, you are https://www.regulations.gov. Submit that some consumers are producing solely responsible for ensuring that your both copies to the Dockets Management Staff. If you do not wish your name and hand sanitizers for personal use; the comment does not include any Agency lacks information on the confidential information that you or a contact information to be made publicly available, you can provide this methods being used to prepare such third party may not wish to be posted, products and whether they are safe for such as medical information, your or information on the cover sheet and not in the body of your comments and you use on human skin. We further anyone else’s Social Security number, or recognize that pharmacists in State- confidential business information, such must identify this information as ‘‘confidential.’’ Any information marked licensed pharmacies or Federal facilities as a manufacturing process. Please note and registered outsourcing facilities that if you include your name, contact as ‘‘confidential’’ will not be disclosed except in accordance with 21 CFR 10.20 (referred to collectively in this notice information, or other information that and the guidance as compounders), and other applicable disclosure law. For identifies you in the body of your relative to untrained consumers, are more information about FDA’s posting comments, that information will be more familiar with appropriate of comments to public dockets, see 80 posted on https://www.regulations.gov. standards and methods for producing • FR 56469, September 18, 2015, or access If you want to submit a comment drug products. with confidential information that you the information at: https:// The Agency is issuing this guidance do not wish to be made available to the www.govinfo.gov/content/pkg/FR-2015- to communicate a policy for the public, submit the comment as a 09-18/pdf/2015-23389.pdf. temporary compounding of certain written/paper submission and in the Docket: For access to the docket to alcohol-based hand sanitizer products manner detailed (see ‘‘Written/Paper read background documents or the by compounders for consumer use and Submissions’’ and ‘‘Instructions’’). electronic and written/paper comments for use as healthcare personnel hand received, go to https:// Written/Paper Submissions rubs for the duration of the public www.regulations.gov and insert the health emergency declared by the Submit written/paper submissions as docket number, found in brackets in the Secretary of Health and Human Services follows: heading of this document, into the on January 31, 2020. In light of the • Mail/Hand Delivery/Courier (for ‘‘Search’’ box and follow the prompts public health emergency posed by written/paper submissions): Dockets and/or go to the Dockets Management COVID–19, FDA has determined that Management Staff (HFA–305), Food and Staff, 5630 Fishers Lane, Rm. 1061, prior public participation for this Drug Administration, 5630 Fishers Rockville, MD 20852. guidance is not feasible or appropriate Lane, Rm. 1061, Rockville, MD 20852. You may submit comments on any and is issuing this guidance without • For written/paper comments guidance at any time (see 21 CFR prior public comment (see section submitted to the Dockets Management 10.115(g)(5)). 701(h)(1)(C)(i) of the Federal Food, Staff, FDA will post your comment, as Submit written requests for single Drug, and Cosmetic Act (21 U.S.C. well as any attachments, except for copies of this guidance to the Division 371(h)(1)(C)(i)) and 21 CFR information submitted, marked and of Drug Information, Center for Drug 10.115(g)(2)). Although this guidance is identified, as confidential, if submitted Evaluation and Research, Food and immediately in effect, FDA will as detailed in ‘‘Instructions.’’ Drug Administration, 10001 New consider all comments received and Instructions: All submissions received Hampshire Ave., Hillandale Building, revise the guidance document as must include the Docket No. FDA– 4th Floor, Silver Spring, MD 20993– appropriate. 2020–D–1106 for ‘‘Policy for Temporary 0002. Send one self-addressed adhesive Compounding of Certain Alcohol-Based label to assist that office in processing II. Significance of Guidance Hand Sanitizer Products During the your requests. See the SUPPLEMENTARY This guidance is being issued Public Health Emergency.’’ Received INFORMATION section for electronic consistent with FDA’s good guidance comments will be placed in the docket access to the guidance document. practices regulation (21 CFR 10.115). and, except for those submitted as FOR FURTHER INFORMATION CONTACT: The guidance represents the current ‘‘Confidential Submissions,’’ publicly Rosilend Lawson, Center for Drug thinking of FDA on ‘‘Policy for viewable at https://www.regulations.gov Evaluation and Research, Food and Temporary Compounding of Certain or at the Dockets Management Staff Drug Administration, 10903 New Alcohol-Based Hand Sanitizer Products between 9 a.m. and 4 p.m., Monday Hampshire Ave., Silver Spring, MD During the Public Health Emergency.’’ It through Friday. 20993–0002, 240–402–6223. does not establish any rights for any

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person and is not binding on FDA or the Secretary for Health, Office of the procedures to improve the safety and public. You can use an alternative Secretary, Department of Health and reliability of the blood supply. approach if it satisfies the requirements Human Services. Dated: March 11, 2020. of the applicable statutes and ACTION: Request for public comment. James J. Berger, regulations. SUMMARY: The Office of the Assistant Senior Advisor for Blood and Tissue Policy, III. Paperwork Reduction Act of 1995 Secretary for Health in the Department Office of Infectious Disease and HIV/AIDS Policy. This guidance refers to previously of Health and Human Services seeks approved FDA collections of public comment regarding Section 209 [FR Doc. 2020–06047 Filed 3–20–20; 8:45 am] information. These collections of of the Pandemic and All-Hazards BILLING CODE 4150–28–P information are subject to review by the Preparedness and Advancing Innovation Office of Management and Budget Act. DEPARTMENT OF HEALTH AND (OMB) under the Paperwork Reduction Congress passed the Pandemic and HUMAN SERVICES Act of 1995 (44 U.S.C. 3501–3521). The All-Hazards Preparedness and collection of information for ‘‘Current Advancing Innovation Act (PAHPAIA) Office of Inspector General Good Manufacturing Practices for in June 2019. Section 209 of this Finished Pharmaceuticals and Medical legislation states that the Secretary of [OIG–1810–N] Gases’’ has been approved under OMB Health and Human Services shall control number 0910–0139. The submit to Congress a report containing Statement of Organization, Functions, collection of information for recommendations related to maintaining and Delegations of Authority ‘‘Postmarketing Adverse Drug an adequate national blood supply. The AGENCY: Office of Inspector General Experience Reporting’’ has been legislation poses four specific questions (OIG), HHS. approved under OMB control number regarding the adequacy of the national ACTION: Notice. 0910–0230. The collection of blood supply. HHS welcomes any information for ‘‘MedWatch: Adverse public feedback related to how these SUMMARY: This notice replaces all Event and Product Experience Reporting questions should be addressed and/or language in Part Q (Office of the System (Paper-Based)’’ has been potential solutions. The set of questions Secretary) of the Statement of approved under OMB control number is available in the SUPPLEMENTARY Organization, Functions, and 0910–0291. The collection of INFORMATION section below. Delegations of Authority for the information for ‘‘Format and Content DATES: To be assured consideration, Department of Health and Human Requirements for Over-the-Counter Drug electronic or written/paper comments Services (HHS or the Department), Product Labeling’’ has been approved must be submitted no later than Office of Inspector General (OIG), under OMB control number 0910–0340. midnight Eastern Standard Time (EST) (published March 15, 2016). The collection of information for ‘‘FDA on April 22, 2020. SUPPLEMENTARY INFORMATION: The Adverse Event and Products Experience ADDRESSES: Individuals are encouraged Statement of Organization, Functions, Reports; Electronic Submissions’’ has to submit responses electronically to and Delegations of Authority conforms been approved under OMB control [email protected]. Please indicate ‘‘RFI to and carries out the statutory number 0910–0645. The collection of RESPONSE’’ in the subject line of your requirements for operating OIG. The information for ‘‘Adverse Event email. Written responses should be organizational changes reflected in this Reporting for Outsourcing Facilities addressed to: U.S. Department of Health notice are primarily to realign the Under Section 503B of the Federal and Human Services, Mary E. Switzer functions within OIG to better reflect Food, Drug, and Cosmetic Act’’ has been Building, 330 C Street SW, Room L600, the current work environment and approved under OMB control number Washington, DC 20024 Attn: ACBTSA– priorities and to more clearly delineate 0910–0800. PAHPAIA Sec. 209. Mailed paper responsibilities for the various activities IV. Electronic Access submissions and electronic submissions within OIG’s offices. Persons with access to the internet received after the deadline will not be OIG was established by law as an may obtain the guidance at either reviewed. Responses to this notice are independent and objective oversight https://www.fda.gov/drugs/guidance- not offers and cannot be accepted by the unit of the Department to carry out the compliance-regulatory-information/ federal government to form a binding mission of preventing fraud and abuse guidances-drugs or https:// contract or issue a grant. and promoting economy, efficiency, and www.regulations.gov. FOR FURTHER INFORMATION CONTACT: Mr. effectiveness of HHS programs and James Berger, Designated Federal operations. In furtherance of this Dated: March 17, 2020. Officer, Office of Infectious Disease and mission, the organization: Lowell J. Schiller, HIV/AIDS Policy, (202) 795–7608. • Conducts and supervises audits, Principal Associate Commissioner for Policy. SUPPLEMENTARY INFORMATION: investigations, evaluations, and [FR Doc. 2020–05959 Filed 3–20–20; 8:45 am] (1) Challenges associated with the inspections relating to HHS programs BILLING CODE 4164–01–P continuous recruitment of blood donors and operations; (including those newly eligible to • identifies systemic weaknesses donate); giving rise to opportunities for fraud DEPARTMENT OF HEALTH AND (2) Ensuring the adequacy of the and abuse in HHS programs and HUMAN SERVICES blood supply in the case of public operations and makes recommendations health emergencies; to prevent their recurrence; Solicitation for Public Comments on • Section 209 of the Pandemic and All- (3) Implementation of the transfusion leads and coordinates activities to Hazards Preparedness and Advancing transmission monitoring system; and prevent and detect fraud and abuse in Innovation Act (4) Other measures to promote safety HHS programs and operations; and innovation, such as the • detects wrongdoers and abusers of AGENCY: Office of Infectious Disease and development, use, or implementation of HHS programs and beneficiaries so HIV/AIDS Policy, Office of the Assistant new technologies, processes, and appropriate remedies may be brought to

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bear, including imposing administrative Section QA.10, Immediate Office of the Section QC.00, Office of Management sanctions against providers of health Inspector General—Organization and Policy—Mission care under Medicare and Medicaid who The Immediate Office comprises the The Office of Management and Policy commit certain prohibited acts; and Inspector General, Principal Deputy • keeps the Secretary of Health and (OMP) provides management, guidance, Inspector General, Chief of Staff, several and resources in support of OIG. Human Services and Congress fully and technical advisors, including the Chief currently informed about problems and Medical Officer, and staff. Section QC.10, Office of Management deficiencies in the administration of and Policy—Organization HHS programs and operations and about Section QA.20, Immediate Office of the the need for and progress of corrective Inspector General—Functions OMP is directed by the Deputy Inspector General for Management and action. The Inspector General is appointed by Policy, who, aided by Assistant In addition, OIG works with the the President, with the advice and Inspectors General, assures that OIG has Department of Justice (DOJ), on behalf of consent of the Senate, and reports to the financial and administrative the Secretary, to operate the Health Care and is under the general supervision of resources necessary to fulfill its mission. Fraud and Abuse Control Program. In the Secretary or, to the extent such This office carries out its accordance with authority enacted in its authority is delegated, the Deputy responsibilities through headquarters annual appropriations, OIG also Secretary. The Inspector General does functions. provides protection services to the not report to and is not subject to Secretary and conducts criminal supervision by any other officer in the Section QC.20, Office of Management investigations of violations of Federal Department. In keeping with the and Policy—Functions child support provisions. independence conferred by the In support of its mission, OIG carries Inspector General Act, the Inspector The staffs within OMP are responsible out and maintains an internal quality General assumes and exercises, through for formulating and executing OIG’s assurance system and a peer-review line management, all functional budget, developing policy, and system with other Offices of Inspector authorities related to the administration managing information technology, General, including periodic quality and management of OIG and all human resources, executive resources, assessment studies and quality control mission-related authorities stated or procurement activities, and physical reviews, to provide reasonable implied in the law or delegated directly space. OMP also executes and maintains assurance that applicable laws, from the Secretary. The Inspector an internal quality assurance system, regulations, policies, procedures, General provides executive leadership which includes quality control reviews standards, and other requirements are to the organization and exercises general of its processes and products to ensure followed, are effective, and are supervision over the personnel and that OIG policies and procedures are functioning as intended in OIG functions of its major components. The followed and function as intended. operations. Inspector General determines the budget OMP provides centralized services and needs of OIG, sets OIG policies and management to deliver to OIG data, Section Q, Office of Inspector General— tools, skills, and support to use data and Organization priorities, oversees OIG operations, and provides reports to the Secretary and data analytics. Finally, OMP coordinates There is at the head of OIG a statutory Congress. By statute, the Inspector organizational performance Inspector General, appointed by the General exercises general personnel management activities. President and confirmed by the Senate. authority, e.g., selection, promotion, and Section QE.00, Office of Evaluation and OIG consists of six organizational units: assignment of employees, including Inspections—Mission 1. Immediate Office of the Inspector members of the Senior Executive General (QA) Service. The Inspector General delegates The Office of Evaluation and 2. Office of Management and Policy related authorities as appropriate. The Inspections (OEI) is responsible for (QC) Principal Deputy Inspector General conducting indepth evaluations of HHS 3. Office of Evaluation and Inspections assists the Inspector General in the programs, operations, and processes to (QE) management of OIG, and during the identify vulnerabilities and recommend 4. Office of Counsel to the Inspector absence of the Inspector General, acts as corrective action; to prevent and detect General (QG) the Inspector General. The Principal fraud and abuse; and to promote 5. Office of Audit Services (QH) Deputy Inspector General supervises the efficiency and effectiveness in HHS 6. Office of Investigations (QJ) Chief Counsel to the Inspector General, programs and operations. OEI conducts the Deputy Inspectors General, who its work in accordance with the Quality Section Q, Office of Inspector General— head the major OIG components, as well Standards for Inspection and Evaluation Functions as the Chief of Staff. issued by the Council of the Inspectors The component sections that follow The Immediate Office interacts with General on Integrity and Efficiency. describe the specific functions of the the Department, Congress, and the Section QE.10, Office of Evaluation and organization. public and leads OIG’s congressional, Inspections—Organization media, and public affairs functions. The Section QA.00, Immediate Office of the office also plans, conducts, and OEI is directed by the Deputy Inspector General—Mission participates in a variety of interagency Inspector General for the Office of The Immediate Office of the Inspector cooperative projects and undertakings Evaluation and Inspections, who, aided General is directly responsible for relating to fraud and abuse with the by Assistant Inspectors General, is meeting the statutory mission of OIG as DOJ, the Centers for Medicare & responsible for carrying out OIG’s a whole and for promoting effective OIG Medicaid Services (CMS), and other responsibilities to evaluate the internal quality assurance systems, governmental agencies, and is effectiveness and efficiency of HHS including quality assessment studies responsible for the reporting and programs and operations. The office is and quality control reviews of OIG legislative functions required by the comprised of headquarters and regional processes and products. Inspector General Act. functions.

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Section QE.20, Office of Evaluation and criminal procedure); the sufficiency and integrity agreements adopted in Inspections—Functions impact of legislative proposals affecting connection with settlement agreements, OEI is responsible for conducting OIG and HHS; and the conduct and conducts onsite reviews, and develops evaluations of HHS programs; resolution of investigations, audits, and audit and investigative review standards conducting data and trend analysis; and inspections. The office evaluates the for monitoring such integrity recommending changes in programs, legal sufficiency of OIG findings and agreements in conjunction with other procedures, policies, regulations, and recommendations and develops formal OIG components. The office also legislation. OEI develops evaluation legal opinions to support these findings resolves breaches of integrity policies, procedures, techniques, and and recommendations. The office also agreements through the development of guidelines to be followed by all OEI staff provides legal advice on OIG internal corrective action plans and the in conducting evaluations. The office administration and operations, imposition of sanctions. maintains an internal quality assurance including appropriations, procurement, OCIG, through the Whistleblower program. OEI also oversees the activities delegations of authority, OIG Protection Coordinator, provides of State Medicaid Fraud Control Units regulations, personnel matters, education to agency employees about (MFCUs) to ensure the MFCUs’ disclosure of information under the prohibitions against whistleblower compliance with Federal grant Freedom of Information Act (FOIA), and retaliation, and the rights and remedies regulations, administrative rules, and safeguarding information under the available for such matters. Finally, OCIG issues advisory performance standards for the purpose Privacy Act. Additionally, OCIG opinions to the health care industry and of certifying or recertifying the MFCUs coordinates OIG’s regulatory review members of the public on whether a annually. The office also maintains functions required by the Inspector current or proposed activity would automated data and management General Act and responses to all constitute grounds for the imposition of information systems used by all OEI requests made under FOIA. The office is a sanction under the anti-kickback employees, a quality assurance/peer- responsible for the clearance and statute, the CMP law, or the program review program, and policy and enforcement of OIG subpoenas. exclusion authorities. The office procedure manuals. The office represents OIG in administrative litigation and related develops procedures for submitting and Section QG.00, Office of Counsel to the appeals. This includes representing OIG processing requests for advisory Inspector General—Mission in personnel and Equal Employment opinions and for determining the fees In accordance with section 3(g) of the Opportunity matters; coordinating OIG’s that will be imposed. It solicits and Inspector General Act (5 U.S.C. App. representation in Federal tort actions responds to proposals for new § 3(g)), the Office of Counsel to the involving OIG employees; and regulatory safe harbors to the anti- Inspector General (OCIG) provides all representing OIG in bid protests before kickback statute, modifications to legal advice to OIG and represents OIG the Government Accountability Office existing safe harbors, and new fraud in administrative litigation. OCIG and the U.S. Court of Federal Claims. alerts. OCIG consults with DOJ on proposes and litigates civil money OCIG also determines whether to proposed advisory opinions and safe penalty (CMP) and program exclusion propose or implement administrative harbors before issuance or publication. cases within the jurisdiction of OIG. It sanctions, including CMPs and The office provides legal advice to the coordinates False Claims Act matters assessments within OIG’s jurisdiction. components of OIG, other HHS offices, involving HHS programs and resolves The office effectuates mandatory and and DOJ concerning matters involving voluntary disclosure cases. OCIG permissive exclusions from the interpretation of the anti-kickback develops guidance to assist providers in participation in Federal health care statute and other legal authorities, and establishing compliance programs; programs under the Social Security Act; assists those components or offices in monitors ongoing compliance of decides on all requests for reinstatement analyzing the applicability of the anti- providers subject to integrity from, or waiver of, exclusions; and kickback statute to particular practices agreements; and promotes industry participates in developing standards or activities under review. awareness through advisory opinions, governing the imposition of these exclusion authorities. The office also Section QH.00, Office of Audit fraud alerts, and special advisory Services—Mission bulletins. oversees OIG’s suspension and debarment referral program. The office The Office of Audit Services (OAS) is Section QG.10, Office of Counsel to the litigates and resolves all appealed or responsible for protecting the integrity Inspector General—Organization contested exclusions from participation of HHS operations and programs by OCIG is directed by the Chief Counsel in Federal health care programs under conducting audits that identify and to the Inspector General, who also the Social Security Act. In conjunction report ways to improve the economy, serves as OIG’s Deputy Ethics Counselor with DOJ, the office represents HHS in efficiency, and effectiveness of and is aided by Assistant Inspectors all False Claims Act cases, including qui operations and services to beneficiaries General. The office carries out its tam cases, and is responsible for final of HHS programs and to help reduce responsibilities through headquarters approval of civil False Claims Act fraud, waste, abuse, and functions. settlements for the Department, mismanagement. OAS conducts audits including the resolution of the program and oversees audit work performed by Section QG.20, Office of Counsel to the exclusion authorities that have been others. It conducts its work in Inspector General—Functions delegated to OIG. accordance with Government Auditing OCIG provides legal advice to OIG on In conjunction with the Office of Standards and follows applicable legal, issues that arise in the exercise of OIG’s Investigations, OCIG coordinates regulatory, and administrative responsibilities under the Inspector resolution of all voluntary and requirements. General Act of 1978, as amended. Such mandatory disclosure under OIG’s issues include the scope and exercise of Provider Self-Disclosure Protocol, the Section QH.10, Office of Audit the Inspector General’s authorities and contractor self-disclosure requirement Services—Organization responsibilities; investigative and otherwise. OCIG develops and OAS is directed by the Deputy techniques and procedures (including monitors corporate and individual Inspector General for Audit Services,

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who, aided by Assistant Inspectors General Act) for the position of DEPARTMENT OF HEALTH AND General, performs the functions Assistant Inspector General for HUMAN SERVICES designated in section 3(d)(1)(A) of the Investigations. The office is comprised Inspector General Act for the position of of headquarters and regional functions. National Institutes of Health Assistant Inspector General for Auditing. The office comprises Section QJ.20, Office of Investigations— Center for Scientific Review; Amended headquarters and regional functions and Functions Notice of Meeting includes a designated Whistleblower OI conducts criminal, civil, and Protection Ombudsman, and the Notice is hereby given of a change in functions thereof, as required by law administrative investigations of the meeting of the Center for Scientific (section 3(d)(1)(C) of the Inspector allegations of fraud, waste, abuse, Review Special Emphasis Panel, March General Act). mismanagement, and violations of 24, 2020, 10:00 a.m. to March 24, 2020, standards of conduct within the 01:00 p.m., National Institutes of Health, Section QH.20, Office of Audit jurisdiction of OIG. OI establishes Services—Functions Rockledge II, 6701 Rockledge Drive, investigative priorities, evaluates the Bethesda, MD 20892 which was OAS establishes audit priorities; progress of investigations, and reports published in the Federal Register on performs audits; oversees the progress of findings to the Inspector General. The February 25, 2020, 85 FR 10708. audits; coordinates with stakeholders on office develops and implements bodies of work; recommends changes in investigative techniques, programs, The format of the Special Emphasis program policies, regulations, and guidelines, and policies; manages OI’s Panel; Member Conflicts: Sensory legislation to prevent fraud, waste, and quality assurance/peer-review program, Processes and Pain has been changed to abuse and improve programs and and conducts peer reviews of other a Virtual Meeting. The meeting date, operations; and reports on the impact of OIGs. OI also carries out and maintains time and location remain the same. The audit work. The office develops audit an internal quality assurance system. meeting is closed to the public. policies, procedures, techniques, and The system includes quality assessment Dated: March 17, 2020. guidelines to be followed by all OAS studies and quality control reviews of staff in conducting audits. OAS Miguelina Perez, maintains an internal quality assurance OI processes and products to ensure that Program Analyst, Office of Federal Advisory program, conducts peer reviews of other policies and procedures are followed Committee Policy. OIGs, and maintains automated data effectively and are functioning as [FR Doc. 2020–05968 Filed 3–20–20; 8:45 am] and management information systems intended. OI implements policies and BILLING CODE 4140–01–P used by all OAS employees. The office procedures and plans, develops, also provides oversight for audits of implements, and evaluates all levels of State and local governments, training for OI employees. The staff DEPARTMENT OF HEALTH AND universities, and nonprofit provides for the personal protection of HUMAN SERVICES organizations conducted by non-Federal the Secretary and other Department auditors. officials, as needed, and all emergency National Institutes of Health operations preparedness and response. Section QJ.00, Office of Investigations— OI coordinates the adoption of advanced Center for Scientific Review; Amended Mission digital forensic acquisition and Notice of Meeting The Office of Investigations (OI) is examination and information security granted full statutory law enforcement technologies to assist in the Notice is hereby given of a change in authority under the Homeland Security investigation, prevention, and detection the meeting of the Center for Scientific Act of 2003 (Pub. L. 107–296). OI is of fraud and abuse; maintains an Review Special Emphasis Panel, March responsible for protecting the integrity automated data and management 27, 2020, 01:00 p.m. to March 27, 2020, of the programs administered and/or information system used by all OI 05:00 p.m., National Institutes of Health, funded by HHS by conducting criminal, employees; provides technical expertise Rockledge II, 6701 Rockledge Dr., civil, and administrative investigations Bethesda, MD 20892 which was of fraud and misconduct related to HHS on computer applications for investigations; and coordinates and published in the Federal Register on programs, operations, and employees. March 04, 2020, 85 FR 12799. The office serves as OIG’s liaison to DOJ approves investigative computer on all matters relating to investigations matches with other agencies. In The format of the Special Emphasis of HHS programs and personnel and addition, the office operates a toll-free Panel; Member Conflict: Sleep, Stress, reports to the Attorney General when hotline to permit individuals to report Motion, and Taste has been changed to there are reasonable grounds to believe suspected fraud, waste, and abuse a Telephone Assisted Meeting. The Federal criminal law has been violated. within HHS programs. meeting date, time and location remain the same. The meeting is closed to the OI serves as a liaison to CMS, State Dated: March 17, 2020. public. licensing boards, and other outside Christi A. Grimm, organizations and entities with regard to Dated: March 17, 2020. Principal Deputy Inspector General. exclusion, compliance, and enforcement Miguelina Perez, activities. [FR Doc. 2020–06046 Filed 3–20–20; 8:45 am] BILLING CODE 4152–01–P Program Analyst, Office of Federal Advisory Section QJ.10, Office of Investigations— Committee Policy. Organization [FR Doc. 2020–05967 Filed 3–20–20; 8:45 am] OI is directed by the Deputy Inspector BILLING CODE 4140–01–P General for Investigations, aided by Assistant Inspectors General, and performs the functions designated in the law (section 3(d)(1)(B) of the Inspector

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DEPARTMENT OF HEALTH AND DEPARTMENT OF HEALTH AND DEPARTMENT OF HEALTH AND HUMAN SERVICES HUMAN SERVICES HUMAN SERVICES

National Institutes of Health National Institutes of Health National Institutes of Health

Office of the Director, National National Library of Medicine; Amended National Institute on Aging; Notice of Institutes of Health; Amended Notice Notice of Meeting Meeting of Meeting Notice is hereby given of a change in Pursuant to section 10(d) of the Federal Advisory Committee Act, as Notice is hereby given of a change in the meeting of the Board of Scientific amended, notice is hereby given of a the meeting of the Advisory Committee Counselors, April 23, 2020, 9:00 a.m. to meeting of the Board of Scientific on Research on Women’s Health, April 5:00 p.m., National Library of Medicine, Counselors, NIA. 21, 2020, 09:00 a.m. to April 21, 2020, Building 38, Lindberg Room, 8600 The meeting will be open to the 05:00 p.m., National Institutes of Health, Rockville Pike, Bethesda, MD 20892 public as indicated below, with Building 35A, 8600 Rockville Pike, which was published in the Federal attendance limited to space available. Bethesda, MD, 20892 which was Register on February 4, 2020, 85 FR 23, Individuals who plan to attend and published in the Federal Register on Page 6209. need special assistance, such as sign March 02, 2020, 85 FR 12310. The meeting of the Board of Scientific language interpretation or other The meeting notice is amended to Counselors will now be a closed and reasonable accommodations, should change the meeting location and format. virtual meeting due to review of notify the Contact Person listed below The meeting will now be held as a individual investigators and the travel/ in advance of the meeting. teleconference at the National Institutes meeting guidance. The meeting will be closed to the of Health, 6707 Democracy Blvd., Room Dated: March 17, 2020. public as indicated below in accordance 7W444, Bethesda, MD 20817. The with the provisions set forth in sections Ronald J. Livingston, Jr., meeting is open to the public. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Program Analyst, Office of Federal Advisory as amended for the review, discussion, Dated: March 17, 2020. Committee Policy. and evaluation of individual grant Miguelina Perez, [FR Doc. 2020–05971 Filed 3–20–20; 8:45 am] applications conducted by the Program Analyst, Office of Federal Advisory BILLING CODE 4140–01–P NATIONAL INSTITUTE ON AGING, Committee Policy. including consideration of personnel [FR Doc. 2020–05965 Filed 3–20–20; 8:45 am] qualifications and performance, and the BILLING CODE 4140–01–P DEPARTMENT OF HEALTH AND competence of individual investigators, HUMAN SERVICES the disclosure of which would constitute a clearly unwarranted DEPARTMENT OF HEALTH AND National Institutes of Health invasion of personal privacy. HUMAN SERVICES Center for Scientific Review; Amended Name of Committee: Board of Scientific Notice of Meeting Counselors, NIA. National Institutes of Health Date: May 19–21, 2020. Closed: May 19, 2020, 8:00 a.m. to 9:00 National Cancer Institute; Cancellation Notice is hereby given of a change in a.m. of Meeting the meeting of the Center for Scientific Agenda: To review and evaluate personal Review Special Emphasis Panel, March qualifications and performance, and Notice is hereby given of the 27, 2020, 11:00 a.m. to March 27, 2020, competence of individual investigators. cancellation of the National Cancer 04:00 p.m., National Institutes of Health, Place: National Institute on Aging, Institute Board of Scientific Advisors, Rockledge II, 6701 Rockledge Dr., Biomedical Research Center, 3rd Floor Conference Room 03C227, 251 Bayview March 30, 2020, 8:00 a.m. to March 30, Bethesda, MD, 20892 which was Boulevard, Baltimore, MD 21224. 2020, 6:05 p.m., National Cancer published in the Federal Register on Open: May 19, 2020, 9:00 a.m. to 11:30 Institute Shady Grove, Shady Grove, March 09, 2020, 85 FR 13668. a.m. 9609 Medical Center Drive, Rockville, The format of the Special Emphasis Agenda: Committee discussion, individual MD 20850 which was published in the Panel: Member Conflict: Auditory presentations, laboratory overview. Federal Register on March 9, 2020, 85 Neuroscience and Learning and Memory Place: National Institute on Aging, Biomedical Research Center, 3rd Floor FR 13666. This meeting is being has been changed to a Telephone postponed in the best interest of the Conference Room 03C227, 251 Bayview Assisted Meeting. The meeting date, Boulevard, Baltimore, MD 21224. health and safety of employees, time and location remain the same. The Closed: May 19, 2020, 11:30 a.m. to 11:50 contractors, and all board/committee meeting is closed to the public. a.m. members. The meeting will be Dated: March 17, 2020. Agenda: To review and evaluate personal rescheduled in either late April or early qualifications and performance, and May. Miguelina Perez, competence of individual investigators. Program Analyst, Office of Federal Advisory Place: National Institute on Aging, Dated: March 17, 2020. Committee Policy. Biomedical Research Center, 3rd Floor Melanie J. Pantoja, [FR Doc. 2020–05966 Filed 3–20–20; 8:45 am] Conference Room 03C227, 251 Bayview Program Analyst, Office of Federal Advisory Boulevard, Baltimore, MD 21224. BILLING CODE 4140–01–P Committee Policy. Open: May 19, 2020, 11:50 a.m. to 12:50 [FR Doc. 2020–05969 Filed 3–20–20; 8:45 am] p.m. Agenda: Committee discussion, individual BILLING CODE 4140–01–P presentations, laboratory overview. Place: National Institute on Aging Biomedical Research Center, 3rd Floor

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Conference Room 03C227, 251 Bayview In the interest of security, NIH has Seward Meridian, Alaska Boulevard, Baltimore, MD 21224. stringent procedures for entrance into NIH T. 12 N, R. 1 W, accepted March 17, 2020 Closed: May 19, 2020, 12:50 p.m. to 3:00 federal property. Visitors will be asked to p.m. show one form of identification (for example, T. 12 N, R. 2 W, accepted March 17, 2020 Agenda: To review and evaluate personal a government-issued photo ID, driver’s qualifications and performance, and license, or passport) and to state the purpose A person or party who wishes to competence of individual investigators. of their visit. protest one or more plats of survey Place: National Institute on Aging, (Catalogue of Federal Domestic Assistance identified above must file a written Biomedical Research Center, 3rd Floor Program Nos. 93.866, Aging Research, notice of protest with the State Director Conference Room 03C227, 251 Bayview National Institutes of Health, HHS) for the BLM in Alaska. The notice of Boulevard, Baltimore, MD 21224. Dated: March 17, 2020. protest must identify the plat(s) of Open: May 19, 2020, 3:00 p.m. to 4:00 p.m. Miguelina Perez, survey that the person or party wishes Agenda: Committee discussion, individual to protest. You must file the notice of presentations, laboratory overview. Program Analyst, Office of Federal Advisory Place: National Institute on Aging, Committee Policy. protest before the scheduled date of Biomedical Research Center, 3rd Floor [FR Doc. 2020–05970 Filed 3–20–20; 8:45 am] official filing for the plat(s) of survey Conference Room 03C227, 251 Bayview BILLING CODE 4140–01–P being protested. The BLM will not Boulevard, Baltimore, MD 21224. consider any notice of protest filed after Closed: May 19, 2020, 4:00 p.m. to 6:00 the scheduled date of official filing. A p.m. notice of protest is considered filed on Agenda: To review and evaluate personal DEPARTMENT OF THE INTERIOR the date it is received by the State qualifications and performance, and Director for the BLM in Alaska during competence of individual investigators. Bureau of Land Management Place: National Institute on Aging, regular business hours; if received after Biomedical Research Center, 3rd Floor [LLAK940000.L14100000.BX0000.20X. regular business hours, a notice of Conference Room 03C227, 251 Bayview LXSS001L0100] protest will be considered filed the next Boulevard, Baltimore, MD 21224. business day. A written statement of Closed: May 20, 2020, 8:00 a.m. to 8:30 Filing of Plats of Survey: Alaska reasons in support of a protest, if not a.m. filed with the notice of protest, must be AGENCY: Bureau of Land Management, Agenda: To review and evaluate personal filed with the State Director for the BLM qualifications and performance, and Interior. in Alaska within 30 calendar days after competence of individual investigators. ACTION: Notice of Official Filing. Place: National Institute on Aging, the notice of protest is filed. Biomedical Research Center, 3rd Floor SUMMARY: The plats of survey of lands If a notice of protest against a plat of Conference Room 03C227, 251 Bayview described in this notice are scheduled to survey is received prior to the Boulevard, Baltimore, MD 21224. be officially filed in the Bureau of Land scheduled date of official filing, the Open: May 20, 2020, 8:30 a.m. to 12:00 Management (BLM), Alaska State Office, official filing of the plat of survey p.m. Anchorage, Alaska. These surveys were Agenda: Committee discussion, individual identified in the notice of protest will be presentations, laboratory overview. executed at the request of the BLM, are stayed pending consideration of the Place: National Institute on Aging, necessary for the management of these protest. A plat of survey will not be Biomedical Research Center, 3rd Floor lands. officially filed until the dismissal or Conference Room 03C227, 251 Bayview DATES: The BLM must receive protests resolution of all protests of the plat. Boulevard, Baltimore, MD 21224. by April 22, 2020. Before including your address, phone Closed: May 20, 2020, 12:00 p.m. to 2:30 ADDRESSES: You may buy a copy of the number, email address, or other p.m. plats from the BLM Alaska Public Agenda: To review and evaluate personal personally identifiable information in a qualifications and performance, and Information Center, 222 W 7th Avenue, notice of protest or statement of reasons, competence of individual investigators. Mailstop 13, Anchorage, AK 99513. you should be aware that the documents Place: National Institute on Aging, Please use this address when filing you submit, including your personally written protests. You may also view the Biomedical Research Center, 3rd Floor identifiable information, may be made Conference Room 03C227, 251 Bayview plats at the BLM Alaska Public publicly available in their entirety at Boulevard, Baltimore, MD 21224. Information Center, Fitzgerald Federal any time. While you can ask the BLM Open: May 20, 2020, 2:30 p.m. to 4:30 p.m. Building, 222 W. 8th Avenue, Agenda: Committee discussion, individual Anchorage, Alaska, at no cost. to withhold your personally identifiable information from public review, we presentations, laboratory overview. FOR FURTHER INFORMATION CONTACT: Place: National Institute on Aging, cannot guarantee that we will be able to Douglas N. Haywood, Chief, Branch of Biomedical Research Center, 3rd Floor do so. Conference Room 03C227, 251 Bayview Cadastral Survey, Alaska State Office, Boulevard, Baltimore, MD 21224. Bureau of Land Management, 222 W. Authority: 43 U.S.C. Chap. 3. 7th Avenue, Anchorage, AK 99513; Closed: May 20, 2020, 4:30 p.m. to 6:30 Douglas N. Haywood, p.m. 907–271–5481; [email protected]. Agenda: To review and evaluate personal People who use a telecommunications Chief Cadastral Surveyor, Alaska. qualifications and performance, and device for the deaf may call the Federal [FR Doc. 2020–06062 Filed 3–20–20; 8:45 am] competence of individual investigators. Relay Service (FRS) at 1–800–877–8339 BILLING CODE 4310–JA–P Place: National Institute on Aging, to contact the BLM during normal Biomedical Research Center, 3rd Floor Conference Room 03C227, 251 Bayview business hours. The FRS is available 24 Boulevard, Baltimore, MD 21224. hours a day, 7 days a week, to leave a message or question with the above Contact Person: Luigi Ferrucci, MD, Ph.D., individual. You will receive a reply Scientific Director, National Institute on Aging, 251 Bayview Boulevard, Suite 100, during normal business hours. Room 4C225, Baltimore, MD 21224, (410) SUPPLEMENTARY INFORMATION: The lands 558–8110, [email protected]. surveyed are:

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DEPARTMENT OF THE INTERIOR responsibilities under NAGPRA, 25 Tonkawa Tribe of Indians of Oklahoma, U.S.C. 3003(d)(3). The determinations in based on geography and oral tradition. National Park Service this notice are the sole responsibility of Additional Requestors and Disposition [NPS–WASO–NAGPRA–NPS0029883; the museum, institution, or Federal PPWOCRADN0–PCU00RP14.R50000] agency that has control of the Native Representatives of any Indian Tribe or American human remains and Native Hawaiian organization not Notice of Inventory Completion: Baylor associated funerary objects. The identified in this notice that wish to University’s Mayborn Museum National Park Service is not responsible request transfer of control of these Complex, (Formerly Baylor for the determinations in this notice. human remains and associated funerary University’s Strecker Museum; This notice corrects the cultural object should submit a written request formerly Baylor University Museum), affiliation published in a Notice of with information in support of the Waco, TX; Correction Inventory Completion in the Federal request to Anita L. Benedict, Baylor University’s Mayborn Museum AGENCY: National Park Service, Interior. Register (84 FR 7115–7116, March 1, 2019). An offer of disposition, which Complex, One Bear Place #97154, Waco, ACTION: Notice. was followed by phone calls, emails, TX 76798–7154, telephone (254) 710– 4835, email [email protected], SUMMARY: The Baylor University’s and brief in-person conversations, was by April 22, 2020. After that date, if no Mayborn Museum Complex (formerly extended to the Apache Tribe of additional requestors have come Baylor University’s Strecker Museum; Oklahoma; Fort McDowell Yavapai forward, transfer of control of the formerly Baylor University Museum) Nation, Arizona; Fort Sill Apache Tribe human remains and associated funerary has corrected an inventory of human of Oklahoma; Mescalero Apache Tribe object to the Tonkawa Tribe of Indians remains and associated funerary objects, of the Mescalero Reservation, New published in a Notice of Inventory Mexico; San Carlos Apache Tribe of the of Oklahoma may proceed. The Baylor University’s Mayborn Completion in the Federal Register on San Carlos Reservation, Arizona; Tonto Museum Complex is responsible for March 1, 2019. This notice corrects the Apache Tribe of Arizona; White notifying The Consulted Tribes and The cultural affiliation. Lineal descendants Mountain Apache Tribe of the Fort Tribes Whose Aboriginal Territory or representatives of any Indian Tribe or Apache Reservation, Arizona; and the includes Reeves County, TX, that this Native Hawaiian organization not Yavapai-Apache Nation of the Camp notice has been published. identified in this notice that wish to Verde Indian Reservation, Arizona, request transfer of control of these hereby referred to as ‘‘The Tribes Whose Dated: February 19, 2020. human remains and associated funerary Aboriginal Territory includes Reeves Melanie O’Brien, objects should submit a written request County, TX’’, in compliance with 43 Manager, National NAGPRA Program. to Baylor University’s Mayborn Museum CFR 10.11 before a relationship of [FR Doc. 2020–06034 Filed 3–20–20; 8:45 am] Complex. If no additional requestors shared group identity could be BILLING CODE 4312–52–P come forward, transfer of control of the established. Transfer of control of the human remains and associated funerary items in this correction notice has not objects to the Indian Tribes or Native occurred. DEPARTMENT OF THE INTERIOR Hawaiian organizations stated in this notice may proceed. Correction National Park Service DATES: Lineal descendants or In the Federal Register (84 FR 7116, [NPS–WASO–NAGPRA–NPS0029870; representatives of any Indian Tribe or March 1, 2019), column 2, paragraph 1 PPWOCRADN0–PCU00RP14.R50000] Native Hawaiian organization not under the heading ‘‘Determinations identified in this notice that wish to Made by Baylor University’s Mayborn Notice of Inventory Completion: Office request transfer of control of these Museum Complex’’ is corrected by of the State Archaeologist, University human remains and associated funerary replacing the paragraph with the of Iowa, Iowa City, IA objects should submit a written request following paragraph: AGENCY: National Park Service, Interior. with information in support of the Officials of Baylor University’s ACTION: Notice. request to Baylor University’s Mayborn Mayborn Museum Complex have Museum Complex at the address in this determined that: SUMMARY: The Office of the State notice by April 22, 2020. • Pursuant to 25 U.S.C. 3001(9), the Archaeologist Bioarchaeology Program, ADDRESSES: Anita L. Benedict, Baylor human remains described in this notice previously listed as the Office of the University’s Mayborn Museum are Native American, based on the State Archaeologist Burials Program, has Complex, One Bear Place #97154, Waco, preservation, associated funerary object, completed an inventory of human TX 76798–7154, telephone (254) 710– and museum documentation. remains, in consultation with the 4835, email [email protected]. • Pursuant to 25 U.S.C. 3001(9), the appropriate Indian Tribes or Native SUPPLEMENTARY INFORMATION: Notice is human remains described in this notice Hawaiian organizations, and has here given in accordance with the represent the physical remains of one determined that there is no cultural Native American Graves Protection and individual of Native American ancestry. affiliation between the human remains Repatriation Act (NAGPRA), 25 U.S.C. • Pursuant to 25 U.S.C. 3001(3)(A), and any present-day Indian Tribes or 3003, of the correction of an inventory the one object described in this notice Native Hawaiian organizations. of human remains and associated are reasonably believed to have been Representatives of any Indian Tribe or funerary objects under the control of placed with or near individual human Native Hawaiian organization not Baylor University’s Mayborn Museum remains at the time of death or later as identified in this notice that wish to Complex, Waco, TX. The human part of the death rite or ceremony. request transfer of control of these remains and associated funerary object • Pursuant to 25 U.S.C. 3001(2), a human remains should submit a written were removed from a dry cave 25 miles relationship of shared group identity request to the Office of the State northwest of Toyah, Reeves County, TX. can be reasonably traced between the Archaeologist Bioarchaeology Program. This notice is published as part of the Native American human remains and If no additional requestors come National Park Service’s administrative associated funerary object and the forward, transfer of control of the

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human remains to the Indian Tribes or deaccessioned and transferred to the human remains should submit a written Native Hawaiian organizations stated in Iowa State University Archaeological request with information in support of this notice may proceed. Laboratory (ISUAL). The transferred the request to Dr. Lara Noldner, Office DATES: Representatives of any Indian human remains were given accession of the State Archaeologist Tribe or Native Hawaiian organization numbers 8–1 to 8–12, 8–14, 8–16 to 8– Bioarchaeology Program, University of not identified in this notice that wish to 18, 8–20, 8–22 to 8–44, 8–46 to 8–51, 8– Iowa, 700 S Clinton Street, Iowa City, IA request transfer of control of these 57, 8–59 to 8–81, 8–83, 8–85, 8–87, 8– 52242, telephone (319) 384–0740, email human remains should submit a written 89 to 8–91, 8–93, 8–95 to 105, 8–107 to [email protected], by April 22, request with information in support of 8–114, 8–116 to 8–134, and 8–136. In 2020. After that date, if no additional the request to the Office of the State 1994, the ISUAL transferred the human requestors have come forward, transfer Archaeologist Bioarchaeology Program remains to the Office of the State of control of the human remains to The at the address in this notice by April 22, Archaeologist Bioarchaeology Program. Tribes may proceed. 2020. At least 25 adults, including two The Office of the State Archaeologist ADDRESSES: Dr. Lara Noldner, Office of possible males and five possible Bioarchaeology Program is responsible the State Archaeologist Bioarchaeology females, are represented by the human for notifying The Tribes that this notice Program, University of Iowa, 700 S remains. Additionally, long bones has been published. Clinton Street, Iowa City, IA 52242, representing 10 juveniles ranging in age Dated: February 18, 2020. telephone (319) 384–0740, email lara- from six months to 13.5 years are Melanie O’Brien, present (Burial Project 753). No known [email protected]. Manager, National NAGPRA Program. individuals were identified. No SUPPLEMENTARY INFORMATION: Notice is associated funerary objects are present. [FR Doc. 2020–06036 Filed 3–20–20; 8:45 am] here given in accordance with the Belle Glade mound is the type site for BILLING CODE 4312–52–P Native American Graves Protection and the Belle Glade culture in Florida, Repatriation Act (NAGPRA), 25 U.S.C. which may have spanned the period DEPARTMENT OF THE INTERIOR 3003, of the completion of an inventory from 1000 B.C. to A.D. 1700. Currently, of human remains under the control of the cultural affiliation of human National Park Service the Office of the State Archaeologist remains from Belle Glade sites cannot Bioarchaeology Program, Iowa City, IA. be determined. [NPS–WASO–NAGPRA–NPS0029888; The human remains were removed from PPWOCRADN0–PCU00RP14.R50000] Belle Glade Mound (8PB41) in Palm Determinations Made by the Office of Beach County, FL. the State Archaeologist Bioarchaeology Notice of Inventory Completion: Illinois This notice is published as part of the Program State Museum, Springfield, IL National Park Service’s administrative Officials of the Office of the State AGENCY: National Park Service, Interior. responsibilities under NAGPRA, 25 Archaeologist Bioarchaeology Program ACTION: Notice. U.S.C. 3003(d)(3) and 43 CFR 10.11(d). have determined that: The determinations in this notice are • Pursuant to 25 U.S.C. 3001(9), the SUMMARY: The Illinois State Museum the sole responsibility of the museum, human remains described in this notice has completed an inventory of human institution, or Federal agency that has are Native American based on remains in consultation with the control of the Native American human excavation context. appropriate Indian Tribes or Native • remains. The National Park Service is Pursuant to 25 U.S.C. 3001(9), the Hawaiian organizations, and has not responsible for the determinations human remains described in this notice determined that there is no cultural in this notice. represent the physical remains of 35 affiliation between the human remains Consultation individuals of Native American and any present-day Indian Tribes or ancestry. Native Hawaiian organizations. A detailed assessment of the human • Pursuant to 25 U.S.C. 3001(2), a Representatives of any Indian Tribe or remains was made by the Office of the relationship of shared group identity Native Hawaiian organization not State Archaeologist Bioarchaeology cannot be reasonably traced between the identified in this notice that wish to Program professional staff in Native American human remains and request transfer of control of these consultation with representatives of the any present-day Indian Tribe. human remains should submit a written Miccosukee Tribe of Indians; Seminole • According to final judgments of the request to the Illinois State Museum. If Tribe of Florida (previously listed as the Indian Claims Commission or the Court no additional requestors come forward, Seminole Tribe of Florida (Dania, Big of Federal Claims, the land from which transfer of control of the human remains Cypress, Brighton, Hollywood & Tampa the Native American human remains to the Indian Tribes or Native Hawaiian Reservations)); and The Seminole were removed is the aboriginal land of organizations stated in this notice may Nation of Oklahoma (hereafter referred The Tribes. proceed. to as ‘‘The Tribes’’). • Treaties, Acts of Congress, or DATES: Representatives of any Indian History and Description of the Remains Executive Orders, indicate that the land from which the Native American human Tribe or Native Hawaiian organization In 1933–1934, human remains remains were removed is the aboriginal not identified in this notice that wish to representing, at minimum, 35 land of The Tribes. request transfer of control of these individuals were removed from Belle • Pursuant to 43 CFR 10.11(c)(1), the human remains should submit a written Glade Mound (8PB41) in Palm Beach disposition of the human remains may request with information in support of County, FL. The human remains were be to The Tribes. the request to the Illinois State Museum excavated as part of the Federal Relief at the address in this notice by April 22, Projects. Originally, all of the skeletal Additional Requestors and Disposition 2020. remains from this excavation were Representatives of any Indian Tribe or ADDRESSES: Dr. Brooke Morgan, Illinois housed at the Smithsonian Institution in Native Hawaiian organization not State Museum—Research & Collections Washington, DC. In 1973, a portion of identified in this notice that wish to Center, 1011 East Ash Street, the Belle Glade material culture was request transfer of control of these Springfield, IL 62703, telephone (217)

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785–8930, email Brooke.Morgan@ Band of Potawatomi Indians, Michigan are Native American based on non- illinois.gov. and Indiana; Prairie Band Potawatomi metric traits including shovel-shaped SUPPLEMENTARY INFORMATION: Notice is Nation (previously listed as the Prairie incisors and femoral curvature. • Pursuant to 25 U.S.C. 3001(9), the here given in accordance with the Band of Potawatomi Nation, Kansas); human remains described in this notice Native American Graves Protection and Red Cliff Band of Lake Superior represent the physical remains of one Repatriation Act (NAGPRA), 25 U.S.C. Chippewa Indians of Wisconsin; Red individual of Native American ancestry. 3003, of the completion of an inventory Lake Band of Chippewa Indians, • Pursuant to 25 U.S.C. 3001(2), a of human remains under the control of Minnesota; Sac & Fox Nation of relationship of shared group identity the Illinois State Museum, Springfield, Missouri in Kansas and Nebraska; Sac & Fox Nation, Oklahoma; Sac & Fox Tribe cannot be reasonably traced between the IL. The human remains were removed of the Mississippi in Iowa; Saginaw Native American human remains and from Antioch, Lake County, IL. any present-day Indian Tribe. This notice is published as part of the Chippewa Indian Tribe of Michigan; Sault Ste. Marie Tribe of Chippewa • According to final judgments of the National Park Service’s administrative Indians, Michigan; Sokaogon Chippewa Indian Claims Commission or the Court responsibilities under NAGPRA, 25 Community, Wisconsin; St. Croix of Federal Claims, the land from which U.S.C. 3003(d)(3) and 43 CFR 10.11(d). Chippewa Indians of Wisconsin; Turtle the Native American human remains The determinations in this notice are Mountain Band of Chippewa Indians of were removed is the aboriginal land of the sole responsibility of the museum, North Dakota; and the Winnebago Tribe The Consulted and Invited Tribes. institution, or Federal agency that has of Nebraska. Hereafter, the Tribes listed • Treaties, Acts of Congress, or control of the Native American human in this paragraph are referred to as ‘‘The Executive Orders indicate that the land remains. The National Park Service is Consulted and Invited Tribes.’’ from which the Native American human not responsible for the determinations remains were removed is the aboriginal in this notice. History and Description of the Remains land of The Consulted and Invited Consultation In 2018, human remains representing, Tribes. at minimum, one individual were • Pursuant to 43 CFR 10.11(c)(1), the A detailed assessment of the human removed from private property in Lake disposition of the human remains and remains was made by the Illinois State County, IL. The human remains were associated funerary object may be to The Museum professional staff in inadvertently disturbed by a landowner Consulted and Invited Tribes. consultation with representatives of the while gardening. Law enforcement was Additional Requestors and Disposition Ho-Chunk Nation of Wisconsin and the notified, and the Lake County Coroner’s Peoria Tribe of Indians of Oklahoma. In Office responded to the scene. The Representatives of any Indian Tribe or addition, the following Indian Tribes disturbed sediment was screened to Native Hawaiian organization not were invited to consult, but did not collect all bones and bone fragments for identified in this notice that wish to participate: Bad River Chippewa Band analysis. A forensic anthropologist request transfer of control of these of the Lake Superior Tribe of Chippewa examined the human remains on behalf human remains should submit a written Indians of the Bad River Reservation, of the Lake County Coroner’s Office. request with information in support of Wisconsin; Bay Mills Indian The human remains were then the request to Dr. Brooke Morgan, Community, Michigan; Chippewa Cree transported to the Illinois State Museum Illinois State Museum—Research & Indians of the Rocky Boy’s Reservation, for examination by the museum’s Collections Center, 1011 East Ash St., Montana (previously listed as the physical anthropologist. Jurisdiction of Springfield, IL 62703, telephone (217) Chippewa-Cree Indians of the Rocky the human remains was transferred to 785–8930, email Brooke.Morgan@ Boy’s Reservation, Montana); Citizen the Illinois State Museum pursuant to illinois.gov, by April 22, 2020. After that Potawatomi Nation, Oklahoma; Forest 20 ILCS 3440 (Human Skeletal Remains date, if no additional requestors have County Potawatomi Community, Protection Act) and 17 IAC 4170. The come forward, transfer of control of the Wisconsin; Grand Traverse Band of human remains were identified as the human remains to The Consulted and Ottawa and Chippewa Indians, nearly complete skeleton of one Native Invited Tribes may proceed. Michigan; Hannahville Indian American male, aged 20–30 years. No The Illinois State Museum is Community, Michigan; Keweenaw Bay known individuals were identified. No responsible for notifying The Consulted Indian Community, Michigan; Lac associated funerary objects are present. and Invited Tribes that this notice has Courte Oreilles Band of Lake Superior Prior to the arrival of Ojibwe, Ottawa, been published. Chippewa Indians of Wisconsin; Lac du and Potawatomi groups to the region, Dated: February 19, 2020. Flambeau Band of Lake Superior Lake County was historically inhabited Melanie O’Brien, Chippewa Indians of the Lac du by the Illinois Indians (today the Peoria Flambeau Reservation of Wisconsin; Lac Manager, National NAGPRA Program. Tribe of Indians of Oklahoma) and [FR Doc. 2020–06038 Filed 3–20–20; 8:45 am] Vieux Desert Band of Lake Superior visited by the Sauk (Sac) and Mesquakie BILLING CODE 4312–52–P Chippewa Indians of Michigan; Little (Fox). The Ho-Chunk (Winnebago) River Band of Ottawa Indians, consider Lake County part of their Michigan; Little Traverse Bay Band of aboriginal homelands, as they resided DEPARTMENT OF THE INTERIOR Odawa Indians, Michigan; Match-e-be- there prior to the arrival of the Illinois nash-she-wish Band of Pottawatomi of and trace their lineage to the Huber National Park Service Michigan; Minnesota Chippewa Tribe, Oneota archaeological period (A.D. [NPS–WASO–NAGPRA–NPS0029885; Minnesota (Six member reservations: 1500–1600) in the Chicagoland region. Bois Forte Band (Nett Lake); Fond du PPWOCRADN0–PCU00RP14.R50000] Lac Band; Grand Portage Band; Leech Determinations Made by the Illinois State Museum Notice of Intent To Repatriate Cultural Lake Band; Mille Lacs Band; White Items: U.S. Department of Agriculture, Earth Band); Nottawaseppi Huron Band Officials of the Illinois State Museum Forest Service, Tongass National of Potawatomi, Michigan (previously have determined that: Forest, Petersburg, AK listed as the Huron Potawatomi, Inc.); • Pursuant to 25 U.S.C. 3001(9), the Ottawa Tribe of Oklahoma; Pokagon human remains described in this notice AGENCY: National Park Service, Interior.

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ACTION: Notice. down the tree are reported to have Cooperative Association, the Petersburg divided the grave goods. The Indian Association and the Organized SUMMARY: The U.S. Department of unassociated funerary object is an ‘‘I´XT’ Village of Kake. Government-to- Agriculture, Forest Service, Tongass necklace’’ that Emily Merriam received government consultation with the National Forest, in consultation with the from Alma Zuver, the wife of Alvah Organized Village of Kake and the appropriate Indian Tribes or Native Zuver (one of the parties felling the Petersburg Indian Association occurred Hawaiian organizations, has determined tree). The Zuvers had special use between November 2, 2018 and August that the cultural items listed in this permits from the Tongass National 19, 2019. Consultation begun on notice meet the definition of Forest for fur farming activities in the November 2, 2018 with the Wrangell unassociated funerary objects. Lineal general vicinity of the area. Emily Cooperative Association ended on descendants or representatives of any Merriam gifted the necklace to the February 22, 2019, when the Indian Tribe or Native Hawaiian Clausen Memorial Museum in 1981. In Association officially ended its organization not identified in this notice November 2018, the Clausen Memorial participation. that wish to claim these cultural items Museum contacted the Tongass National Government-to-government should submit a written request to Forest for assistance regarding the consultation with the Organized Village Tongass National Forest. If no necklace, whereupon it was determined of Kake and the Petersburg Indian additional claimants come forward, that the necklace had been collected Association resulted in unanimous transfer of control of the cultural items from Federal lands, and was identified agreement that both tribal entities are to the lineal descendants, Indian Tribes, as an unassociated funerary object. The culturally affiliated with the ´IXT’ or Native Hawaiian organizations stated locations of other funerary objects or the necklace and a joint repatriation in this notice may proceed. human remains relating to this object request. DATES: Lineal descendants or are unknown. The object remains in the representatives of any Indian Tribe or care of the Clausen Memorial Museum, Determinations Made by the U.S. Native Hawaiian organization not under a temporary loan agreement with Department of Agriculture, Forest identified in this notice that wish to the Tongass National Forest, pending Service, Tongass National Forest claim these cultural items should repatriation. The unassociated funerary Officials of the U.S. Department of submit a written request with object is described as a ‘‘Shaman’s Agriculture, Forest Service, Tongass information in support of the claim to Necklace’’ but more appropriately is a National Forest have determined that: Tongass National Forest at the address necklace of an I´XT’ consisting of 48 • in this notice by April 22, 2020. individual components: 33 ground, Pursuant to 25 U.S.C. 3001(3)(B), the one cultural item described above is ADDRESSES: Earl Stewart, Forest polished and carved elongated bone reasonably believed to have been placed Supervisor, Tongass National Forest, pendants; nine pieces of bear and sea with or near individual human remains Federal Building, 648 Mission Street, mammal teeth (comprising eight teeth); at the time of death or later as part of Ketchikan, AK 99901, telephone (907) four decorative bone pieces; one claw; the death rite or ceremony and are 228–6289, email [email protected]. and one copper knife. Four of the teeth are carved. One tooth bears the image of believed, by a preponderance of the SUPPLEMENTARY INFORMATION: Notice is a sea lion, a second tooth bears an evidence, to have been removed from a here given in accordance with the unidentifiable image, a third tooth bears specific burial site of a Native American Native American Graves Protection and linear incisions and dots, and a fourth individual. Repatriation Act (NAGPRA), 25 U.S.C. tooth is comprised of two pieces bearing • Pursuant to 25 U.S.C. 3001(2), there 3005, of the intent to repatriate cultural mirror-images of killer whales. Of the is a relationship of shared group items under the control of the U.S. decorative bone pieces, one (a bone identity that can be reasonably traced Department of Agriculture, Forest fragment) bears an oystercatcher between the unassociated funerary Service, Tongass National Forest, carving, a second (a flat bone) bears a object and the Petersburg Indian Ketchikan, AK, that meet the definition carving of a supernatural being and fish, Association and the Organized Village of unassociated funerary objects under fin, man, and octopus carvings, and a of Kake (hereafter referred to as ‘‘The 25 U.S.C. 3001. third (a flat bone) bears a halibut Tribes’’). This notice is published as part of the carving. The fourth piece (an elongated National Park Service’s administrative flat bone carved with a basketry Additional Requestors and Disposition responsibilities under NAGPRA, 25 replication design) is bent. Presumably, Lineal descendants or representatives U.S.C. 3003(d)(3). The determinations in it served as the back of the necklace. of any Indian Tribe or Native Hawaiian this notice are the sole responsibility of The flat, copper knife bears a shark organization not identified in this notice the museum, institution, or Federal design and a small drill hole. All but that wish to claim these cultural items agency that has control of the Native two pieces have a small drilled hole, should submit a written request with American cultural items. The National and have been strung on a string which information in support of the claim to Park Service is not responsible for the is not original to the object. determinations in this notice. Kah Sheets Bay lies in the traditional Earl Stewart, Forest Supervisor, Tongass National Forest, Federal Building, 648 History and Description of the Cultural territory of the Stikine/Wrangell Tlingit, and is associated with the Petersburg Mission Street, Ketchikan, AK 99901, Item Indian Association and the Wrangell telephone (907) 228–6289, email In or around the early 1900’s, one Cooperative Associations. According to [email protected], by April 22, cultural item described as a ‘‘necklace’’ Goldschmidt and Haas (1946), the 2020. After that date, if no additional and consisting of a total of 48 Kaach.adi traditionally lived/used the claimants have come forward, transfer component parts was removed from a bay. Kaach.adi people come from the of control of the unassociated funerary gravesite in Kah Sheets Bay near Stikine and the Kake traditional object to The Tribes may proceed. Petersburg, AK. The item was territories. The U.S. Department of Agriculture, discovered after a tree was felled and On October 29, 2018 the Tongass Forest Service, Tongass National Forest inside the base of the tree was an I´XT’ National Forest initiated consultation on is responsible for notifying The Tribes (Shaman) grave. The parties cutting the necklace with the Wrangell that this notice has been published.

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Dated: February 19, 2020. MICHIGAN SUMMARY: The Los Angeles County Melanie O’Brien, Wayne County Museum of Natural History has corrected an inventory of human Manager, National NAGPRA Program. Michigan Avenue Historic Commercial [FR Doc. 2020–06037 Filed 3–20–20; 8:45 am] District, South side of 3301–3461 Michigan remains, published in a Notice of BILLING CODE 4312–52–P Ave., Detroit, SG100005169 Inventory Completion in the Federal Register on August 5, 2019. This notice NORTH DAKOTA corrects the cultural affiliation. Lineal DEPARTMENT OF THE INTERIOR Burleigh County descendants or representatives of any Our Lady of the Annunciation Chapel at Indian Tribe or Native Hawaiian National Park Service Annunciation Priory, 7500 University Dr., organization not identified in this notice Bismarck, SG100005177 that wish to request transfer of control of these human remains should submit [NPS–WASO–NRNHL–DTS#–29970; UTAH PPWOCRADI0, PCU00RP14.R50000] a written request to the Los Angeles Davis County County Museum of Natural History. If National Register of Historic Places; Parrish, Joel and Elizabeth, House, 420 North no additional requestors come forward, Notification of Pending Nominations Main St., Centerville, SG100005174 transfer of control of the human remains and Related Actions Salt Lake County to the lineal descendants, Indian Tribes, or Native Hawaiian organizations stated Rosenbaum, Edward and Harriet, House, AGENCY: National Park Service, Interior. in this notice may proceed. 1428 East Circle Way, Salt Lake City, ACTION: Notice. SG100005175 DATES: Lineal descendants or Sanpete County representatives of any Indian Tribe or SUMMARY: Native Hawaiian organization not The National Park Service is Cox Family Big House Complex, 98 North soliciting comments on the significance 100 West, Manti, SG100005176 identified in this notice that wish to of properties nominated before February request transfer of control of these 29, 2020, for listing or related actions in WISCONSIN human remains should submit a written the National Register of Historic Places. Dane County request with information in support of Sylvan Avenue—Ridge Road Historic the request to the Los Angeles County DATES: Comments should be submitted Museum of Natural History at the by April 7, 2020. District, Roughly bounded by South Franklin St., Ridge Rd., Glenway St., and address in this notice by April 22, 2020. ADDRESSES: Sylvan Ave., Madison, SG100005173 Comments may be sent via ADDRESSES: Amy E. Gusick, NAGPRA U.S. Postal Service and all other carriers Nomination submitted by Federal Officer, Los Angeles County Museum of to the National Register of Historic Preservation Officer: Natural History, 900 Exposition Places, National Park Service, 1849 C St. The State Historic Preservation Boulevard, Los Angeles, CA 90007, NW, MS 7228, Washington, DC 20240. Officer reviewed the following telephone (213) 763–3370, email SUPPLEMENTARY INFORMATION: The nomination and responded to the [email protected]. Federal Preservation Officer within 45 properties listed in this notice are being SUPPLEMENTARY INFORMATION: days of receipt of the nomination and Notice is considered for listing or related actions here given in accordance with the in the National Register of Historic supports listing the property in the National Register of Historic Places. Native American Graves Protection and Places. Nominations for their Repatriation Act (NAGPRA), 25 U.S.C. consideration were received by the NEW YORK 3003, of the correction of an inventory National Park Service before February of human remains under the control of 29, 2020. Pursuant to Section 60.13 of Broome County the Los Angeles County Museum of 36 CFR part 60, written comments are United States Post Office and Courthouse, 15 Natural History, Los Angeles, CA. The being accepted concerning the Henry St., Binghamton, SG100005168 human remains were removed from the significance of the nominated properties Authority: Section 60.13 of 36 CFR part 60. Antelope Valley in northern Los under the National Register criteria for Dated: March 2, 2020. Angeles County and the southeast evaluation. portion of Kern County, CA. Julie H. Ernstein, Before including your address, phone This notice is published as part of the number, email address, or other Supervisory Archeologist, National Register of Historic Places/National Historic National Park Service’s administrative personal identifying information in your Landmarks Program. responsibilities under NAGPRA, 25 comment, you should be aware that U.S.C. 3003(d)(3). The determinations in your entire comment—including your [FR Doc. 2020–05980 Filed 3–20–20; 8:45 am] BILLING CODE 4312–52–P this notice are the sole responsibility of personal identifying information—may the museum, institution, or Federal be made publicly available at any time. agency that has control of the Native While you can ask us in your comment DEPARTMENT OF THE INTERIOR American human remains. The National to withhold your personal identifying Park Service is not responsible for the information from public review, we National Park Service determinations in this notice. cannot guarantee that we will be able to do so. [NPS–WASO–NAGPRA–NPS0029886; This notice corrects the cultural PPWOCRADN0–PCU00RP14.R50000] affiliation published in a Notice of Nominations submitted by State or Inventory Completion in the Federal Tribal Historic Preservation Officers: Notice of Inventory Completion: Los Register (84 FR 38048–38050, August 5, Angeles County Museum of Natural 2019). This correction is being made COLORADO History, Los Angeles, CA; Correction due to additional cultural affiliation Douglas County AGENCY: National Park Service, Interior. information provided. Transfer of control of the items in this correction Bayou Gulch, Address Restricted, Franktown ACTION: Notice; correction. vicinity, SG100005167 notice has not occurred.

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Correction San Manuel Band of Mission Indians, of human remains and associated In the Federal Register (84 FR 38049, California) may proceed. funerary object under the control of the August 5, 2019), column 1, paragraph 2, The Los Angeles County Museum of Pueblo Grande Museum, Phoenix, AZ. sentences 1 and 2 under the heading Natural History is responsible for The human remains and associated ‘‘Consultation’’ are corrected by notifying The Consulted and Invited funerary objects were removed from substituting the following sentences: Indian Tribes and Groups that this Manitowoc County, WI. notice has been published. This notice is published as part of the A detailed assessment of the human Dated: February 19, 2020. National Park Service’s administrative remains was made by the Los Angeles responsibilities under NAGPRA, 25 County Museum of Natural History Melanie O’Brien, U.S.C. 3003(d)(3) and 43 CFR 10.11(d). (LACMNH) professional staff in consultation Manager, National NAGPRA Program. with representatives of the San Manuel Band The determinations in this notice are [FR Doc. 2020–06035 Filed 3–20–20; 8:45 am] of Mission Indians, California (previously the sole responsibility of the museum, listed as the San Manual Band of Serrano BILLING CODE 4312–52–P institution, or Federal agency that has Mission Indians of the San Manual control of the Native American human Reservation); Fernanden˜ o Tataviam Band of remains and associated funerary objects. Mission Indians, a non-federally recognized DEPARTMENT OF THE INTERIOR The National Park Service is not Indian group; and the San Fernando Band of responsible for the determinations in Mission Indians, a non-federally recognized National Park Service Indian group. The Morongo Band of Mission this notice. [NPS–WASO–NAGPRA–NPS0029917; Indians, California (previously listed as the Consultation Morongo Band of Cahuilla Mission Indians of PPWOCRADN0–PCU00RP14.R50000] the Morongo Reservation); Santa Rosa Indian A detailed assessment of the human Community of the Santa Rosa Rancheria, Notice of Inventory Completion: remains was made by the Pueblo Grande California; and the Tejon Indian Tribe were Pueblo Grande Museum, Phoenix, AZ Museum professional staff in invited to consult but deferred to the San consultation with representatives of the AGENCY: National Park Service, Interior. Manuel Band of Mission Indians, California Fort McDowell Yavapai Nation, ACTION: (previously listed as the San Manual Band of Notice. Arizona; Gila River Indian Community Serrano Mission Indians of the San Manual of the Gila River Indian Reservation, Reservation). SUMMARY: The Pueblo Grande Museum has completed an inventory of human Arizona; Hopi Tribe of Arizona; Pueblo In the Federal Register (84 FR 38050, remains and associated funerary objects, of Acoma, New Mexico; Salt River August 5, 2019), column 2, sentence 1 in consultation with the appropriate Pima-Maricopa Indian Community of is corrected by substituting the Indian Tribes or Native Hawaiian the Salt River Reservation, Arizona; following sentence: organizations, and has determined that Yavapai-Apache Nation of the Camp Pursuant to 25 U.S.C. 3001(2), there is a there is no cultural affiliation between Verde Indian Reservation, Arizona; relationship of shared group identity that can the human remains and associated Yavapai-Prescott Indian Tribe be reasonably traced between the Native funerary objects and any present-day (previously listed as the Yavapai- American human remains and the San Indian Tribes or Native Hawaiian Prescott Tribe of the Yavapai Manuel Band of Mission Indians, California Reservation, Arizona); and the Zuni (previously listed as the San Manual Band of organizations. Representatives of any Indian Tribe or Native Hawaiian Tribe of the Zuni Reservation, New Serrano Mission Indians of the San Manual Mexico. The Citizen Potawatomi Nation, Reservation), as well as, the Fernanden˜ o organization not identified in this notice Tataviam Band of Mission Indians and the that wish to request transfer of control Oklahoma; Forest County Potawatomi San Fernando Band of Mission Indians, both of these human remains and associated Community, Wisconsin; Hannahville of which are non-federally recognized Indian funerary objects should submit a written Indian Community, Michigan; Match-e- groups. request to the Pueblo Grande Museum. be-nash-she-wish Band of Pottawatomi Indians of Michigan; Menominee Indian Additional Requestors and Disposition If no additional requestors come Tribe of Wisconsin; Nottawaseppi Lineal descendants or representatives forward, transfer of control of the human remains to the Indian Tribes or Huron Band of the Potawatomi, of any Indian Tribe or Native Hawaiian Michigan (previously listed as Huron organization not identified in this notice Native Hawaiian organizations stated in this notice may proceed. Potawatomi, Inc.); Pokagon Band of that wish to request transfer of control Potawatomi Indians, Michigan and DATES: Representatives of any Indian of these human remains should submit Indiana; Prairie Band Potawatomi Tribe or Native Hawaiian organization a written request with information in Nation (previously listed as the Prairie not identified in this notice that wish to support of the request to Amy Gusick, Band of Potawatomi Nation, Kansas) request transfer of control of these Los Angeles County Museum of Natural were invited to consult but did not human remains and associated funerary History, 900 Exposition Boulevard, Los participate. Hereafter, all Indian Tribes objects should submit a written request Angeles, CA 90007, telephone (213) listed in this section are referred to as with information in support of the 763–3370, email [email protected], by ‘‘The Consulted and Notified Tribes.’’ April 22, 2020. After that date, if no request to the Pueblo Grande Museum at additional requestors have come the address in this notice by April 22, History and Description of the Remains forward, transfer of control of the 2020. In 1937, human remains representing, human remains to the San Manuel Band ADDRESSES: Lindsey Vogel-Teeter, at minimum, one individual were of Mission Indians, California Pueblo Grande Museum, 4619 E removed from an unidentified site in (previously listed as the San Manual Washington Street, Phoenix, AZ 85034, Two Rivers, Manitowoc County, WI. Band of Serrano Mission Indians of the telephone (602) 534–1572, email Notes indicate that the unidentified San Manual Reservation); Fernanden˜ o [email protected]. collector worked for a sewer company Tataviam Band of Mission Indians (if SUPPLEMENTARY INFORMATION: Notice is and found this individual while joined to a request from the San Manuel here given in accordance with the excavating under a playground. The Band of Mission Indians, California), Native American Graves Protection and individual was described as having a and the San Fernando Band of Mission Repatriation Act (NAGPRA), 25 U.S.C. ‘‘tomahawk in skull.’’ In January 1999, Indians (if joined to a request from the 3003, of the completion of an inventory this individual was transferred to

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Pueblo Grande Museum by citizen telephone (602) 534–1572, email Washington Street, Phoenix, AZ 85034, Evelyn Anderes. The human remains [email protected], by telephone (602) 534–1572, email are fragmentary and belong to an adult April 22, 2020. After that date, if no [email protected]. 18-to-25 years old, possibly female. No additional requestors have come SUPPLEMENTARY INFORMATION: Notice is known individuals were identified. No forward, transfer of control of the here given in accordance with the associated funerary objects are present. human remains and associated funerary Native American Graves Protection and Staff at Pueblo Grande Museum have objects to The Aboriginal Land Tribes Repatriation Act (NAGPRA), 25 U.S.C. attempted to find additional information may proceed. 3003, of the completion of an inventory about the individual described in this The Pueblo Grande Museum is of human remains and associated notice. Staff have contacted the Anderes responsible for notifying The Consulted funerary objects under the control of the family and the Wisconsin State Historic and Notified Tribes that this notice has Pueblo Grande Museum, Phoenix, AZ. Preservation Office (WI SHPO). A been published. The human remains and associated researcher affiliated with the WI SHPO Dated: February 21, 2020. funerary objects were removed from AZ. was unable to locate additional This notice is published as part of the Melanie O’Brien, information regarding the collection of National Park Service’s administrative this individual. Manager, National NAGPRA Program. responsibilities under NAGPRA, 25 [FR Doc. 2020–06032 Filed 3–20–20; 8:45 am] U.S.C. 3003(d)(3). The determinations in Determinations Made by the Pueblo BILLING CODE 4312–52–P this notice are the sole responsibility of Grande Museum the museum, institution, or Federal Officials of the Pueblo Grande agency that has control of the Native Museum have determined that: DEPARTMENT OF THE INTERIOR American human remains and • Pursuant to 25 U.S.C. 3001(9), the National Park Service associated funerary objects. The human remains described in this notice National Park Service is not responsible represent the physical remains of one [NPS–WASO–NAGPRA–NPS0029916; for the determinations in this notice. individual of Native American ancestry. PPWOCRADN0–PCU00RP14.R50000] • Pursuant to 25 U.S.C. 3001(2), a Consultation relationship of shared group identity Notice of Inventory Completion: A detailed assessment of the human cannot be reasonably traced between the Pueblo Grande Museum, Phoenix, AZ remains was made by the Pueblo Grande Native American human remains and AGENCY: National Park Service, Interior. Museum professional staff in associated funerary objects and any consultation with representatives of the ACTION: present-day Indian Tribe. Notice. Hopi Tribe of Arizona; Pueblo of • According to final judgments of the SUMMARY: The Pueblo Grande Museum Acoma, New Mexico; and the Zuni Indian Claims Commission or the Court has completed an inventory of human Tribe of the Zuni Reservation, New of Federal Claims, the land from which remains and associated funerary objects, Mexico (hereafter referred to as ‘‘The the Native American human remains in consultation with the appropriate Tribes’’). were removed is the aboriginal land of Indian Tribes or Native Hawaiian History and Description of the Remains the Citizen Potawatomi Nation, organizations, and has determined that At an unknown date, prior to 1967, Oklahoma; Forest County Potawatomi there is a cultural affiliation between the human remains representing, at Community, Wisconsin; Hannahville human remains and associated funerary minimum, four individuals were Indian Community, Michigan; Match-e- objects and present-day Indian Tribes or removed from an unknown site be-nash-she-wish Band of Pottawatomi Native Hawaiian organizations. Lineal Indians of Michigan; Menominee Indian identified as ‘‘Sheep’s Crossing’’ in descendants or representatives of any Arizona. In 1967, the human remains Tribe of Wisconsin; Nottawaseppi Indian Tribe or Native Hawaiian Huron Band of the Potawatomi, were documented at Pueblo Grande organization not identified in this notice Museum. In 1995, additional human Michigan (previously listed as Huron that wish to request transfer of control Potawatomi, Inc.); Pokagon Band of remains with the same catalog number of these human remains and associated were found in Pueblo Grande Museum Potawatomi Indians, Michigan and funerary objects should submit a written Indiana; Prairie Band Potawatomi storage. In 2006, additional human request to the Pueblo Grande Museum. remains with the same catalog number Nation (previously listed as the Prairie If no additional requestors come Band of Potawatomi Nation, Kansas). were found at residence of former forward, transfer of control of the Pueblo Grande Museum Director Don Hereafter, these Indian Tribes are human remains and associated funerary referred to as ‘‘The Aboriginal Land Hiser. The human remains range from objects to the lineal descendants, Indian complete to partial in preservation, and Tribes.’’ Tribes, or Native Hawaiian • Pursuant to 43 CFR 10.11(c)(1), the belong to an elderly adult female, a organizations stated in this notice may disposition of the human remains and possible adult male, and two adult proceed. associated funerary objects may be to individuals of indeterminant sex. No The Aboriginal Land Tribes. DATES: Lineal descendants or known individuals were identified. The representatives of any Indian Tribe or 11 associated funerary objects include Additional Requestors and Disposition Native Hawaiian organization not one lot lithics, one shell bracelet Representatives of any Indian Tribe or identified in this notice that wish to fragment, one lot shell, one lot Tularosa Native Hawaiian organization not request transfer of control of these and Reserve Black-on-white sherds, one identified in this notice that wish to human remains and associated funerary Cibola whiteware sherd, two lots brown request transfer of control of these objects should submit a written request ware sherds, one unidentified glaze human remains and associated funerary with information in support of the ware sherd, one polychrome sherd, one objects should submit a written request request to the Pueblo Grande Museum at lot Tularosa style red-on-white sherds, with information in support of the the address in this notice by April 22, and one lot faunal bone. Based on the request to request to Lindsey Vogel- 2020. associated funerary object types, these Teeter, Pueblo Grande Museum, 4619 E ADDRESSES: Lindsey Vogel-Teeter, human remains are likely Ancestral Washington Street, Phoenix, AZ 85034, Pueblo Grande Museum, 4619 E Pueblo.

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At an unknown date, likely in the that wish to request transfer of control public record for this investigation may 1900s, human remains representing, at of these human remains and associated be viewed on the Commission’s minimum, four individuals, were funerary objects should submit a written Electronic Document Information removed from an unidentified site along request with information in support of System (EDIS) at https://edis.usitc.gov. Highway 87 between Payson and the request to Lindsey Vogel-Teeter, Hearing-impaired persons are advised Winslow in Coconino, Gila, or Navajo Pueblo Grande Museum, 4619 E. that information on this matter can be County, AZ. Sometime prior to 1995, Washington Street, Phoenix, AZ 85034, obtained by contacting the these human remains and associated telephone (602) 534–1572, email Commission’s TDD terminal on (202) funerary objects were transferred to [email protected], by 205–1810. Pueblo Grande Museum, and were April 22, 2020. After that date, if no SUPPLEMENTARY INFORMATION: The identified during a Museum collection additional requestors have come Commission has received an amended inventory. The partial human remains forward, transfer of control of the complaint and a submission pursuant to include skulls and isolated teeth. They human remains and associated funerary § 210.8(b) of the Commission’s Rules of represent four individuals: A young objects to The Tribes may proceed. Practice and Procedure filed on behalf adult female, an infant of indeterminant The Pueblo Grande Museum is of Luraco Health & Beauty, LLC on sex, an adult of indeterminant sex, and responsible for notifying The Tribes that March 17, 2020. The original complaint a young-to-middle aged adult of this notice has been published. was filed on February 4, 2020 and a indeterminant sex. No known Dated: February 21, 2020. notice of receipt of complaint; individuals were identified. The three Melanie O’Brien, solicitation of comments relating to the associated funerary objects include one Manager, National NAGPRA Program. public interest published in the Federal St. John’s black-on-red sherd, one [FR Doc. 2020–06033 Filed 3–20–20; 8:45 am] Register on February 10, 2020. The corrugated sherd, and one black-on- amended complaint alleges violations of BILLING CODE 4312–52–P white sherd. Based on the associated section 337 of the Tariff Act of 1930 (19 funerary object types and geographic U.S.C. 1337) in the importation into the location, these human remains are likely United States, the sale for importation, INTERNATIONAL TRADE Ancestral Pueblo. and the sale within the United States COMMISSION Cultural affiliation between Ancestral after importation of certain spa pumps, Pueblo and modern-day Pueblo tribes is Notice of Receipt of Amended jet pump housings, pedicure spas, demonstrated by geographic, historical, components thereof, and products architectural, and oral traditional Complaint; Solicitation of Comments Relating to the Public Interest containing same. The amended evidence. These Tribes include the complaint names as respondents: GTP Pueblo of Acoma, New Mexico and the AGENCY: U.S. International Trade International Corporation of Dallas TX. Zuni Tribe of the Zuni Reservation, New Commission. The amended complaint alleges Mexico. ACTION: Notice. infringement of U.S. Patent Nos. The Hopi Tribe of Arizona considers 9,926,933; D622,736; D751,723; and all of Arizona to be within traditional SUMMARY: Notice is hereby given that 10,451,071. The complainant requests Hopi lands or within areas where Hopi the U.S. International Trade that the Commission issue a general clans migrated in the past. Oral Commission has received an amended exclusion, or in the alternative issue a traditions and material culture complaint entitled Certain Spa Pumps, limited exclusion order, and a cease demonstrate continuity between the Jet Pump Housings, Pedicure Spas, desist order. prehistoric Ancestral Pueblo people and Components Thereof, and Products Proposed respondents, other the Hopi people. Containing the Same, DN 3432; the interested parties, and members of the Determinations Made by the Pueblo Commission is soliciting comments on public are invited to file comments on Grande Museum any public interest issues raised by the any public interest issues raised by the amended complaint or complainant’s Officials of the Pueblo Grande amended complaint or § 210.8(b) filing. filing pursuant to the Commission’s Comments should address whether Museum have determined that: Rules of Practice and Procedure. • Pursuant to 25 U.S.C. 3001(9), the issuance of the relief specifically human remains described in this notice FOR FURTHER INFORMATION CONTACT: Lisa requested by the complainant in this represent the physical remains of eight R. Barton, Secretary to the Commission, investigation would affect the public individuals of Native American U.S. International Trade Commission, health and welfare in the United States, ancestry. 500 E Street SW, Washington, DC competitive conditions in the United • Pursuant to 25 U.S.C. 3001(3)(A), 20436, telephone (202) 205–2000. The States economy, the production of like the 14 objects described in this notice public version of the amended or directly competitive articles in the are reasonably believed to have been complaint can be accessed on the United States, or United States placed with or near individual human Commission’s Electronic Document consumers. remains at the time of death or later as Information System (EDIS) at https:// In particular, the Commission is part of the death rite or ceremony. edis.usitc.gov, and will be available for interested in comments that: • Pursuant to 25 U.S.C. 3001(2), there inspection during official business (i) Explain how the articles is a relationship of shared group hours (8:45 a.m. to 5:15 p.m.) in the potentially subject to the requested identity that can be reasonably traced Office of the Secretary, U.S. remedial orders are used in the United between the Native American human International Trade Commission, 500 E States; remains and associated funerary objects Street SW, Washington, DC 20436, (ii) identify any public health, safety, and The Tribes. telephone (202) 205–2000. or welfare concerns in the United States General information concerning the relating to the requested remedial Additional Requestors and Disposition Commission may also be obtained by orders; Lineal descendants or representatives accessing its internet server at United (iii) identify like or directly of any Indian Tribe or Native Hawaiian States International Trade Commission competitive articles that complainant, organization not identified in this notice (USITC) at https://www.usitc.gov. The its licensees, or third parties make in the

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United States which could replace the confidential treatment is properly proposed information collection subject articles if they were to be sought, submitted to the Commission for instrument with instructions or excluded; purposes of this Investigation may be additional information, please contact (iv) indicate whether complainant, disclosed to and used: (i) By the Kevin R. Furtick, Chief, Evaluation and complainant’s licensees, and/or third Commission, its employees and Offices, Assessment Unit, 1234 Range Road, party suppliers have the capacity to and contract personnel (a) for Quantico, VA, [email protected], 703– replace the volume of articles developing or maintaining the records 632–3222. Written comments and/or potentially subject to the requested of this or a related proceeding, or (b) in suggestions can also be sent to the exclusion order and/or a cease and internal investigations, audits, reviews, Office of Management and Budget, desist order within a commercially and evaluations relating to the Office of Information and Regulatory reasonable time; and programs, personnel, and operations of Affairs, Attention Department of Justice (v) explain how the requested the Commission including under 5 Desk Officer, Washington, DC 20503 or remedial orders would impact United U.S.C. Appendix 3; or (ii) by U.S. sent to OIRA_submissions@ States consumers. government employees and contract omb.eop.gov. Written submissions on the public personnel,2 solely for cybersecurity interest must be filed no later than by SUPPLEMENTARY INFORMATION: Written purposes. All nonconfidential written comments and suggestions from the close of business, eight calendar days submissions will be available for public after the date of publication of this public and affected agencies concerning inspection at the Office of the Secretary the proposed collection of information notice in the Federal Register. There and on EDIS.3 will be further opportunities for are encouraged. Your comments should This action is taken under the address one or more of the following comment on the public interest after the authority of section 337 of the Tariff Act issuance of any final initial four points: of 1930, as amended (19 U.S.C. 1337), ➢ Evaluate whether the proposed determination in this investigation. Any and of §§ 201.10 and 210.8(c) of the written submissions on other issues collection of information is necessary Commission’s Rules of Practice and for the proper performance of the must also be filed by no later than the Procedure (19 CFR 201.10, 210.8(c)). close of business, eight calendar days functions of the Department of Justice, By order of the Commission. after publication of this notice in the Federal Bureau of Investigation, Federal Register. Complainant may file Issued: March 17, 2020. Training Division, including whether replies to any written submissions no Lisa Barton, the information will have practical Secretary to the Commission. utility; later than three calendar days after the ➢ date on which any initial submissions [FR Doc. 2020–06010 Filed 3–20–20; 8:45 am] Evaluate the accuracy of the agency’s estimate of the burden of the were due. Any submissions and replies BILLING CODE 7020–02–P filed in response to this Notice are proposed collection of information, limited to five (5) pages in length, including the validity of the methodology and assumptions used; inclusive of attachments. DEPARTMENT OF JUSTICE ➢ Persons filing written submissions Evaluate whether and if so how the must file the original document Federal Bureau of Investigation quality, utility, and clarity of the information to be collected can be electronically on or before the deadlines [OMB Number 1110–0076] stated above and submit 8 true paper enhanced; and ➢ Minimize the burden of the copies to the Office of the Secretary by Agency Information Collection collection of information on those who noon the next day pursuant to § 210.4(f) Activities; Proposed eCollection are to respond, including through the of the Commission’s Rules of Practice eComments Requested; Revision of a use of appropriate automated, and Procedure (19 CFR 210.4(f)). Currently Approved Collection Submissions should refer to the docket electronic, mechanical, or other number (‘‘Docket No. 3432’’) in a AGENCY: Federal Bureau of technological collection techniques or prominent place on the cover page and/ Investigation, Department of Justice. other forms of information technology, or the first page. (See Handbook for ACTION: 30 Day notice. e.g., permitting electronic submission of Electronic Filing Procedures, Electronic responses. SUMMARY: The Department of Justice, Filing Procedures).1 Persons with Overview of This Information Federal Bureau of Investigation, questions regarding filing should Collection contact the Secretary (202–205–2000). Training Division is submitting the Any person desiring to submit a following information collection request 1. Type of Information Collection: document to the Commission in to the Office of Management and Budget New Collection. confidence must request confidential (OMB) for review and approval in 2. The Title of the Form/Collection: treatment. All such requests should be accordance with the Paperwork FBI Training Generic Clearance. directed to the Secretary to the Reduction Act of 1995. 3. The agency form number, if any, Commission and must include a full DATES: The Department of Justice and the applicable component of the statement of the reasons why the encourages public comment and will Department sponsoring the collection: Commission should grant such accept input until April 22, 2020. There is no agency form number for this collection. The applicable component treatment. See 19 CFR 201.6. Documents FOR FURTHER INFORMATION CONTACT: If within the Department of Justice is the for which confidential treatment by the you have additional comments Federal Bureau of Investigation, Commission is properly sought will be especially on the estimated public Training Division, Evaluation and treated accordingly. All information, burden or associated response time, including confidential business Assessment Unit. suggestions, or need a copy of the 4. Affected public who will be asked information and documents for which or required to respond, as well as a brief 2 All contract personnel will sign appropriate 1 Handbook for Electronic Filing Procedures: nondisclosure agreements. abstract: Respondents of this collection https://www.usitc.gov/documents/handbook_on_ 3 Electronic Document Information System include members of the State, Local or filing_procedures.pdf. (EDIS): https://edis.usitc.gov. Tribal Government Law Enforcement

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community and Federal Government FOR FURTHER INFORMATION CONTACT: NATIONAL SCIENCE FOUNDATION Law Enforcement partners. This Copies of the submission may be collection will gather feedback from FBI obtained by contacting Mackie Malaka Advisory Committee for Environmental training programs to ensure the training at (703) 548–2704, emailing Research and Education delivered is realistic and relevant to [email protected], or viewing AGENCY: Office of Integrative Activities, today’s law enforcement partners. the entire information collection request Office of the Director, National Science 5. An estimate of the total number of at www.reginfo.gov. Foundation. respondents and the amount of time estimated for an average respondent to SUPPLEMENTARY INFORMATION: ACTION: Notice of open meeting: respond: Respondents are estimated to OMB Number: 3133–0094. Cancellation. be 10,000 annually with an estimated Title: Suspicious Activity Report, 12 SUMMARY: On February 21, 2020, the time to complete each survey to be less CFR part 748.1. National Science Foundation published than 10 minutes each per respondent a notice of open meeting announcing a per collection. Form: None. meeting on March 25–26, 2020 of the 6. An estimate of the total public Type of Review: Extension of a Advisory Committee for Environmental burden (in hours) associated with the currently approved collection. Research and Education. This notice collection: The total estimated time for Abstract: The Financial Crimes announces the cancellation of this respondents to complete these Enforcement Network (FinCEN), meeting. evaluations is approximately 8,750 hours. Department of the Treasury, was granted DATES: The meeting scheduled for If additional information is required broad authority to require suspicious March 25–26, 2020, announced in the contact: Melody Braswell, Department transaction reporting under the Bank February 21, 2020, issue of the Federal Clearance Officer, United States Secrecy Act (BSA) (31 U.S.C. 5318(g)). Register (FR Doc. 2020–03469, 85 FR Department of Justice, Justice FinCEN joined with the bank regulators 10197), is cancelled. Management Division, Policy and in adopting and requiring reports of FOR FURTHER INFORMATION CONTACT: Planning Staff, Two Constitution suspicious transactions on a Brandi Schottel, Executive Secretary, Square, 145 N Street NE, 3E.405A, consolidated suspicious activity report National Science Foundation, 2415 Washington, DC 20530. (SARs) form. This simplified the process Eisenhower Avenue, Alexandria, VA Dated: March 17, 2020. through which banks inform their 22314; Phone: (703) 292–4798; email: Melody Braswell, regulators and law enforcement about [email protected]. suspected criminal activity. In 2011, Department Clearance Officer for PRA, U.S. Dated: March 17, 2020. Department of Justice. FinCEN transitioned from industry Crystal Robinson, specific paper forms to one [FR Doc. 2020–05976 Filed 3–20–20; 8:45 am] Committee Management Officer. electronically filed dynamic and BILLING CODE 4410–18–P interactive BSA–SAR for use by all [FR Doc. 2020–05974 Filed 3–20–20; 8:45 am] filing institutions. Information about BILLING CODE 7555–01–P NATIONAL CREDIT UNION suspicious transactions conducted or ADMINISTRATION attempted by, at, through, or otherwise involving credit unions are collected NUCLEAR REGULATORY Submission for OMB Review; through FinCEN’s BSA E-filing system COMMISSION Comment Request by credit unions. A SAR is to be filed [NRC–2019–0085] no later than 30 calendar days from the AGENCY: National Credit Union date of the initial detection of facts that Administration (NCUA). Information Collection: NRC Forms may constitute a basis for filing a SAR. 366, 366A, and 366B, ‘‘Licensee Event ACTION: Notice. If no suspect can be identified, the Report’’; Correction SUMMARY: The National Credit Union period for filing a SAR is extended to 60 days. FinCEN and law enforcement AGENCY: Nuclear Regulatory Administration (NCUA), as part of a Commission. continuing effort to reduce paperwork agencies use the information on BSA– and respondent burden, invites the SARs and the supporting ACTION: Notice of submission to the general public and other Federal documentation retained by the banks for Office of Management and Budget; agencies to comment on the following criminal investigation and prosecution extension of comment period; and extension of a currently approved purposes. correction. collection, as required by the Paperwork Affected Public: Private Sector: Not- SUMMARY: The U.S. Nuclear Regulatory Reduction Act of 1995. for-profit institutions. Commission (NRC) is correcting a notice DATES: Written comments should be Estimated Total Annual Burden that was published in the Federal received on or before April 22, 2020 to Hours: 191,019. Register (FR) on February 26, 2020, be assured of consideration. providing notice of submission to the ADDRESSES: Written comments and By Gerard Poliquin, Secretary of the Board, Office of Management and Budget and recommendations for the proposed the National Credit Union Administration, on requesting comment. This action is information collection should be sent March 18, 2020. necessary to amend the annual within 30 days of publication of this Dated: March 18, 2020. responses and burden hours to include notice to www.reginfo.gov/public/do/ Mackie I. Malaka, the burden and responses associated PRAMain. Find this particular NCUA PRA Clearance Officer. cyber security events. The NRC has information collection by selecting [FR Doc. 2020–06069 Filed 3–20–20; 8:45 am] decided to extend the public comment ‘‘Currently under 30-day Review—Open period to allow more time for members BILLING CODE 7535–01–P for Public Comments’’ or by using the of the public to develop and submit search function. their comments. The public comment

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period was originally scheduled to close SUMMARY: The U.S. Nuclear Regulatory MEAG Power SPVJ, LLC., MEAG Power on March 27, 2020. Commission (NRC) staff has determined SPVP, LLC., and the City of Dalton, DATES: The correction is effective March that specified inspections, tests, and Georgia, (hereafter called the licensee) 23, 2020. The due date of comments analyses have been successfully has submitted ITAAC closure requested in the document published on completed, and that specified notifications (ICNs) under section February 26, 2020 (85 FR 11126) is acceptance criteria are met for the 52.99(c)(1) of title 10 of the Code of extended. Comments should be filed no Vogtle Electric Generating Plant (VEGP), Federal Regulations (10 CFR), informing later than April 22, 2020. Comments Units 3 and 4. the NRC that the licensee has received after this date will be DATES: Determinations of the successful successfully performed the required considered, if it is practical to do so, but completion of inspections, tests, and inspections, tests, and analyses, and that the Commission is able to ensure analyses for VEGP Units 3 and 4 are the acceptance criteria are met for: consideration only for comments effective on the dates indicated in the VEGP Unit 3 ITAAC received on or before this date. NRC staff’s verification evaluation forms 2.1.02.08d.ii (33), 2.2.03.08c.xii (197), ADDRESSES: Submit comments directly for the inspections, tests, analyses, and to the OMB reviewer at: OMB Office of acceptance criteria (ITAAC). 2.2.03.09a.ii (202), 2.5.02.08b.i (542), 2.5.02.10 (549), 2.5.02.11 (550), Information and Regulatory Affairs ADDRESSES: Please refer to Docket ID 2.5.02.12 (551), 3.2.00.02 (745), (3150–0104), Attn: Desk Officer for the NRC–2008–0252 when contacting the 3.3.00.02a.ii.f (769), 3.3.00.04b (782), Nuclear Regulatory Commission, 725 NRC about the availability of and E.3.9.05.01.07 (855). 17th Street NW, Washington, DC 20503; information regarding this document. email: [email protected]. You may obtain publicly-available VEGP Unit 4 ITAAC FOR FURTHER INFORMATION CONTACT: information related to this document 2.5.02.10 (549), 2.5.02.12 (551), and David Cullison, NRC Clearance Officer, using any of the following methods: • 3.3.00.04b (782). U.S. Nuclear Regulatory Commission, Federal Rulemaking website: Go to The ITAAC for VEGP Unit 3 are in Washington, DC 20555–0001; telephone: https://www.regulations.gov and search Appendix C of the VEGP Unit 3 301–415–2084; email: for Docket ID NRC–2008–0252. Address combined license (ADAMS Accession [email protected]. questions about NRC docket IDs in No. ML14100A106). The ITAAC for SUPPLEMENTARY INFORMATION: In the Regulations.gov to Jennifer Borges; VEGP Unit 4 are in Appendix C of VEGP Federal Register on February 26, 2020, telephone: 301–287–9127; email: Unit 4 combined license (ADAMS in FR Doc. 2020–03826 on page 11127, [email protected]. For technical Accession No. ML14100A135). in the first column, the response to questions, contact the individual listed question 7 is changed from ‘‘350’’ to in the FOR FURTHER INFORMATION II. Licensee ITAAC Post-Closure ‘‘542 (442 reporting responses plus 100 CONTACT section of this document. Notifications (IPCNs) • recordkeepers).’’ In the second column, NRC’s Agencywide Documents Since the last Federal Register notice the response to question 9 is changed Access and Management System of the NRC staff’s determinations of from ‘‘The total estimated burden for (ADAMS): You may obtain publicly successful completion of inspections, completing Licensee Event Reports is available documents online in the tests, and analyses for VEGP Units 3 and 28,000 hours (based on 80 hours for ADAMS Public Documents collection at 4, the NRC staff has not made additional each of 350 reports).’’ to ‘‘The total https://www.nrc.gov/reading-rm/ determinations of the successful estimated burden from completing adams.html. To begin the search, select completion of inspections, tests, and Licensee Event Reports is 35,360 hours ‘‘Begin Web-based ADAMS Search.’’ For analyses based on licensee IPCNs (28,288 hours reporting plus 7,072 problems with ADAMS, please contact submitted under 10 CFR 52.99(c)(2). hours recordkeeping).’’ the NRC’s Public Document Room (PDR) reference staff at 1–800–397–4209, 301– III. NRC Staff Determination of Dated at Rockville, Maryland, this 18th day 415–4737, or by email to pdr.resource@ Completion of ITAAC of March 2020. nrc.gov. The ADAMS accession number The NRC staff has determined that the For the Nuclear Regulatory Commission. for each document referenced in this specified inspections, tests, and David C. Cullison, document (if that document is available analyses have been successfully NRC Clearance Officer, Office of the Chief in ADAMS) is provided the first time completed, and that the specified Information Officer. that a document is referenced. acceptance criteria are met. The [FR Doc. 2020–06064 Filed 3–20–20; 8:45 am] • NRC’s PDR: You may examine and documentation of the NRC staff’s BILLING CODE 7590–01–P purchase copies of public documents at determination is in the ITAAC Closure the NRC’s PDR, Room O1–F21, One Verification Evaluation Form (VEF) for White Flint North, 11555 Rockville each ITAAC. The VEF is a form that NUCLEAR REGULATORY Pike, Rockville, Maryland 20852. represents the NRC staff’s structured COMMISSION FOR FURTHER INFORMATION CONTACT: process for reviewing ICNs and IPCNs. [Docket Nos. 52–025 and 52–026; NRC– Cayetano Santos, Office of Nuclear Each ICN presents a narrative 2008–0252] Reactor Regulation, U.S. Nuclear description of how the ITAAC was Regulatory Commission, Washington, completed. The NRC’s ICN review Southern Nuclear Operating Company, DC 20555–0001; telephone: 301–415– process involves a determination on Inc., Vogtle Electric Generating Plant, 7270, email: [email protected]. whether, among other things: (1) Each Units 3 and 4 Inspections, Tests, SUPPLEMENTARY INFORMATION: ICN provides sufficient information, Analyses, and Acceptance Criteria including a summary of the I. Licensee Notification of Completion methodology used to perform the AGENCY: Nuclear Regulatory of ITAAC Commission. ITAAC, to demonstrate that the Southern Nuclear Operating inspections, tests, and analyses have ACTION: Determination of the successful Company, Inc. (SNC), Georgia Power been successfully completed; (2) each completion of inspections, tests, and Company, Oglethorpe Power ICN provides sufficient information to analyses. Corporation, MEAG Power SPVM, LLC., demonstrate that the acceptance criteria

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of the ITAAC are met; and (3) any NRC reactors/new-licensing-files/vog4- meeting, and must pertain to the topics inspections for the ITAAC have been icnsr.pdf. on the agenda for the meeting. completed and any ITAAC findings Dated at Rockville, Maryland, this 17th day 2. Questions and comments from associated with that ITAAC have been of March 2020. members of the public will be permitted closed. The NRC’s review process for For the Nuclear Regulatory Commission. at designated times during the meeting, IPCNs is similar to that for ICNs but at the discretion of the ACMUI Victor E. Hall, focuses on how the licensee addressed Chairman. the new, material information giving Chief, Vogtle Project Office, Office of Nuclear 3. The draft transcript and meeting Reactor Regulation. rise to the IPCN. summary will be available on the The NRC staff’s determination of the [FR Doc. 2020–06057 Filed 3–20–20; 8:45 am] ACMUI’s website http://www.nrc.gov/ successful completion of these ITAAC is BILLING CODE 7590–01–P reading-rm/doc-collections/acmui/ based on information available at this meetings/2020.html on or about May 12, time and is subject to the licensee’s 2020. NUCLEAR REGULATORY ability to maintain the condition that This meeting will be held in COMMISSION the acceptance criteria are met. If the accordance with the Atomic Energy Act NRC staff receives new information that Advisory Committee on the Medical of 1954, as amended (primarily Section suggests the NRC staff’s determination Uses of Isotopes: Meeting Notice 161a); the Federal Advisory Committee on any of these ITAAC is incorrect, then Act (5 U.S.C. App); and the the NRC staff will determine whether to AGENCY: U.S. Nuclear Regulatory Commission’s regulations in Title 10 of reopen that ITAAC (including Commission. the Code of Federal Regulations, Part 7. withdrawing the NRC staff’s ACTION: Re-notice of meeting. Dated at Rockville, Maryland this 18th day determination on that ITAAC). The NRC of March, 2020. staff’s determination will be used to SUMMARY: The U.S. Nuclear Regulatory For the U.S. Nuclear Regulatory support a subsequent finding, pursuant Commission (NRC) will convene a Commission. to 10 CFR 52.103(g), at the end of meeting of the Advisory Committee on Russell E. Chazell, construction that all acceptance criteria the Medical Uses of Isotopes (ACMUI) in the combined license are met. The on March 30, 2020. This meeting notice, Advisory Committee Management Officer. ITAAC closure process is not finalized published in the Federal Register on [FR Doc. 2020–06073 Filed 3–20–20; 8:45 am] for these ITAAC until the NRC makes an February 19, 2020, is being re-noticed to BILLING CODE 7590–01–P affirmative finding under 10 CFR inform members of the public that this 52.103(g). Any future updates to the meeting will now be conducted on status of these ITAAC will be reflected March 30, 2020 via teleconference. OFFICE OF PERSONNEL on the NRC’s website at https:// DATES: March 30, 2020 from 9:30 a.m. to MANAGEMENT www.nrc.gov/reactors/new-reactors/ 5:00 p.m. Eastern Standard Time. oversight/itaac.html. Submission for Review: 3206–0216, We FOR FURTHER INFORMATION CONTACT: Ms. This notice fulfills the NRC staff’s Need Important Information About Kellee Jamerson, email: obligations under 10 CFR 52.99(e)(1) to Your Eligibility for Social Security [email protected], telephone: publish a notice in the Federal Register Disability Benefits, RI 98–7 (301) 415–7408. of the NRC staff’s determination of the SUPPLEMENTARY INFORMATION: The AGENCY: Office of Personnel successful completion of inspections, Management. tests, and analyses. current agenda and any updates are available at http://www.nrc.gov/reading- ACTION: 60-Day notice and request for Vogtle Electric Generating Plant Unit 3, rm/doc-collections/acmui/meetings/ comments. Docket No. 5200025 2020.html or by emailing Ms. Kellee SUMMARY: The Retirement Services, A complete list of the review status Jamerson at the contact information Office of Personnel Management (OPM) for VEGP Unit 3 ITAAC, including the above. The agenda is subject to change. offers the general public and other submission date and ADAMS Accession Purpose: Discuss issues related to 10 federal agencies the opportunity to Number for each ICN received, the CFR part 35 Medical Use of Byproduct comment on a revised information ADAMS Accession Number for each Material. collection request (ICR), We Need VEF, and the ADAMS Accession Public Participation: Any member of Important Information About Your Numbers for the inspection reports the public who wishes to participate in Eligibility for Social Security Disability associated with these specific ITAAC, the meeting should contact Ms. Benefits, RI 98–7. can be found on the NRC’s website at Jamerson using the information above. https://www.nrc.gov/reactors/new- The meeting will also use the WebEx DATES: Comments are encouraged and reactors/new-licensing-files/vog3- application. will be accepted until May 22, 2020. icnsr.pdf. ADDRESSES: You may submit comments, Conduct of the Meeting identified by docket number and title, Vogtle Electric Generating Plant Unit 4, Darlene Metter, M.D. will chair the by any of the following methods: Docket No. 5200026 meeting. Dr. Metter will conduct the • Federal eRulemaking Portal: http:// A complete list of the review status meeting in a manner that will facilitate www.regulations.gov. Follow the for VEGP Unit 4 ITAAC, including the the orderly conduct of business. The instructions for submitting comments. submission date and ADAMS accession following procedures apply to public Instructions: All submissions received number for each ICN and IPCN received, participation in the meeting: must include the agency name, docket the ADAMS accession number for each 1. Persons who wish to provide a number and title for this Federal VEF, and the ADAMS accession written statement should submit an Register document. The general policy numbers for the inspection reports electronic copy to Ms. Jamerson using for comments and other submissions associated with these specific ITAAC, the contact information listed above. All from members of the public is to make can be found on the NRC’s website at submittals must be received by March these submissions available for public https://www.nrc.gov/reactors/new- 25, 2020, three business days before the viewing on the internet at http://

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www.regulations.gov as they are Affected Public: Individuals or chapter 35) as amended by the Clinger- received without change, including any Households. Cohen Act (Pub. L. 104–106), OPM is personal identifiers or contact Number of Respondents: 4,300. soliciting comments for this collection information. Estimated Time per Respondent: 5 (OMB No. 3206–0142). The Office of minutes. FOR FURTHER INFORMATION CONTACT: A Management and Budget is particularly Total Burden Hours: 358. copy of this ICR with applicable interested in comments that: supporting documentation, may be Office of Personnel Management. 1. Evaluate whether the proposed obtained by contacting the Retirement Alexys Stanley, collection of information is necessary Services Publications Team, Office of Regulatory Affairs Analyst. for the proper performance of functions of the agency, including whether the Personnel Management, 1900 E Street [FR Doc. 2020–06018 Filed 3–20–20; 8:45 am] information will have practical utility; NW, Room 3316–L, Washington, DC BILLING CODE 6325–38–P 20415, Attention: Cyrus S. Benson, or 2. Evaluate the accuracy of the sent via email to Cyrus.Benson@ agency’s estimate of the burden of the opm.gov or faxed to (202) 606–0910 or OFFICE OF PERSONNEL proposed collection of information, reached via telephone at (202) 606– MANAGEMENT including the validity of the 4808. methodology and assumptions used; Submission for Review: 3206–0142, 3. Enhance the quality, utility, and SUPPLEMENTARY INFORMATION: As Designation of Beneficiary: Civil clarity of the information to be required by the Paperwork Reduction Service Retirement System (CSRS), SF collected; and Act of 1995 (Pub. L. 104–13, 44 U.S.C. 2808 4. Minimize the burden of the chapter 35) as amended by the Clinger- collection of information on those who Cohen Act (Pub. L. 104–106), OPM is AGENCY: Office of Personnel are to respond, including through the soliciting comments for this collection Management. use of appropriate automated, (OMB No. 3206–0216). The Office of ACTION: 60-day notice and request for electronic, mechanical, or other Management and Budget is particularly comments. technological collection techniques or interested in comments that: other forms of information technology, 1. Evaluate whether the proposed SUMMARY: The Retirement Services, e.g., permitting electronic submissions collection of information is necessary Office of Personnel Management (OPM) of responses. for the proper performance of functions offers the general public and other SF 2808 is used by persons covered of the agency, including whether the federal agencies the opportunity to by CSRS to designate a beneficiary to information will have practical utility; comment on a revised information receive the lump sum payment due from 2. Evaluate the accuracy of the collection request (ICR), Designation of the Civil Service Retirement and agency’s estimate of the burden of the Beneficiary: Civil Service Retirement Disability Fund in the event of their proposed collection of information, System, SF 2808. death. including the validity of the DATES: Comments are encouraged and methodology and assumptions used; will be accepted until May 22, 2020. Analysis 3. Enhance the quality, utility, and ADDRESSES: You may submit comments, Agency: Retirement Operations, clarity of the information to be identified by docket number and/or Retirement Services, Office of Personnel collected; and Regulatory Information Number (RIN) Management. 4. Minimize the burden of the and title, by the following method: Title: Designation of Beneficiary: Civil collection of information on those who • Federal Rulemaking Portal: http:// Service Retirement System. are to respond, including through the www.regulations.gov. Follow the OMB: 3206–0142. use of appropriate automated, instructions for submitting comments. Frequency: On occasion. electronic, mechanical, or other All submissions received must Affected Public: Individuals or technological collection techniques or include the agency name and docket Households. other forms of information technology, number or RIN for this document. The Number of Respondents: 2,000. e.g., permitting electronic submissions general policy for comments and other Estimated Time per Respondent: 15 of responses. submissions from members of the public minutes. RI 98–7 is used by OPM to verify is to make these submissions available Total Burden Hours: 500. receipt of Social Security for public viewing at http:// Office of Personnel Management. Administration (SSA) disability www.regulations.gov as they are Alexys Stanley, benefits, to lessen or avoid overpayment received without change, including any Regulatory Affairs Analyst. to Federal Employees Retirement personal identifiers or contact [FR Doc. 2020–06030 Filed 3–20–20; 8:45 am] System (FERS) disability retirees. It information notifies the annuitant of the BILLING CODE 6325–38–P responsibility to notify OPM if SSA FOR FURTHER INFORMATION CONTACT: A benefits begin and the overpayment that copy of this ICR with applicable will occur with the receipt of both supporting documentation, may be OFFICE OF PERSONNEL benefits. obtained by contacting the Retirement MANAGEMENT Services Publications Team, Office of Analysis Personnel Management, 1900 E Street Submission for Review: 3206–0190, Agency: Retirement Operations, NW, Room 3316–L, Washington, DC Application for Deferred or Postponed Retirement Services, Office of Personnel 20415, Attention: Cyrus S. Benson, or Retirement: Federal Employees Management. sent by email to [email protected] Retirement System, RI 92–19 or faxed to (202) 606–0910 or reached Title: We Need Important Information AGENCY: Office of Personnel About Your Eligibility for Social via telephone at (202) 606–4808. Management. SUPPLEMENTARY INFORMATION: As Security Disability Benefits. ACTION: 60-Day notice and request for required by the Paperwork Reduction OMB Number: 3206–0216. comments. Frequency: On occasion. Act of 1995 (Pub. L. 104–13, 44 U.S.C.

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SUMMARY: The Retirement Services, technological collection techniques or FOR FURTHER INFORMATION CONTACT: A Office of Personnel Management (OPM) other forms of information technology, copy of this ICR with applicable offers the general public and other e.g., permitting electronic submissions supporting documentation, may be federal agencies the opportunity to of responses. obtained by contacting the Retirement comment on a revised information RI 92–19 is used by separated Services Publications Team, Office of collection request (ICR), Application for employees to apply for either a deferred Personnel Management, 1900 E Street Deferred or Postponed Retirement: or a postponed FERS annuity benefit. NW, Room 3316–L, Washington, DC Federal Employees Retirement System, Analysis 20415, Attention: Cyrus S. Benson, or RI 92–19. sent via electronic mail to DATES: Comments are encouraged and Agency: Retirement Operations, [email protected] or faxed to will be accepted until May 22, 2020. Retirement Services, Office of Personnel (202) 606–0910 or reached via telephone Management. ADDRESSES: You may submit comments, at (202) 606–4808. Title: Application for Deferred or identified by docket number and title, Postponed Retirement: Federal SUPPLEMENTARY INFORMATION: As by any of the following methods: required by the Paperwork Reduction • Federal eRulemaking Portal: http:// Employees Retirement System (FERS). OMB Number: 3206–0190. Act of 1995 (Pub. L. 104–13, 44 U.S.C. www.regulations.gov. Follow the Frequency: On occasion. chapter 35) as amended by the Clinger- instructions for submitting comments. Affected Public: Individuals or Cohen Act (Pub. L. 104–106), OPM is Instructions: All submissions received Households. soliciting comments for this collection must include the agency name, docket Number of Respondents: 1964. (OMB No. 3206–0218). The Office of number and title for this Federal Estimated Time per Respondent: 60 Management and Budget is particularly Register document. The general policy minutes. interested in comments that: for comments and other submissions Total Burden Hours: 1964. 1. Evaluate whether the proposed from members of the public is to make Office of Personnel Management. collection of information is necessary these submissions available for public for the proper performance of functions viewing on the internet at http:// Alexys Stanley, Regulatory Affairs Analyst. of the agency, including whether the www.regulations.gov as they are information will have practical utility; received without change, including any [FR Doc. 2020–06029 Filed 3–20–20; 8:45 am] 2. Evaluate the accuracy of the personal identifiers or contact BILLING CODE 6325–38–P information. agency’s estimate of the burden of the proposed collection of information, FOR FURTHER INFORMATION CONTACT: A OFFICE OF PERSONNEL including the validity of the copy of this ICR, with applicable MANAGEMENT methodology and assumptions used; supporting documentation, may be 3. Enhance the quality, utility, and obtained by contacting the Retirement Submission for Review: 3206–0218, clarity of the information to be Services Publications Team, Office of Death Benefit Payment Rollover collected; and Personnel Management, 1900 E Street Election, RI 94–7 4. Minimize the burden of the NW, Room 3316–L, Washington, DC collection of information on those who 20415–0001, Attention: Cyrus S. AGENCY: Office of Personnel are to respond, including through the Benson, or sent via email to Management. use of appropriate automated, [email protected] or faxed to ACTION: 60-Day notice and request for electronic, mechanical, or other (202) 606–0910 or reached via telephone comments. technological collection techniques or at (202) 606–4808. SUMMARY: The Retirement Services, other forms of information technology, SUPPLEMENTARY INFORMATION: As Office of Personnel Management (OPM) e.g., permitting electronic submissions required by the Paperwork Reduction offers the general public and other of responses. Act of 1995 (Pub. L. 104–13, 44 U.S.C. federal agencies the opportunity to chapter 35) as amended by the Clinger- RI 94–7 provides Federal Employees comment on a revised information Cohen Act (Pub. L. 104–106), OPM is Retirement System (FERS) surviving collection request (ICR), Death Benefit soliciting comments for this collection spouses and former spouses with the Payment Rollover Election, RI 94–7. (OMB No. 3206–0190). The Office of means to elect payment of FERS Management and Budget is particularly DATES: Comments are encouraged and rollover-eligible benefits directly or to interested in comments that: will be accepted until May 22, 2020. an Individual Retirement Arrangement 1. Evaluate whether the proposed ADDRESSES: You may submit comments, (IRA), eligible employer plan or Thrift collection of information is necessary identified by docket number and title, Savings Plan (TSP) account. for the proper performance of functions by any of the following methods: Analysis of the agency, including whether the • Federal eRulemaking Portal: http:// information will have practical utility; www.regulations.gov. Follow the Agency: Retirement Operations, 2. Evaluate the accuracy of the instructions for submitting comments. Retirement Services, Office of Personnel agency’s estimate of the burden of the Instructions: All submissions received Management. proposed collection of information, must include the agency name, docket Title: Death Benefit Payment Rollover including the validity of the number and title for this Federal Election Form. methodology and assumptions used; Register document. The general policy OMB Number: 3206–0218. 3. Enhance the quality, utility, and for comments and other submissions Frequency: On occasion. clarity of the information to be from members of the public is to make Affected Public: Individuals or collected; and these submissions available for public 4. Minimize the burden of the viewing on the internet at http:// Households. collection of information on those who www.regulations.gov as they are Number of Respondents: 3,444. are to respond, including through the received without change, including any Estimated Time per Respondent: 1 use of appropriate automated, personal identifiers or contact hour. electronic, mechanical, or other information. Total Burden Hours: 3,444.

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Office of Personnel Management. for the proper performance of functions DATES: Comments are encouraged and Alexys Stanley, of OPM, including whether the will be accepted until May 22, 2020. Regulatory Affairs Analyst. information will have practical utility; ADDRESSES: You may submit comments, [FR Doc. 2020–06013 Filed 3–20–20; 8:45 am] 2. Evaluate the accuracy of OPM’s identified by docket number and/or BILLING CODE 6325–38–P estimate of the burden of the proposed Regulatory Information Number (RIN) collection of information, including the and title, by the following method: validity of the methodology and • Federal Rulemaking Portal: http:// OFFICE OF PERSONNEL assumptions used; www.regulations.gov. Follow the MANAGEMENT 3. Enhance the quality, utility, and instructions for submitting comments. clarity of the information to be All submissions received must Submission for Review: 3206–0144, We collected; and include the agency name and docket Need the Social Security Number of 4. Minimize the burden of the number or RIN for this document. The the Person Named Below, RI 38–45 collection of information on those who general policy for comments and other are to respond, including through the AGENCY: Office of Personnel submissions from members of the public Management. use of appropriate automated, is to make these submissions available electronic, mechanical, or other ACTION: for public viewing at http:// 60-Day notice and request for technological collection techniques or comments. www.regulations.gov as they are other forms of information technology, received without change, including any SUMMARY: The Retirement Services, e.g., permitting electronic submissions personal identifiers or contact Office of Personnel Management (OPM) of responses. information. RI 38–45 is used by the Civil Service offers the general public and other FOR FURTHER INFORMATION CONTACT: A Retirement System and the Federal Federal agencies the opportunity to copy of this ICR with applicable Employees Retirement System to comment on a revised information supporting documentation, may be identify the records of individuals with collection request (ICR), We Need the obtained by contacting the Retirement similar or the same names. It is also Social Security Number of the Person Services Publications Team, Office of needed to report payments to the Named Below, RI 38–45. Personnel Management, 1900 E Street Internal Revenue Service. DATES: Comments are encouraged and NW, Room 3316–L, Washington, DC will be accepted until May 22, 2020. Analysis 20415, Attention: Cyrus S. Benson, or ADDRESSES: You may submit comments, Agency: Retirement Operations, sent by email to [email protected] identified by docket number and/or Retirement Services, Office of Personnel or faxed to (202) 606–0910 or reached Regulatory Information Number (RIN) Management. via telephone at (202) 606–4808. and title, by the following method: • Title: We Need the Social Security SUPPLEMENTARY INFORMATION: As Federal Rulemaking Portal: http:// required by the Paperwork Reduction www.regulations.gov. Follow the Number of the Person Named Below. OMB Number: 3206–0144. Act of 1995 (Public Law 104–13, 44 instructions for submitting comments. U.S.C. chapter 35) as amended by the All submissions received must Frequency: On occasion. Affected Public: Individual or Clinger-Cohen Act (Pub. L. 104–106), include the agency name and docket OPM is soliciting comments for this number or RIN for this document. The Households. Number of Respondents: 3,000. collection (OMB No. 3206–0144). The general policy for comments and other Estimated Time Per Respondent: 5 Office of Management and Budget is submissions from members of the public minutes. particularly interested in comments is to make these submissions available Total Burden Hours: 250. for public viewing at http:// that: 1. Evaluate whether the proposed www.regulations.gov as they are Office of Personnel Management. collection of information is necessary received without change, including any Alexys Stanley, for the proper performance of functions personal identifiers or contact Regulatory Affairs Analyst. of OPM, including whether the information. [FR Doc. 2020–06027 Filed 3–20–20; 8:45 am] information will have practical utility; FOR FURTHER INFORMATION CONTACT: A BILLING CODE 6325–38–P 2. Evaluate the accuracy of OPM’s copy of this ICR with applicable estimate of the burden of the proposed supporting documentation, may be collection of information, including the OFFICE OF PERSONNEL obtained by contacting the Retirement validity of the methodology and MANAGEMENT Services Publications Team, Office of assumptions used; Personnel Management, 1900 E Street Submission for Review: 3206–0144, We 3. Enhance the quality, utility, and NW, Room 3316–L, Washington, DC clarity of the information to be 20415, Attention: Cyrus S. Benson, or Need the Social Security Number of the Person Named Below, RI 38–45 collected; and sent by email to [email protected] 4. Minimize the burden of the or faxed to (202) 606–0910 or reached AGENCY: Office of Personnel collection of information on those who via telephone at (202) 606–4808. Management. are to respond, including through the SUPPLEMENTARY INFORMATION: As ACTION: 60-Day notice and request for use of appropriate automated, required by the Paperwork Reduction comments. electronic, mechanical, or other Act of 1995 (Pub. L. 104–13, 44 U.S.C. technological collection techniques or chapter 35) as amended by the Clinger- SUMMARY: The Retirement Services, other forms of information technology, Cohen Act (Pub. L. 104–106), OPM is Office of Personnel Management (OPM) e.g., permitting electronic submissions soliciting comments for this collection offers the general public and other of responses. (OMB No. 3206–0144). The Office of Federal agencies the opportunity to RI 38–45 is used by the Civil Service Management and Budget is particularly comment on a revised information Retirement System and the Federal interested in comments that: collection request (ICR), We Need the Employees Retirement System to 1. Evaluate whether the proposed Social Security Number of the Person identify the records of individuals with collection of information is necessary Named Below, RI 38–45. similar or the same names. It is also

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needed to report payments to the Services Publications Team, Office of OFFICE OF PERSONNEL Internal Revenue Service. Personnel Management, 1900 E Street MANAGEMENT NW, Room 3316–L, Washington, DC Analysis 20415, Attention: Cyrus S. Benson, or Submission for Review: 3206–0233, Agency: Retirement Operations, sent by email to [email protected] Civil Service Retirement System Retirement Services, Office of Personnel or faxed to (202) 606–0910 or reached Survivor Annuitant Express Pay Management. via telephone at (202) 606–4808. Application for Death Benefits, RI 25– Title: We Need the Social Security SUPPLEMENTARY INFORMATION: As 51 Number of the Person Named Below. required by the Paperwork Reduction AGENCY: Office of Personnel OMB Number: 3206–0144. Act of 1995 (Pub. L. 104–13, 44 U.S.C. Management. Frequency: On occasion. chapter 35) as amended by the Clinger- Affected Public: Individual or ACTION: 60-Day notice and request for Cohen Act (Pub. L. 104–106), OPM is comments. Households. soliciting comments for this collection Number of Respondents: 3,000. (OMB No. 3206–0237). The Office of SUMMARY: The Retirement Services, Estimated Time per Respondent: 5 Management and Budget is particularly Office of Personnel Management (OPM) minutes. interested in comments that: offers the general public and other Total Burden Hours: 250. 1. Evaluate whether the proposed federal agencies the opportunity to Office of Personnel Management. collection of information is necessary comment on a revised information Alexys Stanley, for the proper performance of functions collection request (ICR), Civil Service Regulatory Affairs Analyst. of OPM, including whether the Retirement System Survivor Annuitant information will have practical utility; Express Pay Application for Death [FR Doc. 2020–06017 Filed 3–20–20; 8:45 am] 2. Evaluate the accuracy of OPM’s BILLING CODE 6325–38–P Benefits, RI 25–51. estimate of the burden of the proposed DATES: Comments are encouraged and collection of information, including the will be accepted until May 22, 2020. validity of the methodology and OFFICE OF PERSONNEL ADDRESSES: You may submit comments, MANAGEMENT assumptions used; 3. Enhance the quality, utility, and identified by docket number and title, clarity of the information to be by any of the following methods: Submission for Review: 3206–0237, • Federal eRulemaking Portal: http:// collected; and Information and Instructions on Your www.regulations.gov. Follow the Reconsideration Rights, RI 38–47 4. Minimize the burden of the collection of information on those who instructions for submitting comments. Instructions: All submissions received AGENCY: are to respond, including through the Office of Personnel must include the agency name, docket use of appropriate automated, Management. number and title for this Federal electronic, mechanical, or other ACTION: 60-Day Notice and request for Register document. The general policy technological collection techniques or comments. for comments and other submissions other forms of information technology, from members of the public is to make SUMMARY: The Retirement Services, e.g., permitting electronic submissions these submissions available for public Office of Personnel Management (OPM) of responses. viewing on the internet at http:// offers the general public and other RI 38–47 outlines the procedures required to request reconsideration of an www.regulations.gov as they are Federal agencies the opportunity to received without change, including any comment on a revised information initial OPM decision about Civil Service or Federal Employees retirement, personal identifiers or contact collection request (ICR), Information information. and Instruction on Your Federal or Retired Federal Employees Reconsideration Rights, RI 38–47. Health Benefits requests to enroll or FOR FURTHER INFORMATION CONTACT: A copy of this ICR with applicable DATES: Comments are encouraged and change enrollment or Federal supporting documentation, may be will be accepted until May 22, 2020. Employees’ Group Life Insurance coverage. This form lists the procedures obtained by contacting the Retirement ADDRESSES: You may submit comments, and time periods required for requesting Services Publications Team, Office of identified by docket number and title, reconsideration. Personnel Management, 1900 E Street by any of the following methods: • NW, Room 3316–L, Washington, DC Federal eRulemaking Portal: http:// Analysis 20415, Attention: Cyrus S. Benson, or www.regulations.gov. Follow the Agency: Retirement Operations, sent via electronic mail to instructions for submitting comments. Retirement Services, Office of Personnel [email protected] or faxed to Instructions: All submissions received Management. (202) 606–0910 or reached via telephone must include the agency name, docket Title: Information and Instruction on at (202) 606–4808. number and title for this Federal Your Reconsideration Rights. SUPPLEMENTARY INFORMATION: As Register document. The general policy OMB: 3206–0237. required by the Paperwork Reduction for comments and other submissions Frequency: On occasion. Act of 1995 (Pub. L. 104–13, 44 U.S.C. from members of the public is to make Affected Public: Individuals or chapter 35) as amended by the Clinger- these submissions available for public Households. Cohen Act (Pub. L. 104–106), OPM is viewing on the internet at http:// Number of Respondents: 3,100. soliciting comments for this collection www.regulations.gov as they are Estimated Time per Respondent: 45 (OMB No. 3206–0233). The Office of received without change, including any minutes. Management and Budget is particularly personal identifiers or contact Total Burden Hours: 2,325 hours. interested in comments that: information. Office of Personnel Management. 1. Evaluate whether the proposed FOR FURTHER INFORMATION CONTACT: A Alexys Stanley, collection of information is necessary copy of this ICR with applicable Regulatory Affairs Analyst. for the proper performance of functions supporting documentation, may be [FR Doc. 2020–06016 Filed 3–20–20; 8:45 am] of the agency, including whether the obtained by contacting the Retirement BILLING CODE 6325–38–P information will have practical utility;

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2. Evaluate the accuracy of the Federal agencies the opportunity to e.g., permitting electronic submissions agency’s estimate of the burden of the comment on a revised information of responses. RI 20–64, Letter Reply to proposed collection of information, collection request (ICR), Letter Reply to Request for Information, is used by the including the validity of the Request for Information, RI 20–64 and Civil Service Retirement System (CSRS) methodology and assumptions used; Information on Electing a Survivor to provide information about the 3. Enhance the quality, utility, and Annuity for Your Former Spouse, RI 20– amount of annuity payable after a clarity of the information to be 64A. survivor reduction, to explain the collected; and DATES: Comments are encouraged and annuity reductions required to pay for 4. Minimize the burden of the will be accepted until May 22, 2020. the survivor benefit, and to give the collection of information on those who ADDRESSES: You may submit comments, beginning rate of survivor annuity. RI are to respond, including through the identified by docket number and title, 20–64A, Former Spouse Survivor use of appropriate automated, by any of the following methods: Annuity Election, is used by the CSRS electronic, mechanical, or other • Federal eRulemaking Portal: http:// to obtain a survivor benefits election technological collection techniques or www.regulations.gov. Follow the from annuitants who are eligible to elect other forms of information technology, instructions for submitting comments. to provide survivor benefits for a former e.g., permitting electronic submissions Instructions: All submissions received spouse. RI 20–64B, Information on of responses. must include the agency name, docket Electing a Survivor Annuity for Your RI 25–51 will be used by the Civil number and title for this Federal Former Spouse, is a pamphlet that Service Retirement System solely to pay Register document. The general policy provides important information to benefits to the widow(er) of an for comments and other submissions retirees under the CSRS who want to annuitant. This application is intended from members of the public is to make provide a survivor annuity for a former for use in immediately authorizing these submissions available for public spouse. payments to an annuitant’s widow or viewing on the internet at http:// Analysis widower, based on the report of death, www.regulations.gov as they are when our records show the decedent received without change, including any Agency: Retirement Operations, elected to provide benefits for the personal identifiers or contact Retirement Services, Office of Personnel applicant. information. Management. Title: Letter Reply to Request for Analysis FOR FURTHER INFORMATION CONTACT: A Information; Former Spouse Survivor Agency: Retirement Operations, copy of this ICR, with applicable Annuity Election. Retirement Services, Office of Personnel supporting documentation, may be OMB Number: 3206–0235. Management. obtained by contacting the Retirement Frequency: On occasion. Title: Civil Service Retirement System Services Publications Team, Office of Affected Public: Individual or Survivor Annuitant Express Pay Personnel Management, 1900 E Street Households. Application for Death Benefits. NW, Room 3316–L, Washington, DC Number of Respondents: 38. OMB: 3206–0233. 20415, Attention: Cyrus S. Benson, or Estimated Time Per respondent: 45 Frequency: On occasion. sent via electronic mail to minutes for RI 20–64A and 8 minutes Affected Public: Individuals or [email protected] or faxed to for RI 20–64. Households. (202) 606–0910 or reached via telephone Total Burden Hours: 24. Number of Respondents: 34,800. at (202) 606–4808. Office of Personnel Management. Estimated Time per Respondent: 30 SUPPLEMENTARY INFORMATION: As Alexys Stanley, minutes. required by the Paperwork Reduction Regulatory Affairs Analyst. Total Burden Hours: 17,400. Act of 1995 (Pub. L. 104–13, 44 U.S.C. [FR Doc. 2020–06026 Filed 3–20–20; 8:45 am] Office of Personnel Management. chapter 35) as amended by the Clinger- BILLING CODE 6325–38–P Alexys Stanley, Cohen Act (Pub. L. 104–106), OPM is soliciting comments for this collection Regulatory Affairs Analyst. (OMB No. 3206–0235). The Office of OFFICE OF PERSONNEL [FR Doc. 2020–06028 Filed 3–20–20; 8:45 am] Management and Budget is particularly MANAGEMENT BILLING CODE 6325–38–P interested in comments that: 1. Evaluate whether the proposed Submission for Review: 3206–0032, collection of information is necessary OFFICE OF PERSONNEL Self-Certification of Full-Time School for the proper performance of functions MANAGEMENT Attendance for the School Year, RI 25– of OPM, including whether the 14 and Information and Instructions for Submission for Review: 3206–0235, information will have practical utility; Completing the Self-Certification of Letter Reply To Request for 2. Evaluate the accuracy of OPM’s Full-Time School Attendance For The Information, RI 20–64; Former Spouse estimate of the burden of the proposed School Year, RI 25–14A Survivor Annuity Election, RI 20–64A; collection of information, including the Information on Electing a Survivor validity of the methodology and AGENCY: Office of Personnel Annuity for Your Former Spouse, RI assumptions used; Management. 3. Enhance the quality, utility, and 20–64B ACTION: 60-Day notice and request for clarity of the information to be comments. AGENCY: Office of Personnel collected; and Management. 4. Minimize the burden of the SUMMARY: The Retirement Services, ACTION: 60-Day Notice and request for collection of information on those who Office of Personnel Management (OPM) comments. are to respond, including through the offers the general public and other use of appropriate automated, federal agencies the opportunity to SUMMARY: The Retirement Services, electronic, mechanical, or other comment on a revised information Office of Personnel Management (OPM) technological collection techniques or collection request (ICR), Self- offers the general public and other other forms of information technology, Certification of Full-Time School

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Attendance For The School Year, RI 25– RI 25–14 is used to survey survivor instrument with applicable supporting 14 and Information and Instructions for annuitants who are between the ages of documentation, may be obtained by Completing the Self-Certification of 18 and 22 to determine if they meet the contacting the Retirement Services Full-Time School Attendance For The requirements of Section 8341(a)(4)(C), Publications Team, Office of Personnel School Year, RI 25–14A. and Section 8441, title 5, U.S. Code, to Management, 1900 E Street NW, Room DATES: Comments are encouraged and receive benefits as a student. RI 25–14A 3316–L, Washington, DC 20415, will be accepted until May 22, 2020. provides instructions for completing the Attention: Cyrus S. Benson, or sent via ADDRESSES: You may submit comments, Self-Certification of Full-Time School electronic mail to Cyrus.Benson@ identified by docket number and title, Attendance For The School Year survey opm.gov or faxed to (202) 606–0910 or by any of the following methods: form. via telephone at (202) 606–4808. • Federal eRulemaking Portal: http:// Analysis SUPPLEMENTARY INFORMATION: As www.regulations.gov. Follow the required by the Paperwork Reduction instructions for submitting comments. Agency: Retirement Operations, Act of 1995 (Pub. L. 104–13, 44 U.S.C. Instructions: All submissions received Retirement Services, Office of Personnel chapter 35) OPM is soliciting comments must include the agency name, docket Management. for this collection (OMB No. 3206– Title: Self-Certification of Full-Time number and title for this Federal NEW). We are particularly interested in School Attendance For The School Year Register document. The general policy comments that: and Information and Instructions for for comments and other submissions 1. Evaluate whether the proposed Completing the Self-Certification of from members of the public is to make collection of information is necessary Full-Time School Attendance For The these submissions available for public for the proper performance of functions School Year. viewing on the internet at http:// of the agency, including whether the OMB Number: 3206–0032. www.regulations.gov as they are information will have practical utility; received without change, including any Frequency: On occasion. Affected Public: Individuals or 2. Evaluate the accuracy of the personal identifiers or contact Households. agency’s estimate of the burden of the information. Number of Respondents: 14,000. proposed collection of information, FOR FURTHER INFORMATION CONTACT: A Estimated Time per Respondent: 12 including the validity of the copy of this ICR with applicable minutes. methodology and assumptions used; supporting documentation, may be Total Burden Hours: 2,800. 3. Enhance the quality, utility, and clarity of the information to be obtained by contacting the Retirement Office of Personnel Management. Services Publications Team, Office of collected; and Alexys Stanley, 4. Minimize the burden of the Personnel Management, 1900 E Street Regulatory Affairs Analyst. NW, Room 3316–L, Washington, DC collection of information on those who 20415, Attention: Cyrus S. Benson, or [FR Doc. 2020–06020 Filed 3–20–20; 8:45 am] are to respond, including through the sent via email to Cyrus.Benson@ BILLING CODE 6325–38–P use of appropriate automated, opm.gov or faxed to (202) 606–0910 or electronic, mechanical, or other technological collection techniques or reached via telephone at (202) 606– OFFICE OF PERSONNEL 4808. other forms of information technology, MANAGEMENT e.g., permitting electronic submissions SUPPLEMENTARY INFORMATION: As Information Collection: Standard Form of responses. required by the Paperwork Reduction Standard Form 3119 will be used to Act of 1995 (Pub. L. 104–13, 44 U.S.C. 3119—Application for Court-Ordered Benefits for Former Spouses collect the necessary information on the chapter 35) as amended by the Clinger- inaugural attempt, which eliminates the Cohen Act (Pub. L. 104–106), OPM is AGENCY: Office of Personnel need to re-contact the customer to soliciting comments for this collection Management. gather additional required information, (OMB No. 3206–0032). The Office of ACTION: 60-Day notice and request for ensure that OPM can process the Management and Budget is particularly comments. apportionment correctly, and eliminate interested in comments that: any delay in payment to the customers. 1. Evaluate whether the proposed SUMMARY: The Retirement Services, collection of information is necessary Office of Personnel Management (OPM) Analysis for the proper performance of functions offers the general public and other Agency: Retirement Operations, of the agency, including whether the federal agencies the opportunity to Retirement Services, Office of Personnel information will have practical utility; comment on a new information Management. 2. Evaluate the accuracy of the collection, Standard Form 3119— Title: Application for Court-Ordered agency’s estimate of the burden of the Application for Court-Ordered Benefits Benefits for Former Spouses (SF 3119). proposed collection of information, for Former Spouses. OMB Number: 3206–NEW. including the validity of the DATES: Comments are encouraged and Frequency: On occasion. methodology and assumptions used; will be accepted until May 22, 2020. Affected Public: Individuals or 3. Enhance the quality, utility, and ADDRESSES: Interested persons are Households. clarity of the information to be Number of Respondents: collected; and invited to submit written comments on the proposed information collection to approximately 2,500 annually. 4. Minimize the burden of the Estimated Time per Respondent: 60 collection of information on those who Retirement Services, Office of Personnel Management, 1900 E Street NW, minutes. are to respond, including through the Total Burden Hours: 2,500 hours. use of appropriate automated, Washington, DC 20415, Attention: electronic, mechanical, or other Alberta Butler, Room 2347–E, or sent Office of Personnel Management. technological collection techniques or via electronic mail to Alberta.Butler@ Alexys Stanley, other forms of information technology, opm.gov. Regulatory Affairs Analyst. e.g., permitting electronic submissions FOR FURTHER INFORMATION CONTACT: A [FR Doc. 2020–06014 Filed 3–20–20; 8:45 am] of responses. copy of this information collection BILLING CODE 6325–38–P

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POSTAL REGULATORY COMMISSION The Response disputes the basis of the of his mail and request restoration of Postal Service’s claims and alleges that mail service to his porch. Id. at 5–6. [Docket No. C2020–1; Order No. 5455] genuine issues of fact and law exist that Complainant claims that he notified Complaint Proceeding preclude the Commission from granting Postal Service representatives that the Motion to Dismiss. See Response at Cookie had been adopted out of his AGENCY: Postal Regulatory Commission. 11–15. residence but that notification did not ACTION: Notice. Chairman’s Information Request No. 1 result in the restoration of his mail. Id. was issued on January 16, 2020,4 which at 6. Specifically, he states that he SUMMARY: The Commission is the Postal Service responded to on received a visit from a Postal Service appointing a presiding officer to set a January 23, 2020.5 Chairman’s inspector who had a positive interaction procedural schedule and conduct Information Request No. 2 6 was issued with the remaining dog at his residence, limited discovery for the purpose of February 4, 2020, to which the Postal but that this report ‘‘had no impact on determining disputed issues of fact in Service responded on February 18, management’’ as the hold on the case. This notice informs the public 2020,7 after requesting 8 and receiving 9 Complainant’s mail continued. Id. at 5. of the filing and takes other an extension of time to respond. Complainant alleges that the Postal administrative steps. Complainant replied to the Response to Service’s proffered solution to his mail 10 FOR FURTHER INFORMATION CONTACT: CHIR No. 2 on February 24, 2020. delivery issue was to relocate his For the reasons discussed below, the David A. Trissell, General Counsel, at mailbox to the intersection of his Commission concludes that the 202–789–6820. driveway and sidewalk, which was Complaint raises material issues of fact, unacceptable to Complainant because of SUPPLEMENTARY INFORMATION: and therefore denies the Postal Service’s his ongoing concerns about theft from Table of Contents Motion to Dismiss pursuant to 39 U.S.C. his mailbox. Id. at 4, 7, Exhibit A. He 3662(b) and 39 CFR 3030.30(a)(1). states that his attempts at mounting the I. Introduction and Procedural History Accordingly, the Commission appoints mailbox at another location on his side II. Complaint a presiding officer to set a procedural III. Motion To Dismiss fence located ‘‘approximately 10 feet 6 IV. Response to Motion To Dismiss schedule and conduct limited discovery inches from the sidewalk’’ were V. Information Requests and Reply for the purpose of determining disputed rebuffed by the Postal Service. VI. Commission Analysis and Limited issues of fact in the case. 39 CFR Complaint at 9–10. He claims that his Discovery 3030.21. The scope of the discovery treatment was discriminatory because VII. Ordering Paragraphs proceeding will be limited only to fact- other similarly situated mailers, finding conducted by the presiding I. Introduction and Procedural History including neighbors with well-behaved officer on specific matters of fact dogs and ‘‘other resident[s] whose On December 23, 2019, Randall identified in this order. premises present no dangers to the letter Ehrlich (Complainant) filed a complaint II. Complaint carrier’’ are still receiving mail at their pursuant to 39 U.S.C. 3662(a) and 403(c) residences. Complaint at 13. He requests concerning an ongoing suspension of Complainant alleges that shortly after that the Commission require delivery to mail service to his home.1 an encounter between his dog Cookie be restored to his porch mailbox and On January 13, 2020, the Postal and a mail carrier at his residence in ‘‘that all discriminatory acts and Service filed a motion to dismiss the July of 2015, mail has not been omissions’’ against Complainant ‘‘cease Complaint, asserting that the delivered to his porch mailbox in immediately.’’ Id. at 14. Complainant fails to state a claim upon violation of 39 U.S.C. 403(c). Complaint which relief can be granted, the at 4–5. He states the cessation of mail III. Motion To Dismiss Commission lacks statutory authority to has continued despite the fact that The Postal Service contends that grant the remedy requested, and that res Cookie no longer resides at dismissing the Complaint is appropriate judicata precludes the Commission Complainant’s home. Id. at 5. He states because Complainant fails to state a from considering the allegations set that he attempted to contact postal claim upon which relief can be granted, forth in the Complaint.2 The Postal representatives at the Ballard Postal and cites lack of Commission Service’s Motion to Dismiss here stands Annex to inquire about the non-delivery jurisdiction, mootness, and res judicata in place of an answer as required by 39 as additional grounds for dismissal. CFR 3030.12 because the Motion to 4 Chairman’s Information Request No. 1, January Motion to Dismiss at 8, 20, 22. It Dismiss contains the material issues of 16, 2020 (CHIR No. 1). justifies the cessation of mail delivery to 5 Responses of the United States Postal Service to Complainant’s residence by framing the fact which the Postal Service relied Questions No 1–2 of Chairman’s Information upon in determining that it did not Request No. 1, January 23, 2020 (Response to CHIR matter as one of carrier safety. Id. at 5– unlawfully discriminate against the No. 1). 6. It cites section 623.3 of the Postal Complainant. See 39 CFR 3030.14. 6 Chairman’s Information Request No. 2, February Operations Manual, which provides that Complainant timely responded to the 4, 2020 (CHIR No. 2). ‘‘ ‘[d]elivery service may be suspended 7 United States Postal Service Response to 3 when there is an immediate threat Motion to Dismiss on January 31, 2020. Questions 1–4 or Chairman’s Information Request No. 2, February 18, 2020 (Response to CHIR No. 2). (including, but not limited to threats 1 Complaint of Randall Ehrlich, December 23, 8 United States Postal Service Motion for due to loose animals) to the delivery 2019 (Complaint). Extension of Time to File Response to Questions 1– employee . . .’ ’’ Id. at 6 n.24. The 2 United States Postal Service Motion to Dismiss 4 of Chairman’s Information Request No. 2, Postal Service states that contrary to with Prejudice the Complaint of Randall Ehrlich, February 11, 2020 (Postal Service Motion). Complainant’s claim, he is not similarly January 13, 2020 (Motion to Dismiss). 9 Order Granting Motion for Extension of Time to 3 Response to Motion to Dismiss, January 31, 2020 File Responses to Chairman’s Information Request situated to other postal customers with (Response). Concurrent with the Response, No. 2, February 12, 2020 (Order No. 5425). Order well-behaved dogs and whose premises Complainant also filed a motion requesting that the No. 5425 also granted Complainant additional time present no dangers to the letter carrier Commission accept his delayed filing. Motion for to respond to the Postal Service’s answers. because ‘‘he has been and remains the Extension of Time of Approximately Ninety 10 Response to USPS’s Answers to Chairman Minutes, January 31, 2020 (Complainant’s Motion). Information Request No. 2, with Third Ehrlich owner of at least one dog that behaved The Commission hereby grants the Complainant’s Declaration, February 24, 2020 (Reply to CHIR No. in such a manner that a dog hold was Motion. 2 Responses). issued.’’ Id. at 10 (footnote omitted). As

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such, it goes on to state, the allegations a greater risk of an unexpected dog Postal Service violate 39 U.S.C. 403(c). in the Complaint do not violate § 403(c) attack. Id. question 2. It states that the Viewed in the light most favorable to as any disparate treatment between him location chosen by the Postal Service is Complainant, the allegations in the and well-behaved dog owners is safer because it does not place the mail Complaint may raise a cognizable claim reasonable to ensure carrier safety. Id. at carrier in the direct path of the front of undue or unreasonable 15. The Postal Service alleges that the door, should a dog run out. Id. It also discrimination. The Commission also Complainant ‘‘admits he has been and allows the letter carrier to see the front recognizes that the Postal Service has a remains the owner of at least one dog door and have a few more seconds of legitimate interest in ensuring mail whose behavior required the issuance of warning to take cover by the bushes carrier safety and providing a work a dog hold.’’ Id. at 13. alongside the fence if a dog were to environment consistent with OSHA On the issue of mailbox placement, attack from Complainant’s residence. Id. regulations. Accordingly, the the Postal Service cites section 623.1 of In Response to CHIR No. 2, the Postal Commission’s role in this inquiry is not the Postal Operations Manual for the Service states that after Cookie was to question that interest, but to proposition that the Postal Service may adopted out, the Complainant allegedly determine if the current postal policy, as withdraw service to a delivery point if acquired a second dog, who ‘‘also applied to the Complainant, presents a a customer does not provide a mail behaved aggressively when the letter potential violation of 39 U.S.C. 403(c). receptacle in a postal-approved location carrier attempted to deliver mail to Additionally, the Commission finds after being given written notification to Complainant’s residence.’’ Response to the Postal Service’s arguments of lack of do so. Id. at 16. According to the Postal CHIR No. 2, question 1.a. (footnote jurisdiction, mootness, and res judicata Service, the Complainant’s refusal to omitted). It goes on to state that if the unpersuasive. The Postal Service alleges comply with mailbox placement at the Complainant contends that the second lack of jurisdiction and mootness as alternate location approved by the dog is also no longer present, the Postal overlapping grounds for dismissal, in Postal Service is a legitimate reason to Service may still continue to withhold effect stating that because an aggressive continue suspending mail delivery to mail from Complainant’s residence. dog still resides at Complainant’s the Complainant’s residence. Id. at 18. According to the Postal Service, this residence, the Commission has no ongoing hold is justified because IV. Response to Motion To Dismiss authority to override internal postal Complainant has not notified policy on mail delivery 12 and that the In the Response, the Complainant management that there is no longer an Postal has ‘‘already offered any remedy claims that without an individualized aggressive dog present, has not the Commission might provide.’’ See id. assessment of the dogs currently at his demonstrated that the dog hold should at 20. Because the Postal Service residence, the Postal Service is be lifted, and has failed to comply with assumes that aggressive dogs still reside ‘‘excessive, unreasonable, and highly the mailbox relocation necessitated by at Complainant’s residence, despite discriminatory’’ in applying a dog hold the original dog hold. Response to Id. Complainant’s statements, the Postal in perpetuity to a residence where the question 1.b. It states that Occupational Service’s arguments regarding mootness offending dog may no longer reside. Safety and Health Administration and lack of jurisdiction necessarily fail. Response at 9. Complainant also notes (OSHA) issued a complaint on February Similarly, it states that the Commission that the Seattle District’s Animal/Insect 15, 2017, related to Complainant’s is precluded from considering the 11 Policy provides that mail delivery aggressive dog(s), which resulted in a allegations set forth in the Complaint may be resumed when the carrier feels determination by local management that due to res judicata. Id. at 22. The no immediate threat. Response at 13. Complainant’s mailbox needed to be Commission notes that although it has Complainant notes that after the moved to ensure mail carrier safety. Id. dismissed a previous complaint brought singular incident in July 2015, no question 1.d., Exhibit 3. The Postal by the Complainant with some similar further complaints were made and Service also states that ‘‘a single, allegations,13 the instant complaint failure to restore mail to the porch positive interaction with an animal raises new allegations of discriminatory mailbox after Cookie left constitutes an while its owner/caregiver is present and treatment distinct from other similarly abuse of discretion by the district nearby—whether experienced by a situated mailers. Complaint at 13. manager. Id. Postal Service employee or an OSHA Therefore, the Postal Service’s Motion inspector—is insufficient to warrant the V. Information Requests and Reply to Dismiss is denied pursuant to 39 discontinuance of a dog hold.’’ U.S.C. 3662(b). The Postal Service clarified that it Response to CHIR No. 2, question 2.a. The outstanding issues of fact does not have specific knowledge of the In the Reply to CHIR No. 2 Responses, required to resolve whether a violation dogs currently residing at Complainant’s Complainant disputes a number of of 39 U.S.C. 403(c) occurred are: residence, but states that ‘‘dog holds are allegations made by the Postal Service, 1. Whether any dogs remain at not specific to a particular dog or animal including: (1) That Cookie never Complainant’s residence that are at a customer’s residence.’’ Response to attacked or was aggressive toward the aggressive or could be a threat to carrier CHIR No. 1, question 1.a. It goes on to mail carrier in 2015; (2) that any of the safety. state that once a ‘‘dog hold’’ letter is dogs residing at his home have been 2. Whether postal management issued, it ‘‘remains in effect indefinitely aggressive towards the mail carrier; and followed non-discriminatory processes until management, in consultation with (3) the sidewalk fence mailbox location in its continuance of a dog hold on the letter carrier, determines that mail is not a viable option due to theft complainant’s residence. can safely be resumed.’’ Id. (footnote concerns. Reply to CHIR No. 2 3. Whether the alternate mailbox site omitted). Responses, Third Declaration of Randall proposed by the Complainant was a The Postal Service states that Ehrlich at 2–4. reasonable compromise between carrier Complainant’s offer to mount a mail box VI. Commission Analysis and Limited safety and complainant’s security on his side fence is unacceptable concerns. because it would compromise the mail Discovery carrier’s safety by exposing the carrier to The Commission finds that the 12 See Motion to Dismiss at 18–19. pleadings raise issues of fact relevant to 13 Docket No. C2019–1, Order Granting Motion To 11 See Response to CHIR No. 1, Exhibit 1 at 1. whether the actions or inactions of the Dismiss, December 12, 2018 (Order No. 4924).

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4. Whether the Complainant is POSTAL SERVICE comments on the proposed rule change obligated to comply with a mailbox from interested persons. relocation if there are no aggressive dogs Board of Governors; Sunshine Act I. Self-Regulatory Organization’s remaining at his residence. Meeting Statement of the Terms of Substance of 5. Whether a locked mailbox at the TIME AND DATE: March 19, 2020, at 8:00 the Proposed Rule Change mailbox site approved by the Postal a.m. The Exchange proposes a temporary Service would alleviate Complainant’s PLACE: Washington, DC. waiver of the co-location ‘‘Hot Hands’’ security concerns. STATUS: Closed. fee beginning on March 16, 2020 Pursuant to 39 CFR 3001.23, the MATTERS TO BE CONSIDERED: through March 29, 2020. The proposed Commission appoints Lauren 1. Administrative Matters. rule change is available on the D’Agostino to serve as presiding officer 2. Strategic Matters. Exchange’s website at www.nyse.com, at to ascertain outstanding issues of On March 19, 2020, a majority of the the principal office of the Exchange, and material fact in this matter. Parties may members of the Board of Governors of at the Commission’s Public Reference request that the presiding officer obtain the United States Postal Service voted Room. specific discovery, but may not unanimously to hold and to close to independently propound discovery. The II. Self-Regulatory Organization’s public observation a special meeting in Statement of the Purpose of, and presiding officer shall examine the Washington, DC, via teleconference. The disputed issues identified above and Statutory Basis for, the Proposed Rule Board determined that no earlier public Change provide a public, written intermediate notice was practicable. decision including findings of fact and General Counsel Certification: The In its filing with the Commission, the conclusions of law on the issues raised General Counsel of the United States self-regulatory organization included in this proceeding. 39 CFR 3001.39. Postal Service has certified that the statements concerning the purpose of, The Commission finds good cause to meeting may be closed under the and basis for, the proposed rule change waive the appointment of an officer of Government in the Sunshine Act. and discussed any comments it received on the proposed rule change. The text the Commission designated to represent CONTACT PERSON FOR MORE INFORMATION: of those statements may be examined at the interests of the general public in this Michael J. Elston, Secretary of the the places specified in Item IV below. proceeding as required by 39 CFR Board, U.S. Postal Service, 475 L’Enfant The Exchange has prepared summaries, 3030.30(c) because the violations Plaza SW, Washington, DC 20260–1000. set forth in sections A, B, and C below, alleged in the Complaint pertain solely Telephone: (202) 268–4800. to Complainant, who is represented by of the most significant parts of such counsel, and not to the general public. Michael J. Elston, statements. Secretary. A. Self-Regulatory Organization’s VII. Ordering Paragraphs [FR Doc. 2020–06164 Filed 3–19–20; 4:15 pm] Statement of the Purpose of, and the It is ordered: BILLING CODE 7710–12–P Statutory Basis for, the Proposed Rule Change 1. The Commission finds that the Complaint of Randall Ehrlich, filed 1. Purpose December 23, 2019, raises material SECURITIES AND EXCHANGE COMMISSION The Exchange proposes a temporary issues of fact. suspension of the co-location 4 ‘‘Hot 2. The Motion of the United States [Release No. 34–88398; File No. SR– Hands’’ fee beginning on March 16, Postal Service to Dismiss with Prejudice NYSEARCA–2020–22] 2020 through March 29, 2020, after the Complaint of Randall Ehrlich, filed which the Mahwah, New Jersey data January 13, 2020, is denied. Self-Regulatory Organizations; NYSE center (‘‘Data Center’’) is scheduled to Arca, Inc.; Notice of Filing and 3. Pursuant to 39 CFR 3001.23, the reopen to third parties. Immediate Effectiveness of Proposed Commission appoints Lauren The Exchange is an indirect Rule Change of a Temporary Waiver of D’Agostino as a presiding officer in this subsidiary of Intercontinental Exchange, the Co-Location Hot Hands Fee proceeding. Inc. (‘‘ICE’’). Through its ICE Data Services (‘‘IDS’’) business, ICE operates 4. Parties may request that the March 17, 2020. the Data Center, from which the 1 presiding officer obtain specific Pursuant to Section 19(b)(1) of the Exchange provides co-location services discovery but may not independently Securities Exchange Act of 1934 (the to Users.5 propound discovery. ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 5. The presiding officer shall, notice is hereby given that, on March 4 The Exchange initially filed rule changes pursuant to 39 CFR 3001.39, provide a 16, 2020, NYSE Arca, Inc. (‘‘NYSE relating to its co-location services with the Arca’’ or the ‘‘Exchange’’) filed with the Securities and Exchange Commission public written intermediate decision (‘‘Commission’’) in 2010. See Securities Exchange including findings of fact and Securities and Exchange Commission Act Release No. 63275 (November 8, 2010), 75 FR conclusions of law on the issues raised (the ‘‘Commission’’) the proposed rule 70048 (November 16, 2010) (SR–NYSEArca–2010– in this proceeding. change as described in Items I, II, and 100). III below, which Items have been 5 For purposes of the Exchange’s co-location 6. The Secretary shall arrange for prepared by the self-regulatory services, a ‘‘User’’ means any market participant that requests to receive co-location services directly publication of this Order in the Federal organization. The Commission is Register. from the Exchange. See Securities Exchange Act publishing this notice to solicit Release No. 76010 (September 29, 2015), 80 FR By the Commission. 60197 (October 5, 2015) (SR–NYSEArca–2015–82). As specified in the NYSE Arca Options Fees and Erica A. Barker, Charges and the NYSE Arca Equities Fees and Secretary. Charges (together, the ‘‘Fee Schedules’’), a User that 1 15 U.S.C. 78s(b)(1). incurs co-location fees for a particular co-location [FR Doc. 2020–06048 Filed 3–20–20; 8:45 am] 2 15 U.S.C. 78a. service pursuant thereto would not be subject to co- BILLING CODE 7710–FW–P 3 17 CFR 240.19b–4. location fees for the same co-location service

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Among those services is a ‘‘Hot have in complying with the proposed similarly-situated Users would not be Hands’’ service, which allows Users to change. charged a fee to use the Hot Hands use on-site Data Center personnel to service that the User would have to use 2. Statutory Basis maintain User equipment, support because of the Data Center closure. network troubleshooting, rack and stack The Exchange believes that the The Proposed Change Is Not Unfairly a server in a User’s cabinet; power proposed rule change is consistent with Discriminatory and Would Protect recycling; and install and document the Section 6(b) of the Act,8 in general, and Investors and the Public Interest fitting of cable in a User’s cabinet(s).6 furthers the objectives of Sections The Hot Hands fee is $100 per half hour. 6(b)(4) and (5) of the Act,9 in particular, The Exchange believes that the ICE has announced to each User that, because it provides for the equitable proposed change is not unfairly starting March 16, 2020, the Data Center allocation of reasonable dues, fees, and discriminatory for the following will be closed to third parties through other charges among its members, reasons. March 29, 2020. Pursuant to the ICE issuers and other persons using its The proposed waiver would not apply contingency plan, the Data Center is facilities and does not unfairly differently to distinct types or sizes of being closed to third parties to help discriminate between customers, market participants. Rather, all Users avoid the spread of COVID–19, which issuers, brokers or dealers. In addition, whose equipment requires work during could negatively impact Data Center it is designed to foster cooperation and the Data Center closure would have the functions. The President of the coordination with persons engaged in resulting fees waived, and the waiver Exchange has taken the actions required regulating, clearing, settling, processing would apply uniformly to all Users from under NYSE Arca Rules 7.1–E and 7.1– information with respect to, and March 16, 2020 through March 29, 2020. O to close the co-location facility of the facilitating transactions in securities, to For the reasons above, the proposed Exchange to third parties.7 While the remove impediments to, and perfect the changes do not unfairly discriminate Rules 7.1–E and 7.1–O closures are in mechanisms of, a free and open market between or among market participants. effect, User representatives will not be and a national market system and, in In addition, the Exchange believes allowed access to the Data Center. general, to protect investors and the that the proposed rule change would If a User’s equipment requires work public interest and because it is not perfect the mechanisms of a free and while the Rules 7.1–E and 7.1–O designed to permit unfair open market and a national market closures are in effect, the User will have discrimination between customers, system and, in general, protect investors no option but to use the Hot Hands issuers, brokers, or dealers. and the public interest because it would service and, absent the proposed waiver, allow a User to have work carried out The Proposed Rule Change Is on its equipment notwithstanding the would incur Hot Hands fees for the Reasonable work. Given that, the Exchange closure of the Data Center pursuant to proposes to waive all Hot Hands fees The Exchange believes that the Rules 7.1–E and 7.1–O without from the date of the closing through proposed rule change is reasonable for incurring Hot Hands fees. Accordingly, March 29, 2020, and to add text to the the following reasons. the Exchange believes that the requested Hot Hands Fee in the Fee Schedules While the Rules 7.1–E and 7.1–O relief is designed to perfect the noting the waiver. The Exchange closures are in effect, User mechanisms of a free and open market believes that there will be sufficient representatives will not be allowed and a national market system and, in Data Center staff on-site to comply with access to the Data Center. If a User’s general, protect investors and the public User requests for Hot Hands service. equipment requires work during such interest by facilitating the uninterrupted The proposed waiver would apply period, the User will have to use the Hot availability of Users’ equipment. equally to all Users. The proposed fee Hands service and, absent a waiver, For all of the above reasons, the waiver would not apply differently to would incur Hot Hands fees for the Exchange believes that the proposal is distinct types or sizes of market work. The Exchange believes that it is consistent with the Act. reasonable to grant the proposed waiver participants. Rather, it would apply B. Self-Regulatory Organization’s because Users would have no option uniformly to all Users. Statement on Burden on Competition The proposed change is not otherwise other than using the Hot Hands service. intended to address any other issues The proposed relief would allow a In accordance with Section 6(b)(8) of 10 relating to co-location services and/or User to have work carried out on its the Act, the Exchange believes that the related fees, and the Exchange is not equipment notwithstanding the closure proposed rule change will not impose aware of any problems that Users would of the Data Center without incurring Hot any burden on competition that is not Hands fees. necessary or appropriate in furtherance of the purposes of the Act. charged by the Exchange’s affiliates the New York The Proposed Rule Change Is Equitable Stock Exchange LLC (‘‘NYSE’’), NYSE American Intramarket Competition LLC (‘‘NYSE American’’), NYSE Chicago, Inc. The Exchange believes the proposed (‘‘NYSE Chicago’’), and NYSE National, Inc. rule change is an equitable allocation of The Exchange does not believe that (‘‘NYSE National’’ and together, the ‘‘Affiliate the proposed change would place any SROs’’). See Securities Exchange Act Release No. its fees and credits for the following 70173 (August 13, 2013), 78 FR 50459 (August 19, reasons. burden on intramarket competition that 2013) (SR–NYSEArca–2013–80). Each Affiliate SRO The proposed waiver would apply is not necessary or appropriate. has submitted substantially the same proposed rule equally to all Users. The proposed fee The proposal it is not designed to change to propose the changes described herein. affect competition, but rather to provide See SR–NYSE–2020–18, SR–NYSEAmer–2020–19, waiver would not apply differently to SR–NYSECHX–2020–07, and SR–NYSENAT–2020– distinct types or sizes of market relief to Users that, while the Rules 7.1– 10. participants. Rather, it would apply E and 7.1–O closures are in effect, have 6 See Securities Exchange Act Release No. 72720 uniformly to all Users. no option but to use the Hot Hands (July 30, 2014), 79 FR 45577 (August 5, 2014) (SR– The Exchange believes that the service. NYSEArca–2014–81). proposal is equitable because all The proposed waiver would not apply 7 See NYSE Arca Rules 7.1–E(c) through (e) and 7.1–O(c) through (e). See also NYSE Rule 7.1, NYSE differently to distinct types or sizes of American Rules 7.1E and 901NY, NYSE Chicago 8 15 U.S.C. 78f(b). Rule 7.1, and NYSE National Rule 7.1. 9 15 U.S.C. 78f(b)(4) and (5). 10 15 U.S.C. 78f(b)(8).

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market participants. All Users who use Electronic Comments SECURITIES AND EXCHANGE the Hot Hands service from March 16, • COMMISSION 2020 through March 29, 2020 would Use the Commission’s internet have the resulting fees waived. comment form (http://www.sec.gov/ rules/sro.shtml); or [Release No. 34–88403; File No. SR– Intermarket Competition NYSEAMER–2020–19] • Send an email to rule-comments@ The Exchange does not believe that sec.gov. Please include File Number SR– Self-Regulatory Organizations; NYSE the proposed change would impose any NYSEARCA–2020–22 on the subject American LLC; Notice of Filing and burden on intermarket competition that line. Immediate Effectiveness of Proposed is not necessary or appropriate. Paper Comments Change of a Temporary Waiver of the The Exchange believes that the Co-Location Hot Hands Fee proposed change would not affect the • Send paper comments in triplicate competitive landscape among the to Secretary, Securities and Exchange March 17, 2020. national securities exchanges, as the Hot Commission, 100 F Street NE, Pursuant to Section 19(b)(1) 1 of the Hands service is solely charged within Washington, DC 20549–1090. Securities Exchange Act of 1934 (the co-location to existing Users, and would ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 be temporary. All submissions should refer to File notice is hereby given that, on March For the reasons described above, the Number SR–NYSEARCA–2020–22. This 16, 2020, NYSE American LLC (‘‘NYSE Exchange believes that the proposed file number should be included on the American’’ or the ‘‘Exchange’’) filed rule change reflects this competitive subject line if email is used. To help the with the Securities and Exchange environment. Commission process and review your Commission (the ‘‘Commission’’) the comments more efficiently, please use C. Self-Regulatory Organization’s proposed rule change as described in Statement on Comments on the only one method. The Commission will post all comments on the Commission’s Items I, II, and III below, which Items Proposed Rule Change Received From have been prepared by the self- Members, Participants, or Others internet website (http://www.sec.gov/ rules/sro.shtml). Copies of the regulatory organization. The No written comments were solicited submission, all subsequent Commission is publishing this notice to or received with respect to the proposed amendments, all written statements solicit comments on the proposed rule rule change. with respect to the proposed rule change from interested persons. III. Date of Effectiveness of the change that are filed with the I. Self-Regulatory Organization’s Proposed Rule Change and Timing for Commission, and all written Statement of the Terms of Substance of Commission Action communications relating to the the Proposed Rule Change proposed rule change between the The foregoing rule change is effective Commission and any person, other than The Exchange proposes to a upon filing pursuant to Section those that may be withheld from the temporary waiver of the co-location 19(b)(3)(A) 11 of the Act and public in accordance with the ‘‘Hot Hands’’ fee beginning on March subparagraph (f)(2) of Rule 19b–4 12 provisions of 5 U.S.C. 552, will be 16, 2020 through March 29, 2020. The thereunder, because it establishes a due, available for website viewing and proposed change is available on the fee, or other charge imposed by the printing in the Commission’s Public Exchange’s website at www.nyse.com, at Exchange. Reference Room, 100 F Street NE, the principal office of the Exchange, and At any time within 60 days of the Washington, DC 20549 on official at the Commission’s Public Reference filing of such proposed rule change, the business days between the hours of Room. Commission summarily may 10:00 a.m. and 3:00 p.m. Copies of the temporarily suspend such rule change if II. Self-Regulatory Organization’s filing also will be available for it appears to the Commission that such Statement of the Purpose of, and inspection and copying at the principal action is necessary or appropriate in the Statutory Basis for, the Proposed Rule office of the Exchange. All comments public interest, for the protection of Change investors, or otherwise in furtherance of received will be posted without change. the purposes of the Act. If the Persons submitting comments are In its filing with the Commission, the Commission takes such action, the cautioned that we do not redact or edit self-regulatory organization included Commission shall institute proceedings personal identifying information from statements concerning the purpose of, under Section 19(b)(2)(B) 13 of the Act to comment submissions. You should and basis for, the proposed rule change determine whether the proposed rule submit only information that you wish and discussed any comments it received change should be approved or to make available publicly. All on the proposed rule change. The text disapproved. submissions should refer to File of those statements may be examined at Number SR–NYSEARCA–2020–22 and IV. Solicitation of Comments the places specified in Item IV below. should be submitted on or before April The Exchange has prepared summaries, 13, 2020. Interested persons are invited to set forth in sections A, B, and C below, submit written data, views, and For the Commission, by the Division of of the most significant parts of such arguments concerning the foregoing, Trading and Markets, pursuant to delegated statements. including whether the proposed rule authority.14 change is consistent with the Act. J. Matthew DeLesDernier, Comments may be submitted by any of Assistant Secretary. the following methods: [FR Doc. 2020–06000 Filed 3–20–20; 8:45 am]

11 15 U.S.C. 78s(b)(3)(A). BILLING CODE 8011–01–P 1 15 U.S.C. 78s(b)(1). 12 17 CFR 240.19b–4(f)(2). 2 15 U.S.C. 78a. 13 15 U.S.C. 78s(b)(2)(B). 14 17 CFR 200.30–3(a)(12). 3 17 CFR 240.19b–4.

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A. Self-Regulatory Organization’s required under NYSE American Rules discrimination between customers, Statement of the Purpose of, and the 7.1E and 901NY to close the co-location issuers, brokers, or dealers. Statutory Basis for, the Proposed Rule facility of the Exchange to third parties.7 The Proposed Rule Change Is Change While the Rules 7.1E and 901NY Reasonable closures are in effect, User 1. Purpose representatives will not be allowed The Exchange believes that the The Exchange proposes a temporary access to the Data Center proposed rule change is reasonable for 4 suspension of the co-location ‘‘Hot If a User’s equipment requires work the following reasons. While the Rules 7.1E and 901NY Hands’’ fee beginning on March 16, while the Rules 7.1E and 901NY closures are in effect, User 2020 through March 29, 2020, after closures are in effect, the User will have representatives will not be allowed which the Mahwah, New Jersey data no option but to use the Hot Hands access to the Data Center. If a User’s center (‘‘Data Center’’) is scheduled to service and, absent the proposed waiver, equipment requires work during such reopen to third parties. would incur Hot Hands fees for the period, the User will have to use the Hot The Exchange is an indirect work. Given that, the Exchange Hands service and, absent a waiver, subsidiary of Intercontinental Exchange, proposes to waive all Hot Hands fees would incur Hot Hands fees for the Inc. (‘‘ICE’’). Through its ICE Data from the date of the closing through work. The Exchange believes that it is Services (‘‘IDS’’) business, ICE operates March 29, 2020, and to add text to the reasonable to grant the proposed waiver the Data Center, from which the Hot Hands Fee in the Price List and Fee because Users would have no option Exchange provides co-location services Schedule noting the waiver. The 5 other than using the Hot Hands service. to Users. Exchange believes that there will be The proposed relief would allow a Among those services is a ‘‘Hot sufficient Data Center staff on-site to User to have work carried out on its Hands’’ service, which allows Users to comply with User requests for Hot equipment notwithstanding the closure use on-site Data Center personnel to Hands service. maintain User equipment, support of the Data Center without incurring Hot network troubleshooting, rack and stack The proposed waiver would apply Hands fees. equally to all Users. The proposed fee a server in a User’s cabinet; power The Proposed Rule Change Is Equitable recycling; and install and document the waiver would not apply differently to fitting of cable in a User’s cabinet(s).6 distinct types or sizes of market The Exchange believes the proposed The Hot Hands fee is $100 per half hour. participants. Rather, it would apply rule change is an equitable allocation of ICE has announced to each User that, uniformly to all Users. its fees and credits for the following starting March 16, 2020, the Data Center The proposed change is not otherwise reasons. will be closed to third parties through intended to address any other issues The proposed waiver would apply March 29, 2020. Pursuant to the ICE relating to co-location services and/or equally to all Users. The proposed fee contingency plan, the Data Center is related fees, and the Exchange is not waiver would not apply differently to being closed to third parties to help aware of any problems that Users would distinct types or sizes of market avoid the spread of COVID–19, which have in complying with the proposed participants. Rather, it would apply could negatively impact Data Center change. uniformly to all Users. The Exchange believes that the functions. The Chief Executive Officer 2. Statutory Basis proposal is equitable because all of the Exchange has taken the actions similarly-situated Users would not be The Exchange believes that the charged a fee to use the Hot Hands 4 The Exchange initially filed rule changes proposed rule change is consistent with service that the User would have to use relating to its co-location services with the Section 6(b) of the Act,8 in general, and Securities and Exchange Commission because of the Data Center closure. (‘‘Commission’’) in 2010. See Securities Exchange furthers the objectives of Sections Act Release No. 62961 (September 21, 2010), 75 FR 6(b)(4) and (5) of the Act,9 in particular, The Proposed Change Is Not Unfairly 59299 (September 27, 2010) (SR–NYSEAmex–2010– because it provides for the equitable Discriminatory and Would Protect 80). allocation of reasonable dues, fees, and Investors and the Public Interest 5 For purposes of the Exchange’s co-location other charges among its members, services, a ‘‘User’’ means any market participant The Exchange believes that the that requests to receive co-location services directly issuers and other persons using its proposed change is not unfairly from the Exchange. See Securities Exchange Act facilities and does not unfairly discriminatory for the following Release No. 76009 (September 29, 2015), 80 FR discriminate between customers, 60213 (October 5, 2015) (SR–NYSEMKT–2015–67). reasons. As specified in the NYSE American Equities Price issuers, brokers or dealers. In addition, The proposed waiver would not apply List and Fee Schedule and the NYSE American it is designed to foster cooperation and differently to distinct types or sizes of Options Fee Schedule (together, the ‘‘Price List and coordination with persons engaged in market participants. Rather, all Users Fee Schedule’’), a User that incurs co-location fees regulating, clearing, settling, processing for a particular co-location service pursuant thereto whose equipment requires work during would not be subject to co-location fees for the information with respect to, and the Data Center closure would have the same co-location service charged by the Exchange’s facilitating transactions in securities, to resulting fees waived, and the waiver affiliates the New York Stock Exchange LLC remove impediments to, and perfect the would apply uniformly to all Users from (‘‘NYSE’’), NYSE Arca, Inc. (‘‘NYSE Arca’’), NYSE mechanisms of, a free and open market Chicago, Inc. (‘‘NYSE Chicago’’), and NYSE March 16, 2020 through March 29, 2020. National, Inc. (‘‘NYSE National’’ and together, the and a national market system and, in For the reasons above, the proposed ‘‘Affiliate SROs’’). See Securities Exchange Act general, to protect investors and the changes do not unfairly discriminate Release No. 70176 (August 13, 2013), 78 FR 50471 public interest and because it is not between or among market participants. (August 19, 2013) (SR–NYSEMKT–2013–67). Each designed to permit unfair Affiliate SRO has submitted substantially the same In addition, the Exchange believes proposed rule change to propose the changes that the proposed rule change would described herein. See SR–NYSE–2020–18, SR– 7 See NYSE American Rules 7.1E(c) through (e) perfect the mechanisms of a free and NYSEArca–2020–22, SR–NYSECHX–2020–07, and and 901NY (c) through (e). See also NYSE Rule 7.1, open market and a national market SR–NYSENAT–2020–10. NYSE Arca Rules 7.1–E and 7.1–O, NYSE Chicago 6 See Securities Exchange Act Release No. 72719 Rule 7.1, and NYSE National Rule 7.1. system and, in general, protect investors (July 30, 2014), 79 FR 45502 (August 5, 2014) (SR– 8 15 U.S.C. 78f(b). and the public interest because it would NYSEMKT–2014–61). 9 15 U.S.C. 78f(b)(4) and (5). allow a User to have work carried out

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on its equipment notwithstanding the III. Date of Effectiveness of the proposed rule change between the closure of the Data Center pursuant to Proposed Rule Change and Timing for Commission and any person, other than Rules 7.1E and 901NY without Commission Action those that may be withheld from the incurring Hot Hands fees. Accordingly, The foregoing rule change is effective public in accordance with the the Exchange believes that the requested upon filing pursuant to Section provisions of 5 U.S.C. 552, will be relief is designed to perfect the 19(b)(3)(A) 11 of the Act and available for website viewing and mechanisms of a free and open market subparagraph (f)(2) of Rule 19b–4 12 printing in the Commission’s Public and a national market system and, in thereunder, because it establishes a due, Reference Room, 100 F Street NE, general, protect investors and the public fee, or other charge imposed by the Washington, DC 20549 on official interest by facilitating the uninterrupted Exchange. business days between the hours of availability of Users’ equipment. At any time within 60 days of the 10:00 a.m. and 3:00 p.m. Copies of the For all of the above reasons, the filing of such proposed rule change, the filing also will be available for Exchange believes that the proposal is Commission summarily may inspection and copying at the principal consistent with the Act. temporarily suspend such rule change if office of the Exchange. All comments B. Self-Regulatory Organization’s it appears to the Commission that such received will be posted without change. Statement on Burden on Competition action is necessary or appropriate in the Persons submitting comments are public interest, for the protection of cautioned that we do not redact or edit In accordance with Section 6(b)(8) of investors, or otherwise in furtherance of personal identifying information from the Act,10 the Exchange believes that the the purposes of the Act. If the comment submissions. You should proposed rule change will not impose Commission takes such action, the submit only information that you wish any burden on competition that is not Commission shall institute proceedings to make available publicly. All necessary or appropriate in furtherance under Section 19(b)(2)(B) 13 of the Act to submissions should refer to File of the purposes of the Act. determine whether the proposed rule Number SR–NYSEAMER–2020–19 and change should be approved or Intramarket Competition should be submitted on or before April disapproved. 13, 2020. The Exchange does not believe that IV. Solicitation of Comments the proposed change would place any For the Commission, by the Division of burden on intramarket competition that Interested persons are invited to Trading and Markets, pursuant to delegated 14 is not necessary or appropriate. submit written data, views, and authority. The proposal it is not designed to arguments concerning the foregoing, J. Matthew DeLesDernier, affect competition, but rather to provide including whether the proposed rule Assistant Secretary. relief to Users that, while the Rules 7.1E change is consistent with the Act. [FR Doc. 2020–06005 Filed 3–20–20; 8:45 am] Comments may be submitted by any of and 901NY closures are in effect, have BILLING CODE 8011–01–P no option but to use the Hot Hands the following methods: service. Electronic Comments The proposed waiver would not apply SECURITIES AND EXCHANGE • Use the Commission’s internet differently to distinct types or sizes of COMMISSION comment form (http://www.sec.gov/ market participants. All Users who use rules/sro.shtml); or the Hot Hands service from March 16, • Send an email to rule-comments@ [Release No. 34–88405; File No. SR– 2020 through March 29, 2020 would sec.gov. Please include File Number SR– NYSEAMER–2020–16] have the resulting fees waived. NYSEAMER–2020–19 on the subject Intermarket Competition line. Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and The Exchange does not believe that Paper Comments Immediate Effectiveness of Proposed the proposed change would impose any • Send paper comments in triplicate Rule Change To Amend the NYSE burden on intermarket competition that to Secretary, Securities and Exchange American Options Fee Schedule is not necessary or appropriate. Commission, 100 F Street NE, The Exchange believes that the Washington, DC 20549–1090. March 17, 2020. proposed change would not affect the All submissions should refer to File Pursuant to Section 19(b)(1) 1 of the competitive landscape among the Number SR–NYSEAMER–2020–19. This Securities Exchange Act of 1934 (the national securities exchanges, as the Hot file number should be included on the ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 Hands service is solely charged within subject line if email is used. To help the notice is hereby given that, on March co-location to existing Users, and would Commission process and review your 10, 2020, NYSE American LLC (‘‘NYSE be temporary. comments more efficiently, please use American’’ or the ‘‘Exchange’’) filed For the reasons described above, the only one method. The Commission will with the Securities and Exchange Exchange believes that the proposed post all comments on the Commission’s Commission (the ‘‘Commission’’) the rule change reflects this competitive internet website (http://www.sec.gov/ proposed rule change as described in environment. rules/sro.shtml). Copies of the Items I, II, and III below, which Items C. Self-Regulatory Organization’s submission, all subsequent have been prepared by the self- Statement on Comments on the amendments, all written statements regulatory organization. The Proposed Rule Change Received From with respect to the proposed rule Commission is publishing this notice to Members, Participants, or Others change that are filed with the solicit comments on the proposed rule Commission, and all written change from interested persons. No written comments were solicited communications relating to the or received with respect to the proposed 14 17 CFR 200.30–3(a)(12). rule change. 11 15 U.S.C. 78s(b)(3)(A). 1 15 U.S.C.78s(b)(1). 12 17 CFR 240.19b–4(f)(2). 2 15 U.S.C. 78a. 10 15 U.S.C. 78f(b)(8). 13 15 U.S.C. 78s(b)(2)(B). 3 17 CFR 240.19b–4.

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I. Self-Regulatory Organization’s Brokers to achieve the highest credit amount to $425,000.10 The Exchange Statement of the Terms of Substance of possible. believes the proposed increase would the Proposed Rule Change The Exchange proposes to implement continue to incent ATP Holders acting the fee change effective March 10, 2020. as Floor Brokers to achieve the highest The Exchange proposes to amend the rebate possible. NYSE American Options Fee Schedule Background (‘‘Fee Schedule’’) to raise the existing The Commission has repeatedly Proposed Rule Change cap on the available credit for certain expressed its preference for competition Floor Brokers currently earn a rebate Qualified Contingent Cross (‘‘QCC’’) over regulatory intervention in for executed QCC orders of $0.07 per transactions. The Exchange proposes to determining prices, products, and contact up to 300,000 contracts or $0.10 implement the fee change effective services in the securities markets. In per contract above 300,000, provided March 10, 2020. The proposed change is Regulation NMS, the Commission that a Customer or Professional available on the Exchange’s website at highlighted the importance of market Customer (collectively, ‘‘Customer’’) is forces in determining prices and SRO www.nyse.com, at the principal office of not on both sides of the QCC trade.11 revenues and, also, recognized that the Exchange, and at the Commission’s The Exchange currently limits the current regulation of the market system Public Reference Room. maximum Floor Broker rebate to ‘‘has been remarkably successful in $375,000 per month per Floor Broker II. Self-Regulatory Organization’s promoting market competition in its firm.12 The Exchange proposes to Statement of the Purpose of, and broader forms that are most important to increase this to $425,000. Statutory Basis for, the Proposed Rule investors and listed companies.’’ 7 Change There are currently 16 registered The Exchange’s fees are constrained options exchanges competing for order by intermarket competition, as ATP In its filing with the Commission, the flow. Based on publicly-available Holders acting as Floor Brokers may self-regulatory organization included information, and excluding index-based direct their order flow to any of the 16 statements concerning the purpose of, options, no single exchange has more options exchanges, including those with and basis for, the proposed rule change than 16% of the market share of similar QCC rebate programs and and discussed any comments it received executed volume of multiply-listed associated caps on same.13 Thus, ATP on the proposed rule change. The text equity and ETF options trades.8 Holders have a choice of where they of those statements may be examined at Therefore, no exchange possesses direct their order flow. This proposed the places specified in Item IV below. significant pricing power in the change—which increases the maximum The Exchange has prepared summaries, execution of multiply-listed equity & available credit—is designed to incent set forth in sections A, B, and C below, ETF options order flow. More ATP Holders acting as Floor Brokers to of the most significant parts of such specifically, in the fourth quarter of increase their QCC volumes on the statements. 2019, the Exchange had less than 10% Exchange. The Exchange notes that all A. Self-Regulatory Organization’s market share of executed volume of market participants stand to benefit Statement of the Purpose of, and the multiply-listed equity & ETF options from increased volume, which promotes 9 Statutory Basis for, the Proposed Rule trades. market depth, facilitates tighter spreads Change The Exchange believes that the ever- and enhances price discovery, and may shifting market share among the lead to a corresponding increase in 1. Purpose exchanges from month to month order flow from other market demonstrates that market participants participants. The purpose of this filing is to modify can shift order flow or discontinue or The Exchange cannot predict with the existing cap on the available credit reduce use of certain categories of certainty whether any ATP Holders to Floor Brokers that execute a specified products, in response to fee changes. acting as Floor Brokers would avail number of Qualified Contingent Cross Accordingly, competitive forces themselves of this proposed fee change. (‘‘QCC’’) transactions. constrain options exchange transaction Assuming historical behavior can be Currently, Floor Brokers earn a credit fees. predictive of future behavior, the for executed QCC orders of $0.07 per In response to this competitive Exchange estimates that at least three contact up to 300,000 contracts or $0.10 environment, the Exchange has firms may benefit from this fee change. per contract above 300,000.4 QCC established incentives, including the executions in which a Customer or credits for QCC transactions provided to 2. Statutory Basis Professional Customer is on both sides ATP Holders acting as Floor Brokers, to The Exchange believes that the of the QCC trade are not eligible for the encourage such ATP Holders to execute proposed rule change is consistent with Floor Broker credit.5 The Exchange QCCs on the Exchange. Section 6(b) of the Act,14 in general, and As noted above, the Exchange currently limits the maximum Floor furthers the objectives of Sections Broker credit to $375,000 per month per currently limits the maximum Floor 6 Broker rebate for QCCs to $375,000 per Floor Broker firm. The Exchange 10 See Fee Schedule, Section I.F., QCC Fees & proposes to increase this limit to month per Floor Broker firm. The Credits, n. 1, $425,000. The Exchange believes the Exchange proposes to increase this 11 See id. proposed increase would continue to 12 See id. incent ATP Holders acting as Floor 7 See Securities Exchange Act Release No. 51808 13 See, e.g., NASDAQ PHLX, Options 7 Pricing (June 9, 2005), 70 FR 37496, 37499 (June 29, 2005) Schedule, Section 4. Multiply Listed Options Fees, (S7–10–04) (‘‘Reg NMS Adopting Release’’). QCC Rebate Schedule, available here, http:// 4 See Fee Schedule, Section I.F., QCC Fees & 8 The OCC publishes options and futures volume nasdaqphlx.cchwallstreet.com/NASDAQPHLX Credits, n. 1, available here, https://www.nyse.com/ in a variety of formats, including daily and monthly Tools/PlatformViewer.asp? publicdocs/nyse/markets/american-options/NYSE_ volume by exchange, available here: https:// selectednode=chp%5F1%5F1%5F3%5F1&manual= American_Options_Fee_Schedule.pdf. www.theocc.com/market-data/volume/default.jsp. %2Fnasdaqomxphlx%2Fphlx%2Fphlx%2Dll 5 See id., note 1. 9 Based on OCC data, see id., the Exchange’s crules%2F (providing that ‘‘[t]he maximum QCC 6 See id. (providing that ‘‘[t]he maximum Floor market share in equity-based options was 9.82% for Rebate to be paid in a given month will not exceed Broker credit paid shall not exceed $375,000 per the month of January 2019 and 8.08% for the month $550,000’’). month per Floor Broker firm’’). of January 2020. 14 15 U.S.C. 78f(b).

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6(b)(4) and (5) of the Act,15 in particular, Brokers to increase the number QCC based on the amount and type of because it provides for the equitable transactions executed on the Exchange. business transacted on the Exchange allocation of reasonable dues, fees, and The proposal caps fees on all similar and ATP Holders acting as Floor other charges among its members, (QCC) transactions, regardless of size Brokers can opt to avail themselves of issuers and other persons using its and similarly-situated ATP Holders can the modified cap on QCC transaction facilities and does not unfairly opt to try to achieve the modified (and credits (i.e., by executing more QCC discriminate between customers, increased) credit. The proposal is transactions) or not. As the proposal is issuers, brokers or dealers. designed to encourage ATP Holders designed to encourage Floor Brokers to acting as Floor Brokers to execute all The Proposed Rule Change is execute QCC transactions on the QCC transactions on Exchange. To the Reasonable Exchange, any resulting increase in extent that the proposed change attracts order flow would continue to make the The Exchange operates in a highly more QCC trades to the Exchange Exchange a more competitive venue for competitive market. The Commission Trading Floor, this increased order flow order execution. Thus, the Exchange has repeatedly expressed its preference would continue to make the Exchange a believes the proposed rule change for competition over regulatory more competitive venue for, among would improve market quality for all intervention in determining prices, other things, order execution, which, in market participants on the Exchange products, and services in the securities turn, promotes just and equitable and, as a consequence, attract more markets. In Regulation NMS, the principles of trade and removes order flow to the Exchange thereby Commission highlighted the importance impediments to and perfects the improving market-wide quality and of market forces in determining prices mechanism of a free and open market price discovery. and SRO revenues and, also, recognized and a national market system. that current regulation of the market Finally, to the extent the proposed The Proposed Rule Change Is Not system ‘‘has been remarkably successful change continues to attract greater Unfairly Discriminatory in promoting market competition in its volume and liquidity (to the Floor or The Exchange believes it is not broader forms that are most important to otherwise), the Exchange believes the 16 unfairly discriminatory to modify the investors and listed companies.’’ proposed change would improve the maximum allowable credit on QCC There are currently 16 registered Exchange’s overall competitiveness and transactions to Floor Brokers because options exchanges competing for order strengthen its market quality for all the proposed modification would be flow. Based on publicly-available market participants. In the backdrop of available to all similarly-situated market information, and excluding index-based the competitive environment in which participants on an equal and non- options, no single exchange has more the Exchange operates, the proposed discriminatory basis. than 16% of the market share of rule change is a reasonable attempt by executed volume of multiply-listed The proposal is based on the amount the Exchange to increase the depth of its and type of business transacted on the equity and ETF options trades.17 market and improve its market share Therefore, no exchange possesses Exchange and ATP Holders acting as relative to its competitors. The Floor Brokers are not obligated to try to significant pricing power in the Exchange’s fees are constrained by execution of multiply-listed equity & achieve the modified cap. Rather, the intermarket competition, as OTP proposal is designed encourage ATP ETF options order flow. More Holders may direct their order flow to specifically, in the fourth quarter of Holders acting as Floor Brokers to any of the 16 options exchanges, utilize the Exchange as a primary 2019, the Exchange had less than 10% including those with similar QCC credit market share of executed volume of trading venue for QCC transactions (if programs and associated caps on they have not done so previously) or multiply-listed equity & ETF options same.19 Thus, ATP Holders have a trades.18 increase volume sent to the Exchange. choice of where they direct their order To the extent that the proposed change The Exchange believes that the ever- flow—including their QCC transactions. shifting market share among the attracts more QCC transactions to the The proposed rule change is designed to Exchange, this increased order flow exchanges from month to month incent OTP Holders to direct liquidity to demonstrates that market participants would continue to make the Exchange a the Exchange—in particular QCC more competitive venue for, among can shift order flow, or discontinue or transactions, thereby promoting market reduce use of certain categories of other things, order execution. Thus, the depth, price discovery and Exchange believes the proposed rule products, in response to fee changes. improvement and enhancing order Accordingly, competitive forces change would improve market quality execution opportunities for market for all market participants on the constrain options exchange transaction participants. fees. Stated otherwise, changes to Exchange and, as a consequence, attract The Exchange cannot predict with more order flow to the Exchange thereby exchange transaction fees and credits certainty whether any ATP Holders can have a direct effect on the ability of improving market-wide quality and acting as Floor Brokers would avail price discovery. The resulting increased an exchange to compete for order flow. themselves of this proposed fee change. The Exchange believes that the volume and liquidity would provide Assuming historical behavior can be more trading opportunities and tighter proposed modification to increase the predictive of future behavior, the allowable cap on the Floor Broker credit spreads to all market participants and Exchange estimates that at least three thus would promote just and equitable for QCC transactions is designed to firms may benefit from this fee change. incent ATP Holders acting as Floor principles of trade, remove The Proposed Rule Change is an impediments to and perfect the 15 15 U.S.C. 78f(b)(4) and (5). Equitable Allocation of Credits and Fees mechanism of a free and open market 16 See Reg NMS Adopting Release, supra note 7, The Exchange believes the proposed and a national market system and, in at 37499. rule change is an equitable allocation of general, to protect investors and the 17 See supra note 8. public interest. 18 Based on OCC data, see supra note 9, the its fees and credits. The proposal is Exchange’s market share in equity-based options Finally, the Exchange believes that it was 9.82% for the month of January 2019 and 19 See supra note 13 (regarding NASDAQ PHLX’s is subject to significant competitive 8.08% for the month of January 2020. $550,000 monthly cap on QCC rebate). forces, as described below in the

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Exchange’s statement regarding the execution of multiply-listed equity & the purposes of the Act. If the burden on competition. ETF options order flow. More Commission takes such action, the specifically, in the fourth quarter of Commission shall institute proceedings B. Self-Regulatory Organization’s 2019, the Exchange had less than 10% under Section 19(b)(2)(B) 26 of the Act to Statement on Burden on Competition market share of executed volume of determine whether the proposed rule In accordance with Section 6(b)(8) of multiply-listed equity & ETF options change should be approved or the Act, the Exchange does not believe trades.22 disapproved. that the proposed rule change would The Exchange believes that the impose any burden on competition that proposed rule change reflects this IV. Solicitation of Comments is not necessary or appropriate in competitive environment because it Interested persons are invited to furtherance of the purposes of the Act. modifies the Exchange’s fees in a submit written data, views, and Instead, as discussed above, the manner designed to encourage ATP arguments concerning the foregoing, Exchange believes that the proposed Holders to direct trading interest including whether the proposed rule changes would encourage the (particularly QCC transactions) to the change is consistent with the Act. submission of additional liquidity to a Exchange, to provide liquidity and to Comments may be submitted by any of public exchange, thereby promoting attract order flow. To the extent that this the following methods: market depth, price discovery and purpose is achieved, all the Exchange’s Electronic Comments transparency and enhancing order market participants should benefit from • execution opportunities for all market the improved market quality and Use the Commission’s internet participants. As a result, the Exchange increased opportunities for price comment form (http://www.sec.gov/ rules/sro.shtml); or believes that the proposed change improvement. • furthers the Commission’s goal in The Exchange believes that the Send an email to rule-comments@ adopting Regulation NMS of fostering proposed change could promote sec.gov. Please include File No. SR– integrated competition among orders, competition between the Exchange and NYSEAMER–2020–16 on the subject which promotes ‘‘more efficient pricing other execution venues, including those line. of individual stocks for all types of that currently offer similar QCC credits Paper Comments 20 and caps thereon, by encouraging orders, large and small.’’ • Send paper comments in triplicate Intramarket Competition. The additional orders to be sent to the to Secretary, Securities and Exchange proposed change is designed to attract Exchange for execution.23 The Exchange Commission, 100 F Street NE, additional order flow (particularly QCC also believes that the proposed change Washington, DC 20549–1090. trades) to the Exchange. The Exchange is designed to provide the public and believes that the proposed increased investors with a Fee Schedule that is All submissions should refer to File No. QCC Floor Broker credit would incent clear and consistent, thereby reducing SR–NYSEAMER–2020–16. This file market participants to direct their QCC burdens on the marketplace and number should be included on the volume to the Exchange. Greater facilitating investor protection. subject line if email is used. To help the liquidity benefits all market participants Commission process and review your C. Self-Regulatory Organization’s on the Exchange and increased Strategy comments more efficiently, please use Statement on Comments on the Executions would increase only one method. The Commission will Proposed Rule Change Received From opportunities for execution of other post all comments on the Commission’s Members, Participants, or Others trading interest. The proposed increased internet website (http://www.sec.gov/ cap would be available to all similarly- No written comments were solicited rules/sro.shtml). Copies of the situated market participants that or received with respect to the proposed submission, all subsequent execute QCC transactions, and, as such, rule change. amendments, all written statements with respect to the proposed rule the proposed change would not impose III. Date of Effectiveness of the a disparate burden on competition change that are filed with the Proposed Rule Change and Timing for Commission, and all written among market participants on the Commission Action Exchange. communications relating to the Intermarket Competition. The The foregoing rule change is effective proposed rule change between the Exchange operates in a highly upon filing pursuant to Section Commission and any person, other than 24 competitive market in which market 19(b)(3)(A) of the Act and those that may be withheld from the 25 participants can readily favor one of the subparagraph (f)(2) of Rule 19b–4 public in accordance with the 16 competing option exchanges if they thereunder, because it establishes a due, provisions of 5 U.S.C. 552, will be deem fee levels at a particular venue to fee, or other charge imposed by the available for website viewing and be excessive. In such an environment, Exchange. printing in the Commission’s Public the Exchange must continually adjust its At any time within 60 days of the Reference Room, 100 F Street NE, fees to remain competitive with other filing of such proposed rule change, the Washington, DC 20549, on official exchanges and to attract order flow to Commission summarily may business days between the hours of the Exchange. Based on publicly- temporarily suspend such rule change if 10:00 a.m. and 3:00 p.m. Copies of the available information, and excluding it appears to the Commission that such filing also will be available for index-based options, no single exchange action is necessary or appropriate in the inspection and copying at the principal has more than 16% of the market share public interest, for the protection of office of the Exchange. All comments of executed volume of multiply-listed investors, or otherwise in furtherance of received will be posted without change. equity and ETF options trades.21 Persons submitting comments are 22 Therefore, no exchange possesses Based on OCC data, supra note 9, the cautioned that we do not redact or edit Exchange’s market share in equity-based options personal identifying information from significant pricing power in the was 9.82% for the month of January 2019 and 8.08% for the month of January, 2020. comment submissions. You should 20 See Reg NMS Adopting Release, supra note 7, 23 See supra note 13. submit only information that you wish at 37499. 24 15 U.S.C. 78s(b)(3)(A). 21 See supra note 8. 25 17 CFR 240.19b–4(f)(2). 26 15 U.S.C. 78s(b)(2)(B).

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to make available publicly. All and discussed any comments it received being closed to third parties to help submissions should refer to File No. on the proposed rule change. The text avoid the spread of COVID–19, which SR–NYSEAMER–2020–16, and should of those statements may be examined at could negatively impact Data Center be submitted on or before April 13, the places specified in Item IV below. functions. The Chief Executive Officer 2020. The Exchange has prepared summaries, of the Exchange has taken the actions For the Commission, by the Division of set forth in sections A, B, and C below, required under NYSE Rule 7.1 to close Trading and Markets, pursuant to delegated of the most significant parts of such the co-location facility of the Exchange authority.27 statements. to third parties.7 While the Rule 7.1 J. Matthew DeLesDernier, closure is in effect, User representatives A. Self-Regulatory Organization’s will not be allowed access to the Data Assistant Secretary. Statement of the Purpose of, and the [FR Doc. 2020–06007 Filed 3–20–20; 8:45 am] Center. Statutory Basis for, the Proposed Rule If a User’s equipment requires work BILLING CODE 8011–01–P Change while the Rule 7.1 closure is in effect, 1. Purpose the User will have no option but to use the Hot Hands service and, absent the SECURITIES AND EXCHANGE The Exchange proposes a temporary proposed waiver, would incur Hot COMMISSION suspension of the co-location 4 ‘‘Hot Hands fees for the work. Given that, the Hands’’ fee beginning on March 16, [Release No. 34–88397; File No. SR–NYSE– Exchange proposes to waive all Hot 2020 through March 29, 2020, after 2020–18] Hands fees from the date of the closing which the Mahwah, New Jersey data through March 29, 2020, and to add text Self-Regulatory Organizations; New center (‘‘Data Center’’) is scheduled to to the Hot Hands Fee in the Price List York Stock Exchange LLC; Notice of reopen to third parties. noting the waiver. The Exchange The Exchange is an indirect Filing and Immediate Effectiveness of believes that there will be sufficient subsidiary of Intercontinental Exchange, Proposed Rule Change of a Temporary Data Center staff on-site to comply with Inc. (‘‘ICE’’). Through its ICE Data Waiver of the Co-Location Hot Hands User requests for Hot Hands service. Fee Services (‘‘IDS’’) business, ICE operates The proposed waiver would apply the Data Center, from which the March 17, 2020. equally to all Users. The proposed fee Exchange provides co-location services waiver would not apply differently to Pursuant to Section 19(b)(1) 1 of the to Users.5 Securities Exchange Act of 1934 (the distinct types or sizes of market Among those services is a ‘‘Hot participants. Rather, it would apply ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 Hands’’ service, which allows Users to notice is hereby given that, on March uniformly to all Users. use on-site Data Center personnel to The proposed change is not otherwise 16, 2020, New York Stock Exchange maintain User equipment, support intended to address any other issues LLC (‘‘NYSE’’ or the ‘‘Exchange’’) filed network troubleshooting, rack and stack relating to co-location services and/or with the Securities and Exchange a server in a User’s cabinet; power related fees, and the Exchange is not Commission (the ‘‘Commission’’) the recycling; and install and document the aware of any problems that Users would proposed rule change as described in 6 fitting of cable in a User’s cabinet(s). have in complying with the proposed Items I, II, and III below, which Items The Hot Hands fee is $100 per half hour. change. have been prepared by the self- ICE has announced to each User that, regulatory organization. The starting March 16, 2020, the Data Center 2. Statutory Basis Commission is publishing this notice to will be closed to third parties through The Exchange believes that the solicit comments on the proposed rule March 29, 2020. Pursuant to the ICE proposed rule change is consistent with change from interested persons. contingency plan, the Data Center is Section 6(b) of the Act,8 in general, and I. Self-Regulatory Organization’s furthers the objectives of Sections 4 Statement of the Terms of Substance of The Exchange initially filed rule changes 6(b)(4) and (5) of the Act,9 in particular, relating to its co-location services with the because it provides for the equitable the Proposed Rule Change Securities and Exchange Commission allocation of reasonable dues, fees, and The Exchange proposes to a (‘‘Commission’’) in 2010. See Securities Exchange Act Release No. 62960 (September 21, 2010), 75 FR other charges among its members, temporary waiver of the co-location 59310 (September 27, 2010) (SR–NYSE–2010–56). issuers and other persons using its ‘‘Hot Hands’’ fee beginning on March 5 For purposes of the Exchange’s co-location facilities and does not unfairly 16, 2020 through March 29, 2020.The services, a ‘‘User’’ means any market participant discriminate between customers, proposed rule change is available on the that requests to receive co-location services directly from the Exchange. See Securities Exchange Act issuers, brokers or dealers. In addition, Exchange’s website at www.nyse.com, at Release No. 76008 (September 29, 2015), 80 FR it is designed to foster cooperation and the principal office of the Exchange, and 60190 (October 5, 2015) (SR–NYSE–2015–40). As coordination with persons engaged in at the Commission’s Public Reference specified in the Price List, a User that incurs co- regulating, clearing, settling, processing Room. location fees for a particular co-location service pursuant thereto would not be subject to co-location information with respect to, and II. Self-Regulatory Organization’s fees for the same co-location service charged by the facilitating transactions in securities, to Statement of the Purpose of, and Exchange’s affiliates NYSE American LLC (‘‘NYSE remove impediments to, and perfect the American’’), NYSE Arca, Inc. (‘‘NYSE Arca’’), NYSE mechanisms of, a free and open market Statutory Basis for, the Proposed Rule Chicago, Inc. (‘‘NYSE Chicago’’), and NYSE Change National, Inc. (‘‘NYSE National’’ and together, the and a national market system and, in ‘‘Affiliate SROs’’). See Securities Exchange Act general, to protect investors and the In its filing with the Commission, the Release No. 70206 (August 15, 2013), 78 FR 51765 public interest and because it is not self-regulatory organization included (August 21, 2013) (SR–NYSE–2013–59). Each designed to permit unfair statements concerning the purpose of, Affiliate SRO has submitted substantially the same and basis for, the proposed rule change proposed rule change to propose the changes described herein. See SR–NYSEAmer–2020–19, 7 See NYSE Rule 7.1(c) through (e). See also SR–NYSEArca–2020–22, SR–NYSECHX–2020–07, NYSE Arca Rules 7.1–E and 7.1–O, NYSE American 27 17 CFR 200.30–3(a)(12). and SR–NYSENAT–2020–10. Rules 7.1E and 901NY, NYSE Chicago Rule 7.1, and 1 15 U.S.C.78s(b)(1). 6 See Securities Exchange Act Release No. 72721 NYSE National Rule 7.1. 2 15 U.S.C. 78a. (July 30, 2014), 79 FR 45562 (August 5, 2014) (SR– 8 15 U.S.C. 78f(b). 3 17 CFR 240.19b–4. NYSE–2014–37). 9 15 U.S.C. 78f(b)(4) and (5).

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discrimination between customers, closure of the Data Center pursuant to III. Date of Effectiveness of the issuers, brokers, or dealers. Rule 7.1 without incurring Hot Hands Proposed Rule Change and Timing for fees. Accordingly, the Exchange believes Commission Action The Proposed Rule Change Is that the requested relief is designed to Reasonable The foregoing rule change is effective perfect the mechanisms of a free and upon filing pursuant to Section The Exchange believes that the open market and a national market 19(b)(3)(A) 11 of the Act and proposed rule change is reasonable for system and, in general, protect investors subparagraph (f)(2) of Rule 19b–4 12 the following reasons. and the public interest by facilitating thereunder, because it establishes a due, While the Rule 7.1 closure is in effect, the uninterrupted availability of Users’ fee, or other charge imposed by the User representatives will not be allowed equipment. Exchange. access to the Data Center. If a User’s For all of the above reasons, the At any time within 60 days of the equipment requires work during such Exchange believes that the proposal is filing of such proposed rule change, the period, the User will have to use the Hot consistent with the Act. Commission summarily may Hands service and, absent a waiver, temporarily suspend such rule change if would incur Hot Hands fees for the B. Self-Regulatory Organization’s it appears to the Commission that such work. The Exchange believes that it is Statement on Burden on Competition action is necessary or appropriate in the reasonable to grant the proposed waiver public interest, for the protection of because Users would have no option In accordance with Section 6(b)(8) of the Act,10 the Exchange believes that the investors, or otherwise in furtherance of other than using the Hot Hands service. the purposes of the Act. If the The proposed relief would allow a proposed rule change will not impose any burden on competition that is not Commission takes such action, the User to have work carried out on its Commission shall institute proceedings equipment notwithstanding the closure necessary or appropriate in furtherance 13 of the purposes of the Act. under Section 19(b)(2)(B) of the Act to of the Data Center without incurring Hot determine whether the proposed rule Hands fees. Intramarket Competition change should be approved or disapproved. The Proposed Rule Change Is Equitable The Exchange does not believe that The Exchange believes the proposed the proposed change would place any IV. Solicitation of Comments rule change is an equitable allocation of burden on intramarket competition that Interested persons are invited to its fees and credits for the following is not necessary or appropriate. submit written data, views, and reasons. The proposal it is not designed to arguments concerning the foregoing, The proposed waiver would apply affect competition, but rather to provide including whether the proposed rule equally to all Users. The proposed fee relief to Users that, while the Rule 7.1 change is consistent with the Act. waiver would not apply differently to closure is in effect, have no option but Comments may be submitted by any of distinct types or sizes of market to use the Hot Hands service. the following methods: participants. Rather, it would apply uniformly to all Users. The proposed waiver would not apply Electronic Comments The Exchange believes that the differently to distinct types or sizes of • Use the Commission’s internet proposal is equitable because all market participants. All Users who use comment form (http://www.sec.gov/ similarly-situated Users would not be the Hot Hands service from March 16, rules/sro.shtml); or charged a fee to use the Hot Hands 2020 through March 29, 2020 would • Send an email to rule-comments@ service that the User would have to use have the resulting fees waived. sec.gov. Please include File Number SR– because of the Data Center closure. Intermarket Competition NYSE–2020–18 on the subject line. The Proposed Change Is Not Unfairly The Exchange does not believe that Paper Comments Discriminatory and Would Protect the proposed change would impose any • Send paper comments in triplicate Investors and the Public Interest burden on intermarket competition that to Secretary, Securities and Exchange The Exchange believes that the is not necessary or appropriate. Commission, 100 F Street NE, proposed change is not unfairly The Exchange believes that the Washington, DC 20549–1090. discriminatory for the following proposed change would not affect the All submissions should refer to File reasons. competitive landscape among the Number SR–NYSE–2020–18. This file The proposed waiver would not apply national securities exchanges, as the Hot number should be included on the differently to distinct types or sizes of Hands service is solely charged within subject line if email is used. To help the market participants. Rather, all Users co-location to existing Users, and would Commission process and review your whose equipment requires work during be temporary. comments more efficiently, please use the Data Center closure would have the only one method. The Commission will For the reasons described above, the resulting fees waived, and the waiver post all comments on the Commission’s Exchange believes that the proposed would apply uniformly to all Users from internet website (http://www.sec.gov/ rule change reflects this competitive March 16, 2020 through March 29, 2020. rules/sro.shtml). Copies of the environment. For the reasons above, the proposed submission, all subsequent changes do not unfairly discriminate C. Self-Regulatory Organization’s amendments, all written statements between or among market participants. Statement on Comments on the with respect to the proposed rule In addition, the Exchange believes Proposed Rule Change Received From change that are filed with the that the proposed rule change would Members, Participants, or Others Commission, and all written perfect the mechanisms of a free and communications relating to the open market and a national market No written comments were solicited proposed rule change between the system and, in general, protect investors or received with respect to the proposed and the public interest because it would rule change. 11 15 U.S.C. 78s(b)(3)(A). allow a User to have work carried out 12 17 CFR 240.19b–4(f)(2). on its equipment notwithstanding the 10 15 U.S.C. 78f(b)(8). 13 15 U.S.C. 78s(b)(2)(B).

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Commission and any person, other than Cboe BYX Exchange, Inc., Cboe EDGA of 1934 (‘‘Exchange Act’’) 2 and Rule 608 those that may be withheld from the Exchange, Inc., Cboe EDGX Exchange, thereunder,3 a proposal to amend the public in accordance with the Inc., Chicago Stock Exchange, Inc., the Plan (‘‘Twentieth Amendment’’).4 The provisions of 5 U.S.C. 552, will be Financial Industry Regulatory proposal reflects changes unanimously available for website viewing and Authority, Inc. (‘‘FINRA’’), Investors approved by the Participants. The printing in the Commission’s Public Exchange LLC, Long-Term Stock Twentieth Amendment proposes to: (i) Reference Room, 100 F Street NE, Exchange (‘‘LTSE’’), NASDAQ BX, Inc., Amend Section II.B of Appendix B, Washington, DC 20549 on official NASDAQ PHLX LLC, The NASDAQ concerning the quarterly reports business days between the hours of Stock Market LLC (‘‘Nasdaq’’), New provided by the Operating Committee to 10:00 a.m. and 3:00 p.m. Copies of the York Stock Exchange LLC (‘‘NYSE’’), the Commission; and amend the Plan to filing also will be available for NYSE Arca, Inc., NYSE National Inc., reflect the name change of the Chicago inspection and copying at the principal and NYSE American LLC (collectively, Stock Exchange, Inc. to NYSE Chicago, office of the Exchange. All comments the ‘‘Participants’’) filed with the Inc. The Commission is publishing this received will be posted without change. Securities and Exchange Commission notice to solicit comments from Persons submitting comments are (‘‘Commission’’) pursuant to Section interested persons on the Twentieth cautioned that we do not redact or edit 11A(a)(3) of the Securities Exchange Act Amendment.5 personal identifying information from II. Description of the Plan comment submissions. You should noticed for immediate effectiveness the Second submit only information that you wish Amendment to the Plan. See Securities Exchange Set forth in this Section II is the Act Release No. 68953, 78 FR 13113 (February 26, statement of the purpose and summary to make available publicly. All 2013). On April 3, 2013, the Commission approved submissions should refer to File the Third Amendment to the Plan. See Securities of the Eighteenth Amendment, along Number SR–NYSE–2020–18 and should Exchange Act Release No. 69287, 78 FR 21483 with the information required by Rule be submitted on or before April 13, (April 10, 2013). On August 27, 2013, the 608(a)(4) and (5) under the Exchange Commission noticed for immediate effectiveness 6 2020. Act, substantially prepared and the Fourth Amendment to the Plan. See Securities submitted by the Participants to the Exchange Act Release No. 70273, 78 FR 54321 For the Commission, by the Division of Commission.7 Trading and Markets, pursuant to delegated (September 3, 2013). On September 26, 2013, the 14 Commission approved the Fifth Amendment to the authority. Plan. See Securities Exchange Act Release No. A. Statement of Purpose and Summary J. Matthew DeLesDernier, 70530, 78 FR 60937 (October 2, 2013). On January of the Plan Amendment Assistant Secretary. 7, 2014, the Commission noticed for immediate The Participants filed the Plan with effectiveness the Sixth Amendment to the Plan. See [FR Doc. 2020–05999 Filed 3–20–20; 8:45 am] Securities Exchange Act Release No. 71247, 79 FR the Commission on April 5, 2011 to BILLING CODE 8011–01–P 2204 (January 13, 2014). On April 3, 2014, the create a market-wide limit up-limit Commission approved the Seventh Amendment to down mechanism intended to address the Plan. See Securities Exchange Act Release No. extraordinary market volatility in NMS 71851, 79 FR 19687 (April 9, 2014). On February SECURITIES AND EXCHANGE 19, 2015, the Commission approved the Eight Stocks, as defined in Rule 600(b)(47) of COMMISSION Amendment to the Plan. See Securities Exchange Regulation NMS under the Exchange Act Release No. 74323, 80 FR 10169 (February 25, Act.8 The Plan sets forth procedures that [Release No. 34–88406; File No. 4–631] 2015). On October 22, 2015, the Commission provide for market-wide limit up-limit approved the Ninth Amendment to the Plan. See Joint Industry Plan; Notice of Filing of Securities Exchange Act Release No. 76244, 80 FR down requirements to prevent trades in the Twentieth Amendment to the 66099 (October 28, 2015). On April 21, 2016, the individual NMS Stocks from occurring Commission approved the Tenth Amendment to the outside of the specified Price Bands. National Market System Plan To Plan. See Securities Exchange Act Release No. Address Extraordinary Market These limit up-limit down requirements 77679, 81 FR 24908 (April 27, 2016). On August 26, are coupled with Trading Pauses, as Volatility by Cboe BYX Exchange, Inc., 2016, the Commission noticed for immediate Cboe BZX Exchange, Inc., Cboe EDGA effectiveness the Eleventh Amendment to the Plan. defined in Section I(Y) of the Plan, to See Securities Exchange Act Release No. 78703, 81 accommodate more fundamental price Exchange, Inc., Cboe EDGX Exchange, FR 60397 (September 1, 2016). On January 19, 2017, Inc., Chicago Stock Exchange, Inc., moves. In particular, the Participants the Commission approved the Twelfth Amendment adopted this Plan to address Financial Industry Regulatory to the Plan. See Securities Exchange Act Release extraordinary volatility in the securities Authority, Inc., Investors Exchange No. 79845, 82 FR 8551 (January 26, 2017). On April 13, 2017, the Commission approved the Thirteenth markets, i.e., significant fluctuations in LLC, Long-Term Stock Exchange, Amendment to the Plan. See Securities Exchange individual securities’ prices over a short NASDAQ BX, Inc., NASDAQ PHLX LLC, Act Release No. 80455, 82 FR 18519 (April 19, period of time, such as those The Nasdaq Stock Market LLC, NYSE 2017). On April 28, 2017, the Commission noticed experienced during the ‘‘Flash Crash’’ National, Inc., New York Stock for immediate effectiveness the Fourteenth Amendment to the Plan. See Securities Exchange on the afternoon of May 6, 2010. Exchange LLC, NYSE American LLC, Act Release No. 80549, 82 FR 20928 (May 4, 2017). As detailed above, the Plan was and NYSE Arca, Inc. On September 26, 2017, the Commission noticed for amended numerous times between 2011 immediate effectiveness the Fifteenth Amendment March 17, 2020. to Plan. See Securities Exchange Act Release No. 2 81720, 82 FR 45922 (October 2, 2017). On March 15 U.S.C. 78k–1(a)(3). I. Introduction 15, 2018, the Commission noticed for immediate 3 17 CFR 242.608. effectiveness the Sixteenth Amendment to the Plan. 4 See Letter from Elizabeth King, General Counsel On February 13, 2020, NYSE Group, See Securities Exchange Act Release No. 82887, 83 and Corporate Secretary, NYSE, to Vanessa Inc., on behalf of the following parties FR 12414 (March 21, 2018). On April 12, 2018, the Countryman, Secretary, Commission, dated to the National Market System Plan to Commission approved the Seventeenth Amendment February 13, 2020 (‘‘Transmittal Letter’’). Address Extraordinary Market Volatility to the Plan. See Securities Exchange Act Release 5 17 CFR 242.608. 6 (‘‘the Plan’’): 1 Cboe BZX Exchange, Inc., No. 83044, 83 FR 17205 (April 18, 2018). On April See 17 CFR 242.608(a)(4) and (a)(5). 11, 2019, the Commission approved the Eighteenth 7 See Transmittal Letter, supra note 4. The Amendment to the Plan. See Securities Exchange statement of the purpose and summary of the 14 17 CFR 200.30–3(a)(12). Act Release No. 85623 (April 11, 2019), 84 FR amendment and the information required by Rule 1 On May 31, 2012, the Commission approved the 16086 (April 17, 2019). On February 5, 2020, the 608(a)(4) and (5) is reproduced verbatim from the Plan, as modified by Amendment No. 1. See Commission noticed for immediate effectiveness Transmittal Letter unless otherwise noted; cross- Securities Exchange Act Release No. 67091, 77 FR the Nineteenth Amendment to the Plan. See references have been revised to conform with the 33498 (June 6, 2012) (File No. 4–631) (‘‘Approval Securities Exchange Act Release No. 88122 footnote sequencing of this notice. Order’’). On February 20, 2013, the Commission (February 5, 2020), 85 FR 7805 (February 11, 2020). 8 17 CFR 242.600(b)(47).

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and 2019. On April 11, 2019, the The Participants also propose to make a to the data for Limit States, Trading Commission approved the eighteenth non-substantive amendment to the Plan Pauses, Straddle States, and Clearly amendment to the Plan,9 which to reflect the name change of Chicago Erroneous Events; (iii) the specific time- transitioned the Plan from operating on Stock Exchange, Inc., to NYSE Chicago, frames covered by each time-of-day a pilot to a permanent basis. The Inc. partition; and (iv) that the data provided eighteenth amendment included 1. Proposal To Improve Clarity and for Reopenings must take into account changes to the Plan’s Appendix B, ‘‘Data Transparency of Appendix B.II.B the differences between manual and and Reporting,’’ which revised the automated reopenings. Participants’ requirements to report data The Participants propose to amend First, in preparing to compile the data about the Plan’s ongoing operation to Appendix B.II.B to improve its clarity required for the first quarterly report, the Commission. Under the eighteenth and transparency by revising and the Participants determined that the amendment, the Plan requires the supplementing the current language. In partitions listed in the current Participants to provide to the preparing to compile and aggregate the Appendix B.II.B reasonably apply to the Commission an annual report assessing data required for the first quarterly data for Limit States, Trading Pauses, the Plan’s performance, quarterly report, the Participants determined that Straddle States, and Clearly Erroneous reports providing basic statistics, and ad the language of Appendix B.II.B could Events, and that the Reopenings data hoc reports that may be requested by the be improved by, among other things: (a) requires different partitions. The Commission following significant Emphasizing from the outset that the Participants therefore propose to market events. data should be aggregated across restructure Appendix B.II.B into two Section II.B of Appendix B primary listing exchanges, (b) specifying subsections, each with their own (‘‘Appendix B.II.B’’) concerns the the specific partitions that should be ‘‘Definitions’’ section that specifies the quarterly reports to be provided to the applied to each data point, (c) partitions that would be applicable to Commission. Appendix B.II.B currently specifying the specific distribution that subsection. Specifically, proposed provides that 30 days following the end statistics that should be applied to each Appendix B.II.B.1.a would define the of each calendar quarter, the Operating data point, and (d) providing additional partitions that would apply to data Committee shall provide the clarity as to what Reopening data about Limit States, Trading Pauses, Commission and make publicly should be included. Straddle States, and Clearly Erroneous available a report including basic The Participants emphasize that the Events, and proposed Appendix statistics regarding the Plan’s operation intention of this amendment is not to B.II.B.2.a would define the partitions (‘‘Monitoring Report’’) during the substantively change the requirements that would apply to data about preceding calendar quarter as well as in Appendix B.II.B, but to amend the Reopenings. aggregated data from the previous 12 language of Appendix B.II.B to give Second, the current version of quarters beginning with the calendar more complete directions as to the Appendix B.II.B. lists only eight quarter covered by the first Monitoring information that should be included in separate ‘‘categories’’ into which Report. Appendix B.II.B requires the the quarterly Monitoring Reports. securities should be partitioned, but the Monitoring Report to include data on a. Data Aggregated Across Primary full language of that provision indicates the number and rate of recurrence of Listing Exchanges that 18 categories are actually intended. Limit States, Straddle States, and The opening paragraph of Appendix Appendix B.II.B currently lists the first Trading Pauses for each month during three categories as ‘‘Tier 1 non-ETP the calendar quarter, as well as the B.II.B currently refers to ‘‘aggregate data,’’ but is not clear that the data for issues > $3.00,’’ ‘‘Tier 1 non-ETP >= performance of reopening procedures $0.75 and <= $3.00,’’ and ‘‘Tier 1 non- following a Trading Pause. Appendix the quarterly Monitoring Report should be aggregated across primary listing ETP issues < $0.75,’’ and then lists five B.II.B also currently provides that the other categories of securities that should Monitoring Report will include data on exchanges, as opposed to aggregated in some other fashion. The Participants also be divided ‘‘in each of the above the number of Clearly Erroneous categories.’’ The Participants Executions that occur during the propose to amend this paragraph to make clear that the quarterly Monitoring understand this language to mean that preceding calendar quarter. In addition, each of the six categories of securities Appendix B.II.B currently states that the Report will include basic statistics aggregated across primary listing listed—that is, Tier 1 non-ETPs, Tier 1 data in the Monitoring Report should be non-leveraged ETPs, Tier 1 leveraged partitioned by ‘‘category’’ (i.e., type of exchanges regarding the Plan’s operation during the preceding calendar ETPs, Tier 2 non-ETPs, Tier 2 non- issue and price range), as well as by the leveraged ETPs, and Tier 2 leveraged ‘‘time of day’’ of the event. 10 quarter, as well as data aggregated across exchanges from the previous 12 ETPs—should each be further The Participants now propose to subdivided into three subcategories: amend Appendix B.II.B in order to quarters beginning with the calendar covered by the first Monitoring Report. Greater than $3.00, between $0.75 and improve the clarity and transparency of $3.00, and less than $0.75. As such, the the quarterly reporting requirements. b. Specific Partitions To Apply to Each Participants propose to clearly list in the Data Category amended Appendix B.II.B.1.a.i all 18 of 9 See Securities Exchange Act Release No. 85623 the categories of securities into which (April 11, 2019), 84 FR 16086 (April 17, 2019) (File Appendix B.II.B currently contains No. 4–631). provisions entitled ‘‘Partition stocks by the Limit State, Trading Pause, Straddle 10 In several places in the Notice describing the category’’ and ‘‘Partition by time of State, and Clearly Erroneous Events data Monitoring Report requirements, the Participants day.’’ The Participants propose to should be partitioned: state that they ‘‘should’’ do certain things or (1) Tier 1 non-ETP securities > $3.00 provide certain data. The Commission notes that replace this text to specify more clearly LULD Plan requires the Participants to meet such (i) which partitions apply to the data for (2) Tier 1 non-ETP securities >= $0.75 obligations and they are not voluntary on the part Limit States, Trading Pauses, Straddle and <= $3.00 of the Participants. Therefore, in instances where States, and Clearly Erroneous Events, (3) Tier 1 non-ETP securities < $0.75 the Notice states that the Participants ‘‘should’’ (4) Tier 1 non-leveraged ETPs > $3.00 include something in the Monitoring Report, the and which partitions apply to the data Commission notes that the LULD Plan requires that for Reopenings, which differ; (ii) the 18 (5) Tier 1 non-leveraged ETPs >= $0.75 the data be provided. different category partitions that apply and <= $3.00

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(6) Tier 1 non-leveraged ETPs < $0.75 Trading Pause (for automated For Trading Pauses (7) Tier 1 leveraged ETPs > $3.00 reopenings); • Monthly distribution statistics (8) Tier 1 leveraged ETPs >= $0.75 and • more than 10 minutes (for manual (mean, median, 25th percentile, and <= $3.00 reopenings) or more than one extension maximum) on the number of Trading (9) Tier 1 leveraged ETPs < $0.75 of the Trading Pause (for automated Pauses per day, broken out by Category (10) Tier 2 non-ETPs > $3.00 reopenings). and Time of Day. (11) Tier 2 non-ETPs >= $0.75 and • Monthly distribution statistics c. Specific Distribution Statistics To <= $3.00 (mean, median, 25th percentile, and Apply to Each Data Category for Limit (12) Tier 2 non-ETPs < $0.75 maximum) on the number of NMS States, Trading Pauses, Straddle States, (13) Tier 2 non-leveraged ETPs > $3.00 Stocks that experienced more than one and Clearly Erroneous Events (14) Tier 2 non-leveraged ETPs >= $0.75 Trading Pause on a single day, broken and <= $3.00 The current Appendix II.B.II states in out by Category. (15) Tier 2 non-leveraged ETPs < $0.75 • general terms that the Monitoring Monthly distribution statistics (16) Tier 2 leveraged ETPs > $3.00 Report should include data on the (mean, median, 90th percentile, and (17) Tier 2 leveraged ETPs >= $0.75 and ‘‘[n]umber of Limit States, Trading maximum) on the number of Trading <= $3.00 Pauses, and Straddle States per day, Pauses per day experienced by (18) Tier 2 leveraged ETPs < $0.75 including distribution statistics such as individual NMS Stocks having more Third, the current Appendix B.II.B.3 the mean, median, minimum and than one Trading Pause on a single day, states that the ‘‘time of day’’ partitions maximum percentiles,’’ and the broken out by Category. are ‘‘Opening (prior to 9:45 a.m. ET),’’ ‘‘[n]umber of NMS Stocks that For Straddle States ‘‘Regular (between 9:45 a.m. ET and experience more than one Limit State, • Monthly distribution statistics 3:35 p.m. ET),’’ ‘‘Closing (after 3:35 p.m. Trading Pause, or Straddle State in a (mean, median, 25th percentile, and ET),’’ and ‘‘Within five minutes of a single day including the length of each maximum) on the number of Straddle Trading Pause re-open or IPO open.’’ Limit State, Trading Pause, and Straddle States per day, broken out by Category These partitions, however, assume that State per day.’’ The current version also and Time of Day. all trading days are full trading days, states generally that Participants should • Monthly distribution statistics and do not account for partial trading ‘‘[P]artition stocks by category’’ and (mean, median, 25th percentile, and days where the markets are scheduled to ‘‘[P]artition by time of day,’’ even maximum) on the number of NMS close early, such as the day after though such partitions do not Stocks that experienced more than one Thanksgiving and December 24. The reasonably apply to every data set Straddle State on a single day, broken Participants accordingly propose to required to be supplied in the amend Appendix B.II.B to add new out by Category. Monitoring Report. • subsection 1.a.ii, to specify that ‘‘Time Monthly distribution statistics of Day’’ means the following time spans: The Participants propose to add (mean, median, 90th percentile, and clarity to these reporting requirements 99.9th percentile) on the total time (1) Opening (prior to 9:45 a.m. ET) by amending Appendix B.II.B to specify (2) Regular (between 9:45 a.m. ET and spent in a Straddle State per day for the precise distribution statistics and individual NMS Stocks experiencing 25 minutes prior to the end of core partitions to apply to each data request. trading hours) one or more Straddle States on a single Accordingly, the Participants propose to day, broken out by Category (3) Closing (the last 25 minutes of core amend Appendix B.II.B.1.b clarify that trading hours) the Monitoring Report would include: For Clearly Erroneous Events (4) Within five minutes of a Trading • The number of Clearly Erroneous For Limit States Pause reopen or IPO open Events per day for all NMS Stocks that Fourth, the current Appendix B.II.B • Monthly distribution statistics occurred during the time when Price does not include any language (mean, median, 25th percentile, and Bands re disseminated by the Processor, partitioning Reopenings data between maximum) on the number of Limit broken out by Category and Time of 11 manual and automated reopenings. States per day, broken out by Category Day. The Participants accordingly propose to and Time of Day. amend Appendix B.II.B to add new d. Additional Clarity on Reopening Data • Monthly distribution statistics subsection 2.a.i requiring that they Finally, regarding Reopening data, (mean, median, 25th percentile, and partition Reopening data by whether the Appendix B.II.B currently states that the maximum) on the number of NMS reopening is manual or automated. The Monitoring Report should include the Stocks that experienced more than one Participants also propose to add new ‘‘[n]umber of times an automated Limit State on a single day, broken out subsection 2.a.iii, to require that the reopening process is extended for and by Category. data for Reopenings be partitioned by the length of the Trading Pause,’’ • the ‘‘Length of the Trading Pause,’’ Monthly distribution statistics ‘‘[w]hether the reopening process ended which would be defined as: (mean, median, 90th percentile, and in a trade,’’ ‘‘[t]he price calculated by an • Less than 6 minutes (for manual 99th percentile) on the number of Limit automated reopening process for an reopenings) or no extensions of the States experienced per day by NMS Stock existing a Trading Pause,’’ Trading Pause (for automated individual NMS Stocks that had more and ‘‘[f]or the five minutes following the reopenings); than one Limit State on a single day, conclusion of a Trading Pause, the • 6 to 10 minutes (for manual broken out by Category. highest price of all last sale eligible reopenings) or one extension of the • Monthly distribution statistics trades, the lowest price of all last sale (mean, median, 90th percentile, and eligible trades, and the average price of 11 For purposes of Appendix B, a reopening is 99th percentile) on the total length of all last sale eligible trades.’’ considered ‘‘manual’’ if it is facilitated by a member Limit States experienced per day by These provisions, however, do not of an exchange (such as a Designated Market Maker specify the specific distribution on NYSE) that has obligations under that individual NMS Stocks that had more exchange’s rules to facilitate the reopening process. than one Limit State on a single day, statistics or partitions that the (All reopenings on NYSE are manual.) broken out by Category. Participants should apply to any of

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these data requests. Additionally, the reopening trade or midpoint price) to (a) E. Analysis of Impact on Competition Participants believe that the quality and the highest price of all last sale eligible utility of the Monitoring Report will be trades, (b) the lowest price of all last The Participants believe that the enhanced if they supply additional sale eligible trades; and (c) the trade- proposed amendment does not impose information about Reopening statistics, weighted average price of all last sale any burden on competition that is not including how the Trading Pause ended eligible trades for the five minutes necessary or appropriate in furtherance (whether in a trade, a quote, or a following the conclusion of the Trading of the purposes of the Securities potential closing auction), whether the Pause, broken out by (i) Category, (ii) Exchange Act of 1934 (‘‘Exchange Act’’). Trading Pause was preceded by a Limit whether the Trading Pause was The proposed amendments to Appendix Up state versus a Limit Down state, and preceded by a Limit Up state or (iii) a B.II.B of the Plan pertain to the the percentage price change between the Limit Down state, and (iv) whether the obligations of the Participants and the price that triggered the Trading Pause Trading Pause ended in a trade or (v) in Operating Committee to provide and the reopening price on exiting the a quote (i.e., the reopening price was a periodic reports to the Commission Trading Pause. midpoint). about the Plan’s ongoing operation. As Accordingly, the Participants propose The Participants believe that the such, they do not apply directly to any to amend the provisions in Appendix proposed amendments described above market participants and would not B.II.B pertaining to Reopenings to will enhance clarity, improve impose a competitive burden on one specify that the Monitoring Report transparency, and provide direction to category of market participant in favor should include: the Participants in compiling and • of another category of market The number of Trading Pauses per aggregating the data required in the participant. For the same reasons, the month, broken out by (a) Type of quarterly Monitoring Reports. Reopening, (b) Category, and (c) Length Participants do not believe that the of the Trading Pause. 2. Proposal To Change Name of Chicago proposed Plan introduces terms that are • Monthly distribution statistics Stock Exchange, Inc. to NYSE Chicago, unreasonably discriminatory for the (mean, median, 90th percentile, and Inc. purposes of Section 11A(c)(1)(D) of the 99th percentile) on the duration of each The Participants also propose to make Exchange Act. Trading Pause, broken out by (a) Type a non-substantive amendment to the of Reopening and (b) Category. F. Written Understanding or Agreements • Plan to reflect the name change of Relating to Interpretation of, or The number of Trading Pauses Chicago Stock Exchange, Inc. to NYSE Participation in, Plan ending in a (a) trade; (b) quote; and (c) Chicago, Inc., and the change of its potential closing auction, broken out by address from 440 South LaSalle Street, The Participants have no written (i) Type of Reopening, (ii) Category, and Chicago, Illinois 60605 to 11 Wall (iii) Length of Trading Pause. understandings or agreements relating • Street, New York, New York, 10005. to interpretation of the Plan. For Trading Pauses in NMS Stocks On October 18, 2018, the Chicago preceded by a Limit Up state, monthly Stock Exchange, Inc. filed a proposed G. Approval of Amendment of the Plan distribution statistics (mean, median, rule change for immediate effectiveness 90th percentile, and 99th percentile) on to amend, among other things, its rules Each of the Participants has approved the percentage price change from the to reflect the change of its name to the amendment in accordance with Limit Up pricing that triggered the NYSE Chicago, Inc.12 Section III(C) of the Plan. Specifically, Trading Pause to the reopening price on on February 12, 2020, the Operating exiting the Trading Pause (i.e., the B. Governing or Constituent Documents Committee, duly constituted and reopening trade or midpoint price), The governing documents of the chaired by Mr. Robert Books of Cboe broken out by (a) Category and (b) Processor, as defined in Section I(P) of Global Markets, Inc., voted unanimously whether the Trading Pause ended in a the Plan, will not be affected by this to amend the Plan as set forth herein. trade or (c) in a quote (i.e., the reopening proposed amendment to the Plan. The Participants also received and price was a midpoint). incorporated feedback from the Plan • For Trading Pauses in NMS Stocks C. Implementation of Amendment Advisory Committee in preparing this preceded by a Limit Down state, The Participants are filing this proposal. monthly distribution statistics (mean, proposed amendment pursuant to Rule median, 90th percentile, and 99th 608(b)(1) of Regulation NMS under the H. Terms and Conditions of Access percentile) on the percentage price Exchange Act.13 change from the Limit Down pricing Section II(C) of the Plan provides that that triggered the Trading Pause to the D. Development and Implementation any entity registered as a national reopening price on exiting the Trading Phases securities exchange or national Pause (i.e., the reopening trade or The Plan has been fully implemented, securities association under the midpoint price), broken out by (a) and the amendments proposed herein Exchange Act may become a Participant Category and (b) whether the Trading are immediately effective, as noted by: (1) Becoming a participant in the Pause ended in a trade or (c) in a quote above.14 applicable Market Data Plans, as defined (i.e., the reopening price was a in Section I(F) of the Plan; (2) executing midpoint). 12 See Securities Exchange Act Release No. 84494 a copy of the Plan, as then in effect; (3) • (October 26, 2018), 83 FR 54953 (November 1, 2018) For Trading Pauses in NMS Stocks providing each then-current Participant where the reopening process ended in a (SR–CHX–2018–05). 13 17 CFR 242.608. with a copy of such executed Plan; and trade or quote (with resulting reference 14 The Commission notes that the Exchanges (4) effecting an amendment to the Plan price equal to the midpoint of that incorrectly stated in the Transmittal Letter, supra as specified in Section III(B) of the Plan. quote), monthly distribution statistics note 4, that the proposed amendments are effective (mean, median, 90th percentile, and upon filing. These amendments are being proposed pursuant to Rule 608(b)(1) of Regulation NMS Commission may approve these proposed 99th percentile) on the percentage price under the Exchange Act, and the Commission is amendments if it finds that they are consistent with change from the reopening price on publishing the proposed amendments for public the standards articulated in Rule 608(b)(2) of exiting the Trading Pause (i.e., the comment as required by Rule 608(b)(1). The Regulation NMS.

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I. Method of Determination and communications relating to the investors and promote fair and orderly Imposition, and Amount of, Fees and amendment between the Commission markets. The Participants developed Charges and any person, other than those that this Plan pursuant to Rule 608(a)(3) of This section is not applicable as the may be withheld from the public in Regulation NMS under the Exchange proposed amendment to the Plan does accordance with the provisions of 5 Act, which authorizes the Participants not involve fees or charges. U.S.C. 552, will be available for website to act jointly in preparing, filing, and viewing and printing in the implementing national market system J. Method and Frequency of Processor Commission’s Public Reference Room, plans. Evaluation 100 F Street NE, Washington, DC 20549, I. Definitions This section is not applicable as the on official business days between the operation of the Plan is conducted by hours of 10:00 a.m. and 3:00 p.m. (A) ‘‘Eligible Reported Transactions’’ the Primary Listing Exchange. Copies of such filing also will be shall have the meaning prescribed by available for inspection and copying at the Operating Committee and shall K. Dispute Resolution the Participants’ offices. All comments generally mean transactions that are Section III(C) of the Plan provides that received will be posted without change. eligible to update the last sale price of each Participant shall designate an Persons submitting comments are an NMS Stock. individual to represent the Participant cautioned that we do not redact or edit (B) ‘‘Exchange Act’’ means the as a member of an Operating Committee. personal identifying information from Securities Exchange Act of 1934, as No later than the initial date of the Plan, comment submissions. You should amended. the Operating Committee shall designate submit only information that you wish (C) ‘‘Limit State’’ shall have the one member of the Operating Committee to make available publicly. All meaning provided in Section VI of the to act as the Chair of the Operating submissions should refer to File Plan. Committee. Any recommendation for an Number 4–631 and should be submitted (D) ‘‘Limit State Quotation’’ shall have amendment to the Plan from the on or before April 13, 2020. the meaning provided in Section VI of Operating Committee that receives an By the Commission. the Plan. affirmative vote of at least two-thirds of J. Matthew DeLesDernier, the Participants, but is less than (E) ‘‘Lower Price Band’’ shall have the Assistant Secretary. unanimous, shall be submitted to the meaning provided in Section V of the Commission as a request for an Exhibit A Plan. (F) ‘‘Market Data Plans’’ shall mean amendment to the Plan initiated by the Proposed new language is italicized; the effective national market system Commission under Rule 608. proposed deletions are in [brackets] plans through which the Participants act III. Solicitation of Comments Plan To Address Extraordinary Market jointly to disseminate consolidated Interested persons are invited to Volatility Submitted to the Securities and information in compliance with Rule submit written data, views and Exchange Commission Pursuant to Rule 608 603(b) of Regulation NMS under the of Regulation NMS Under the Securities Exchange Act. arguments concerning the foregoing, Exchange Act of 1934 including whether the amendment is (G) ‘‘National Best Bid’’ and ‘‘National consistent with the Exchange Act and Table of Contents Best Offer’’ shall have the meaning the rules thereunder. Comments may be provided in Rule 600(b)(42) of submitted by any of the following Section Page Regulation NMS under the Exchange methods: Preamble ...... 1 Act. I. Definitions ...... 2 Electronic Comments II. Parties ...... 4 (H) ‘‘NMS Stock’’ shall have the • III. Amendments to Plan ...... 7 meaning provided in Rule 600(b)(47) of Use the Commission’s internet IV. Trading Center Policies and Pro- Regulation NMS under the Exchange comment form (http://www.sec.gov/ cedures ...... 8 Act. rules/sro.shtml); or V. Price Bands ...... 8 (I) ‘‘Opening Price’’ shall mean the • Send an email to rule-comments@ VI. Limit Up-Limit Down Require- price of a transaction that opens trading sec.gov. Please include File Number 4– ments ...... 11 on the Primary Listing Exchange. If the 631 on the subject line. VII. Trading Pauses ...... 13 VIII. Implementation ...... 15 Primary Listing Exchange opens with Paper Comments IX. Withdrawal from Plan ...... 15 quotations, the ‘‘Opening Price’’ shall • Send paper comments in triplicate X. Counterparts and Signatures ...... 15 mean the closing price of the NMS to Secretary, Securities and Exchange Appendix A—Percentage Parameters 17 Stock on the Primary Listing Exchange Appendix A—Schedule 1 ...... 19 on the previous trading day, or if no Commission, 100 F Street NE, Appendix B—Data and Reporting .... 37 Washington, DC 20549–1090. such closing price exists, the last sale on All submissions should refer to File Preamble the Primary Listing Exchange. Number 4–631.This file number should The Participants submit to the SEC (J) ‘‘Operating Committee’’ shall have be included on the subject line if email this Plan establishing procedures to the meaning provided in Section III(C) is used. To help the Commission address extraordinary volatility in NMS of the Plan. process and review your comments Stocks. The procedures provide for (K) ‘‘Participant’’ means a party to the more efficiently, please use only one market-wide limit up-limit down Plan. method. The Commission will post all requirements that prevent trades in (L) ‘‘Plan’’ means the plan set forth in comments on the Commission’s internet individual NMS Stocks from occurring this instrument, as amended from time website (http://www.sec.gov/rules/ outside of the specified Price Bands. to time in accordance with its sro.shtml). Copies of the submission, all These limit up-limit down requirements provisions. subsequent amendments, all written are coupled with Trading Pauses to (M) ‘‘Percentage Parameter’’ shall statements with respect to the proposed accommodate more fundamental price mean the percentages for each tier of plan amendment that are filed with the moves. The Plan procedures are NMS Stocks set forth in Appendix A of Commission, and all written designed, among other things, to protect the Plan.

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(N) ‘‘Price Bands’’ shall have the (4) Cboe EDGX Exchange, Inc., 400 (2) Composition. Members of the meaning provided in Section V of the South LaSalle Street, Chicago, Advisory Committee shall be selected Plan. Illinois 60605 for two-year terms as follows: (O) ‘‘Primary Listing Exchange’’ shall [(5) Chicago Stock Exchange, Inc., 440 (A) Advisory Committee Selections. mean the Participant on which an NMS South LaSalle Street, Chicago, By affirmative vote of a majority of the Stock is listed. If an NMS Stock is listed Illinois 60605] Participants, the Participants shall select on more than one Participant, the (5[6]) Financial Industry Regulatory at least one representatives from each of Participant on which the NMS Stock has Authority, Inc., 1735 K Street NW, the following categories to be members been listed the longest shall be the Washington, DC 20006 of the Advisory Committee: (1) A Primary Listing Exchange. (6[7]) Investors Exchange LLC, 4 World broker-dealer with a substantial retail (P) ‘‘Processor’’ shall mean the single Trade Center, 44th Floor, New investor customer base; (2) a broker- plan processor responsible for the York, New York 10007 dealer with a substantial institutional consolidation of information for an (7[8]) NASDAQ BX, Inc., One Liberty investor customer base; (3) an NMS Stock pursuant to Rule 603(b) of Plaza, New York, New York 10006 alternative trading system; (4) a broker- (8[9]) NASDAQ PHLX LLC, 1900 Market Regulation NMS under the Exchange dealer that primarily engages in trading Street, Philadelphia, Pennsylvania Act. for its own account; and (5) an investor. 19103 (Q) ‘‘Pro-Forma Reference Price’’ shall (3) Function. Members of the (9[10]) The Nasdaq Stock Market LLC, 1 have the meaning provided in Section Advisory Committee shall have the right V(A)(2) of the Plan. Liberty Plaza, 165 Broadway, New York, NY 10006 to submit their views to the Operating (R) ‘‘Reference Price’’ shall have the Committee on Plan matters, prior to a meaning provided in Section V of the (10[1]) NYSE National, Inc., 11 Wall Street, New York, NY 10005 decision by the Operating Committee on Plan. such matters. Such matters shall (S) ‘‘Regular Trading Hours’’ shall (11[2]) New York Stock Exchange LLC, 11 Wall Street, New York, New include, but not be limited to, proposed have the meaning provided in Rule material amendments to the Plan. 600(b)(64) of Regulation NMS under the York 10005 (12[3]) NYSE American LLC, 11 Wall (4) Meetings and Information. Exchange Act. For purposes of the Plan, Members of the Advisory Committee Regular Trading Hours can end earlier Street, New York, New York 10005 (13[4]) NYSE Arca, Inc., 11 Wall Street, shall have the right to attend meetings than 4:00 p.m. ET in the case of an early New York, New York 10005 of the Operating Committee and to scheduled close. (14) NYSE Chicago, Inc., 11 Wall Street, receive any information concerning Plan (T) ‘‘Regulatory Halt’’ shall have the New York, New York 10005 matters; provided, however, that the meaning specified in the Market Data Operating Committee may meet in Plans. (B) Compliance Undertaking executive session if, by affirmative vote (U) ‘‘Reopening Price’’ shall mean the By subscribing to and submitting the price of a transaction that reopens of a majority of the Participants, the Plan for approval by the SEC, each Operating Committee determines that an trading on the Primary Listing Exchange Participant agrees to comply with and to following a Trading Pause or a item of Plan business requires enforce compliance, as required by Rule confidential treatment. Regulatory Halt, or, if the Primary 608(c) of Regulation NMS under the Listing Exchange reopens with Exchange Act, by its members with the III. Amendments to Plan quotations, the midpoint of those provisions of the Plan. To this end, each (A) General Amendments quotations. Participant shall adopt a rule requiring (V) ‘‘SEC’’ shall mean the United compliance by its members with the Except with respect to the addition of States Securities and Exchange provisions of the Plan, and each new Participants to the Plan, any Commission. Participant shall take such actions as are proposed change in, addition to, or (W) ‘‘Straddle State’’ shall have the necessary and appropriate as a deletion from the Plan shall be effected meaning provided in Section VII(A)(2) participant of the Market Data Plans to by means of a written amendment to the of the Plan. cause and enable the Processor for each Plan that: (1) Sets forth the change, (X) ‘‘Trading center’’ shall have the NMS Stock to fulfill the functions set addition, or deletion; (2) is executed on meaning provided in Rule 600(b)(78) of forth in this Plan. behalf of each Participant; and, (3) is Regulation NMS under the Exchange approved by the SEC pursuant to Rule Act. (C) New Participants 608 of Regulation NMS under the (Y) ‘‘Trading Pause’’ shall have the The Participants agree that any entity Exchange Act, or otherwise becomes meaning provided in Section VII of the registered as a national securities effective under Rule 608 of Regulation Plan. exchange or national securities NMS under the Exchange Act. (Z) ‘‘Upper Price Band’’ shall have the association under the Exchange Act may (B) New Participants meaning provided in Section V of the become a Participant by: (1) Becoming Plan. a participant in the applicable Market With respect to new Participants, an II. Parties Data Plans; (2) executing a copy of the amendment to the Plan may be effected Plan, as then in effect; (3) providing by the new national securities exchange (A) List of Parties each then-current Participant with a or national securities association The parties to the Plan are as follows: copy of such executed Plan; and (4) executing a copy of the Plan, as then in (1) Cboe BZX Exchange, Inc., 400 South effecting an amendment to the Plan as effect (with the only changes being the LaSalle Street, Chicago, Illinois specified in Section III (B) of the Plan. addition of the new Participant’s name 60605 in Section II(A) of the Plan) and (2) Cboe BYX Exchange, Inc., 400 South (D) Advisory Committee submitting such executed Plan to the LaSalle Street, Chicago, Illinois (1) Formation. Notwithstanding other SEC for approval. The amendment shall 60605 provisions of this Plan, an Advisory be effective when it is approved by the (3) Cboe EDGA Exchange, Inc., 400 Committee to the Plan shall be formed SEC in accordance with Rule 608 of South LaSalle Street, Chicago, and shall function in accordance with Regulation NMS under the Exchange Illinois 60605 the provisions set forth in this section. Act or otherwise becomes effective

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pursuant to Rule 608 of Regulation NMS Trading Hours for such NMS Stock. The Price Bands based on the new Reference under the Exchange Act. Price Bands shall be based on a Price; provided, however, that each new Reference Price for each NMS Stock that Reference Price shall remain in effect for (C) Operating Committee equals the arithmetic mean price of at least 30 seconds. (1) Each Participant shall select from Eligible Reported Transactions for the (B) Openings its staff one individual to represent the NMS stock over the immediately Participant as a member of an Operating preceding five-minute period (except for (1) Except when a Regulatory Halt is Committee, together with a substitute periods following openings and in effect at the start of Regular Trading for such individual. The substitute may reopenings, which are addressed Hours, the first Reference Price for a participate in deliberations of the below). If no Eligible Reported trading day shall be the Opening Price Operating Committee and shall be Transactions for the NMS Stock have on the Primary Listing Exchange in an considered a voting member thereof occurred over the immediately NMS Stock if such Opening Price occurs only in the absence of the primary preceding five-minute period, the less than five minutes after the start of representative. Each Participant shall previous Reference Price shall remain in Regular Trading Hours. During the have one vote on all matters considered effect. The Price Bands for an NMS period less than five minutes after the by the Operating Committee. No later Stock shall be calculated by applying Opening Price, a Pro-Forma Reference than the initial date of Plan operations, the Percentage Parameter for such NMS Price shall be updated on a continuous the Operating Committee shall designate Stock to the Reference Price, with the basis to be the arithmetic mean price of one member of the Operating Committee Lower Price Band being a Percentage Eligible Reported Transactions for the to act as the Chair of the Operating Parameter below the Reference Price, NMS Stock during the period following Committee. and the Upper Price Band being a the Opening Price (including the (2) The Operating Committee shall Percentage Parameter above the Opening Price), and if it differs from the monitor the procedures established Reference Price. The Price Bands shall current Reference Price by 1% or more pursuant to this Plan and advise the be calculated during Regular Trading shall become the new Reference Price, Participants with respect to any Hours. Between 3:35 p.m. and 4:00 p.m. except that a new Reference Price shall deficiencies, problems, or ET, or in the case of an early scheduled remain in effect for at least 30 seconds. recommendations as the Operating close, during the last 25 minutes of Subsequent Reference Prices shall be Committee may deem appropriate. The trading before the early scheduled close, calculated as specified in Section V(A) Operating Committee shall establish the Price Bands shall be calculated by of the Plan. specifications and procedures for the applying double the Percentage (2) If the Opening Price on the implementation and operation of the Parameters set forth in Appendix A for Primary Listing Exchange in an NMS Plan that are consistent with the (i) all Tier 1 NMS Stocks and (ii) Tier Stock does not occur within five provisions of this Plan and the 2 NMS Stocks priced equal to or below minutes after the start of Regular Appendixes thereto. With respect to $3.00. If the Processor has not yet Trading Hours, the first Reference Price matters in this paragraph, Operating disseminated Price Bands, but a for a trading day shall be the arithmetic Committee decisions shall be approved Reference Price is available, a trading mean price of Eligible Reported by a simple majority vote. center may calculate and apply Price Transactions for the NMS Stock over the (3) Any recommendation for an Bands based on the same Reference preceding five minute time period, and amendment to the Plan from the Price that the Processor would use for subsequent Reference Prices shall be Operating Committee that receives an calculating such Price Bands until such calculated as specified in Section V(A) affirmative vote of at least two-thirds of trading center receives Price Bands from of the Plan. the Participants, but is less than the Processor. If, under Section unanimous, shall be submitted to the VII(B)(2), the Primary Listing Exchange (C) Reopenings SEC as a request for an amendment to notifies the Processor that it is unable to (1) Following a Trading Pause in an the Plan initiated by the Commission reopen an NMS Stock due to a systems NMS Stock, and if the Primary Listing under Rule 608 of Regulation NMS. or technology issue and it has not Exchange has not declared a Regulatory IV. Trading Center Policies and declared a Regulatory Halt, the Halt, if the Primary Listing Exchange Procedures Processor will calculate and disseminate reopens trading with a transaction or Price Bands by applying triple the quotation that does not include a zero All trading centers in NMS Stocks, Percentage Parameters set forth in bid or zero offer, the next Reference including both those operated by Appendix A for the first 30 seconds Price shall be the Reopening Price on Participants and those operated by such Price Bands are disseminated. the Primary Listing Exchange. members of Participants, shall establish, (2) The Processor shall calculate a Subsequent Reference Prices shall be maintain, and enforce written policies Pro-Forma Reference Price on a determined in the manner prescribed for and procedures that are reasonably continuous basis during Regular normal openings, as specified in Section designed to comply with the limit up— Trading Hours, as specified in Section V(B)(1) of the Plan. If the Primary limit down requirements specified in V(A)(1) of the Plan. If a Pro-Forma Listing Exchange notifies the Processor Sections VI of the Plan, and to comply Reference Price has not moved by 1% or that it is unable to reopen an NMS Stock with the Trading Pauses specified in more from the Reference Price currently due to a systems or technology issue, or Section VII of the Plan. in effect, no new Price Bands shall be if the Primary Listing Exchange reopens V. Price Bands disseminated, and the current Reference trading with a quotation that has a zero Price shall remain the effective bid or zero offer, or both, the next (A) Calculation and Dissemination of Reference Price. When the Pro-Forma Reference Price shall be the last Price Bands Reference Price has moved by 1% or effective Price Band that was in a Limit (1) The Processor for each NMS stock more from the Reference Price currently State before the Trading Pause. shall calculate and disseminate to the in effect, the Pro-Forma Reference Price Subsequent Reference Prices shall be public a Lower Price Band and an shall become the Reference Price, and calculated as specified in Section V(A) Upper Price Band during Regular the Processor shall disseminate new of the Plan.

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(2) Following a Regulatory Halt, the below the Lower Price Band and bids Stock when an NMS Stock is in a next Reference Price shall be the above the Upper Price Band for an NMS Straddle State, which is when National Opening or Reopening Price on the Stock. The Processor shall disseminate Best Bid (Offer) is below (above) the Primary Listing Exchange if such an offer below the Lower Price Band or Lower (Upper) Price Band and the NMS Opening or Reopening Price occurs bid above the Upper Price Band that Stock is not in a Limit State, and trading within five minutes after the end of the may be submitted despite such in that NMS Stock deviates from normal Regulatory Halt, and subsequent reasonable policies and procedures, but trading characteristics such that Reference Prices shall be determined in with an appropriate flag identifying it as declaring a Trading Pause would the manner prescribed for normal non-executable; provided, however, that support the Plan’s goal to address openings, as specified in Section V(B)(1) any such bid or offer shall not be extraordinary market volatility. The of the Plan. If such Opening or included in National Best Bid or Primary Listing Exchange shall develop Reopening Price has not occurred National Best Offer calculations. policies and procedures for determining within five minutes after the end of the when it would declare a Trading Pause (B) Entering and Exiting a Limit State Regulatory Halt, the Reference Price in such circumstances. If a Trading shall be equal to the arithmetic mean (1) All trading for an NMS Stock shall Pause is declared for an NMS Stock price of Eligible Reported Transactions immediately enter a Limit State if the under this provision, the Primary for the NMS Stock over the preceding National Best Offer equals the Lower Listing Exchange shall notify the five minute time period, and subsequent Price Band and does not cross the Processor. Reference Prices shall be calculated as National Best Bid, or the National Best (3) The Processor shall disseminate specified in Section V(A) of the Plan. Bid equals the Upper Price Band and Trading Pause information to the public. does not cross the National Best Offer. No trades in an NMS Stock shall occur VI. Limit Up-Limit Down Requirements (2) When trading for an NMS Stock during a Trading Pause, but all bids and (A) Limitations on Trades and enters a Limit State, the Processor shall offers may be displayed. Quotations Outside of Price Bands disseminate this information by identifying the relevant quotation (i.e., a (B) Reopening of Trading During (1) All trading centers in NMS Stocks, National Best Offer that equals the Regular Trading Hours including both those operated by Lower Price Band or a National Best Bid Participants and those operated by (1) Five minutes after declaring a that equals the Upper Price Band) as a members of Participants, shall establish, Trading Pause for an NMS Stock, and if Limit State Quotation. At this point, the maintain, and enforce written policies the Primary Listing Exchange has not Processor shall cease calculating and and procedures that are reasonably declared a Regulatory Halt, the Primary disseminating updated Reference Prices designed to prevent trades at prices that Listing Exchange shall attempt to and Price Bands for the NMS Stock until are below the Lower Price Band or reopen trading using its established either trading exits the Limit State or above the Upper Price Band for an NMS reopening procedures. The Processor trading resumes with an opening or re- Stock. Single-priced opening, will publish the following information opening as provided in Section V. reopening, and closing transactions on that the Primary Listing Exchange (3) Trading for an NMS Stock shall the Primary Listing Exchange, however, provides to the Processor in connection exit a Limit State if, within 15 seconds shall be excluded from this limitation. with such reopening: Auction reference of entering the Limit State, the entire In addition, any transaction that both (i) price; auction collars; and number of size of all Limit State Quotations are does not update the last sale price extensions to the reopening auction. executed or cancelled. (except if solely because the transaction The Trading Pause shall end when the (4) If trading for an NMS Stock exits was reported late or because the Primary Listing Exchange reports a a Limit State within 15 seconds of entry, transaction was an odd-lot sized Reopening Price. the Processor shall immediately transaction), and (ii) is excepted or (2) The Primary Listing Exchange calculate and disseminate updated Price exempt from Rule 611 under Regulation shall notify the Processor if it is unable Bands based on a Reference Price that NMS shall be excluded from this to reopen trading in an NMS Stock due equals the arithmetic mean price of limitation. to a systems or technology issue and if (2) When a National Best Bid is below Eligible Reported Transactions for the it has not declared a Regulatory Halt. the Lower Price Band or a National Best NMS Stock over the immediately The Processor shall disseminate this Offer is above the Upper Price Band for preceding five-minute period (including information to the public. an NMS Stock, the Processor shall the period of the Limit State). (3) Trading centers may not resume disseminate such National Best Bid or (5) If trading for an NMS Stock does trading in an NMS Stock following a National Best Offer with an appropriate not exit a Limit State within 15 seconds Trading Pause without Price Bands in flag identifying it as non-executable. of entry, the Limit State will terminate such NMS Stock. When a National Best Offer is equal to when the Primary Listing Exchange (4) The Processor shall update the the Lower Price Band or a National Best declares a Trading Pause pursuant to Price Bands as set forth in Section Bid is equal to the Upper Price Band for Section VII of the Plan or at the end of V(C)(1)–(2) of the Plan after receiving an NMS Stock, the Processor shall Regular Trading Hours. notification from the Primary Listing distribute such National Best Bid or VII. Trading Pauses Exchange of a Reopening Price National Best Offer with an appropriate following a Trading Pause (or a resume flag identifying it as a ‘‘Limit State (A) Declaration of Trading Pauses message in the case of a reopening quote Quotation’’. (1) If trading for an NMS Stock does that has a zero bid or zero offer, or both) (3) All trading centers in NMS Stocks, not exit a Limit State within 15 seconds or that it is unable to reopen trading including both those operated by of entry during Regular Trading Hours, following a Trading Pause due to a Participants and those operated by then the Primary Listing Exchange shall systems or technology issue, provided members of Participants, shall establish, declare a Trading Pause for such NMS that if the Primary Listing Exchange is maintain, and enforce written policies Stock and shall notify the Processor. unable to reopen due to a systems or and procedures that are reasonably (2) The Primary Listing Exchange may technology issue, the update to the Price designed to prevent the display of offers also declare a Trading Pause for an NMS Bands will be no earlier than ten

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minutes after the beginning of the [CHICAGO STOCK EXCHANGE, INC. closing prices and then averaged over the Trading Pause. BY: llllllllllllllll period. ETPs, including inverse ETPs, that trade over $2,000,000 CADV will be eligible INVESTORS EXCHANGE LLC (C) Trading Pauses Within Ten Minutes to be included as a Tier 1 NMS Stock. The of the End of Regular Trading Hours BY: llllllllllllllll semi-annual updates to Schedule 1 do not (1) If an NMS Stock is in a Trading NASDAQ PHLX LLC require an amendment to the Plan. The Pause during the last ten minutes of BY: llllllllllllllll Primary Listing Exchanges will maintain the NYSE NATIONAL, INC. updated Schedule 1 on their respective trading before the end of Regular websites. Trading Hours, the Primary Listing BY: llllllllllllllll (2) The Percentage Parameters for Tier 1 Exchange shall not reopen trading and NYSE American LLC NMS Stocks with a Reference Price more shall attempt to execute a closing BY: llllllllllllllll than $3.00 shall be 5%. transaction using its established closing NYSE CHICAGO, INC. (3) The Percentage Parameters for Tier 1 procedures. All trading centers may BY: llllllllllllllll NMS Stocks with a Reference Price equal to $0.75 and up to and including $3.00 shall be begin trading the NMS Stock when the Cboe BYX EXCHANGE, INC. Primary Listing Exchange executes a 20%. llllllllllllllll closing transaction. BY: (4) The Percentage Parameters for Tier 1 (2) If the Primary Listing Exchange Cboe EDGX EXCHANGE, INC. NMS Stocks with a Reference Price less than does not execute a closing transaction BY: llllllllllllllll $0.75 shall be the lesser of (a) $0.15 or (b) FINANCIAL INDUSTRY REGULATORY 75%. within five minutes after the end of (5) The Reference Price used for Regular Trading Hours, all trading AUTHORITY, INC. determining which Percentage Parameter centers may begin trading the NMS BY: llllllllllllllll shall be applicable during a trading day shall Stock. NASDAQ BX, Inc. be based on the closing price of the NMS Stock on the Primary Listing Exchange on the VIII. Implementation BY: llllllllllllllll THE NASDAQ STOCK MARKET LLC previous trading day, or if no closing price The initial date of Plan operations exists, the last sale on the Primary Listing shall be April 8, 2013. BY: llllllllllllllll Exchange reported by the Processor. NEW YORK STOCK EXCHANGE LLC II. Tier 2 NMS Stocks IX. Withdrawal From Plan BY: llllllllllllllll If a Participant obtains SEC approval NYSE ARCA, INC. (1) Tier 2 NMS Stocks shall include all NMS Stocks other than those in Tier 1, to withdraw from the Plan, such BY: llllllllllllllll Participant may withdraw from the Plan provided, however, that all rights and Appendix A—Percentage Parameters warrants are excluded from the Plan. at any time on not less than 30 days’ (2) The Percentage Parameters for Tier 2 prior written notice to each of the other I. Tier 1 NMS Stocks NMS Stocks with a Reference Price more Participants. At such time, the (1) Tier 1 NMS Stocks shall include all than $3.00 shall be 10%. withdrawing Participant shall have no NMS Stocks included in the S&P 500 Index[,] (3) The Percentage Parameters for Tier 2 further rights or obligations under the and the Russell 1000 Index, and the NMS Stocks with a Reference Price equal to Plan. exchange-traded products (‘‘ETP’’) identified $0.75 and up to and including $3.00 shall be as Schedule 1 to this Appendix. Schedule 1 20%. X. Counterparts and Signatures to the Appendix will be reviewed and (4) The Percentage Parameters for Tier 2 The Plan may be executed in any updated semi-annually based on the fiscal NMS Stocks with a Reference Price less than number of counterparts, no one of year by the Primary Listing Exchange to add $0.75 shall be the lesser of (a) $0.15 or (b) which need contain all signatures of all ETPs that meet the criteria, or delete ETPs 75%. Participants, and as many of such that are no longer eligible. To determine (5) Notwithstanding the foregoing, the Percentage Parameters for a Tier 2 NMS counterparts as shall together contain all eligibility for an ETP to be included as a Tier 1 NMS Stock, all ETPs across multiple asset Stock that is a leveraged ETP shall be the such signatures shall constitute one and classes and issuers, including domestic applicable Percentage Parameter set forth in the same instrument. equity, international equity, fixed income, clauses (2), (3), or (4) above, multiplied by IN WITNESS THEREOF, this Plan has currency, and commodities and futures will the leverage ratio of such product. been executed as of the llday of be identified. Leveraged ETPs will be (6) The Reference Price used for November 2019 [2018] by each of the excluded and the list will be sorted by determining which Percentage Parameter parties hereto. notional consolidated average daily volume shall be applicable during a trading day shall Cboe BZX EXCHANGE, INC. (‘‘CADV’’). The period used to measure be based on the closing price of the NMS CADV will be from the first day of the Stock on the Primary Listing Exchange on the BY: llllllllllllllll previous fiscal half year up until one week previous trading day, or if no closing price Cboe EDGA EXCHANGE, INC. before the beginning of the next fiscal half exists, the last sale on the Primary Listing BY: llllllllllllllll year. Daily volumes will be multiplied by Exchange reported by the Processor.

APPENDIX A—SCHEDULE 1 [as of January 2, 2020]

Ticker ETP name Exchange

SPY ...... SPDR S&P 500 ETF Trust ...... NYSE Arca. QQQ ...... Invesco QQQ Trust ...... NASDAQ. IWM ...... iShares Russell 2000 ETF ...... NYSE Arca. EEM ...... iShares MSCI Emerging Markets ETF ...... NYSE Arca. GDX ...... VanEck Vectors Gold Miners ETF ...... NYSE Arca. HYG ...... iShares iBoxx $ High Yield Corporate Bond ETF ...... NYSE Arca. EFA ...... iShares MSCI EAFE ETF ...... NYSE Arca. TLT ...... iShares 20+ Year Treasury Bond ETF ...... NASDAQ. GLD ...... SPDR Gold Trust ...... NYSE Arca. XLF ...... Financial Select Sector SPDR Fund ...... NYSE Arca.

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APPENDIX A—SCHEDULE 1—Continued [as of January 2, 2020]

Ticker ETP name Exchange

LQD ...... iShares iBoxx $ Investment Grade Corporate Bond ETF ...... NYSE Arca. IVV ...... iShares Core S&P 500 ETF ...... NYSE Arca. XLU ...... Utilities Select Sector SPDR Fund ...... NYSE Arca. EWZ ...... iShares MSCI Brazil ETF ...... NYSE Arca. FXI ...... iShares China Large-Cap ETF ...... NYSE Arca. XLE ...... Energy Select Sector SPDR Fund ...... NYSE Arca. XLK ...... Technology Select Sector SPDR Fund ...... NYSE Arca. XLV ...... Health Care Select Sector SPDR Fund ...... NYSE Arca. VXX ...... iPath Series B S&P 500 VIX Short-Term Futures ETN ...... Cboe BZX. XLI ...... Industrial Select Sector SPDR Fund ...... NYSE Arca. XLP ...... Consumer Staples Select Sector SPDR Fund ...... NYSE Arca. DIA ...... SPDR Dow Jones Industrial Average ETF Trust ...... NYSE Arca. VOO ...... Vanguard S&P 500 ETF ...... NYSE Arca. IEMG ...... iShares Core MSCI Emerging Markets ETF ...... NYSE Arca. IYR ...... iShares U.S. Real Estate ETF ...... NYSE Arca. GDXJ ...... VanEck Vectors Junior Gold Miners ETF ...... NYSE Arca. JNK ...... SPDR Bloomberg Barclays High Yield Bond ETF ...... NYSE Arca. XOP ...... SPDR S&P Oil & Gas Exploration & Production ETF ...... NYSE Arca. SMH ...... VanEck Vectors Semiconductor ETF ...... NASDAQ. IEF ...... iShares 7–10 Year Treasury Bond ETF ...... NASDAQ. VWO ...... Vanguard FTSE Emerging Markets ETF ...... NYSE Arca. IEFA ...... iShares Core MSCI EAFE ETF ...... Cboe BZX. AGG ...... iShares Core U.S. Aggregate Bond ETF ...... NYSE Arca. VNQ ...... Vanguard Real Estate ETF ...... NYSE Arca. EMB ...... iShares JP Morgan USD Emerging Markets Bond ETF ...... NASDAQ. XLY ...... Consumer Discretionary Select Sector SPDR Fund ...... NYSE Arca. VTI ...... Vanguard Total Stock Market ETF ...... NYSE Arca. XBI ...... SPDR S&P BIOTECH ETF ...... NYSE Arca. EWJ ...... iShares MSCI Japan ETF ...... NYSE Arca. MDY ...... SPDR S&P Midcap 400 ETF Trust ...... NYSE Arca. VEA ...... Vanguard FTSE Developed Markets ETF ...... NYSE Arca. XLB ...... Materials Select Sector SPDR Fund ...... NYSE Arca. KRE ...... SPDR S&P Regional Banking ETF ...... NYSE Arca. SLV ...... iShares Silver Trust ...... NYSE Arca. USO ...... United States Oil Fund LP ...... NYSE Arca. IAU ...... iShares Gold Trust ...... NYSE Arca. USMV ...... iShares Edge MSCI Min Vol USA ETF ...... Cboe BZX. IBB ...... iShares NASDAQ Biotechnology ETF ...... NASDAQ. BND ...... Vanguard Total Bond Market ETF ...... NASDAQ. IJR ...... iShares Core S&P Small Cap ETF ...... NYSE Arca. SHV ...... iShares Short Treasury Bond ETF ...... NASDAQ. IWD ...... iShares Russell 1000 Value ETF ...... NYSE Arca. SPLV ...... Invesco S&P 500 Low Volatility ETF ...... NYSE Arca. IWF ...... iShares Russell 1000 Growth ETF ...... NYSE Arca. XRT ...... SPDR S&P Retail ETF ...... NYSE Arca. EWY ...... iShares MSCI South Korea ETF ...... NYSE Arca. MCHI ...... iShares MSCI China ETF ...... NASDAQ. ACWI ...... iShares MSCI ACWI ETF ...... NASDAQ. VCIT ...... Vanguard Intermediate-Term Corporate Bond ETF ...... NASDAQ. AMLP ...... Alerian MLP ETF ...... NYSE Arca. SHY ...... iShares 1–3 Year Treasury Bond ETF ...... NASDAQ. VGK ...... Vanguard FTSE Europe ETF ...... NYSE Arca. BIL ...... SPDR Bloomberg Barclays 1–3 Month T-Bill ETF ...... NYSE Arca. EZU ...... iShares MSCI Eurozone ETF ...... Cboe BZX. IJH ...... iShares Core S&P Mid-Cap ETF ...... NYSE Arca. XLRE ...... Real Estate Select Sector SPDR Fund ...... NYSE Arca. XLC ...... Communication Services Select Sector SPDR Fund ...... NYSE Arca. IWB ...... iShares Russell 1000 ETF ...... NYSE Arca. EWT ...... iShares MSCI Taiwan ETF ...... NYSE Arca. TIP ...... iShares TIPS Bond ETF ...... NYSE Arca. MTUM ...... iShares Edge MSCI USA Momentum Factor ETF ...... Cboe BZX. RSX ...... VanEck Vectors Russia ETF ...... Cboe BZX. VTV ...... Vanguard Value ETF ...... NYSE Arca. INDA ...... iShares MSCI India ETF ...... Cboe BZX. PFF ...... iShares Preferred & Income Securities ETF ...... NASDAQ. EWH ...... iShares MSCI Hong Kong ETF ...... NYSE Arca. VT ...... Vanguard Total World Stock ETF ...... NYSE Arca. MBB ...... iShares MBS ETF ...... NASDAQ. IGV ...... iShares Expanded Tech-Software Sector ETF ...... Cboe BZX. BSV ...... Vanguard Short-Term Bond ETF ...... NYSE Arca. SVXY ...... ProShares Short VIX Short-Term Futures ETF ...... NYSE Arca.

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APPENDIX A—SCHEDULE 1—Continued [as of January 2, 2020]

Ticker ETP name Exchange

BKLN ...... Invesco Senior Loan ETF ...... NYSE Arca. VIG ...... Vanguard Dividend Appreciation ETF ...... NYSE Arca. OIH ...... VanEck Vectors Oil Services ETF ...... NYSE Arca. EWW ...... iShares MSCI Mexico ETF ...... NYSE Arca. VEU ...... Vanguard FTSE All-World ex-US Index Fund ...... NYSE Arca. VCSH ...... Vanguard Short-Term Corporate Bond ETF ...... NASDAQ. SH ...... ProShares Short S&P500 ...... NYSE Arca. IEI ...... iShares 3–7 Year Treasury Bond ETF ...... NASDAQ. GOVT ...... iShares U.S. Treasury Bond ETF ...... Cboe BZX. SOXX ...... iShares PHLX Semiconductor ETF ...... NASDAQ. VGT ...... Vanguard Information Technology ETF ...... NYSE Arca. BNDX ...... Vanguard Total International Bond ETF ...... NASDAQ. ASHR ...... Xtrackers Harvest CSI 300 China A-Shares ETF ...... NYSE Arca. ITOT ...... iShares Core S&P Total U.S. Stock Market ETF ...... NYSE Arca. IWO ...... iShares Russell 2000 Growth ETF ...... NYSE Arca. VUG ...... Vanguard Growth ETF ...... NYSE Arca. JPST ...... JPMorgan Ultra-Short Income ETF ...... Cboe BZX. IWN ...... iShares Russell 2000 Value ETF ...... NYSE Arca. MINT ...... PIMCO Enhanced Short Maturity Active ETF ...... NYSE Arca. VYM ...... Vanguard High Dividend Yield Index ETF ...... NYSE Arca. ITB ...... iShares U.S. Home Construction ETF ...... Cboe BZX. FEZ ...... SPDR EURO STOXX 50 ETF ...... NYSE Arca. QUAL ...... iShares Edge MSCI USA Quality Factor ETF ...... Cboe BZX. EWG ...... iShares MSCI Germany ETF ...... NYSE Arca. MUB ...... iShares National Muni Bond ETF ...... NYSE Arca. IVE ...... iShares S&P 500 Value ETF ...... NYSE Arca. SCHF ...... Schwab International Equity ETF ...... NYSE Arca. VXUS ...... Vanguard Total International Stock ETF ...... NASDAQ. XHB ...... SPDR S&P Homebuilders ETF ...... NYSE Arca. AAXJ ...... iShares MSCI All Country Asia ex Japan ETF ...... NASDAQ. EWU ...... iShares MSCI United Kingdom ETF ...... NYSE Arca. IVW ...... iShares S&P 500 Growth ETF ...... NYSE Arca. KBE ...... SPDR S&P Bank ETF ...... NYSE Arca. VO ...... Vanguard Mid-Cap ETF ...... NYSE Arca. VB ...... Vanguard Small-Cap ETF ...... NYSE Arca. EMLC ...... VanEck Vectors J.P. Morgan EM Local Currency Bond ETF ...... NYSE Arca. SCHX ...... Schwab U.S. Large-Cap ETF ...... NYSE Arca. IGSB ...... iShares Short-Term Corporate Bond ETF ...... NASDAQ. ACWX ...... iShares MSCI ACWI ex U.S. ETF ...... NASDAQ. PSQ ...... ProShares Short QQQ ...... NYSE Arca. FLOT ...... iShares Floating Rate Bond ETF ...... Cboe BZX. IGIB ...... iShares Intermediate-Term Corporate Bond ETF ...... NASDAQ. SJNK ...... SPDR Bloomberg Barclays Short Term High Yield Bond ETF ...... NYSE Arca. UNG ...... United States Natural Gas Fund LP ...... NYSE Arca. XME ...... SPDR S&P Metals & Mining ETF ...... NYSE Arca. BIV ...... Vanguard Intermediate-Term Bond ETF ...... NYSE Arca. NEAR ...... iShares Short Maturity Bond ETF ...... Cboe BZX. DXJ ...... WisdomTree Japan Hedged Equity Fund ...... NYSE Arca. VIXY ...... ProShares VIX Short-Term Futures ETF ...... NYSE Arca. KWEB ...... KraneShares CSI China Internet ETF ...... NYSE Arca. IWR ...... iShares Russell Midcap ETF ...... NYSE Arca. EFAV ...... iShares Edge MSCI Min Vol EAFE ETF ...... Cboe BZX. EWC ...... iShares MSCI Canada ETF ...... NYSE Arca. IXUS ...... iShares Core MSCI Total International Stock ETF ...... NASDAQ. EWA ...... iShares MSCI Australia ETF ...... NYSE Arca. RSP ...... Invesco S&P 500 Equal Weight ETF ...... NYSE Arca. DGRO ...... iShares Core Dividend Growth ETF ...... NYSE Arca. FDN ...... First Trust Dow Jones Internet Index Fund ...... NYSE Arca. SCZ ...... iShares MSCI EAFE Small-Cap ETF ...... NASDAQ. SCHB ...... Schwab U.S. Broad Market ETF ...... NYSE Arca. DVY ...... iShares Select Dividend ETF ...... NASDAQ. SDY ...... SPDR S&P Dividend ETF ...... NYSE Arca. IHI ...... iShares U.S. Medical Devices ETF ...... NYSE Arca. OEF ...... iShares S&P 100 ETF ...... NYSE Arca. SPIB ...... SPDR Portfolio Intermediate Term Corporate Bond ETF ...... NYSE Arca. IWS ...... iShares Russell Mid-Cap Value ETF ...... NYSE Arca. AMJ ...... J.P. Morgan Alerian MLP Index ETN ...... NYSE Arca. SCHO ...... Schwab Short-Term US Treasury ETF ...... NYSE Arca. FTSM ...... First Trust Enhanced Short Maturity ETF ...... NASDAQ. SPYG ...... SPDR Portfolio S&P 500 Growth ETF ...... NYSE Arca. SPAB ...... SPDR Portfolio Aggregate Bond ETF ...... NYSE Arca.

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APPENDIX A—SCHEDULE 1—Continued [as of January 2, 2020]

Ticker ETP name Exchange

VCLT ...... Vanguard Long-Term Corporate Bond ETF ...... NASDAQ. SCHD ...... Schwab US Dividend Equity ETF ...... NYSE Arca. EWL ...... iShares MSCI Switzerland ETF ...... NYSE Arca. IWV ...... iShares Russell 3000 ETF ...... NYSE Arca. VXF ...... Vanguard Extended Market ETF ...... NYSE Arca. FVD ...... First Trust Value Line Dividend Index Fund ...... NYSE Arca. IYT ...... iShares Transportation Average ETF ...... Cboe BZX. EWQ ...... iShares MSCI France ETF ...... NYSE Arca VMBS ...... Vanguard Mortgage-Backed Securities ETF ...... NASDAQ. ILF ...... iShares Latin America 40 ETF ...... NYSE Arca. SPTL ...... SPDR Portfolio Long Term Treasury ETF ...... NYSE Arca. BLV ...... Vanguard Long-Term Bond ETF ...... NYSE Arca. VBR ...... Vanguard Small Cap Value ETF ...... NYSE Arca. VLUE ...... iShares Edge MSCI USA Value Factor ETF ...... Cboe BZX. EPI ...... WisdomTree India Earnings Fund ...... NYSE Arca. VFH ...... Vanguard Financials ETF ...... NYSE Arca. VGSH ...... Vanguard Short-Term Treasury ETF ...... NASDAQ. SCHP ...... Schwab US TIPS ETF ...... NYSE Arca. USIG ...... iShares Broad USD Investment Grade Corporate Bond ETF ...... NASDAQ. IWP ...... iShares Russell Mid-Cap Growth ETF ...... NYSE Arca. ITA ...... iShares U.S. Aerospace & Defense ETF ...... Cboe BZX. SCHG ...... Schwab U.S. Large-Cap Growth ETF ...... NYSE Arca. PCY ...... Invesco Emerging Markets Sovereign Debt ETF ...... NYSE Arca. IUSG ...... iShares Core S&P U.S. Growth ETF ...... NASDAQ. SPSB ...... SPDR Portfolio Short Term Corporate Bond ETF ...... NYSE Arca. VTEB ...... Vanguard Tax-Exempt Bond ETF ...... NYSE Arca. SPYV ...... SPDR Portfolio S&P 500 Value ETF ...... NYSE Arca. GSLC ...... Goldman Sachs ActiveBeta U.S. Large Cap Equity ETF ...... NYSE Arca. CWB ...... SPDR Bloomberg Barclays Convertible Securities ETF ...... NYSE Arca. VTIP ...... Vanguard Short-Term Inflation-Protected Securities ETF ...... NASDAQ. HYLB ...... Xtrackers USD High Yield Corporate Bond ETF ...... NYSE Arca. FLRN ...... SPDR Bloomberg Barclays Investment Grade Floating Rate ETF ...... NYSE Arca. SPEM ...... SPDR Portfolio Emerging Markets ETF ...... NYSE Arca. VHT ...... Vanguard Health Care ETF ...... NYSE Arca. PGX ...... Invesco Preferred ETF ...... NYSE Arca. EEMV ...... iShares Edge MSCI Min Vol Emerging Markets ETF ...... Cboe BZX. SPDW ...... SPDR Portfolio Developed World ex-US ETF ...... NYSE Arca. NOBL ...... ProShares S&P 500 Dividend Aristocrats ETF ...... Cboe BZX. HDV ...... iShares Core High Dividend ETF ...... NYSE Arca. EWP ...... iShares MSCI Spain ETF ...... NYSE Arca. SHYG ...... iShares 0–5 Year High Yield Corporate Bond ETF ...... NYSE Arca. VBK ...... Vanguard Small-Cap Growth ETF ...... NYSE Arca. IUSV ...... iShares Core S&P US Value ETF ...... NASDAQ. SCHE ...... Schwab Emerging Markets Equity ETF ...... NYSE Arca. VGLT ...... Vanguard Long-Term Treasury ETF ...... NASDAQ. SCHH ...... Schwab U.S. REIT ETF ...... NYSE Arca. SPLG ...... SPDR Portfolio Large Cap ETF ...... NYSE Arca. IEUR ...... iShares Core MSCI Europe ETF ...... NYSE Arca. VV ...... Vanguard Large-Cap ETF ...... NYSE Arca. ACWV ...... iShares Edge MSCI Min Vol Global ETF ...... Cboe BZX. SCHV ...... Schwab U.S. Large-Cap Value ETF ...... NYSE Arca. EFV ...... iShares MSCI EAFE Value ETF ...... Cboe BZX. VPL ...... Vanguard FTSE Pacific ETF ...... NYSE Arca. IJS ...... iShares S&P Small-Cap 600 Value ETF ...... NYSE Arca. VOE ...... Vanguard Mid-Cap Value ETF ...... NYSE Arca. SCHZ ...... Schwab US Aggregate Bond ETF ...... NYSE Arca. VDE ...... Vanguard Energy ETF ...... NYSE Arca. DBEF ...... Xtrackers MSCI EAFE Hedged Equity ETF ...... NYSE Arca. EWI ...... iShares MSCI Italy ETF ...... NYSE Arca. GBIL ...... Goldman Sachs Access Treasury 0–1 Year ETF ...... NYSE Arca. ICSH ...... iShares Ultra Short-Term Bond ETF ...... Cboe BZX. FPE ...... First Trust Preferred Securities & Income ETF ...... NYSE Arca. SCHA ...... Schwab U.S. Small-Cap ETF ...... NYSE Arca. HYD ...... VanEck Vectors High-Yield Municipal Index ETF ...... Cboe BZX. EDV ...... Vanguard Extended Duration Treasury ETF ...... NYSE Arca. HEDJ ...... WisdomTree Europe Hedged Equity Fund ...... NYSE Arca. VPU ...... Vanguard Utilities ETF ...... NYSE Arca. EZA ...... iShares MSCI South Africa ETF ...... NYSE Arca. HYS ...... PIMCO 0–5 Year High Yield Corporate Bond Index ETF ...... NYSE Arca. VGIT ...... Vanguard Intermediate-Term Treasury ETF ...... NASDAQ. LMBS ...... First Trust Low Duration Opportunities ETF ...... NASDAQ.

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APPENDIX A—SCHEDULE 1—Continued [as of January 2, 2020]

Ticker ETP name Exchange

SCHR ...... Schwab Intermediate-Term US Treasury ETF ...... NYSE Arca. GSY ...... Invesco Ultra Short Duration ETF ...... NYSE Arca. EPP ...... iShares MSCI Pacific ex-Japan ETF ...... NYSE Arca. FBT ...... First Trust NYSE Arca Biotechnology Index Fund ...... NYSE Arca. IYF ...... iShares U.S. Financials ETF ...... NYSE Arca. IYW ...... iShares U.S. Technology ETF ...... NYSE Arca. SRLN ...... SPDR Blackstone/GSO Senior Loan ETF ...... NYSE Arca. VNQI ...... Vanguard Global ex-U.S. Real Estate ETF ...... NASDAQ. USHY ...... iShares Broad USD High Yield Corporate Bond ETF ...... Cboe BZX. IDV ...... iShares International Select Dividend ETF ...... Cboe BZX. MGK ...... Vanguard Mega Cap Growth ETF ...... NYSE Arca. TLH ...... iShares 10–20 Year Treasury Bond ETF ...... NYSE Arca. SPHD ...... Invesco S&P 500 High Dividend Low Volatility ETF ...... NYSE Arca. VTWO ...... Vanguard Russell 2000 ETF ...... NASDAQ. USFR ...... WisdomTree Floating Rate Treasury Fund ...... NYSE Arca. VOT ...... Vanguard Mid-Cap Growth ETF ...... NYSE Arca. KSA ...... iShares MSCI Saudi Arabia ETF ...... NYSE Arca. PDBC ...... Invesco Optimum Yield Diversified Commodity Strategy No K–1 ETF ...... NASDAQ. IGLB ...... iShares Long-Term Corporate Bond ETF ...... NYSE Arca. SCHM ...... Schwab U.S. Mid-Cap ETF ...... NYSE Arca. ISTB ...... iShares Core 1–5 Year USD Bond ETF ...... NASDAQ. IJK ...... iShares S&P Mid-Cap 400 Growth ETF ...... NYSE Arca. GLDM ...... SPDR Gold MiniShares Trust ...... NYSE Arca. DOG ...... ProShares Short Dow30 ...... NYSE Arca. KBWB ...... Invesco KBW Bank ETF ...... NASDAQ. EUFN ...... iShares MSCI Europe Financials ETF ...... NASDAQ. EIDO ...... iShares MSCI Indonesia ETF ...... NYSE Arca. XAR ...... SPDR S&P Aerospace & Defense ETF ...... NYSE Arca. RWM ...... ProShares Short Russell2000 ...... NYSE Arca. BOND ...... PIMCO Active Bond ETF ...... NYSE Arca. VDC ...... Vanguard Consumer Staples ETF ...... NYSE Arca. UUP ...... Invesco DB US Dollar Index Bullish Fund ...... NYSE Arca. SPTI ...... SPDR Portfolio Intermediate Term Treasury ETF ...... NYSE Arca. FXE ...... Invesco CurrencyShares Euro Trust ...... NYSE Arca. VSS ...... Vanguard FTSE All-World ex-US Small-Cap ETF ...... NYSE Arca. EFG ...... iShares MSCI EAFE Growth ETF ...... Cboe BZX. FXO ...... First Trust Financials AlphaDEX Fund ...... NYSE Arca. XMLV ...... Invesco S&P MidCap Low Volatility ETF ...... NYSE Arca. FTEC ...... Fidelity MSCI Information Technology Index ETF ...... NYSE Arca. SPYD ...... SPDR Portfolio S&P 500 High Dividend ETF ...... NYSE Arca. QTEC ...... First Trust NASDAQ–100 Technology Sector Index Fund ...... NASDAQ. THD ...... iShares MSCI Thailand ETF ...... NYSE Arca. MOAT ...... VanEck Vectors Morningstar Wide Moat ETF ...... Cboe BZX. EWM ...... iShares MSCI Malaysia ETF ...... NYSE Arca. RWR ...... SPDR Dow Jones REIT ETF ...... NYSE Arca. BNO ...... United States Brent Oil Fund LP ...... NYSE Arca. FTCS ...... First Trust Capital Strength ETF ...... NASDAQ. DBC ...... Invesco DB Commodity Index Tracking Fund ...... NYSE Arca. TOTL ...... SPDR DoubleLine Total Return Tactical ETF ...... NYSE Arca. EWS ...... iShares MSCI Singapore ETF ...... NYSE Arca. PTLC ...... Pacer Trendpilot US Large Cap ETF ...... Cboe BZX. SPTS ...... SPDR Portfolio Short Term Treasury ETF ...... NYSE Arca. GUNR ...... FlexShares Morningstar Global Upstream Natural Resources Index Fund ...... NYSE Arca. PRF ...... Invesco FTSE RAFI US 1000 ETF ...... NYSE Arca. ECH ...... iShares MSCI Chile ETF ...... Cboe BZX. SPTM ...... SPDR Portfolio Total Stock Market ETF ...... NYSE Arca. MJ ...... ETFMG Alternative Harvest ETF ...... NYSE Arca. IYE ...... iShares U.S. Energy ETF ...... NYSE Arca. VOX ...... Vanguard Communication Services ETF ...... NYSE Arca IJT ...... iShares S&P Small-Cap 600 Growth ETF ...... NASDAQ. IPAY ...... ETFMG Prime Mobile Payments ETF ...... NYSE Arca. RWX ...... SPDR Dow Jones International Real Estate ETF ...... NYSE Arca. FNDX ...... Schwab Fundamental US Large Co. Index ETF ...... NYSE Arca. IAGG ...... iShares Core International Aggregate Bond ETF ...... Cboe BZX. ANGL ...... VanEck Vectors Fallen Angel High Yield Bond ETF ...... NASDAQ. IEV ...... iShares Europe ETF ...... NYSE Arca. VOOG ...... Vanguard S&P 500 Growth ETF ...... NYSE Arca. FLCB ...... Franklin Liberty U.S. Core Bond ETF ...... NYSE Arca. IJJ ...... iShares S&P Mid-Cap 400 Value ETF ...... NYSE Arca IUSB ...... iShares Core Total USD Bond Market ETF ...... NASDAQ. TBF ...... Proshares Short 20+ Year Treasury ...... NYSE Arca.

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APPENDIX A—SCHEDULE 1—Continued [as of January 2, 2020]

Ticker ETP name Exchange

BBEU ...... JPMorgan BetaBuilders Europe ETF ...... Cboe BZX. SPSM ...... SPDR Portfolio Small Cap ETF ...... NYSE Arca SIZE ...... iShares Edge MSCI USA Size Factor ETF ...... NYSE Arca. SHM ...... SPDR Nuveen Bloomberg Barclays Short Term Municipal Bond ETF ...... NYSE Arca. TUR ...... iShares MSCI Turkey ETF ...... NASDAQ. RODM ...... Hartford Multifactor Developed Markets (ex-US) ETF ...... NYSE Arca. BBJP ...... JPMorgan BetaBuilders Japan ETF ...... Cboe BZX. MLPI ...... ETRACS Alerian MLP Infrastructure Index ETN ...... NYSE Arca. IXN ...... iShares Global Tech ETF ...... NYSE Arca. LGLV ...... SPDR SSGA US Large Cap Low Volatility Index ETF ...... NYSE Arca. FNDF ...... Schwab Fundamental International Large Co. Index ETF ...... NYSE Arca. SGOL ...... Aberdeen Standard Physical Gold Shares ETF ...... NYSE Arca. IGOV ...... iShares International Treasury Bond ETF ...... NASDAQ. FIXD ...... First Trust TCW Opportunistic Fixed Income ETF ...... NASDAQ. EWD ...... iShares MSCI Sweden ETF ...... NYSE Arca. ICF ...... iShares Cohen & Steers REIT ETF ...... Cboe BZX. VIS ...... Vanguard Industrials ETF ...... NYSE Arca. MDYV ...... SPDR S&P 400 Mid Cap Value ETF ...... NYSE Arca. SPHQ ...... Invesco S&P 500 Quality ETF ...... NYSE Arca. SKYY ...... First Trust Cloud Computing ETF ...... NASDAQ. IGF ...... iShares Global Infrastructure ETF ...... NASDAQ. REM ...... iShares Mortgage Real Estate ETF ...... Cboe BZX. BOTZ ...... Global X Robotics & Artificial Intelligence ETF ...... NASDAQ. FXL ...... First Trust Technology AlphaDEX Fund ...... NYSE Arca. EMLP ...... First Trust North American Energy Infrastructure Fund ...... NYSE Arca. SUB ...... iShares Short-Term National Muni Bond ETF ...... NYSE Arca. SPLB ...... SPDR Portfolio Long Term Corporate Bond ETF ...... NYSE Arca. HEWJ ...... iShares Currency Hedged MSCI Japan ETF ...... NYSE Arca. VONG ...... Vanguard Russell 1000 Growth ETF ...... NASDAQ. IYG ...... iShares US Financial Services ETF ...... NYSE Arca. IYZ ...... iShares U.S. Telecommunications ETF ...... Cboe BZX. VCR ...... Vanguard Consumer Discretionary ETF ...... NYSE Arca. DGS ...... WisdomTree Emerging Markets SmallCap Dividend Fund ...... NYSE Arca. XES ...... SPDR S&P Oil & Gas Equipment & Services ETF ...... NYSE Arca. IHF ...... iShares U.S. Healthcare Providers ETF ...... NYSE Arca. VWOB ...... Vanguard Emerging Markets Government Bond ETF ...... NASDAQ. XSLV ...... Invesco S&P SmallCap Low Volatility ETF ...... NYSE Arca. HEZU ...... iShares Currency Hedged MSCI Eurozone ETF ...... NYSE Arca. ONEQ ...... Fidelity Nasdaq Composite Index Tracking Stock ...... NASDAQ. PULS ...... PGIM Ultra Short Bond ETF ...... NYSE Arca. ARKK ...... ARK Innovation ETF ...... NYSE Arca. SLYV ...... SPDR S&P 600 Small Cap Value ETF ...... NYSE Arca. DGRW ...... WisdomTree US Quality Dividend Growth Fund ...... NASDAQ. FNDE ...... Schwab Fundamental Emerging Markets Large Co. Index ETF ...... NYSE Arca. KIE ...... SPDR S&P Insurance ETF ...... NYSE Arca. USRT ...... iShares Core U.S. REIT ETF ...... NYSE Arca. IYH ...... iShares U.S. Healthcare ETF ...... NYSE Arca. RPV ...... Invesco S&P 500 Pure Value ETF ...... NYSE Arca. DEM ...... WisdomTree Emerging Markets High Dividend Fund ...... NYSE Arca. HEFA ...... iShares Currency Hedged MSCI EAFE ETF ...... Cboe BZX. XSD ...... SPDR S&P Semiconductor ETF ...... NYSE Arca. IXC ...... iShares Global Energy ETF ...... NYSE Arca. MLPA ...... Global X MLP ETF ...... NYSE Arca. ERUS ...... iShares MSCI Russia ETF ...... NYSE Arca. SIL ...... Global X Silver Miners ETF ...... NYSE Arca. DON ...... WisdomTree U.S. MidCap Dividend Fund ...... NYSE Arca. VNLA ...... Janus Henderson Short Duration Income ETF ...... NYSE Arca. AGGY ...... WisdomTree Yield Enhanced U.S. Aggregate Bond Fund ...... NYSE Arca. SPMD ...... SPDR Portfolio Mid Cap ETF ...... NYSE Arca. RPG ...... Invesco S&P 500 Pure Growth ETF ...... NYSE Arca. BBRE ...... JPMorgan BetaBuilders MSCI U.S. REIT ETF ...... Cboe BZX. STIP ...... iShares 0–5 Year TIPS Bond ETF ...... NYSE Arca. FTSL ...... First Trust Senior Loan Fund ...... NASDAQ. PHYS ...... Sprott Physical Gold Trust ...... NYSE Arca. GXC ...... SPDR S&P China ETF ...... NYSE Arca. PPLT ...... Aberdeen Standard Physical Platinum Shares ETF ...... NYSE Arca. FXB ...... Invesco CurrencyShares British Pound Sterling Trust ...... NYSE Arca. TFI ...... SPDR Nuveen Bloomberg Barclays Municipal Bond ETF ...... NYSE Arca. GVI ...... iShares Intermediate Government/Credit Bond ETF ...... Cboe BZX. MLPX ...... Global X MLP & Energy Infrastructure ETF ...... NYSE Arca. IXJ ...... iShares Global Healthcare ETF ...... NYSE Arca.

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APPENDIX A—SCHEDULE 1—Continued [as of January 2, 2020]

Ticker ETP name Exchange

ESGD ...... iShares ESG MSCI EAFE ETF ...... NASDAQ. FNDA ...... Schwab Fundamental US Small Co. Index ETF ...... NYSE Arca. CEF ...... Sprott Physical Gold and Silver Trust ...... NYSE Arca. SLQD ...... iShares 0–5 Year Investment Grade Corporate Bond ETF ...... NASDAQ. LEMB ...... iShares J.P. Morgan EM Local Currency Bond ETF ...... NYSE Arca. IYC ...... iShares U.S. Consumer Services ETF ...... NYSE Arca. FMB ...... First Trust Managed Municipal ETF ...... NASDAQ. PDP ...... Invesco DWA Momentum ETF ...... NASDAQ. HYLS ...... First Trust Tactical High Yield ETF ...... NASDAQ. DBEU ...... Xtrackers MSCI Europe Hedged Equity ETF ...... NYSE Arca. IDEV ...... iShares Core MSCI International Developed Markets ETF ...... NYSE Arca. REET ...... iShares Global REIT ETF ...... NYSE Arca. RYT ...... Invesco S&P 500 Equal Weight Technology ETF ...... NYSE Arca. HYMB ...... SPDR Nuveen Bloomberg Barclays High Yield Municipal Bond ETF ...... NYSE Arca. MGC ...... Vanguard Mega Cap ETF ...... NYSE Arca. IDU ...... iShares U.S. Utilities ETF ...... NYSE Arca. JPIN ...... J.P. Morgan Diversified Return International Equity ETF ...... NYSE Arca. XLG ...... Invesco S&P 500 Top 50 ETF ...... NYSE Arca. SLYG ...... SPDR S&P 600 Small Cap Growth ETF ...... NYSE Arca. SCHC ...... Schwab International Small-Cap Equity ETF ...... NYSE Arca. RWO ...... SPDR Dow Jones Global Real Estate ETF ...... NYSE Arca VIOO ...... Vanguard S&P Small-Cap 600 ETF ...... NYSE Arca. VRP ...... Invesco Variable Rate Preferred ETF ...... NYSE Arca. FXY ...... Invesco Currencyshares Japanese Yen Trust ...... NYSE Arca. RDIV ...... Invesco S&P Ultra Dividend Revenue ETF ...... NYSE Arca. PXH ...... Invesco FTSE RAFI Emerging Markets ETF ...... NYSE Arca. MGV ...... Vanguard Mega Cap Value ETF ...... NYSE Arca. CORP ...... PIMCO Investment Grade Corporate Bond Index ETF ...... NYSE Arca. VAW ...... Vanguard Materials ETF ...... NYSE Arca. EWN ...... iShares MSCI Netherlands ETF ...... NYSE Arca. BWX ...... SPDR Bloomberg Barclays International Treasury Bond ETF ...... NYSE Arca. EUM ...... ProShares Short MSCI Emerging Markets ...... NYSE Arca. QYLD ...... Global X NASDAQ 100 Covered Call ETF ...... NASDAQ. PGF ...... Invesco Financial Preferred ETF ...... NYSE Arca. FREL ...... Fidelity MSCI Real Estate Index ETF ...... NYSE Arca. IGM ...... iShares Expanded Tech Sector ETF ...... NYSE Arca. IAT ...... iShares U.S. Regional Banks ETF ...... NYSE Arca. TAN ...... Invesco Solar ETF ...... NYSE Arca. VONV ...... Vanguard Russell 1000 Value ETF ...... NASDAQ. FUTY ...... Fidelity MSCI Utilities Index ETF ...... NYSE Arca. KBA ...... KraneShares Bosera MSCI China A Share ETF ...... NYSE Arca. PRFZ ...... Invesco FTSE RAFI US 1500 Small-Mid ETF ...... NASDAQ. FBND ...... Fidelity Total Bond ETF ...... NYSE Arca. FXH ...... First Trust Health Care AlphaDEX Fund ...... NYSE Arca. PSK ...... SPDR Wells Fargo Preferred Stock ETF ...... NYSE Arca. IQLT ...... iShares Edge MSCI Intl Quality Factor ETF ...... NYSE Arca. EPHE ...... iShares MSCI Philippines ETF ...... NYSE Arca. ITM ...... VanEck Vectors AMT-Free Intermediate Municipal Index ETF ...... Cboe BZX. GSIE ...... Goldman Sachs ActiveBeta International Equity ETF ...... NYSE Arca. DLN ...... WisdomTree U.S. LargeCap Dividend Fund ...... NYSE Arca. HACK ...... ETFMG Prime Cyber Security ETF ...... NYSE Arca. DJP ...... iPath Bloomberg Commodity Index Total Return ETN ...... NYSE Arca. FHLC ...... Fidelity MSCI Health Care Index ETF ...... NYSE Arca. DBJP ...... Xtrackers MSCI Japan Hedged Equity ETF ...... NYSE Arca. URTH ...... iShares MSCI World ETF ...... NYSE Arca. VYMI ...... Vanguard International High Dividend Yield ETF ...... NASDAQ. FDT ...... First Trust Developed Markets ex-US AlphaDEX Fund ...... NASDAQ. BSCL ...... Invesco BulletShares 2021 Corporate Bond ETF ...... NASDAQ. FXU ...... First Trust Utilities AlphaDEX Fund ...... NYSE Arca. BSCK ...... Invesco BulletShares 2020 Corporate Bond ETF ...... NASDAQ. IYJ ...... iShares U.S. Industrials ETF ...... Cboe BZX. AGZ ...... iShares Agency Bond ETF ...... NYSE Arca. INTF ...... iShares Edge MSCI Multifactor Intl ETF ...... NYSE Arca. SPMB ...... SPDR Portfolio Mortgage Backed Bond ETF ...... NYSE Arca. GSG ...... iShares S&P GSCI Commodity Indexed Trust ...... NYSE Arca. PSJ ...... Invesco Dynamic Software ETF ...... NYSE Arca. SDIV ...... Global X Superdividend ETF ...... NYSE Arca. VIGI ...... Vanguard International Dividend Appreciation ETF ...... NASDAQ RING ...... iShares MSCI Global Gold Miners ETF ...... NASDAQ. CWI ...... SPDR MSCI ACWI ex-US ETF ...... NYSE Arca. IWY ...... iShares Russell Top 200 Growth ETF ...... NYSE Arca.

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APPENDIX A—SCHEDULE 1—Continued [as of January 2, 2020]

Ticker ETP name Exchange

ESGU ...... iShares ESG MSCI USA ETF ...... NASDAQ. ZROZ ...... PIMCO 25+ Year Zero Coupon US Treasury Index ETF ...... NYSE Arca. SPIP ...... SPDR Portfolio TIPS ETF ...... NYSE Arca. FNCL ...... Fidelity MSCI Financials Index ETF ...... NYSE Arca. ESGE ...... iShares ESG MSCI EM ETF ...... NASDAQ. BAB ...... Invesco Taxable Municipal Bond ETF ...... NYSE Arca. PZA ...... Invesco National AMT-Free Municipal Bond ETF ...... NYSE Arca. MDYG ...... SPDR S&P 400 Mid Cap Growth ETF ...... NYSE Arca. RDVY ...... First Trust Rising Dividend Achievers ETF ...... NASDAQ. DSI ...... iShares MSCI KLD 400 Social ETF ...... NYSE Arca. BSCM ...... Invesco BulletShares 2022 Corporate Bond ETF ...... NASDAQ. IXG ...... iShares Global Financials ETF ...... NYSE Arca. CIBR ...... First Trust NASDAQ Cybersecurity ETF ...... NASDAQ. JHMM ...... John Hancock Multifactor Mid Cap ETF ...... NYSE Arca. FCG ...... First Trust Natural Gas ETF ...... NYSE Arca. PHB ...... Invesco Fundamental High Yield Corporate Bond ETF ...... NYSE Arca. FV ...... First Trust Dorsey Wright Focus 5 ETF ...... NASDAQ. BSJL ...... Invesco Bulletshares 2021 High Yield Corporate Bond ETF ...... NASDAQ. FNDC ...... Schwab Fundamental International Small Co. Index ETF ...... NYSE Arca. DVYE ...... iShares Emerging Markets Dividend ETF ...... NYSE Arca. DES ...... WisdomTree U.S. SmallCap Dividend Fund ...... NYSE Arca. VONE ...... Vanguard Russell 1000 ETF ...... NASDAQ. GNR ...... SPDR S&P Global Natural Resources ETF ...... NYSE Arca. FPX ...... First Trust US Equity Opportunities ETF ...... NYSE Arca. BSJK ...... Invesco BulletShares 2020 High Yield Corporate Bond ETF ...... NASDAQ. PSLV ...... Sprott Physical Silver Trust ...... NYSE Arca. SUSA ...... iShares MSCI USA ESG Select ETF ...... NYSE Arca. AOM ...... iShares Core Moderate Allocation ETF ...... NYSE Arca. IEO ...... iShares U.S. Oil & Gas Exploration & Production ETF ...... Cboe BZX. XMMO ...... Invesco S&P MidCap Momentum ETF ...... NYSE Arca. PPA ...... Invesco Aerospace & Defense ETF ...... NYSE Arca. NUSI ...... Nationwide Risk-Managed Income ETF ...... NYSE Arca. COMT ...... iShares Commodities Select Strategy ETF ...... NASDAQ. PDEC ...... Innovator S&P 500 Power Buffer ETF—December ...... Cboe BZX. EBND ...... SPDR Bloomberg Barclays Emerging Markets Local Bond ETF ...... NYSE Arca. CMF ...... iShares California Muni Bond ETF ...... NYSE Arca. VOOV ...... Vanguard S&P 500 Value ETF ...... NYSE Arca. IGE ...... iShares North American Natural Resources ETF ...... Cboe BZX. FDL ...... First Trust Morningstar Dividend Leaders Index Fund ...... NYSE Arca. PXF ...... Invesco FTSE RAFI Developed Markets ex-U.S. ETF ...... NYSE Arca. PFFD ...... Global X U.S. Preferred ETF ...... Cboe BZX. ROBO ...... ROBO Global Robotics & Automation Index ETF ...... NYSE Arca. IBDL ...... iShares iBonds Dec 2020 Term Corporate ETF ...... NYSE Arca. IDLV ...... Invesco S&P International Developed Low Volatility ETF ...... NYSE Arca. FFTY ...... Innovator IBD 50 ETF ...... NYSE Arca. SPHB ...... Invesco S&P 500 High Beta ETF ...... NYSE Arca. DLS ...... WisdomTree International SmallCap Dividend Fund ...... NYSE Arca. LRGF ...... iShares Edge MSCI Multifactor USA ETF ...... NYSE Arca. SDOG ...... ALPS Sector Dividend Dogs ETF ...... NYSE Arca. QQEW ...... First Trust Nasdaq-100 Equal Weighted Index Fund ...... NASDAQ. CQQQ ...... Invesco China Technology ETF ...... NYSE Arca. EPOL ...... iShares MSCI Poland ETF ...... NYSE Arca. REZ ...... iShares Residential Real Estate ETF ...... NYSE Arca DBA ...... Invesco DB Agriculture Fund ...... NYSE Arca. ARKW ...... ARK Next Generation Internet ETF ...... NYSE Arca. FSTA ...... Fidelity MSCI Consumer Staples Index ETF ...... NYSE Arca. JXI ...... iShares Global Utilities ETF ...... NYSE Arca. AOR ...... iShares Core Growth Allocation ETF ...... NYSE Arca. MOO ...... VanEck Vectors Agribusiness ETF ...... NYSE Arca. IBDM ...... iShares iBonds Dec 2021 Term Corporate ETF ...... NYSE Arca. GREK ...... Global X MSCI Greece ETF ...... NYSE Arca. PKW ...... Invesco Buyback Achievers ETF ...... NASDAQ. QUS ...... SPDR MSCI USA StrategicFactors ETF ...... NYSE Arca. XT ...... iShares Exponential Technologies ETF ...... NASDAQ. PALL ...... Aberdeen Standard Physical Palladium Shares ETF ...... NYSE Arca. GEM ...... Goldman Sachs ActiveBeta Emerging Markets Equity ETF ...... NYSE Arca. BBCA ...... JPMorgan BetaBuilders Canada ETF ...... Cboe BZX. ESGV ...... Vanguard ESG U.S. Stock ETF ...... Cboe BZX. INDY ...... iShares India 50 ETF ...... NASDAQ. FEX ...... First Trust Large Cap Core AlphaDEX Fund ...... NASDAQ. MNA ...... IQ Merger Arbitrage ETF ...... NYSE Arca.

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APPENDIX A—SCHEDULE 1—Continued [as of January 2, 2020]

Ticker ETP name Exchange

NFRA ...... FlexShares STOXX Global Broad Infrastructure Index Fund ...... NYSE Arca. RPAR ...... RPAR Risk Parity ETF ...... NYSE Arca. EWX ...... SPDR S&P Emerging Markets Small Cap ETF ...... NYSE Arca. BSJM ...... Invesco BulletShares 2022 High Yield Corporate Bond ETF ...... NASDAQ. FEM ...... First Trust Emerging Markets AlphaDEX Fund ...... NASDAQ. PTF ...... Invesco DWA Technology Momentum ETF ...... NASDAQ. ARKG ...... ARK Genomic Revolution ETF ...... Cboe BZX. JKH ...... iShares Morningstar Mid-Cap Growth ETF ...... NYSE Arca. GBF ...... iShares Government/Credit Bond ETF ...... NYSE Arca. SILJ ...... ETFMG Prime Junior Silver Miners ETF ...... NYSE Arca. SLY ...... SPDR S&P 600 Small Cap ETF ...... NYSE Arca. FTC ...... First Trust Large Cap Growth AlphaDEX Fund ...... NASDAQ. FTA ...... First Trust Large Cap Value AlphaDEX Fund ...... NASDAQ. QDF ...... FlexShares Quality Dividend Index Fund ...... NYSE Arca. IBDN ...... iShares iBonds Dec 2022 Term Corporate ETF ...... NYSE Arca. JPUS ...... JPMorgan Diversified Return U.S. Equity ETF ...... NYSE Arca. AMZA ...... InfraCap MLP ETF ...... NYSE Arca. IBDO ...... iShares iBonds Dec 2023 Term Corporate ETF ...... NYSE Arca. SRET ...... Global X SuperDividend REIT ETF ...... NASDAQ. VNM ...... VanEck Vectors Vietnam ETF ...... Cboe BZX. BSCN ...... Invesco Bulletshares 2023 Corporate Bond ETF ...... NASDAQ. USSG ...... Xtrackers MSCI USA ESG Leaders Equity ETF ...... NYSE Arca. EMHY ...... iShares Emerging Markets High Yield Bond ETF ...... Cboe BZX. IPAC ...... iShares Core MSCI Pacific ETF ...... NYSE Arca. RYU ...... Invesco S&P 500 Equal Weight Utilities ETF ...... NYSE Arca. BSCO ...... Invesco BulletShares 2024 Corporate Bond ETF ...... NASDAQ. PWV ...... Invesco Dynamic Large Cap Value ETF ...... NYSE Arca. ICLN ...... iShares Global Clean Energy ETF ...... NASDAQ. SMMV ...... iShares Edge MSCI Min Vol USA Small-Cap ETF ...... Cboe BZX. FLCO ...... Franklin Liberty Investment Grade Corporate ETF ...... NYSE Arca. CLOU ...... Global X Cloud Computing ETF ...... NASDAQ. PLW ...... Invesco 1–30 Laddered Treasury ETF ...... NASDAQ. IOO ...... iShares Global 100 ETF ...... NYSE Arca. PPH ...... VanEck Vectors Pharmaceutical ETF ...... NASDAQ. SPGP ...... Invesco S&P 500 GARP ETF ...... NYSE Arca. FINX ...... Global X FinTech ETF ...... NASDAQ. KXI ...... iShares Global Consumer Staples ETF ...... NYSE Arca. RHS ...... Invesco S&P 500 Equal Weight Consumer Staples ETF ...... NYSE Arca. DIV ...... Global X SuperDividend US ETF ...... NYSE Arca. FDIS ...... Fidelity MSCI Consumer Discretionary Index ETF ...... NYSE Arca. PFXF ...... VanEck Vectors Preferred Securities ex Financials ETF ...... NYSE Arca. IYM ...... iShares U.S. Basic Materials ETF ...... NYSE Arca. SIVR ...... Aberdeen Standard Physical Silver Shares ETF ...... NYSE Arca. FXG ...... First Trust Consumer Staples AlphaDEX Fund ...... NYSE Arca. PICK ...... iShares MSCI Global Metals & Mining Producers ETF ...... Cboe BZX. TFLO ...... iShares Treasury Floating Rate Bond ETF ...... NYSE Arca. IWC ...... iShares Micro-Cap ETF ...... NYSE Arca. FENY ...... Fidelity MSCI Energy Index ETF ...... NYSE Arca. NUAG ...... Nuveen Enhanced Yield U.S. Aggregate Bond ETF ...... NYSE Arca. JKE ...... iShares Morningstar Large-Cap Growth ETF ...... NYSE Arca. MXI ...... iShares Global Materials ETF ...... NYSE Arca. IBDP ...... iShares iBonds Dec 2024 Term Corporate ETF ...... NYSE Arca. LVHD ...... Legg Mason Low Volatility High Dividend ETF ...... NASDAQ. DBEH ...... iM DBi Hedge Strategy ETF ...... NYSE Arca. FXR ...... First Trust Industrials/Producer Durables AlphaDEX Fund ...... NYSE Arca. IYY ...... iShares Dow Jones U.S. ETF ...... NYSE Arca. EZM ...... WisdomTree U.S. MidCap Fund ...... NYSE Arca. XPH ...... SPDR S&P Pharmaceuticals ETF ...... NYSE Arca. DFJ ...... WisdomTree Japan SmallCap Dividend Fund ...... NYSE Arca. PCEF ...... Invesco CEF Income Composite ETF ...... NYSE Arca. LIT ...... Global X Lithium & Battery Tech ETF ...... NYSE Arca. AOK ...... iShares Core Conservative Allocation ETF ...... NYSE Arca. ILTB ...... iShares Core 10+ Year USD Bond ETF ...... NYSE Arca. IQDF ...... FlexShares International Quality Dividend Index Fund ...... NYSE Arca. USMC ...... Principal U.S. Mega-Cap Multi-Factor Index ETF ...... NASDAQ. IHE ...... iShares U.S. Pharmaceuticals ETF ...... NYSE Arca. FDVV ...... Fidelity High Dividend ETF ...... NYSE Arca. FXD ...... First Trust Consumer Discretionary AlphaDEX Fund ...... NYSE Arca. FM ...... iShares MSCI Frontier 100 ETF ...... NYSE Arca. PTMC ...... Pacer Trendpilot US Mid Cap ETF ...... Cboe BZX. TDIV ...... First Trust NASDAQ Technology Dividend Index Fund ...... NASDAQ.

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APPENDIX A—SCHEDULE 1—Continued [as of January 2, 2020]

Ticker ETP name Exchange

QLTA ...... iShares Aaa-A Rated Corporate Bond ETF ...... NYSE Arca. ICVT ...... iShares Convertible Bond ETF ...... Cboe BZX. SCHK ...... Schwab 1000 Index ETF ...... NYSE Arca. SMDV ...... ProShares Russell 2000 Dividend Growers ETF ...... Cboe BZX. AVUS ...... Avantis U.S. Equity ETF ...... NYSE Arca. REGL ...... ProShares S&P MidCap 400 Dividend Aristocrats ETF ...... Cboe BZX. FLQL ...... Franklin LibertyQ U.S. Equity ETF ...... Cboe BZX. IXP ...... iShares Global Comm Services ETF ...... NYSE Arca. BBAX ...... JPMorgan BetaBuilders Developed Asia ex-Japan ETF ...... Cboe BZX. PUI ...... Invesco DWA Utilities Momentum ETF ...... NASDAQ. XHE ...... SPDR S&P Health Care Equipment ETF ...... NYSE Arca. XSOE ...... WisdomTree Emerging Markets ex-State-Owned Enterprises Fund ...... NYSE Arca. HYEM ...... VanEck Vectors Emerging Markets High Yield Bond ETF ...... NYSE Arca. FCOM ...... Fidelity MSCI Communication Services Index ETF ...... NYSE Arca. CFA ...... VictoryShares US 500 Volatility Wtd ETF ...... NASDAQ. RYH ...... Invesco S&P 500 Equal Weight Health Care ETF ...... NYSE Arca. DBO ...... Invesco DB Oil Fund ...... NYSE Arca. CGW ...... Invesco S&P Global Water Index ETF ...... NYSE Arca. BAR ...... GraniteShares Gold Shares ...... NYSE Arca. PEY ...... Invesco High Yield Equity Dividend Achievers ETF ...... NASDAQ. IBDQ ...... iShares iBonds Dec 2025 Term Corporate ETF ...... NYSE Arca. AOA ...... iShares Core Aggressive Allocation ETF ...... NYSE Arca. EES ...... WisdomTree U.S. SmallCap Fund ...... NYSE Arca. PTNQ ...... Pacer Trendpilot 100 ETF ...... Cboe BZX. CMBS ...... iShares CMBS ETF ...... NYSE Arca. ATMP ...... Barclays ETN+ Select MLP ETN ...... Cboe BZX. PHO ...... Invesco Water Resources ETF ...... NASDAQ. LDUR ...... PIMCO Enhanced Low Duration Active ETF ...... NYSE Arca. CFO ...... VictoryShares US 500 Enhanced Volatility Wtd ETF ...... NASDAQ. GIGB ...... Goldman Sachs Access Investment Grade Corporate Bond ETF ...... NYSE Arca. DTD ...... WisdomTree U.S. Total Dividend Fund ...... NYSE Arca. FDLO ...... Fidelity Low Volatility Factor ETF ...... NYSE Arca. JO ...... iPath Series B Bloomberg Coffee Subindex Total Return ETN ...... NYSE Arca. HDGE ...... AdvisorShares Ranger Equity Bear ETF ...... NYSE Arca. JAGG ...... J.P. Morgan Exchange-Traded Fund Trust ...... NYSE Arca. LTPZ ...... PIMCO 15+ Year US TIPS Index ETF ...... NYSE Arca. SNLN ...... Highland iBoxx Senior Loan ETF ...... NASDAQ. SMIN ...... iShares MSCI India Small Cap ETF ...... Cboe BZX. SHE ...... SPDR SSGA Gender Diversity Index ETF ...... NYSE Arca. DWX ...... SPDR S&P International Dividend ETF ...... NYSE Arca. FLTR ...... VanEck Vectors Investment Grade Floating Rate ETF ...... NYSE Arca. FEP ...... First Trust Europe AlphaDEX Fund ...... NASDAQ. GWX ...... SPDR S&P International Small Cap ETF ...... NYSE Arca. VSGX ...... Vanguard ESG International Stock ETF ...... Cboe BZX. ARGT ...... Global X MSCI Argentina ETF ...... NYSE Arca. AMU ...... ETRACS Alerian MLP Index ETN ...... NYSE Arca. ENZL ...... iShares MSCI New Zealand ETF ...... NASDAQ. IVOO ...... Vanguard S&P Mid-Cap 400 ETF ...... NYSE Arca. POCT ...... Innovator S&P 500 Power Buffer ETF—October ...... Cboe BZX. PSCH ...... Invesco S&P SmallCap Health Care ETF ...... NASDAQ. TPYP ...... Tortoise North American Pipeline Fund ...... NYSE Arca. AWTM ...... Aware Ultra-Short Duration Enhanced Income ETF ...... NYSE Arca. XSW ...... SPDR S&P Software & Services ETF ...... NYSE Arca. IVLU ...... iShares Edge MSCI Intl Value Factor ETF ...... NYSE Arca. VRIG ...... Invesco Variable Rate Investment Grade ETF ...... NASDAQ. ZIV ...... VelocityShares Daily Inverse VIX Medium-Term ETN ...... NASDAQ. QAI ...... IQ Hedge Multi-Strategy Tracker ETF ...... NYSE Arca. FGD ...... First Trust Dow Jones Global Select Dividend Index Fund ...... NYSE Arca. XNTK ...... SPDR NYSE Technology ETF ...... NYSE Arca. PNQI ...... Invesco NASDAQ Internet ETF ...... NASDAQ. VTC ...... Vanguard Total Corporate Bond ETF ...... NASDAQ. EXI ...... iShares Global Industrials ETF ...... NYSE Arca. FLTB ...... Fidelity Limited Term Bond ETF ...... NYSE Arca. SRVR ...... Pacer Benchmark Data & Infrastructure Real Estate SCTR ETF ...... NYSE Arca. EPS ...... WisdomTree U.S. LargeCap Fund ...... NYSE Arca. FXC ...... Invesco CurrencyShares Canadian Dollar Trust ...... NYSE Arca. REMX ...... VanEck Vectors Rare Earth/Strategic Metals ETF ...... NYSE Arca. ULST ...... SPDR SSgA Ultra Short Term Bond ETF ...... NYSE Arca. BOCT ...... Innovator S&P 500 Buffer ETF—October ...... Cboe BZX. SUSL ...... iShares ESG MSCI USA Leaders ETF ...... NASDAQ. TILT ...... FlexShares Morningstar US Market Factor Tilt Index Fund ...... Cboe BZX.

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APPENDIX A—SCHEDULE 1—Continued [as of January 2, 2020]

Ticker ETP name Exchange

EPU ...... iShares MSCI Peru ETF ...... NYSE Arca. PWB ...... Invesco Dynamic Large Cap Growth ETF ...... NYSE Arca. BSCP ...... Invesco Bulletshares 2025 Corporate Bond ETF ...... NASDAQ. PNOV ...... Innovator S&P 500 Power Buffer ETF—November ...... Cboe BZX. WIP ...... SPDR FTSE International Government Inflation-Protected Bond ETF ...... NYSE Arca. BDEC ...... Innovator S&P 500 Buffer ETF—December ...... Cboe BZX. SCHI ...... Schwab 5–10 Year Corporate Bond ETF ...... NYSE Arca. PJP ...... Invesco Dynamic Pharmaceuticals ETF ...... NYSE Arca. HDEF ...... Xtrackers MSCI EAFE High Dividend Yield Equity ETF ...... NYSE Arca. IHDG ...... WisdomTree International Hedged Quality Dividend Growth Fund ...... NYSE Arca. HEWG ...... iShares Currency Hedged MSCI Germany ETF ...... NASDAQ. FIDU ...... Fidelity MSCI Industrials Index ETF ...... NYSE Arca IBDR ...... iShares iBonds Dec 2026 Term Corporate ETF ...... NYSE Arca OUSA ...... O’Shares FTSE US Quality Dividend ETF ...... NYSE Arca. FXF ...... Invesco CurrencyShares Swiss Franc Trust ...... NYSE Arca. HFXI ...... IQ 50 Percent Hedged FTSE International ETF ...... NYSE Arca. FNY ...... First Trust Mid Cap Growth AlphaDEX Fund ...... NASDAQ. AVDE ...... Avantis International Equity ETF ...... NYSE Arca. FIW ...... First Trust Water ETF ...... NYSE Arca. FNX ...... First Trust Mid Cap Core AlphaDEX Fund ...... NASDAQ. CLTL ...... Invesco Treasury Collateral ETf ...... NYSE Arca. AIA ...... iShares Asia 50 ETF ...... NASDAQ. DVOL ...... First Trust Dorsey Wright Momentum & Low Volatility ETF ...... NASDAQ. PAUG ...... Innovator S&P 500 Power Buffer ETF—August ...... Cboe BZX. DIAL ...... Columbia Diversified Fixed Income Allocation ETF ...... NYSE Arca. FXZ ...... First Trust Materials AlphaDEX Fund ...... NYSE Arca.

Appendix B—Data and Reporting 2. Market/marketable buy orders arrivals and the period covered by the report; and (3) an executions analysis of potential material emerging issues I. Data Provision. The Commission may a. Count that may directly impact the operation of the request from the Primary Listing Exchanges b. Shares Plan. the below data that is not otherwise publicly c. Shares executed 1. Update on the Plan’s Operations. This available. The requested data shall be 3. Count arriving, volume arriving and shares section of the Annual Report shall analyze collected and transmitted to the Commission executing in limit sell orders above NBO the Plan’s operations during the covered in an agreed-upon format, to be provided 30 mid-point period, including a discussion of any areas of calendar days following the date of the 4. Count arriving, volume arriving and shares the Plan’s operation that require additional request, or such other date as agreed upon by executing in limit sell orders at or below analysis. In particular, this section of the the Commission and Primary Listing NBBO mid-point (non-marketable) Annual Report shall examine the calibration Exchange. Data collected in connection with 5. Count arriving, volume arriving and shares of the parameters set forth in the Plan (e.g., a Commission request shall be transmitted to executing in limit buy orders at or above Price Bands, duration of Limit States, impact the Commission with a request for NBBO mid-point (non-marketable) of Straddle States, duration of Trading confidential treatment under the Freedom of 6. Count arriving, volume arriving and shares Pauses, and the performance of reopening Information Act, 5 U.S.C. 552, and the executing in limit buy orders below procedures following a Trading Pause). This Commission’s rules and regulations NBBO mid-point section of the Annual Report also shall thereunder. This section shall expire at the 7. Count and volume arriving of limit sell consider stock characteristics and variations time the below data becomes available via orders priced at or above NBBO mid- in market conditions over time, and may the National Market System Plan Governing point plus $0.05 include tests that differentiate results for the Consolidated Audit Trail or becomes 8. Count and volume arriving of limit buy different characteristics, both in isolation and publicly available. orders priced at or below NBBO mid- in combination. A. Data set of all orders entered during point minus $0.05 2. Analysis of Amendments Implemented. halts or Trading Pauses. 9. Count and volume of (3–8) for cancels This section of the Annual Report shall 1. Normal or Auction Only orders, Arrivals, 10. Include: Ticker, date, time at start, time provide an analysis of any amendments Changes, Cancels, # shares, limit/market, of Limit State, all data item fields in 1, implemented during the covered period. The side, Limit State side last sale prior to 15-second period (null analysis shall include a discussion of any 2. Pipe delimited with field name as first if no trades today), range during 15- such amendment’s operation and its impact record second period, last trade during 15- on the overall operation of the Plan. B. Data set of order events received during second period 3. Analysis of Emerging Issues. This Limit States. II. Reporting. section of the Annual Report should vary C. Summary data on order flow of arrivals A. Annual Report. No later than March 31, from year-to-year and will include a and cancellations for each 15-second period 2020 and annually thereafter, the Operating discussion and analysis of the Plan’s for discrete time periods and sample stocks Committee, in consultation with the operation during a significant market event to be determined by the SEC in subsequent Advisory committee, will provide the that may have occurred during the covered data requests. Must indicate side(s) of Limit Commission and make publicly available a period. This section shall also include any State. report containing key information concerning additional analyses performed during the 1. Market/marketable sell orders arrivals and the Plan’s performance during the preceding covered period on issues that were raised in executions calendar year which shall include the previous Annual Reports. a. Count following items: (1) An update on the Plan’s B. Quarterly Data. Thirty [30] days b. Shares operations; (2) an analysis of any following the end of each calendar quarter, c. Shares executed amendments to the Plan implemented during the Operating Committee shall provide the

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Commission and make publicly available a (1) Tier 1 non-ETP securities > $3.00 the number of Straddle States per day, report (‘‘Monitoring Report’’) including basic (2) Tier 1 non-ETP securities >= $0.75 and broken out by Category and Time of Day. statistics aggregated across primary listing <= $3.00 ii. Monthly distribution statistics (mean, exchanges regarding the Plan’s operation (3) Tier 1 non-ETP securities < $0.75 median, 25th percentile, and maximum) on [(‘‘Monitoring Report’’)] during the preceding (4) Tier 1 non-leveraged ETPs > $3.00 the number of NMS Stocks that experienced calendar quarter, as well as data aggregated (5) Tier 1 non-leveraged ETPs >= $0.75 and more than one Straddle State on a single day, [data] across primary listing exchanges from <= $3.00 broken out by Category. the previous 12 quarters beginning with the (6) Tier 1 non-leveraged ETPs < $0.75 iii. Monthly distribution statistics (mean, calendar quarter covered by the first (7) Tier 1 leveraged ETPs > $3.00 median, 90th percentile, and 99.9th Monitoring Report. The purpose of the (8) Tier 1 leveraged ETPs >= $0.75 and percentile) on the total time spent in a Monitoring Report is to identify trends in the <= $3.00 Straddle State per day for individual NMS performance and impact of the Plan on (9) Tier 1 leveraged ETPs < $0.75 Stocks experiencing one or more Straddle market activity. (10) Tier 2 non-ETPs > $3.00 States on a single day, broken out by [1.] The Monitoring Report [quarterly (11) Tier 2 non-ETPs >= $0.75 and <= $3.00 Category. production] shall include data on the (12) Tier 2 non-ETPs < $0.75 e. The Monitoring Report will include the following events [data] for each month during (13) Tier 2 non-leveraged ETPs > $3.00 number of Clearly Erroneous Events per day the preceding calendar quarter: (14) Tier 2 non-leveraged ETPs >= $0.75 and for all NMS Stocks that occurred during the a. Event Data. <= $3.00 time when Price Bands are disseminated by i. Number of Limit States, Trading Pauses, (15) Tier 2 non-leveraged ETPs < $0.75 the Processor, broken out by Category and and Straddle States per day, including (16) Tier 2 leveraged ETPs > $3.00 Time of Day. distribution statistics such as the mean, (17) Tier 2 leveraged ETPs >= $0.75 and 2. Reopening Data median, minimum and maximum <= $3.00 percentiles (18) Tier 2 leveraged ETPs < $0.75 a. Definitions. For the purpose of this ii. Number of NMS Stocks that experience ii. ‘‘Time of Day’’ means the following time Section B.2, the following definitions apply: more than one Limit State Trading spans: i. ‘‘Type of Reopening’’ means either (1) Pause, or Straddle State in a single day (1) Opening (prior to 9:45 a.m. ET) manual or (2) automated. including the length of each Limit State, (2) Regular (between 9:45 a.m. ET and 25 ii. ‘‘Category’’ means the following Trading Pause, and Straddle State per minutes prior to the end of core trading categories of securities: day hours) (1) Tier 1 non-ETP securities b. The number of Clearly Erroneous Events (3) Closing (the last 25 minutes of core (2) Tier 1 non-leveraged ETPs per day for all NMS Stocks that occurred trading hours) (3) Tier 1 leveraged ETPs during the time when Price Bands are (4) Within five minutes of a Trading Pause (4) Tier 2 non-ETP securities reopen or IPO open disseminated by the Processor (5) Tier 2 non-leveraged ETPs b. Limit States. The Monitoring Report will c. Reopening Data (6) Tier 2 leveraged ETPs include: i. Number of times an automated reopening ii. ‘‘Length of the Trading Pause’’ means i. Monthly distribution statistics (mean, process is extended for and the length of the following durations: median, 25th percentile, and maximum) on the Trading Pause (1) less than 6 minutes (for manual the number of Limit States per day, broken ii. Whether the reopening process ended in reopenings) or no extensions of the Trading out by Category and Time of Day. a trade Pause (for automated reopenings); iii. The price calculated by an automated ii. Monthly distribution statistics (mean, median, 25th percentile, and maximum) on (2) 6 to 10 minutes (for manual reopenings) reopening process for an NMS Stock or one extension of the Trading Pause (for exiting a Trading Pause the number of NMS Stocks that experienced more than one Limit State on a single day, automated reopenings); iv. For the five minutes following the (3) more than 10 minutes (for manual conclusion of a Trading Pause, the broken out by Category. reopenings) or more than one extension of highest price of all last sale eligible iii. Monthly distribution statistics (mean, the Trading Pause (for automated trades, the lowest price of all last sale median, 90th percentile, and 99th percentile) reopenings) eligible trades, and the average price of on the number of Limit States experienced b. The Monitoring Report will include the all last sale eligible trades per day by individual NMS Stocks that had 2. Partition stocks by category. more than one Limit State on a single day, following monthly data on reopenings: a. Tier 1 non-ETP issues > $3.00 broken out by Category. i. The number of Trading Pauses per b. Tier 1 non-ETP issues >= $0.75 and <= iv. Monthly distribution statistics (mean, month, broken out by (1) Type of Reopening, $3.00 median, 90th percentile, and 99th percentile) (2) Category, and (3) Length of the Trading c. Tier 1 non-ETP issues < $0.75 on the total length of Limit States Pause. d. Tier 1 non-leveraged ETPs in each of the experienced per day by individual NMS ii. Monthly distribution statistics (mean, above categories Stocks that had more than one Limit State on median, 90th percentile, and 99th percentile) e. Tier 1 leveraged ETPs in each of the a single day, broken out by Category. on the duration of each Trading Pause, above categories c. Trading Pauses. The Monitoring Report broken out by (1) Type of Reopening and (2) f. Tier 2 non-ETPs in each of the above will include: Category. categories i. Monthly distribution statistics (mean, iii. The number of Trading Pauses ending g. Tier 2 non-leveraged ETPs in each of the median, 25th percentile, and maximum) on in a: above categories the number of Trading Pauses per day, (1) trade; h. Tier 2 leveraged ETPs in each of the broken out by Category and Time of Day. (2) quote; and above categories ii. Monthly distribution statistics (mean, (3) potential closing auction, broken out by 3. Partition by time of day median, 25th percentile, and maximum) on (a) Type of Reopening, (b) Category, and (c) a. Opening (prior to 9:45 a.m. ET) the number of NMS Stocks that experienced Length of Trading Pause. b. Regular (between 9:45 a.m. ET and 3:35 more than one Trading Pause on a single iv. For Trading Pauses in NMS Stocks p.m. ET) day, broken out by Category. preceded by a Limit Up state, monthly c. Closing (after 3:35 p.m. ET) iii. Monthly distribution statistics (mean, distribution statistics (mean, median, 90th d. Within five minutes of a Trading Pause median, 90th percentile, and maximum) on percentile, and 99th percentile) on the re-open or IPO open] the number of Trading Pauses per day percentage price change from the Limit Up experienced by individual NMS Stocks pricing that triggered the Trading Pause to 1. Limit States, Trading Pauses, Straddle having more than one Trading Pause on a the reopening price on exiting the Trading States, and Clearly Erroneous Events single day, broken out by Category. Pause (i.e., the reopening trade or midpoint a. Definitions. For the purpose of this d. Straddle States. The Monitoring Report price), broken out by (1) Category and (2) Section B.1, the following definitions apply: will include: whether the Trading Pause ended in a trade i. ‘‘Category’’ means the following i. Monthly distribution statistics (mean, or (3) in a quote (i.e., the reopening price was categories of securities: median, 25th percentile, and maximum) on a midpoint).

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v. For Trading Pauses in NMS Stocks notice is hereby given that, on March Exchange provides co-location services preceded by a Limit Down state, monthly 16, 2020, NYSE National, Inc. (‘‘NYSE to Users.5 distribution statistics (mean, median, 90th National’’ or the ‘‘Exchange’’) filed with Among those services is a ‘‘Hot percentile, and 99th percentile) on the the Securities and Exchange Hands’’ service, which allows Users to percentage price change from the Limit Down use on-site Data Center personnel to pricing that triggered the Trading Pause to Commission (the ‘‘Commission’’) the the reopening price on exiting the Trading proposed rule change as described in maintain User equipment, support Pause (i.e., the reopening trade or midpoint Items I, II, and III below, which Items network troubleshooting, rack and stack price), broken out by (1) Category and (2) have been prepared by the self- a server in a User’s cabinet; power whether the Trading Pause ended in a trade regulatory organization. The recycling; and install and document the or (3) in a quote (i.e., the reopening price was Commission is publishing this notice to fitting of cable in a User’s cabinet(s).6 a midpoint). solicit comments on the proposed rule The Hot Hands fee is $100 per half hour. vi. For Trading Pauses in NMS Stocks change from interested persons. ICE has announced to each User that, where the reopening process ended in a trade starting March 16, 2020, the Data Center or quote (with resulting reference price equal I. Self-Regulatory Organization’s will be closed to third parties through to the midpoint of that quote), monthly Statement of the Terms of Substance of distribution statistics (mean, median, 90th March 29, 2020. Pursuant to the ICE percentile, and 99th percentile) on the the Proposed Rule Change contingency plan, the Data Center is percentage price change from the reopening being closed to third parties to help price on exiting the Trading Pause (i.e., the The Exchange proposes a temporary avoid the spread of COVID–19, which reopening trade or midpoint price) to waiver of the co-location ‘‘Hot Hands’’ could negatively impact Data Center (1) the highest price of all last sale eligible fee beginning on March 16, 2020 functions. The President of the trades; through March 29, 2020. The proposed Exchange has taken the actions required (2) the lowest price of all last sale eligible rule change is available on the under NYSE National Rule 7.1 to close trades; and Exchange’s website at www.nyse.com, at the co-location facility of the Exchange (3) the trade-weighted average price of all the principal office of the Exchange, and 7 last sale eligible trades for the five minutes to third parties. While the Rule 7.1 following the conclusion of the Trading at the Commission’s Public Reference closure is in effect, User representatives Pause, broken out by (a) Category, (b) Room. will not be allowed access to the Data whether the Trading Pause was preceded by II. Self-Regulatory Organization’s Center. a Limit Up state or (c) a Limit Down state, If a User’s equipment requires work Statement of the Purpose of, and and (d) whether the Trading Pause ended in while the Rule 7.1 closure is in effect, Statutory Basis for, the Proposed Rule a trade or (e) in a quote (i.e., the reopening the User will have no option but to use Change price was a midpoint). the Hot Hands service and, absent the C. Reports on Market Events. At the proposed waiver, would incur Hot Commission’s request, the Operating In its filing with the Commission, the Committee shall provide the Commission self-regulatory organization included Hands fees for the work. Given that, the and make publicly available a report statements concerning the purpose of, Exchange proposes to waive all Hot analyzing the Plan’s operation during a and basis for, the proposed rule change Hands fees from the date of the closing significant market event that (1) materially and discussed any comments it received through March 29, 2020, and to add text impacted the trading of more than one on the proposed rule change. The text to the Hot Hands Fee in the Price List security across multiple Trading Centers; and of those statements may be examined at noting the waiver. The Exchange (2) is directly related to or implicating the believes that there will be sufficient performance of the Plan. Such report shall be the places specified in Item IV below. The Exchange has prepared summaries, Data Center staff on-site to comply with provided to the Commission no later than 30 User requests for Hot Hands service. days following the Commission’s request, or set forth in sections A, B, and C below, at a later date as agreed upon between the of the most significant parts of such The proposed waiver would apply Commission and the Operation Committee. statements. equally to all Users. The proposed fee The requirement to submit a report under waiver would not apply differently to this section may be satisfied by including the A. Self-Regulatory Organization’s distinct types or sizes of market required analysis within an Annual Report. Statement of the Purpose of, and the participants. Rather, it would apply [FR Doc. 2020–06024 Filed 3–20–20; 8:45 am] Statutory Basis for, the Proposed Rule uniformly to all Users. The proposed change is not otherwise BILLING CODE 8011–01–P Change intended to address any other issues 1. Purpose

5 SECURITIES AND EXCHANGE The Exchange proposes a temporary For purposes of the Exchange’s co-location services, a ‘‘User’’ means any market participant 4 COMMISSION suspension of the co-location ‘‘Hot that requests to receive co-location services directly [Release No. 34–88399; File No. SR– Hands’’ fee beginning on March 16, from the Exchange. See id. at note 9. As specified NYSENAT–2020–10] 2020 through March 29, 2020, after in the Exchange’s Price List, a User that incurs co- which the Mahwah, New Jersey data location fees for a particular co-location service pursuant thereto would not be subject to co-location Self-Regulatory Organizations; NYSE center (‘‘Data Center’’) is scheduled to fees for the same co-location service charged by the National, Inc.; Notice of Filing and reopen to third parties. Exchange’s affiliates the New York Stock Exchange LLC (‘‘NYSE’’), NYSE American LLC (‘‘NYSE Immediate Effectiveness of Proposed The Exchange is an indirect Rule Change of a Temporary Waiver of American’’), NYSE Arca, Inc. (‘‘NYSE Arca’’), and subsidiary of Intercontinental Exchange, NYSE Chicago, Inc. (‘‘NYSE Chicago’’ and together, the Co-Location Hot Hands Fee Inc. (‘‘ICE’’). Through its ICE Data the ‘‘Affiliate SROs’’). See id. at note 11. Each Services (‘‘IDS’’) business, ICE operates Affiliate SRO has submitted substantially the same March 17, 2020. proposed rule change to propose the changes Pursuant to Section 19(b)(1) 1 of the the Data Center, from which the described herein. See SR–NYSE–2020–18, SR– Securities Exchange Act of 1934 (the NYSEAmer–2020–19, SR–NYSEArca–2020–22, and ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 4 The Exchange initially filed rule changes SR–NYSECHX–2020–07. relating to its co-location services with the 6 See 83 FR 26314, supra note 4. Securities and Exchange Commission 7 See NYSE National Rule 7.1(c) through (e). See 1 15 U.S.C.78s(b)(1). (‘‘Commission’’) in May 2018. See Securities also NYSE Rule 7.1, NYSE Arca Rules 7.1–E and 2 15 U.S.C. 78a. Exchange Act Release No. 83351 (May 31, 2018), 83 7.1–O, NYSE American Rules 7.1E and 901NY, and 3 17 CFR 240.19b–4. FR 26314 (June 6, 2018) (SR–NYSENAT–2018–07). NYSE Chicago Rule 7.1.

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relating to co-location services and/or The Exchange believes that the The proposed waiver would not apply related fees, and the Exchange is not proposal is equitable because all differently to distinct types or sizes of aware of any problems that Users would similarly-situated Users would not be market participants. All Users who use have in complying with the proposed charged a fee to use the Hot Hands the Hot Hands service from March 16, change. service that the User would have to use 2020 through March 29, 2020 would because of the Data Center closure. have the resulting fees waived. 2. Statutory Basis The Exchange believes that the The Proposed Change Is Not Unfairly Intermarket Competition proposed rule change is consistent with Discriminatory and Would Protect The Exchange does not believe that Section 6(b) of the Act,8 in general, and Investors and the Public Interest the proposed change would impose any furthers the objectives of Sections The Exchange believes that the burden on intermarket competition that 6(b)(4) and (5) of the Act,9 in particular, proposed change is not unfairly is not necessary or appropriate. because it provides for the equitable discriminatory for the following The Exchange believes that the allocation of reasonable dues, fees, and reasons. proposed change would not affect the other charges among its members, The proposed waiver would not apply competitive landscape among the issuers and other persons using its differently to distinct types or sizes of national securities exchanges, as the Hot facilities and does not unfairly market participants. Rather, all Users Hands service is solely charged within discriminate between customers, whose equipment requires work during co-location to existing Users, and would issuers, brokers or dealers. In addition, the Data Center closure would have the be temporary. For the reasons described above, the it is designed to foster cooperation and resulting fees waived, and the waiver Exchange believes that the proposed coordination with persons engaged in would apply uniformly to all Users from rule change reflects this competitive regulating, clearing, settling, processing March 16, 2020 through March 29, 2020. environment. information with respect to, and For the reasons above, the proposed facilitating transactions in securities, to changes do not unfairly discriminate C. Self-Regulatory Organization’s remove impediments to, and perfect the between or among market participants. Statement on Comments on the mechanisms of, a free and open market In addition, the Exchange believes Proposed Rule Change Received From and a national market system and, in that the proposed rule change would Members, Participants, or Others general, to protect investors and the perfect the mechanisms of a free and No written comments were solicited public interest and because it is not open market and a national market or received with respect to the proposed designed to permit unfair system and, in general, protect investors rule change. discrimination between customers, and the public interest because it would issuers, brokers, or dealers. allow a User to have work carried out III. Date of Effectiveness of the on its equipment notwithstanding the Proposed Rule Change and Timing for The Proposed Rule Change Is Commission Action Reasonable closure of the Data Center pursuant to Rule 7.1 without incurring Hot Hands The foregoing rule change is effective The Exchange believes that the fees. Accordingly, the Exchange believes upon filing pursuant to Section proposed rule change is reasonable for that the requested relief is designed to 19(b)(3)(A) 11 of the Act and the following reasons. perfect the mechanisms of a free and subparagraph (f)(2) of Rule 19b–4 12 While the Rule 7.1 closure is in effect, open market and a national market thereunder, because it establishes a due, User representatives will not be allowed system and, in general, protect investors fee, or other charge imposed by the access to the Data Center. If a User’s and the public interest by facilitating Exchange. equipment requires work during such the uninterrupted availability of Users’ At any time within 60 days of the period, the User will have to use the Hot equipment. filing of such proposed rule change, the Hands service and, absent a waiver, For all of the above reasons, the Commission summarily may would incur Hot Hands fees for the Exchange believes that the proposal is temporarily suspend such rule change if work. The Exchange believes that it is consistent with the Act. it appears to the Commission that such reasonable to grant the proposed waiver action is necessary or appropriate in the because Users would have no option B. Self-Regulatory Organization’s public interest, for the protection of other than using the Hot Hands service. Statement on Burden on Competition investors, or otherwise in furtherance of The proposed relief would allow a In accordance with Section 6(b)(8) of the purposes of the Act. If the User to have work carried out on its the Act,10 the Exchange believes that the Commission takes such action, the equipment notwithstanding the closure proposed rule change will not impose Commission shall institute proceedings of the Data Center without incurring Hot 13 any burden on competition that is not under Section 19(b)(2)(B) of the Act to Hands fees. necessary or appropriate in furtherance determine whether the proposed rule The Proposed Rule Change Is Equitable of the purposes of the Act. change should be approved or disapproved. The Exchange believes the proposed Intramarket Competition rule change is an equitable allocation of IV. Solicitation of Comments The Exchange does not believe that its fees and credits for the following Interested persons are invited to the proposed change would place any reasons. submit written data, views, and burden on intramarket competition that The proposed waiver would apply arguments concerning the foregoing, equally to all Users. The proposed fee is not necessary or appropriate. including whether the proposed rule waiver would not apply differently to The proposal it is not designed to change is consistent with the Act. distinct types or sizes of market affect competition, but rather to provide Comments may be submitted by any of participants. Rather, it would apply relief to Users that, while the Rule 7.1 the following methods: uniformly to all Users. closure is in effect, have no option but to use the Hot Hands service. 11 15 U.S.C. 78s(b)(3)(A). 8 15 U.S.C. 78f(b). 12 17 CFR 240.19b–4(f)(2). 9 15 U.S.C. 78f(b)(4) and (5). 10 15 U.S.C. 78f(b)(8). 13 15 U.S.C. 78s(b)(2)(B).

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Electronic Comments SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s Statement of the Purpose of, and the • COMMISSION Use the Commission’s internet Statutory Basis for, the Proposed Rule comment form (http://www.sec.gov/ Change rules/sro.shtml); or [Release No. 34–88401; File No. SR– NYSEAMER–2020–17] 1. Purpose • Send an email to rule-comments@ sec.gov. Please include File Number SR– Self-Regulatory Organizations; NYSE The Exchange proposes to amend its NYSENAT–2020–10 on the subject line. American LLC; Notice of Filing and Price List to (1) revise the requirements Immediate Effectiveness of Proposed for the current monthly quoting credit Paper Comments for quoting in UTP Securities, and (2) Change To Amend Its Price List offer an additional monthly quoting • Send paper comments in triplicate March 17, 2020. credit for quoting in UTP Securities.4 to Secretary, Securities and Exchange The proposed change responds to the 1 Commission, 100 F Street NE, Pursuant to Section 19(b)(1) of the current competitive environment where Washington, DC 20549–1090. Securities Exchange Act of 1934 (the order flow providers have a choice of ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 where to direct orders by offering All submissions should refer to File notice is hereby given that, on March Number SR–NYSENAT–2020–10. This further incentives for Equity Trading 11, 2020, NYSE American LLC (‘‘NYSE Permit (‘‘ETP’’) Holders 5 to quote and file number should be included on the American’’ or the ‘‘Exchange’’) filed trade on the Exchange in UTP subject line if email is used. To help the with the Securities and Exchange Securities. Commission process and review your Commission (the ‘‘Commission’’) the The Exchange proposes to implement comments more efficiently, please use proposed rule change as described in the rule change on March 11, 2020.6 only one method. The Commission will Items I, II, and III below, which Items Competitive Environment post all comments on the Commission’s have been prepared by the self- internet website (http://www.sec.gov/ regulatory organization. The The Commission has repeatedly rules/sro.shtml). Copies of the Commission is publishing this notice to expressed its preference for competition over regulatory intervention in submission, all subsequent solicit comments on the proposed rule determining prices, products, and amendments, all written statements change from interested persons. with respect to the proposed rule services in the securities markets. In change that are filed with the I. Self-Regulatory Organization’s Regulation NMS, the Commission Commission, and all written Statement of the Terms of Substance of highlighted the importance of market communications relating to the the Proposed Rule Change forces in determining prices and SRO proposed rule change between the revenues and, also, recognized that Commission and any person, other than The Exchange proposes to amend its current regulation of the market system those that may be withheld from the Price List to (1) revise the requirements ‘‘has been remarkably successful in public in accordance with the for the current monthly quoting credit promoting market competition in its provisions of 5 U.S.C. 552, will be for quoting in UTP Securities, and (2) broader forms that are most important to investors and listed companies.’’ 7 available for website viewing and offer an additional monthly quoting credit for quoting in UTP Securities. As the Commission itself recognized, printing in the Commission’s Public the market for trading services in NMS Reference Room, 100 F Street NE, The Exchange proposes to implement the rule change on March 11, 2020. The stocks has become ‘‘more fragmented Washington, DC 20549 on official and competitive.’’ 8 Indeed, equity business days between the hours of proposed change is available on the Exchange’s website at www.nyse.com, at trading is currently dispersed across 13 10:00 a.m. and 3:00 p.m. Copies of the 9 the principal office of the Exchange, and exchanges, 31 alternative trading filing also will be available for systems,10 and numerous broker-dealer inspection and copying at the principal at the Commission’s Public Reference Room. internalizers and wholesalers, all office of the Exchange. All comments competing for order flow. Based on received will be posted without change. II. Self-Regulatory Organization’s Persons submitting comments are Statement of the Purpose of, and 4 See Rule 1.1E(ii) (definition of UTP Security). cautioned that we do not redact or edit Statutory Basis for, the Proposed Rule 5 See id. at (m) (definition of ETP) & (n) personal identifying information from Change (definition of ETP Holder). 6 The Exchange originally filed to amend the comment submissions. You should Price List on March 2, 2020 (SR–NYSEAmer–2020– submit only information that you wish In its filing with the Commission, the 15). SR–NYSEAmer–2020–15 was subsequently to make available publicly. All self-regulatory organization included withdrawn and replaced by this filing. submissions should refer to File statements concerning the purpose of, 7 See Securities Exchange Act Release No. 51808 and basis for, the proposed rule change (June 9, 2005), 70 FR 37495, 37499 (June 29, 2005) Number SR–NYSENAT–2020–10 and (S7–10–04) (Final Rule) (‘‘Regulation NMS’’). should be submitted on or before April and discussed any comments it received 8 See Securities Exchange Act Release No. 51808, 13, 2020. on the proposed rule change. The text 84 FR 5202, 5253 (February 20, 2019) (File No. S7– of those statements may be examined at 05–18) (Transaction Fee Pilot for NMS Stocks Final For the Commission, by the Division of the places specified in Item IV below. Rule) (‘‘Transaction Fee Pilot’’). Trading and Markets, pursuant to delegated 9 See Cboe Global Markets, U.S. Equities Market The Exchange has prepared summaries, authority.14 Volume Summary, available at http:// set forth in sections A, B, and C below, markets.cboe.com/us/equities/market_share/. See J. Matthew DeLesDernier, of the most significant parts of such generally https://www.sec.gov/fast-answers/ Assistant Secretary. divisionsmarketregmrexchangesshtml.html. statements. 10 [FR Doc. 2020–06001 Filed 3–20–20; 8:45 am] See FINRA ATS Transparency Data, available at https://otctransparency.finra.org/ BILLING CODE 8011–01–P otctransparency/AtsIssueData. A list of alternative 1 15 U.S.C. 78s(b)(1). trading systems registered with the Commission is 2 15 U.S.C. 78a. available at https://www.sec.gov/foia/docs/ 14 17 CFR 200.30–3(a)(12). 3 17 CFR 240.19b–4. atslist.htm.

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publicly-available information, no Securities. The Exchange proposes $25,000 in firm credits, for a total of single exchange has more than 20% lowering the eligible number of $75,000 in combined credits for the market share (whether including or securities to satisfy the quoting billing month. excluding auction volume).11 Therefore, requirement at the NBBO from 750 to The purpose of the proposed changes no exchange possesses significant 500. The Exchange also proposes to is to provide ETP Holders with pricing power in the execution of equity clarify that the quoting requirement incentives to increase quoting on the order flow. More specifically, the would be on an average daily basis, Exchange in UTP Securities, which Exchange’s market share of trading in calculated monthly. Further, the would support the quality of price Tapes A, B and C securities combined Exchange proposes that the current discovery on the Exchange and provide is less than 1%. credit would be a monthly credit in any additional liquidity for incoming orders. The Exchange believes that the ever- month that an MPID qualifies for the As noted, the Exchange operates in a shifting market share among the credit. Finally, the Exchange proposes competitive environment, particularly exchanges from month to month that the current maximum of $50,000 as it relates to attracting non-marketable demonstrates that market participants per ETP Holder for all of the ETP orders, which add liquidity to the can move order flow, or discontinue or Holder’s MPIDs would be on a per Exchange. The Exchange believes that reduce use of certain categories of month basis. incentivizing ETP Holders to quote at products, in response to fee changes. the NBBO in UTP Securities more Proposed Additional Monthly Quoting With respect to non-marketable order frequently could attract additional Credit flow that would provide liquidity on an orders to the Exchange and contribute to Exchange, ETP Holders can choose from In order to further encourage quoting price discovery, especially in less liquid any one of the 13 currently operating on the Exchange in UTP Securities, the securities that may quote but not trade. registered exchanges to route such order Exchange proposes to offer a monthly In addition, additional liquidity- flow. Accordingly, competitive forces quoting credit in addition to the providing quotes benefit all market constrain exchange transaction fees that transaction fees and credits specified in participants because they provide relate to orders that would provide Section I.B of the Price List and in greater execution opportunities on the liquidity on an exchange. addition to the current monthly quoting Exchange and improve the public In response to this competitive credit discussed above. Specifically, the quotation. environment, the Exchange proposes to Exchange proposes that ETP Holders The Exchange does not know how revise its incentives in order to that have one or more MPIDs quoting at much order flow ETP Holders choose to encourage ETP Holders to quote on the the NBBO an average of at least 10% of route to other exchanges or to off- Exchange in UTP Securities by revising the time in 1,000 or more UTP exchange venues. Currently, no ETP the requirements, including the number Securities each in the billing month Holders qualify for the monthly quoting of UTP Securities needed to the meet would be eligible for a monthly credit credit in UTP Securities and the the quoting requirement, for the current of $25,000 per qualifying ETP Holder.13 Exchange believes that at least 3 Monthly Quoting Credit and additional ETP Holders could qualify Application and Impact of Proposed for the credit based on the proposed introducing a new monthly quoting Rule Change credit for ETP Holders that meet certain changes. Since the proposed additional quoting requirements in UTP Securities. The following example demonstrates monthly credit for quoting on the the application and impact of the Exchange in UTP Securities would be Proposed Rule Change proposed changes to the current new, no ETP Holder currently qualifies Revisions to Current Monthly Quoting monthly quoting credit and the new for the proposed credit. However, Credit proposed monthly quoting credit. without having a view of ETP Holder’s For example, assume that an ETP activity on other exchanges and off- Currently, the Exchange offers a credit Holder has 8 MPIDs and that in the exchange venues, the Exchange has no in addition to the transaction fees and billing month 6 of those 8 MPIDs quotes way of knowing whether this proposed credits specified in Section I.B of the at least 10% at the NBBO in 800 UTP rule change would result in any ETP Price List to encourage quoting on the Securities each on an average daily Holder increasing quoting on the Exchange in UTP Securities. basis, calculated monthly, while the 2 Exchange in UTP Securities in order to Specifically, each ETP Holder’s MPID remaining MPIDs quote at least 10% in qualify for revised current credit and the quoting at the national best bid or offer 1,200 UTP Securities each on an average proposed new credit. (‘‘NBBO’’) 12 an average of at least 10% daily basis, calculated monthly. In this The proposed changes are not of the time in 750 securities or more scenario, as a result of the $50,000 cap otherwise intended to address any other UTP Securities in the billing month is on MPID credits per ETP Holder, only issues, and the Exchange is not aware of eligible for a credit of $10,000 per 5 of the 8 MPIDs would qualify for the any problems that ETP Holders would qualifying MPID in the first month that monthly credit of $10,000 per MPID, for have in complying with the proposed an MPID qualifies for the credit for the a total of $50,000, and the ETP Holder change. first time, up to a maximum of $50,000 would qualify for the monthly credit of per ETP Holder for all of the ETP 2. Statutory Basis $25,000 since it had a least one MPID Holder’s MPIDs. meeting the 1,000 symbol requirement. The Exchange believes that the The Exchange proposes to revise the The ETP Holder would accordingly proposed rule change is consistent with current monthly quoting credit in order 14 receive $50,000 in MPID credits and Section 6(b) of the Act, in general, and to encourage additional quoting and furthers the objectives of Sections trading on the Exchange in UTP 15 13 The Exchange also proposes two non- 6(b)(4) and (5) of the Act, in particular, substantive changes. First, the heading of Section because it provides for the equitable 11 See Cboe Global Markets U.S. Equities Market I.B. of the Price List would be changed to the plural allocation of reasonable dues, fees, and Volume Summary, available at http:// ‘‘Monthly Quoting Credits.’’ Second, the phrase other charges among its members, markets.cboe.com/us/equities/market_share/. ‘‘ETP Holders are eligible for the following credits:’’ 12 See Rule 1.1E(dd) (definition of NBBO, Best would be added to the first sentence of Section I.B. Protected Bid, Best Protected Offer, Protected Best and the two monthly quoting credits broken out 14 15 U.S.C. 78f(b). Bid and Offer (PBBO)). separately. 15 15 U.S.C. 78f(b)(4) & (5).

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issuers and other persons using its frequently could attract additional Exchange in UTP Securities. As such, it facilities and does not unfairly orders to the Exchange and contribute to is equitable to offer ETP Holders an discriminate between customers, price discovery. In addition, additional additional, higher credit for quoting in issuers, brokers or dealers. liquidity-providing quotes benefit all UTP Securities. market participants because they Currently, no ETP Holders qualify for The Proposal Is Reasonable provide greater execution opportunities the current monthly quoting credit for As discussed above, the Exchange on the Exchange and improve the public quoting on the Exchange in UTP operates in a highly fragmented and quotation. Similarly, the Exchange Securities. As previously noted, there competitive market. The Commission believes that revising the current credit are a number of other ETP Holders that has repeatedly expressed its preference to be a monthly credit in any month that could qualify for the current credit for competition over regulatory an MPID qualifies for the credit is based on the proposed changes but intervention in determining prices, reasonable. The Exchange believes that without a view of ETP Holder activity products, and services in the securities a recurring monthly credit for meeting on other exchanges and off-exchange markets. Specifically, in Regulation specified quoting requirements would venues, the Exchange has no way of NMS, the Commission highlighted the encourage member organizations to knowing whether the proposed rule importance of market forces in increase their quoting on the Exchange change would result in any ETP Holder determining prices and SRO revenues in UTP Securities and would provide qualifying for either the proposed and, also, recognized that current member organizations with an ongoing revised current credit or the proposed regulation of the market system ‘‘has incentive to maintain that increased additional credit. The Exchange believes been remarkably successful in quoting from month to month in order the proposed credits are reasonable as promoting market competition in its to continue qualifying for the credit, up they would provide an incentive for broader forms that are most important to to the monthly maximum. The ETP Holders to direct order flow to the 16 investors and listed companies.’’ Exchange thus believes that a recurring Exchange and provide meaningful The Exchange believes that the ever- monthly credit for meeting specified added levels of liquidity in order to shifting market share among the quoting requirements is a fair and qualify for the credits, thereby exchanges from month to month reasonable way to increase and maintain contributing to depth and market demonstrates that market participants quoting levels in UTP Securities on the quality on the Exchange. can move order flow, or discontinue or Exchange. The Exchange notes that The proposal neither targets nor will reduce use of certain categories of other exchanges offer similar recurring it have a disparate impact on any products, in response to fee changes. monthly credits to members based on particular category of market With respect to non-marketable order quoting. For instance, the Exchange’s participant. All ETP Holders would be flow that would provide liquidity on an affiliate New York Stock Exchange LLC eligible to qualify for the proposed Exchange, ETP Holders can choose from credits by quoting on the Exchange in offers recurring monthly credits to its any one of the 13 currently operating UTP Securities. ETP Holders must have Designated Market Makers for meeting registered exchanges to route such order an assigned MPID to quote and trade on specified quoting percentage and other flow. Accordingly, competitive forces the Exchange, and are thus all ETP requirements in NYSE listed constrain exchange transaction fees that Holders would be equally eligible to securities.17 relate to orders that would provide receive the current and proposed credit. Finally, the Exchange also believes liquidity on an exchange. Stated As noted above, the Exchange operates the proposed non-substantive changes otherwise, changes to exchange in a competitive environment, are reasonable and would not be transaction fees can have a direct effect particularly as it relates to attracting inconsistent with the public interest and on the ability of an exchange to compete non-marketable orders, which add the protection of investors because for order flow. liquidity to the Exchange. The Exchange investors will not be harmed and in fact Given this competitive environment, believes that revising the requirements would benefit from increased clarity the proposal represents a reasonable to qualify for the current credit for and transparency on the Price List, attempt to increase quoting on the quoting in UTP Securities and offering thereby reducing potential confusion. Exchange. As noted, the Exchange’s an additional, higher credit for quoting Given the competitive environment in market share of trading in Tapes A, B on the Exchange in UTP Securities which the Exchange currently operates, and C securities combined is under 1%. would provide an added incentive to the proposed rule change accordingly Specifically, the Exchange believes increase quoting on the Exchange in constitutes a reasonable attempt to that revising the requirements to qualify UTP Securities, which would support increase liquidity on the Exchange and for the current credit for quoting on the the quality of price discovery on the improve the Exchange’s market share Exchange in UTP Securities and the Exchange and provide additional relative to its competitors. proposed additional credit for quoting liquidity for incoming orders. on the Exchange in UTP Securities are The Proposal Is an Equitable Allocation The Proposal Is Not Unfairly reasonable. The revised requirements of Fees for the current monthly credit and the Discriminatory proposed additional credit would The Exchange believes the proposal The Exchange believes that the provide ETP Holders with added equitably allocates its fees among its proposal is not unfairly discriminatory. incentives to increase quoting on the market participants by fostering In the prevailing competitive Exchange in UTP Securities, which liquidity provision and stability in the environment, ETP Holders are free to would support the quality of price marketplace. Moreover, the proposal is disfavor the Exchange’s pricing if they discovery on the Exchange and provide an equitable allocation of fees because it believe that alternatives offer them additional liquidity for incoming orders. would reward ETP Holders for better value. The Exchange believes that increasing their quoting on the The Exchange believes it is not incentivizing ETP Holders on the unfairly discriminatory to lower the 17 See New York Stock Exchange Price List 2020 Exchange to quote at the NBBO more at pp. 11–12, available at https://www.nyse.com/ requirements to qualify for the current publicdocs/nyse/markets/nyse/NYSE_Price_ quoting credit and to provide a higher 16 See Regulation NMS, 70 FR at 37499. List.pdf. credit based on enhanced quoting at the

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NBBO in UTP Securities insofar as the Commission’s goal in adopting 19(b)(3)(A) 20 of the Act and proposed lower requirements and new Regulation NMS of fostering integrated subparagraph (f)(2) of Rule 19b–4 21 credit would be provided on an equal competition among orders, which thereunder, because it establishes a due, basis to all similarly situated ETP promotes ‘‘more efficient pricing of fee, or other charge imposed by the Holders that add liquidity to the individual stocks for all types of orders, Exchange. Exchange, who would all be eligible for large and small.’’ 19 At any time within 60 days of the the same credits if they meet the quoting Intramarket Competition. The filing of such proposed rule change, the and other requirements on an equal proposed changes are designed to Commission summarily may basis. Moreover, providing the current increase quoting on the Exchange in temporarily suspend such rule change if quoting credit in any month that an UTP Securities and attract additional it appears to the Commission that such MPID qualifies and providing the cap order flow to the Exchange. The action is necessary or appropriate in the per ETP Holder of $50,000 for the Exchange believes that the proposed public interest, for the protection of current credit on a per month basis changes would continue to incentivize investors, or otherwise in furtherance of would also be provided on equal basis market participants to quote in UTP the purposes of the Act. If the to all ETP Holders. ETP Holders must Securities and direct order flow to the Commission takes such action, the have an assigned MPID to quote and Exchange. Greater liquidity benefits all Commission shall institute proceedings trade on the Exchange, and are thus all market participants on the Exchange by under Section 19(b)(2)(B) 22 of the Act to ETP Holders would be equally eligible providing more trading opportunities determine whether the proposed rule to receive the same proposed credit. and encourages ETP Holders to send change should be approved or The Exchange also believes that the orders, thereby contributing to robust disapproved. proposed change is not unfairly levels of liquidity, which benefits all IV. Solicitation of Comments discriminatory because it is reasonably market participants on the Exchange. related to the value to the Exchange’s The proposed revised requirements for Interested persons are invited to market quality associated with higher the current credit and the proposed new submit written data, views, and volume. The Exchange believes the credit would be available to all arguments concerning the foregoing, proposed credits would incentivize ETP similarly-situated market participants, including whether the proposed rule Holders to send more orders to the and, as such, the proposed change change is consistent with the Act. Exchange and to increase quoting on the would not impose a disparate burden on Comments may be submitted by any of Exchange in order to qualify for the competition among market participants the following methods: proposed credits, which would support on the Exchange. the quality of price discovery on the Electronic Comments Intermarket Competition. The Exchange and provide additional • Use the Commission’s internet Exchange operates in a highly liquidity for incoming orders. Further, comment form (http://www.sec.gov/ competitive market in which market quoting and submitting orders to the rules/sro.shtml); or participants can readily choose to send Exchange is optional for ETP Holders in • Send an email to rule-comments@ their orders to other exchange and off- that they could choose whether to quote sec.gov. Please include File Number SR– exchange venues if they deem fee levels or submit orders to the Exchange and, NYSEAMER–2020–17 on the subject at those other venues to be more if they do, the extent of their activity in line. favorable. As noted, the Exchange’s this regard. Paper Comments Finally, the Exchange believes that it market share of trading in Tapes A, B is subject to significant competitive and C securities combined is less than • Send paper comments in triplicate forces, as described below in the 1%. In such an environment, the to: Secretary, Securities and Exchange Exchange’s statement regarding the Exchange must continually adjust its Commission, 100 F Street NE, burden on competition. fees and rebates to remain competitive Washington, DC 20549–1090. For the foregoing reasons, the with other exchanges and with off- All submissions should refer to File Exchange believes that the proposal is exchange venues. Because competitors Number SR–NYSEAMER–2020–17. This consistent with the Act. are free to modify their own fees and file number should be included on the credits in response, and because market subject line if email is used. To help the B. Self-Regulatory Organization’s participants may readily adjust their Commission process and review your Statement on Burden on Competition order routing practices, the Exchange comments more efficiently, please use In accordance with Section 6(b)(8) of does not believe its proposed fee change only one method. The Commission will the Act,18 the Exchange believes that the can impose any burden on intermarket post all comments on the Commission’s proposed rule change would not impose competition. internet website (http://www.sec.gov/ any burden on competition that is not C. Self-Regulatory Organization’s rules/sro.shtml). Copies of the necessary or appropriate in furtherance Statement on Comments on the submission, all subsequent of the purposes of the Act. Instead, as Proposed Rule Change Received From amendments, all written statements discussed above, the Exchange believes Members, Participants, or Others with respect to the proposed rule that the proposed changes would change that are filed with the encourage additional quoting in UTP No written comments were solicited Commission, and all written Securities and the submission of or received with respect to the proposed communications relating to the additional liquidity to a public rule change. proposed rule change between the exchange, thereby promoting market III. Date of Effectiveness of the Commission and any person, other than depth, price discovery and transparency Proposed Rule Change and Timing for those that may be withheld from the and enhancing order execution Commission Action public in accordance with the opportunities for ETP Holders. As a provisions of 5 U.S.C. 552, will be result, the Exchange believes that the The foregoing rule change is effective proposed change furthers the upon filing pursuant to Section 20 15 U.S.C. 78s(b)(3)(A). 21 17 CFR 240.19b–4(f)(2). 18 15 U.S.C. 78f(b)(8). 19 Regulation NMS, 70 FR at 37498–99. 22 15 U.S.C. 78s(b)(2)(B).

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available for website viewing and rule change is available on the network troubleshooting, rack and stack printing in the Commission’s Public Exchange’s website at www.nyse.com, at a server in a User’s cabinet; power Reference Room, 100 F Street NE, the principal office of the Exchange, and recycling; and install and document the Washington, DC 20549 on official at the Commission’s Public Reference fitting of cable in a User’s cabinet(s).6 business days between the hours of Room. The Hot Hands fee is $100 per half hour. 10:00 a.m. and 3:00 p.m. Copies of the ICE has announced to each User that, filing also will be available for II. Self-Regulatory Organization’s starting March 16, 2020, the Data Center inspection and copying at the principal Statement of the Purpose of, and will be closed to third parties through office of the Exchange. All comments Statutory Basis for, the Proposed Rule March 29, 2020. Pursuant to the ICE received will be posted without change. Change contingency plan, the Data Center is Persons submitting comments are In its filing with the Commission, the being closed to third parties to help cautioned that we do not redact or edit self-regulatory organization included avoid the spread of COVID–19, which personal identifying information from statements concerning the purpose of, could negatively impact Data Center comment submissions. You should and basis for, the proposed rule change functions. The Chief Executive Officer submit only information that you wish and discussed any comments it received of the Exchange has taken the actions to make available publicly. All on the proposed rule change. The text required under NYSE Chicago Rule 7.1 submissions should refer to File of those statements may be examined at to close the co-location facility of the Number SR–NYSEAMER–2020–17 and the places specified in Item IV below. Exchange to third parties.7 While the should be submitted on or before April The Exchange has prepared summaries, Rule 7.1 closure is in effect, User 13, 2020. set forth in sections A, B, and C below, representatives will not be allowed For the Commission, by the Division of of the most significant parts of such access to the Data Center. Trading and Markets, pursuant to delegated statements. If a User’s equipment requires work 23 while the Rule 7.1 closure is in effect, authority. A. Self-Regulatory Organization’s J. Matthew DeLesDernier, the User will have no option but to use Statement of the Purpose of, and the the Hot Hands service and, absent the Assistant Secretary. Statutory Basis for, the Proposed Rule proposed waiver, would incur Hot [FR Doc. 2020–06003 Filed 3–20–20; 8:45 am] Change Hands fees for the work. Given that, the BILLING CODE 8011–01–P 1. Purpose Exchange proposes to waive all Hot Hands fees from the date of the closing The Exchange proposes a temporary through March 29, 2020, and to add text SECURITIES AND EXCHANGE suspension of the co-location 4 ‘‘Hot COMMISSION to the Hot Hands Fee in the Fee Hands’’ fee beginning on March 16, Schedule noting the waiver. The [Release No. 34–88400; File No. SR– 2020 through March 29, 2020, after Exchange believes that there will be NYSECHX–2020–07] which the Mahwah, New Jersey data sufficient Data Center staff on-site to center (‘‘Data Center’’) is scheduled to comply with User requests for Hot Self-Regulatory Organizations; NYSE reopen to third parties. Hands service. Chicago, Inc.; Notice of Filing and The Exchange is an indirect The proposed waiver would apply Immediate Effectiveness of Proposed subsidiary of Intercontinental Exchange, equally to all Users. The proposed fee Rule Change of a Temporary Waiver of Inc. (‘‘ICE’’). Through its ICE Data waiver would not apply differently to the Co-Location Hot Hands Fee Services (‘‘IDS’’) business, ICE operates distinct types or sizes of market the Data Center, from which the March 17, 2020. participants. Rather, it would apply 1 Exchange provides co-location services uniformly to all Users. Pursuant to Section 19(b)(1) of the to Users.5 Securities Exchange Act of 1934 (the The proposed change is not otherwise 2 3 Among those services is a ‘‘Hot intended to address any other issues ‘‘Act’’) and Rule 19b–4 thereunder, Hands’’ service, which allows Users to notice is hereby given that, on March relating to co-location services and/or use on-site Data Center personnel to related fees, and the Exchange is not 16, 2020 the NYSE Chicago, Inc. maintain User equipment, support (‘‘NYSE Chicago’’ or the ‘‘Exchange’’) aware of any problems that Users would filed with the Securities and Exchange have in complying with the proposed 4 The Exchange initially filed rule changes change. Commission (the ‘‘Commission’’) the relating to its co-location services with the proposed rule change as described in Securities and Exchange Commission 2. Statutory Basis Items I, II, and III below, which Items (‘‘Commission’’) in October 2019. See Securities Exchange Act Release No. 87408 (October 28, 2019), The Exchange believes that the have been prepared by the self- 84 FR 58778 (November 1, 2019) (SR–NYSECHX– proposed rule change is consistent with regulatory organization. The 2019–27). Section 6(b) of the Act,8 in general, and Commission is publishing this notice to 5 For purposes of the Exchange’s co-location furthers the objectives of Sections services, a ‘‘User’’ means any market participant solicit comments on the proposed rule 6(b)(4) and (5) of the Act,9 in particular, change from interested persons. that requests to receive co-location services directly from the Exchange. See id. at note 6. As specified because it provides for the equitable I. Self-Regulatory Organization’s in the Fee Schedule of NYSE Chicago, Inc. (‘‘Fee allocation of reasonable dues, fees, and Schedule’’), a User that incurs co-location fees for other charges among its members, Statement of the Terms of Substance of a particular co-location service pursuant thereto the Proposed Rule Change would not be subject to co-location fees for the issuers and other persons using its The Exchange proposes a temporary same co-location service charged by the Exchange’s facilities and does not unfairly affiliates the New York Stock Exchange LLC discriminate between customers, waiver of the co-location ‘‘Hot Hands’’ (‘‘NYSE’’), NYSE American LLC (‘‘NYSE fee beginning on March 16, 2020 American’’), NYSE Arca, Inc. (‘‘NYSE Arca’’), and 6 through March 29, 2020. The proposed NYSE National, Inc. (‘‘NYSE National’’ and See 84 FR 58778, supra note 4. together, the ‘‘Affiliate SROs’’). See id. at 58779. 7 See NYSE Chicago Rule 7.1 (c) through (e). See Each Affiliate SRO has submitted substantially the also NYSE Rule 7.1, NYSE Arca Rules 7.1–E and 23 17 CFR 200.30–3(a)(12). same proposed rule change to propose the changes 7.1–O, NYSE American Rules 7.1E and 901NY, and 1 15 U.S.C. 78s(b)(1). described herein. See SR–NYSE–2020–18, SR– NYSE National Rule 7.1. 2 15 U.S.C. 78a. NYSEAmer–2020–19, SR–NYSEArca–2020–22, and 8 15 U.S.C. 78f(b). 3 17 CFR 240.19b–4. SR–NYSENAT–2020–10. 9 15 U.S.C. 78f(b)(4) and (5).

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issuers, brokers or dealers. In addition, March 16, 2020 through March 29, 2020. rule change reflects this competitive it is designed to foster cooperation and For the reasons above, the proposed environment. coordination with persons engaged in changes do not unfairly discriminate C. Self-Regulatory Organization’s regulating, clearing, settling, processing between or among market participants. Statement on Comments on the information with respect to, and In addition, the Exchange believes Proposed Rule Change Received From facilitating transactions in securities, to that the proposed rule change would Members, Participants, or Others remove impediments to, and perfect the perfect the mechanisms of a free and mechanisms of, a free and open market open market and a national market No written comments were solicited and a national market system and, in system and, in general, protect investors or received with respect to the proposed general, to protect investors and the and the public interest because it would rule change. public interest and because it is not allow a User to have work carried out III. Date of Effectiveness of the designed to permit unfair on its equipment notwithstanding the Proposed Rule Change and Timing for discrimination between customers, closure of the Data Center pursuant to Commission Action issuers, brokers, or dealers. Rule 7.1 without incurring Hot Hands fees. Accordingly, the Exchange believes The foregoing rule change is effective The Proposed Rule Change Is that the requested relief is designed to upon filing pursuant to Section Reasonable 11 perfect the mechanisms of a free and 19(b)(3)(A) of the Act and 12 The Exchange believes that the open market and a national market subparagraph (f)(2) of Rule 19b–4 proposed rule change is reasonable for system and, in general, protect investors thereunder, because it establishes a due, the following reasons. and the public interest by facilitating fee, or other charge imposed by the While the Rule 7.1 closure is in effect, the uninterrupted availability of Users’ Exchange. User representatives will not be allowed equipment. At any time within 60 days of the access to the Data Center. If a User’s For all of the above reasons, the filing of such proposed rule change, the equipment requires work during such Exchange believes that the proposal is Commission summarily may period, the User will have to use the Hot consistent with the Act. temporarily suspend such rule change if Hands service and, absent a waiver, it appears to the Commission that such would incur Hot Hands fees for the B. Self-Regulatory Organization’s action is necessary or appropriate in the work. The Exchange believes that it is Statement on Burden on Competition public interest, for the protection of reasonable to grant the proposed waiver In accordance with Section 6(b)(8) of investors, or otherwise in furtherance of because Users would have no option the Act,10 the Exchange believes that the the purposes of the Act. If the other than using the Hot Hands service. proposed rule change will not impose Commission takes such action, the The proposed relief would allow a any burden on competition that is not Commission shall institute proceedings 13 User to have work carried out on its necessary or appropriate in furtherance under Section 19(b)(2)(B) of the Act to equipment notwithstanding the closure of the purposes of the Act. determine whether the proposed rule of the Data Center without incurring Hot change should be approved or Hands fees. Intramarket Competition disapproved. The Proposed Rule Change Is Equitable The Exchange does not believe that IV. Solicitation of Comments the proposed change would place any The Exchange believes the proposed burden on intramarket competition that Interested persons are invited to rule change is an equitable allocation of is not necessary or appropriate. submit written data, views, and its fees and credits for the following arguments concerning the foregoing, The proposal it is not designed to reasons. including whether the proposed rule affect competition, but rather to provide The proposed waiver would apply change is consistent with the Act. relief to Users that, while the Rule 7.1 equally to all Users. The proposed fee Comments may be submitted by any of closure is in effect, have no option but waiver would not apply differently to the following methods: distinct types or sizes of market to use the Hot Hands service. participants. Rather, it would apply The proposed waiver would not apply Electronic Comments uniformly to all Users. differently to distinct types or sizes of • Use the Commission’s internet The Exchange believes that the market participants. All Users who use comment form (http://www.sec.gov/ proposal is equitable because all the Hot Hands service from March 16, rules/sro.shtml); or similarly-situated Users would not be 2020 through March 29, 2020 would • Send an email to rule-comments@ charged a fee to use the Hot Hands have the resulting fees waived. sec.gov. Please include File Number SR– service that the User would have to use Intermarket Competition NYSECHX–2020–07 on the subject line. because of the Data Center closure. The Exchange does not believe that Paper Comments The Proposed Change Is Not Unfairly the proposed change would impose any • Send paper comments in triplicate Discriminatory and Would Protect burden on intermarket competition that to Secretary, Securities and Exchange Investors and the Public Interest is not necessary or appropriate. Commission, 100 F Street NE, The Exchange believes that the The Exchange believes that the Washington, DC 20549–1090. proposed change is not unfairly proposed change would not affect the All submissions should refer to File discriminatory for the following competitive landscape among the Number SR–NYSECHX–2020–07. This reasons. national securities exchanges, as the Hot file number should be included on the The proposed waiver would not apply Hands service is solely charged within subject line if email is used. To help the differently to distinct types or sizes of co-location to existing Users, and would Commission process and review your market participants. Rather, all Users be temporary. comments more efficiently, please use whose equipment requires work during For the reasons described above, the the Data Center closure would have the Exchange believes that the proposed 11 15 U.S.C. 78s(b)(3)(A). resulting fees waived, and the waiver 12 17 CFR 240.19b–4(f)(2). would apply uniformly to all Users from 10 15 U.S.C. 78f(b)(8). 13 15 U.S.C. 78s(b)(2)(B).

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only one method. The Commission will the Securities and Exchange Commission to operate on a pilot basis,5 post all comments on the Commission’s Commission (the ‘‘Commission’’) the the term of which was to coincide with internet website (http://www.sec.gov/ proposed rule change as described in the pilot period for the Plan to Address rules/sro.shtml). Copies of the Items I and II below, which Items have Extraordinary Market Volatility submission, all subsequent been prepared by the self-regulatory Pursuant to Rule 608 of Regulation NMS amendments, all written statements organization. The Commission is (the ‘‘LULD Plan’’),6 including any with respect to the proposed rule publishing this notice to solicit extensions to the pilot period for the change that are filed with the comments on the proposed rule change LULD Plan.7 In April 2019, the Commission, and all written from interested persons. Commission approved an amendment to communications relating to the the LULD Plan for it to operate on a proposed rule change between the I. Self-Regulatory Organization’s permanent, rather than pilot, basis.8 In Commission and any person, other than Statement of the Terms of Substance of light of the proposal to make the LULD those that may be withheld from the the Proposed Rule Change Plan permanent, the Exchange amended public in accordance with the Rule 7.12 to untie the pilot’s The Exchange proposes to amend provisions of 5 U.S.C. 552, will be effectiveness from that of the LULD Plan Rule 7.12 concerning the resumption of available for website viewing and and to extend the pilot’s effectiveness to printing in the Commission’s Public trading following a Level 3 market-wide the close of business on October 18, Reference Room, 100 F Street NE, circuit breaker halt. The proposed rule 2019.9 The Exchange then filed to Washington, DC 20549 on official change is available on the Exchange’s extend the pilot for an additional year business days between the hours of website at www.nyse.com, at the to the close of business on October 18, 10:00 a.m. and 3:00 p.m. Copies of the principal office of the Exchange, and at 2020.10 filing also will be available for the Commission’s Public Reference The market-wide circuit breaker inspection and copying at the principal Room. under Rule 7.12 provides an important, office of the Exchange. All comments II. Self-Regulatory Organization’s automatic mechanism that is invoked to received will be posted without change. Statement of the Purpose of, and promote stability and investor Persons submitting comments are Statutory Basis for, the Proposed Rule confidence during a period of cautioned that we do not redact or edit Change significant stress when securities personal identifying information from markets experience extreme broad-based comment submissions. You should In its filing with the Commission, the declines. All U.S. equity exchanges and submit only information that you wish self-regulatory organization included FINRA adopted uniform rules on a pilot to make available publicly. All statements concerning the purpose of, basis relating to market-wide circuit submissions should refer to File and basis for, the proposed rule change breakers in 2012 (‘‘MWCB Rules’’), Number SR–NYSECHX–2020–07 and and discussed any comments it received which are designed to slow the effects should be submitted on or before April on the proposed rule change. The text of extreme price movement through 13, 2020. of those statements may be examined at coordinated trading halts across For the Commission, by the Division of the places specified in Item IV below. securities markets when severe price Trading and Markets, pursuant to delegated The Exchange has prepared summaries, declines reach levels that may exhaust authority.14 set forth in sections A, B, and C below, J. Matthew DeLesDernier, of the most significant parts of such 5 See Securities Exchange Act Release No. 67090 (May 31, 2012), 77 FR 33531 (June 6, 2012) (SR– Assistant Secretary. statements. NYSE–2011–48). [FR Doc. 2020–06002 Filed 3–20–20; 8:45 am] A. Self-Regulatory Organization’s 6 See Securities Exchange Act Release No. 67091 BILLING CODE 8011–01–P (May 31, 2012), 77 FR 33498 (June 6, 2012). The Statement of the Purpose of, and the LULD Plan provides a mechanism to address Statutory Basis for, the Proposed Rule extraordinary market volatility in individual Change securities. SECURITIES AND EXCHANGE 7 See Securities Exchange Act Release Nos. 67090 COMMISSION 1. Purpose (May 31, 2012), 77 FR 33531 (June 6, 2012) (SR– NYSE–2011–48) (Approval Order); and 68784 [Release No. 34–88402; File No. SR–NYSE– The Exchange proposes to amend (January 31, 2013), 78 FR 8662 (February 6, 2013) 2020–20] 4 (SR–NYSE–2013–10) (Notice of Filing and Rule 7.12 concerning the resumption Immediate Effectiveness of Proposed Rule Change Self-Regulatory Organizations; New of trading following a Level 3 market- to Delay the Operative Date of a Rule Change to York Stock Exchange LLC; Notice of wide circuit breaker halt. The Exchange NYSE Rule 80B). 8 See Securities Exchange Act Release No. 85623 Filing and Immediate Effectiveness of is proposing this rule change in conjunction with other national (April 11, 2019), 84 FR 16086 (April 17, 2019). Proposed Rule Change Amending Rule 9 See Securities Exchange Act Release No. 85560 7.12 Concerning the Resumption of securities exchanges and the Financial (April 9, 2019), 84 FR 15247 (April 15, 2019) (SR– Trading Following a Level 3 Market- Industry Regulatory Authority NYSE–2019–19) (‘‘Rule 80B pilot extension filing’’). (‘‘FINRA’’). At the time of the Rule 80B pilot extension filing, Wide Circuit Breaker Halt Rule 7.12 existed but was not operative with respect Rule 7.12 provides a methodology for to Exchange-listed securities and was not amended March 17, 2020. determining when to halt trading in all to extend its effectiveness through October 18, 1 Pursuant to Section 19(b)(1) of the stocks due to extraordinary market 2019. Now that all Exchange-listed securities have Securities Exchange Act of 1934 (the volatility (i.e., market-wide circuit transitioned to the Pillar trading platform, Rule 7.12 ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 is operative with respect to all securities trading on breakers). The market-wide circuit the Exchange. See Securities Exchange Act Release notice is hereby given that on March 16, breaker mechanism (‘‘MWCB’’) under No. 85962 (May 29, 2019), 84 FR 26188 (June 5, 2020, New York Stock Exchange LLC Rule 7.12 was approved by the 2019) (SR–NYSE–2019–05). Although Rule 80B is (‘‘NYSE’’ or the ‘‘Exchange’’) filed with not applicable to trading of any securities on the Exchange, the Exchange believes that amending 4 Rule 80B is no longer operative. To reduce Rule 80B in this filing would reduce the potential 14 17 CFR 200.30–3(a)(12). potential confusion regarding which rule governs for confusion. 1 15 U.S.C. 78s(b)(1). market-wide circuit breakers, the Exchange 10 See Securities Exchange Act Release No. 87016 2 15 U.S.C. 78a. proposes to delete the text associated with Rule 80B (September 19, 2019), 84 FR 50502 (September 25, 3 17 CFR 240.19b–4. and to direct market participants to Rule 7.12. 2019) (SR–NYSE–2019–51).

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market liquidity.11 Market-wide circuit As proposed, a Level 3 halt would message with the applicable regulatory breakers provide for trading halts in all end at the end of the trading day on halt message. equities and options markets during a which it is declared. This proposed Having a consistent approach for all severe market decline as measured by a change would allow for next-day trading securities will make the opening process single-day decline in the S&P 500 Index. to resume in all NMS Stocks no the day after a Level 3 halt more Pursuant to Rule 7.12, a market-wide differently from any other trading day. uniform and reduce complexity, which trading halt will be triggered if the S&P In other words, an exchange could the Exchange believes is important after 500 Index declines in price by specified resume trading in any security when it a significant market event. Based on percentages from the prior day’s closing first begins trading under its rules and industry feedback, the Exchange price of that index. Currently, the would not need to wait for the primary believes that resuming trading in the triggers are set at three circuit breaker listing market to re-open trading in a normal course in all equity securities thresholds: 7% (Level 1), 13% (Level 2), security before it could start trading will be more beneficial to the and 20% (Level 3). A market decline such security.13 Accordingly, under the marketplace. By allowing trading to that triggers a Level 1 or Level 2 halt proposal, the Exchange could begin resume after a Level 3 halt in all after 9:30 a.m. ET and before 3:25 p.m. trading all UTP Securities at the securities no differently from any ET would halt market-wide trading for beginning of the Exchange’s Early normal trading day under the respective 15 minutes, while a similar market Trading Session at 7:00 a.m. ET, rules of each exchange, the proposed decline at or after 3:25 p.m. ET would regardless of whether the primary listing rule change would provide greater not halt market-wide trading. A market markets for those securities have certainty to the marketplace by ensuring decline that triggers a Level 3 halt at any actually opened.14 a familiar experience for all market time during the trading day would halt To effect this change, the Exchange participants that trade NMS Stocks and market-wide trading until the primary proposes to delete the language in Rule balances out potential concerns around listing market opens the next trading 7.12(b)(ii) requiring the Exchange to volatility. While the Exchange day. wait until the primary listing exchange recognizes that the impact of this Today, in the event that a Level 3 opens the next trading day following a proposal is to permit all securities to be market decline occurs, the Exchange Level 3 market decline, and specify that traded in the various exchanges’ early would halt trading for the remainder of the Exchange will halt trading for the trading sessions,15 which do not have the trading day, and would not resume remainder of the trading day. The certain price protections for volatility until the primary listing market opens proposed rule change would therefore such as LULD Bands or MWCB the next trading day. On the next allow each exchange to resume trading protections, the Exchange nonetheless trading day, all NYSE Group exchanges in all securities the next trading day believes that this outcome is (i.e., the Exchange, NYSE American, following a Level 3 halt at whatever outweighed by the benefits provided by Inc. (‘‘NYSE American’’), NYSE Arca, time such exchange normally begins resuming trading in the early trading Inc. (‘‘NYSE Arca’’), NYSE National, trading under its rules, which for the sessions in a manner that is more Inc., and NYSE Chicago, Inc.) would Exchange would be the beginning of the familiar to the marketplace. Moreover, remain closed for all symbols until 9:30 Early Trading Session at 7:00 a.m. ET allowing the resumption of trading to a.m. ET, at which time the Exchange, for UTP Securities and the beginning of occur on the various exchanges at the NYSE American, and NYSE Arca would the Core Trading Session at 9:30 a.m. for beginning of their early trading sessions begin their Core Open Auction Tape A securities. The Exchange also in all NMS Stocks will allow for price expects that the primary listing processes for their primary-listed formation to occur earlier in the trading exchanges will facilitate this change by securities. day, which in turn allows market sending resume messages to the Upon feedback from industry participants to react to news that has applicable securities information participants, the Exchange has been developed. As such, trading at the processor (‘‘SIP’’) to lift the Level 3 working with other national securities beginning of regular hours may be more trading halt message in all securities. exchanges and FINRA to establish a orderly. The resumption messages will be standardized approach for resuming The Exchange will announce the disseminated after the SIP has started on trading in all NMS Stocks following a implementation date of the amendment the next trading day and before the start Level 3 halt. The proposed approach to Rule 7.12(b)(ii) by Trader Update. of the earliest pre-market trading session would allow for the opening of all of all exchanges. If a security is 2. Statutory Basis securities the next trading day after a separately subject to a regulatory halt Level 3 halt as a regular trading day, and The Exchange believes that its that has not ended, the primary listing is designed to ensure that Level 3 proposal is consistent with Section 6(b) exchange would replace the Level 3 halt MWCB events are handled in a more of the Act,16 in general, and furthers the objectives of Section 6(b)(5) of the Act,17 consistent manner that is transparent for rules, as needed, to allow for normal course trading 12 market participants. following a Level 3 halt, the futures markets would in particular, in that it is designed to resume trading in their normal course at 6:00 p.m. promote just and equitable principles of 11 See Securities Exchange Act Release No. 67090 ET (CFE and CME) or 8:00 p.m. ET (ICE) the same trade, to remove impediments to and (May 31, 2012), 77 FR 33531 (June 6, 2012) (SR– day as the Level 3 halt. perfect the mechanism of a free and BATS–2011–038; SR–BYX–2011–025; SR–BX– 13 The Exchange anticipates that the other 2011–068; SR–CBOE–2011–087; SR–C2–2011–024; national securities exchanges and FINRA will also open market and a national market SR–CHX–2011–30; SR–EDGA–2011–31; SR–EDGX– file similar proposals to amend their MWCB rules 2011–30; SR–FINRA–2011–054; SR–ISE–2011–61; on the resumption of trading following Level 3 15 Note that because Tape A securities are not SR–NASDAQ–2011–131; SR–NSX–2011–11; SR– halts, and amend their rules, where required, to eligible to be traded in the Exchange’s Early Trading NYSE–2011–48; SR–NYSEAmex–2011–73; SR– have their Level 3 next-day openings happen Session, the Exchange will not resume trading Tape NYSEArca–2011–68; SR–Phlx–2011–129) (‘‘MWCB normally. A securities until the Core Trading Session begins Approval Order’’). 14 Only UTP Securities are eligible to trade in the at 9:30 a.m. ET, but any other exchange with an 12 Of note, the U.S. futures markets, which have Exchange’s Early Trading Session, which begins at early trading session could resume trading in Tape similar rules for coordinated MWCB halts, normally 7:00 a.m. and continues until 9:30 a.m. See Rule A securities at the beginning of its early trading begin their ‘‘next day’’ trading session at 6:00 p.m. 7.34(a)(1). The Exchange would not resume trading session. ET (for CFE and CME) or at 8:00 p.m. ET (for ICE). Tape A securities until the Core Trading Session 16 15 U.S.C. 78f(b). If the U.S. futures markets amend their MWCB begins at 9:30 a.m. ET. See Rule 7.34(a). 17 15 U.S.C. 78f(b)(5).

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system, and, in general to protect similar proposals to adopt the proposed waives the 30-day operative delay and investors and the public interest. The Level 3 rule change. designates the proposed rule change market-wide circuit breaker mechanism operative upon filing.24 C. Self-Regulatory Organization’s under Rule 7.12 is an important, At any time within 60 days of the Statement on Comments on the automatic mechanism that is invoked to filing of such proposed rule change, the Proposed Rule Change Received From Commission summarily may promote stability and investor Members, Participants, or Others confidence during a period of temporarily suspend such rule change if significant stress when securities No written comments were solicited it appears to the Commission that such markets experience extreme broad-based or received with respect to the proposed action is necessary or appropriate in the declines. The Exchange believes that the rule change. public interest, for the protection of proposed rule change promotes just and III. Date of Effectiveness of the investors, or otherwise in furtherance of equitable principles of trade in that it Proposed Rule Change and Timing for the purposes of the Act. If the promotes transparency and uniformity Commission Action Commission takes such action, the across markets concerning when and Commission shall institute proceedings The Exchange has filed the proposed 25 how to halt trading in all stocks as a under Section 19(b)(2)(B) of the Act to rule change pursuant to Section result of extraordinary market volatility, determine whether the proposed rule 19(b)(3)(A)(iii) of the Act 18 and Rule and how the markets will resume change should be approved or 19b–4(f)(6) thereunder.19 Because the trading following a Level 3 market disapproved. proposed rule change does not: (i) decline. As described above, the Significantly affect the protection of IV. Solicitation of Comments Exchange, together with other national investors or the public interest; (ii) securities exchanges and FINRA, is Interested persons are invited to impose any significant burden on seeking to adopt a standardized submit written data, views, and competition; and (iii) become operative arguments concerning the foregoing, approach related to resuming trading in prior to 30 days from the date on which including whether the proposed rule NMS Stocks after a Level 3 MWCB halt. it was filed, or such shorter time as the change is consistent with the Act. In this regard, the Exchange believes Commission may designate, if Comments may be submitted by any of that the proposal to resume trading in consistent with the protection of the following methods: all securities following a Level 3 halt in investors and the public interest, the the same manner that securities would proposed rule change has become Electronic Comments open trading on a regular trading day effective pursuant to Section 19(b)(3)(A) • Use the Commission’s internet will benefit investors, the national of the Act and Rule 19b–4(f)(6)(iii) comment form (http://www.sec.gov/ market system, Exchange members, and thereunder.20 rules/sro.shtml); or the Exchange market by promoting a fair A proposed rule change filed under • Send an email to rule-comments@ and orderly market and reducing Rule 19b–4(f)(6) 21 normally does not sec.gov. Please include File Number SR– confusion during a significant cross- become operative prior to 30 days after NYSE–2020–20 on the subject line. market event. By allowing trading to the date of the filing. However, pursuant Paper Comments resume after a Level 3 halt in all 22 to Rule 19b–4(f)(6)(iii), the • securities no differently from any Commission may designate a shorter Send paper comments in triplicate normal trading day under the respective time if such action is consistent with the to: Secretary, Securities and Exchange rules of each exchange, the proposed protection of investors and the public Commission, 100 F Street NE, rule change would provide greater interest. The Exchange has asked the Washington, DC 20549–1090. certainty to the marketplace by ensuring Commission to waive the 30-day All submissions should refer to File a familiar experience for all market operative delay so that the proposal may Number SR–NYSE–2020–20. This file participants that trade NMS Stocks. become operative immediately upon number should be included on the Based on the foregoing, the Exchange filing. The Commission believes that subject line if email is used. To help the believes the benefits to market waiving the 30-day operative delay is Commission process and review your participants from the MWCB under Rule consistent with the protection of comments more efficiently, please use 7.12 with the proposed standardized investors and the public interest. The only one method. The Commission will process for resuming trading in all Commission notes that it approved a post all comments on the Commission’s securities following a Level 3 halt will substantively similarly proposed rule internet website (http://www.sec.gov/ promote fair and orderly markets, and change submitted by The Nasdaq Stock rules/sro.shtml). Copies of the protect investors and the public interest. Market LLC.23 Waiver of the operative submission, all subsequent delay will ensure consistency across the amendments, all written statements B. Self-Regulatory Organization’s with respect to the proposed rule Statement on Burden on Competition market centers and the timely implementation of the proposed rule change that are filed with the The Exchange does not believe that change. Accordingly, the Commission Commission, and all written the proposed rule change will impose communications relating to the any burden on competition not 18 15 U.S.C. 78s(b)(3)(A)(iii). proposed rule change between the necessary or appropriate in furtherance 19 17 CFR 240.19b–4(f)(6). Commission and any person, other than of the purposes of the Act because the 20 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– those that may be withheld from the proposed Level 3 rule change described 4(f)(6) requires a self-regulatory organization to give public in accordance with the the Commission written notice of its intent to file provisions of 5 U.S.C. 552, will be above would standardize the opening the proposed rule change at least five business days process for all securities on the prior to the date of filing of the proposed rule available for website viewing and Exchange, which would make the change, or such shorter time as designated by the printing in the Commission’s Public opening process the day after a Level 3 Commission. The Commission has waived the pre- filing requirement. 24 halt more uniform and reduce For purposes only of waiving the 30-day 21 17 CFR 240.19b–4(f)(6). operative delay, the Commission has considered the complexity. Further, the Exchange 22 17 CFR 240.19b–4(f)(6)(iii). proposed rule’s impact on efficiency, competition, understands that FINRA and other 23 See Securities Exchange Act Release No. 88360 and capital formation. See 15 U.S.C. 78c(f). national securities exchanges will file (March 11, 2020) (SR–NASDAQ–2020–03). 25 15 U.S.C. 78s(b)(2)(B).

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Reference Room, 100 F Street NE, on the Exchange’s website at (‘‘TCW’’ or the ‘‘Sub-Adviser’’), serves Washington, DC 20549 on official www.nyse.com, at the principal office of as the Fund’s investment sub-adviser. business days between the hours of the Exchange, and at the Commission’s First Trust Portfolios L.P. is the 10:00 a.m. and 3:00 p.m. Copies of the Public Reference Room. distributor (‘‘Distributor’’) for the Fund’s filing also will be available for Shares. The Bank of New York Mellon II. Self-Regulatory Organization’s inspection and copying at the principal acts as the administrator, custodian and Statement of the Purpose of, and office of the Exchange. All comments transfer agent (‘‘Custodian’’ or ‘‘Transfer Statutory Basis for, the Proposed Rule received will be posted without change. Agent’’) for the Fund. Change Persons submitting comments are Commentary .06 to Rule 8.600–E cautioned that we do not redact or edit In its filing with the Commission, the provides that, if the investment adviser personal identifying information from self-regulatory organization included to the investment company issuing comment submissions. You should statements concerning the purpose of, Managed Fund Shares is affiliated with submit only information that you wish and basis for, the proposed rule change a broker-dealer, such investment adviser to make available publicly. All and discussed any comments it received shall erect and maintain a ‘‘fire wall’’ submissions should refer to File on the proposed rule change. The text between the investment adviser and the Number SR–NYSE–2020–20 and should of those statements may be examined at broker-dealer with respect to access to be submitted on or before April 13, the places specified in Item IV below. information concerning the composition 2020. The Exchange has prepared summaries, and/or changes to such investment set forth in sections A, B, and C below, 6 For the Commission, by the Division of company portfolio. In addition, Trading and Markets, pursuant to delegated of the most significant parts of such Commentary .06 further requires that authority.26 statements. personnel who make decisions on the J. Matthew DeLesDernier, A. Self-Regulatory Organization’s open-end fund’s portfolio composition Assistant Secretary. Statement of the Purpose of, and the must be subject to procedures designed to prevent the use and dissemination of [FR Doc. 2020–06004 Filed 3–20–20; 8:45 am] Statutory Basis for, the Proposed Rule Change material nonpublic information BILLING CODE 8011–01–P regarding the open-end fund’s portfolio. 1. Purpose The Adviser and Sub-Adviser are not SECURITIES AND EXCHANGE The Exchange proposes to list and registered as broker-dealers. The COMMISSION trade shares (‘‘Shares’’) of the First Trust Adviser is affiliated with First Trust TCW Securitized Plus ETF (the ‘‘Fund’’) Portfolios L.P., a broker-dealer, and has [Release No. 34–88404; File No. SR– under NYSE Arca Rule 8.600–E, which implemented and will maintain a fire NYSEArca–2020–20] governs the listing and trading of wall with respect to its broker-dealer 4 affiliate regarding access to information Self-Regulatory Organizations; NYSE Managed Fund Shares on the concerning the composition and/or Arca, Inc.; Notice of Filing and Exchange. changes to the portfolio. The Sub- Immediate Effectiveness of Proposed The Shares are offered by First Trust Adviser is affiliated with multiple Rule Change Relating to the Listing Exchange-Traded Fund VIII (the broker-dealers and has implemented and Trading of Shares of the First ‘‘Trust’’), which is registered with the and will maintain a fire wall with Trust TCW Securitized Plus ETF Under Commission as an open-end 5 respect to its broker-dealer affiliates NYSE Arca Rule 8.600–E management investment company. The Fund is a series of the Trust. regarding access to information March 17, 2020. First Trust Advisors L.P. is the concerning the composition and/or Pursuant to Section 19(b)(1) 1 of the investment adviser (‘‘First Trust’’ or changes to the portfolio. In the event (a) Securities Exchange Act of 1934 (the ‘‘Adviser’’) to the Fund. TCW the Adviser or the Sub-Adviser becomes ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 Investment Management Company LLC registered as a broker-dealer or newly notice is hereby given that, on March 3, 6 2020, NYSE Arca, Inc. (‘‘NYSE Arca’’ or 4 A Managed Fund Share is a security that An investment adviser to an open-end fund is required to be registered under the Investment the ‘‘Exchange’’) filed with the represents an interest in an investment company registered under the Investment Company Act of Advisers Act of 1940 (the ‘‘Advisers Act’’). As a Securities and Exchange Commission 1940 (15 U.S.C. 80a–1) (‘‘1940 Act’’) organized as result, the Adviser and Sub-Adviser and their (the ‘‘Commission’’) the proposed rule an open-end investment company or similar entity related personnel are subject to the provisions of Rule 204A–1 under the Advisers Act relating to that invests in a portfolio of securities selected by change as described in Items I and II codes of ethics. This Rule requires investment its investment adviser consistent with its below, which Items have been prepared advisers to adopt a code of ethics that reflects the investment objectives and policies. In contrast, an fiduciary nature of the relationship to clients as by the self-regulatory organization. The open-end investment company that issues Commission is publishing this notice to well as compliance with other applicable securities Investment Company Units, listed and traded on laws. Accordingly, procedures designed to prevent solicit comments on the proposed rule the Exchange under NYSE Arca Rule 5.2–E(j)(3), the communication and misuse of non-public change from interested persons. seeks to provide investment results that correspond information by an investment adviser must be generally to the price and yield performance of a consistent with Rule 204A–1 under the Advisers I. Self-Regulatory Organization’s specific foreign or domestic stock index, fixed Act. In addition, Rule 206(4)–7 under the Advisers Statement of the Terms of Substance of income securities index or combination thereof. Act makes it unlawful for an investment adviser to 5 the Proposed Rule Change The Trust is registered under the 1940 Act. On provide investment advice to clients unless such January 21, 2020, the Trust filed with the investment adviser has (i) adopted and The Exchange proposes to list and Commission its registration statement on Form N– implemented written policies and procedures trade shares of the First Trust TCW 1A under the Securities Act of 1933 (15 U.S.C. 77a), reasonably designed to prevent violation, by the and under the 1940 Act relating to the Fund (File investment adviser and its supervised persons, of Securitized Plus ETF under NYSE Arca Nos. 333–210186 and 811–23147) (‘‘Registration the Advisers Act and the Commission rules adopted Rule 8.600–E (‘‘Managed Fund Shares’’). Statement’’). The description of the operation of the thereunder; (ii) implemented, at a minimum, an The proposed rule change is available Trust and the Fund herein is based, in part, on the annual review regarding the adequacy of the Registration Statement. In addition, the policies and procedures established pursuant to Commission has issued an order upon which the 26 subparagraph (i) above and the effectiveness of their 17 CFR 200.30–3(a)(12). Trust may rely, granting certain exemptive relief implementation; and (iii) designated an individual 1 15 U.S.C.78s(b)(1). under the 1940 Act. See Investment Company Act (who is a supervised person) responsible for 2 15 U.S.C. 78a. Release No. 30029 (April 10, 2012) (File No. 812– administering the policies and procedures adopted 3 17 CFR 240.19b–4. 13795). under subparagraph (i) above.

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affiliated with a broker-dealer, or (b) any and privately-issued mortgage-related income indices; exchange-traded and new adviser or sub-adviser is a and other asset-backed securities: OTC options on interest rates, registered broker-dealer or becomes Residential mortgage-backed securities currencies, Fixed Income Securities and affiliated with a broker-dealer, it will (‘‘RMBS’’), commercial mortgage-backed fixed income indices; swap agreements implement and maintain a fire wall with securities (‘‘CMBS’’), asset-backed on interest rates, currencies, Fixed respect to relevant personnel and any securities (‘‘ABS’’), and collateralized Income Securities and fixed income broker-dealer affiliate regarding access loan obligations (‘‘CLOs’’ and, together indices; credit default swaps (‘‘CDX’’); to information concerning the with such RMBS, CMBS and ABS, and currency forward contracts. composition and/or changes to the ‘‘Private ABS/MBS’’); 8 Other Investments portfolio, and will be subject to • Agency RMBS, agency CMBS, and procedures designed to prevent the use agency ABS; While the Fund, under normal market and dissemination of material non- • domestic corporate bonds; and conditions, invests at least 80% of its public information regarding such • Fixed Income Securities issued by net assets in the Principal Investments portfolio. non-U.S. corporations and non-U.S. described above, the Fund may invest governments. its remaining assets in the following First Trust TCW Securitized Plus ETF The Fund may invest in agency RMBS ‘‘Non-Principal Investments.’’ Principal Investments and CMBS by investing in to-be- The Fund may invest in exchange- According to the Registration announced transactions (‘‘TBA traded common stock, exchange-traded Statement, the investment objective of Transactions’’). preferred stock, and exchange-traded The Fund may hold cash and cash real estate investment trusts (‘‘REITs’’). the Fund is to seek to maximize long- 9 term total return. Under normal market equivalents. In addition, the Fund may The Fund may invest in the securities conditions,7 the Fund intends to invest hold the following short-term of other investment companies at least 80% of its net assets (including instruments with maturities of three registered under the 1940 Act, including investment borrowings) in a portfolio of months or more: Certificates of deposit; money market funds, exchange-traded ‘‘Fixed Income Securities’’ (described bankers’ acceptances; repurchase funds (‘‘ETFs’’), open-end funds (other below). agreements and reverse repurchase than money market funds and other In managing the Fund’s portfolio, agreements; bank time deposits; and ETFs), and U.S. exchange-traded closed- 10 TCW intends to employ a flexible commercial paper. end funds. approach that allocates the Fund’s The Fund may enter into short sales The Fund may hold exchange-traded 11 investments across a range of global of any securities in which the Fund may notes (‘‘ETNs’’). invest. investment opportunities and actively Investment Restrictions manage exposure to interest rates, credit The Fund may utilize exchange-listed sectors and currencies. TCW seeks to and over-the-counter (‘‘OTC’’) traded The Fund may not invest more than utilize independent, bottom-up research derivatives instruments for duration/ 2% of its total assets in any one Fixed to identify securities that are yield curve management and/or hedging Income Security (excluding U.S. undervalued and that offer a superior purposes, for risk management purposes government securities and TIPS) on a risk/return profile. Pursuant to this or as part of its investment strategies. per CUSIP basis. The Fund’s holdings in investment strategy, the Fund may The Fund will use derivative derivative instruments for hedging invest in the following Fixed Income instruments primarily to hedge interest purposes would be excluded from the Securities, which may be represented by rate risk, actively manage interest rate determination of compliance with this derivatives relating to such securities, as exposure, hedge foreign currency risk 2% limitation. The total gross notional discussed below: and actively manage foreign currency value of the Fund’s holdings in • securities issued or guaranteed by exposure. The Fund may also use derivative instruments used to gain the U.S. government or its agencies, derivative instruments to enhance exposure to a specific asset is limited to instrumentalities or U.S. government- returns, as a substitute for, or to gain 2% of the Fund’s total assets. sponsored entities (‘‘U.S. government exposure to, a position in an underlying The Fund may invest up to 50% of its securities’’); asset, to reduce transaction costs, to total assets in the aggregate in Private • Treasury Inflation Protected maintain full market exposure, to ABS/MBS, provided that the Fund (1) Securities (‘‘TIPS’’); manage cash flows or to preserve may not invest more than 30% of its • the following non-agency, non- capital. Derivatives may also be used to total assets in non-agency RMBS; (2) government-sponsored entity (‘‘GSE’’) hedge risks associated with the Fund’s may not invest more than 25% of its other portfolio investments. The Fund total assets in non-agency CMBS and 7 The term ‘‘normal market conditions’’ is defined will not use derivative instruments to CLOs; and (3) may not invest more than in NYSE Arca Rule 8.600–E(c)(5). On a temporary gain exposure to Private ABS/MBS, and 25% of its total assets in non-agency basis, including for defensive purposes, during the derivative instruments linked to such ABS. initial invest-up period (i.e., the six-week period securities will be used for hedging following the commencement of trading of Shares on the Exchange) and during periods of high cash purposes only. Derivatives that the 10 For purposes of this filing, the term ‘‘ETFs’’ are inflows or outflows (i.e., rolling periods of seven Fund may enter into are the following: Investment Company Units (as described in NYSE calendar days during which inflows or outflows of Futures on interest rates, currencies, Arca Rule 5.2–E(j)(3)); Portfolio Depositary Receipts cash, in the aggregate, exceed 10% of the Fund’s net Fixed Income Securities and fixed (as described in NYSE Arca Rule 8.100–E); and assets as of the opening of business on the first day Managed Fund Shares (as described in NYSE Arca of such periods), the Fund may depart from its Rule 8.600–E). All ETFs will be listed and traded principal investment strategies; for example, it may 8 For avoidance of doubt, ‘‘Private ABS/MBS’’ as in the U.S. on a national securities exchange. While hold a higher than normal proportion of its assets referenced herein are non-agency, non-GSE and the Fund may invest in inverse ETFs, the Fund will in cash. During such periods, the Fund may not be privately-issued mortgage-related and other asset- not invest in leveraged (e.g., 2X, -2X, 3X or -3X) able to achieve its investment objective. The Fund backed securities as stated in Commentary .01(b)(5) ETFs. may adopt a defensive strategy when the Adviser to NYSE Arca Rule 8.600–E. 11 ETNs are Index-Linked Securities (as described and/or the Sub-Adviser believes securities in which 9 For purposes of this filing, cash equivalents are in NYSE Arca Rule 5.2–E(j)(6)). While the Fund the Fund normally invests have elevated risks due the short-term instruments with maturities of less may invest in inverse ETNs, the Fund will not to market, political or economic factors and in other than 3 months enumerated in Commentary .01(c) to invest in leveraged or inverse leveraged ETNs (e.g., extraordinary circumstances. Rule 8.600–E. 2X or -3X).

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With respect to the Fund’s securities benchmark index (as defined Creation and Redemption of Shares 15 investments in up to 30% of its total in Form N–1A). The Fund will issue and redeem assets in Private ABS/MBS that exceed Use of Derivatives by the Fund Shares on a continuous basis at NAV 16 the 20% of the weight of the Fund’s 12 only in large blocks of Shares (‘‘Creation portfolio that may be invested in The Fund may invest in the types of Units’’) in transactions with authorized Private ABS/MBS under Commentary derivatives described in the ‘‘Principal 13 participants, generally including broker- .01(b)(5) to NYSE Arca Rule 8.600–E, Investments’’ section above for the dealers and large institutional investors the following restrictions will apply: purposes described in that section. • (‘‘Authorized Participants’’). Creation Non-agency RMBS shall have a Investments in derivative instruments Units generally will consist of 50,000 weighted average loan age of 84 months will be made in accordance with the Shares. The size of a Creation Unit is or more; Fund’s investment objective and • subject to change. As described in the Non-agency CMBS and CLOs shall policies. Registration Statement, the Fund will have a weighted average loan age of 60 To limit the potential risk associated issue and redeem Creation Units in months or more; and • with such transactions, the Fund will exchange for an in-kind portfolio of Non-agency ABS shall have a enter into offsetting transactions or instruments and/or cash in lieu of such weighted average loan age of 12 months segregate or ‘‘earmark’’ assets 17 14 instruments (the ‘‘Creation Basket’’). or more. determined to be liquid by the Adviser In addition, if there is a difference The Exchange proposes that up to in accordance with procedures between the NAV attributable to a 25% of the Fund’s assets may be established by the Trust’s Board of Creation Unit and the market value of invested in OTC derivatives that are Trustees (the ‘‘Board’’). In addition, the the Creation Basket exchanged for the used to reduce currency, interest rate or Fund has included appropriate risk Creation Unit, the party conveying credit risk arising from the Fund’s disclosure in its offering documents, instruments (which may include cash- investments (that is, ‘‘hedge’’). The including leveraging risk. Leveraging in-lieu amounts) with the lower value Fund’s investments in OTC derivatives risk is the risk that certain transactions will pay to the other an amount in cash other than OTC derivatives used to of the Fund, including the Fund’s use of equal to the difference (referred to as the hedge the Fund’s portfolio against derivatives, may give rise to leverage, ‘‘Cash Component’’). currency, interest rate or credit risk will causing the Fund to be more volatile Creations and redemptions must be be limited to 20% of the assets in the than if it had not been leveraged. made by or through an Authorized Fund’s portfolio. For purposes of these Because the markets for certain assets, Participant that has executed an percentage limitations on OTC or the assets themselves, may be agreement that has been agreed to by the derivatives, the weight of such OTC unavailable or cost prohibitive as Distributor and the Transfer Agent with derivatives will be calculated as the compared to derivative instruments, respect to creations and redemptions of aggregate gross notional value of such suitable derivative transactions may be Creation Units. All standard orders to OTC derivatives. an efficient alternative for the Fund to create Creation Units must be received The Fund will not invest in securities obtain the desired asset exposure. by the Transfer Agent no later than the or other financial instruments that have closing time of the regular trading Impact on Arbitrage Mechanism not been described in this proposed rule session on the NYSE (ordinarily 4:00 change. The Adviser and the Sub-Adviser p.m., E.T.) (the ‘‘Closing Time’’) in each Other Restrictions believe there will be minimal, if any, case on the date such order is placed in order for the creation of Creation Units The Fund’s investments, including impact to the arbitrage mechanism as a to be effected based on the NAV of derivatives, will be consistent with the result of the Fund’s use of derivatives Shares as next determined on such date Fund’s investment objective and will and Private ABS/MBS. The Adviser and after receipt of the order in proper form. not be used to enhance leverage the Sub-Adviser understand that market Shares may be redeemed only in (although certain derivatives and other makers and participants should be able Creation Units at their NAV next investments may result in leverage). to value derivatives and Private ABS/ determined after receipt not later than That is, the Fund’s investments will not MBS as long as the positions are the Closing Time of a redemption be used to seek performance that is the disclosed with relevant information. request in proper form by the Fund multiple or inverse multiple (e.g., 2X or The Adviser and the Sub-Adviser through the Transfer Agent and only on -3X) of the Fund’s primary broad-based believe that the price at which Shares of the Fund trade will continue to be a business day. The Custodian, through disciplined by arbitrage opportunities the National Securities Clearing 12 See Securities Exchange Act Release No. 86017 (June 3, 2019), 84 FR 26711 (June 7, 2019) (SR– created by the ability to purchase or Corporation (‘‘NSCC’’), will make NYSEArca–2019–06) (order approving an redeem Shares of the Fund at their net available on each business day, prior to amendment to Commentary .01(b)(5) to Rule 8.600– asset value (‘‘NAV’’), which should the opening of business of the Exchange, E to delete the reference to the ‘‘fixed income ensure that Shares of the Fund will not the list of the names and quantities of portion of the’’ portfolio, such that non-agency, non-GSE, and privately-issued mortgage-related and trade at a material discount or premium the instruments comprising the Creation other asset-backed securities components of a in relation to their NAV. Basket, as well as the estimated Cash portfolio may not account, in the aggregate, for The Adviser and Sub-Adviser do not more than 20% of the weight of the whole 16 The NAV of the Fund’s Shares generally will portfolio). believe there will be any significant be calculated once daily Monday through Friday as 13 Commentary .01(b)(5) to NYSE Arca Rule impacts to the settlement or operational of the close of regular trading on the New York 8.600–E provides that non-agency, non-GSE and aspects of the Fund’s arbitrage Stock Exchange (‘‘NYSE’’), generally 4:00 p.m., privately-issued mortgage-related and other asset- mechanism due to the use of derivatives Eastern Time (‘‘E.T.’’). NAV per Share will be backed securities components of a portfolio shall calculated by dividing the Fund’s net assets by the not account, in the aggregate, for more than 20% and Private ABS/MBS. number of Fund Shares outstanding. of the weight of the portfolio. 17 It is expected that the Fund will typically issue 14 Information relating to weighted average loan 15 The Fund’s broad-based securities benchmark and redeem Creation Units on a cash basis; age for non-agency RMBS, non-agency CMBS, CLOs index will be identified in a future amendment to however, at times, the Fund may issue and redeem and non-agency ABS is widely available from major the Registration Statement following the Fund’s Creation Units on an in-kind (or partially in-kind) market data vendors such as Bloomberg. first full calendar year of performance. (or partially cash) basis.

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Component (if any), for that day. The Rule 8.600–E with respect to the Fund’s proposes that components that in the published Creation Basket will apply investments in equity securities.20 aggregate account for at least 50% of the until a new Creation Basket is Instead, the Exchange proposes that (i) fixed income weight of the portfolio announced on the following business the Fund’s investments in equity each shall have a minimum original day prior to commencement of trading securities will meet the requirements of principal amount outstanding of $50 in the Shares. Commentary .01(a) with the exception million or more. As noted above, the of Commentary .01(a)(1)(C) and Fund may not invest more than 2% of Application of Generic Listing .01(a)(1)(D) (with respect to U.S. its total assets in any one Fixed Income Requirements Component Stocks) and Commentary Security (excluding U.S. government The Exchange is submitting this .01(a)(2)(C) and .01(a)(2)(D) (with securities and TIPS) on a per CUSIP proposed rule change because the respect to Non-U.S. Component Stocks). basis. In addition, at least 50% of the portfolio for the Fund will not meet all Any Fund investment in exchange- weight of the Fund’s portfolio would of the ‘‘generic’’ listing requirements of traded common stocks, preferred stocks, continue to be subject to a substantial Commentary .01 to NYSE Arca Rule REITS, ETFs, ETNs, and U.S. exchange- minimum (i.e., $50 million) original 8.600–E applicable to the listing of traded closed-end funds would provide principal amount outstanding. The Managed Fund Shares. The Fund’s for enhanced diversification of the Exchange believes this limitation would portfolio will meet all such Fund’s portfolio and, in any case, would provide significant additional requirements except for those set forth be Non-Principal Investments and diversification to the Fund’s in Commentary .01(a)(1), (a)(2), (b)(1), would not exceed 20% of the Fund’s net investments in Fixed Income Securities, (b)(4), (b)(5), and (e), as described assets in the aggregate. The Adviser and and reduce concerns that the Fund’s below. Sub-Adviser represent that, under these investments in such securities would be The Fund will not comply with the circumstances, application of the readily susceptible to market requirements set forth in Commentary weighting requirements of Commentary manipulation.21 .01(a)(1) 18 and (a)(2) 19 to NYSE Arca .01(a)(1)(C) and Commentary .01(a)(2)(C) The Fund will not comply with the and the minimum number of requirements in Commentary .01(b)(4) 18 Commentary .01(a)(1) to NYSE Arca Rule components requirements of to Rule 8.600–E that component 8.600–E provides that the component stocks of the equity portion of a portfolio that are U.S. Commentary .01(a)(1)(D) and securities that in the aggregate account Component Stocks shall meet the following criteria Commentary .01(a)(2)(D) would impose for at least 90% of the fixed income initially and on a continuing basis: an unnecessary burden on the Fund’s weight of the portfolio meet one of the (A) Component stocks (excluding Derivative ability to hold such equity securities. criteria specified in Commentary Securities Products and Index-Linked Securities) The Fund will not comply with the .01(b)(4), because certain Private ABS/ that in the aggregate account for at least 90% of the equity weight of the portfolio (excluding such requirement in Commentary .01(b)(1) to MBS cannot satisfy the criteria in Derivative Securities Products and Index-Linked Rule 8.600–E that components that in Commentary .01(b)(4).22 Instead, the Securities) each shall have a minimum market the aggregate account for at least 75% of Exchange proposes that the Fund’s value of at least $75 million; the fixed income weight of the portfolio investments in Fixed Income Securities (B) Component stocks (excluding Derivative Securities Products and Index-Linked Securities) each shall have a minimum original other than Private ABS/MBS will be that in the aggregate account for at least 70% of the principal amount outstanding of $100 required to comply with the equity weight of the portfolio (excluding such million or more. Instead, the Exchange requirements of Commentary .01(b)(4). Derivative Securities Products and Index-Linked As noted above, the Fund may not Securities) each shall have a minimum monthly trading volume of 250,000 shares, or minimum Component Stocks shall meet the following criteria invest more than 2% of its total assets notional volume traded per month of $25,000,000, initially and on a continuing basis: in any one Fixed Income Security averaged over the last six months; (A) Non-U.S. Component Stocks each shall have (excluding U.S. government securities (C) The most heavily weighted component stock a minimum market value of at least $100 million; and TIPS) on a per CUSIP basis. The (excluding Derivative Securities Products and (B) Non-U.S. Component Stocks each shall have Index-Linked Securities) shall not exceed 30% of a minimum global monthly trading volume of Exchange believes this limitation would the equity weight of the portfolio, and, to the extent 250,000 shares, or minimum global notional volume provide additional diversification to the applicable, the five most heavily weighted traded per month of $25,000,000, averaged over the component stocks (excluding Derivative Securities last six months; 21 The Commission has approved an exception Products and Index-Linked Securities) shall not (C) The most heavily weighted Non-U.S. from Commentary .01(b)(1) to Rule 8.600–E exceed 65% of the equity weight of the portfolio; Component stock shall not exceed 25% of the substantially identical to that requested for the (D) Where the equity portion of the portfolio does equity weight of the portfolio, and, to the extent Fund herein in Securities Exchange Act 87410 not include Non-U.S. Component Stocks, the equity applicable, the five most heavily weighted Non-U.S. (October 28, 2019), 84 FR 58750 (November 1, 2019) portion of the portfolio shall include a minimum of Component Stocks shall not exceed 60% of the (SR–NYSEArca–2019–33) (Notice of Filing of 13 component stocks; provided, however, that there equity weight of the portfolio; Amendment No. 2 and Order Granting Accelerated shall be no minimum number of component stocks (D) Where the equity portion of the portfolio Approval of a Proposed Rule Change, as Modified if (i) one or more series of Derivative Securities includes Non-U.S. Component Stocks, the equity by Amendment No. 2, Regarding Changes to Products or Index-Linked Securities constitute, at portion of the portfolio shall include a minimum of Investments of the First Trust TCW Unconstrained least in part, components underlying a series of 20 component stocks; provided, however, that there Plus Bond ETF) (‘‘First Trust TCW Unconstrained Managed Fund Shares, or (ii) one or more series of shall be no minimum number of component stocks Release’’). Derivative Securities Products or Index-Linked if (i) one or more series of Derivative Securities 22 Commentary .01(b)(4) provides that component Securities account for 100% of the equity weight of Products or Index-Linked Securities constitute, at securities that in the aggregate account for at least the portfolio of a series of Managed Fund Shares; least in part, components underlying a series of 90% of the fixed income weight of the portfolio (E) Except as provided herein, equity securities in Managed Fund Shares, or (ii) one or more series of must be either: (a) From issuers that are required the portfolio shall be U.S. Component Stocks listed Derivative Securities Products or Index-Linked to file reports pursuant to Sections 13 and 15(d) of on a national securities exchange and shall be NMS Securities account for 100% of the equity weight of the Act; (b) from issuers that have a worldwide Stocks as defined in Rule 600 of Regulation NMS the portfolio of a series of Managed Fund Shares; market value of its outstanding common equity held under the Securities Exchange Act of 1934; and and by non-affiliates of $700 million or more; (c) from (F) American Depositary Receipts (‘‘ADRs’’) in a (E) Each Non-U.S. Component Stock shall be issuers that have outstanding securities that are portfolio may be exchange-traded or non- exchange- listed and traded on an exchange that has last-sale notes, bonds debentures, or evidence of traded. However, no more than 10% of the equity reporting. indebtedness having a total remaining principal weight of a portfolio shall consist of non-exchange- 20 For purposes of these exceptions, investments amount of at least $1 billion; (d) exempted traded ADRs. in equity securities that are non-exchange-traded securities as defined in Section 3(a)(12) of the Act; 19 Commentary .01(a)(2) to NYSE Arca Rule securities of other open-end investment companies or (e) from issuers that are a government of a foreign 8.600–E provides that the component stocks of the (e.g., mutual funds) are excluded and are discussed country or a political subdivision of a foreign equity portion of a portfolio that are Non-U.S. further below. country.

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Fund’s investments in Private ABS/ Exchange believes these limitations the Exchange believes it is appropriate MBS, and reduce concerns that the would provide additional to apply a limit of up to 25% of the Fund’s investment in such securities diversification to the Fund’s Private Fund’s assets to the Fund’s investments would be readily susceptible to market ABS/MBS investments and reduce in OTC derivatives (calculated as the manipulation. concerns that the Fund’s investment in aggregate gross notional value of such The Exchange notes that the such securities would be readily OTC derivatives), including forwards, Commission has previously approved susceptible to market manipulation. options and swaps, that are used for the listing of Managed Fund Shares with The Adviser and Sub-Adviser hedging purposes, as described above.27 similar investment objectives and represent that the RMBS sector can be As noted above, the Fund may hold strategies without imposing an important component of the Fund’s equity securities that are non-exchange- requirements that a certain percentage investment strategy because of the traded securities of other open-end of such funds’ securities meet one of the potential for attractive risk-adjusted investment company securities (e.g., criteria set forth in Commentary returns relative to other fixed income mutual funds). The Exchange believes .01(b)(4).23 sectors and the potential to add that it is appropriate and in the public The Fund will not comply with the significantly to the diversification in the interest to approve listing and trading of requirement in Commentary .01(b)(5) to Fund’s portfolio. Similarly, the Private Shares of the Fund on the Exchange Rule 8.600–E that Private ABS/MBS in ABS/MBS sectors also have the notwithstanding that the Fund would the Fund’s portfolio account, in the potential for attractive risk-adjusted not meet the requirements of aggregate, for no more than 20% of the returns and added portfolio Commentary .01(a)(1)(A) through (E) to weight of the Fund’s portfolio.24 diversification. Rule 8.600–E with respect to the Fund’s Instead, the Exchange proposes that, in The Fund’s portfolio will not comply investments in non-exchange-traded order to enable the portfolio to be more with the requirements set forth in securities of open-end investment diversified and provide the Fund with Commentary .01(e) to NYSE Arca Rule company securities.28 Investments in an opportunity to earn higher returns, 8.600–E.26 Specifically, the Fund’s non-exchange-traded securities of open- the Fund may invest up to 50% of its investments in OTC derivatives may end investment company securities will total assets in the aggregate in Private exceed 20% of Fund assets, calculated not be principal investments of the ABS/MBS, provided that the Fund (1) as the aggregate gross notional value of Fund.29 Such investments, which may may not invest more than 30% of its such OTC derivatives. The Exchange include mutual funds that invest, for total assets in non-agency RMBS; (2) proposes that up to 25% of the Fund’s example, principally in fixed income may not invest more than 25% of its assets (calculated as the aggregate gross securities, would be utilized to help the total assets in non-agency CMBS and notional value) may be invested in OTC Fund meet its investment objective and CLOs; and (3) may not invest more than derivatives that are used to reduce to equitize cash in the short term. 25% of its total assets in non-agency currency, interest rate or credit risk Because such securities have a net ABS. arising from the Fund’s investments asset value based on the value of With respect to the Fund’s (that is, ‘‘hedge’’). The Fund’s securities and financial assets the investments in up to 30% of its total investments in OTC derivatives other investment company holds, the assets in Private ABS/MBS that exceed than OTC derivatives used to hedge the Exchange believes it is both unnecessary the 20% of the weight of the Fund’s Fund’s portfolio against currency, and inappropriate to apply to such portfolio that may be invested in Private interest rate or credit risk will be limited investment company securities the ABS/MBS under Commentary .01(b)(5) to 20% of the assets in the Fund’s criteria in Commentary .01(a)(1).30 to NYSE Arca Rule 8.600–E, the portfolio, calculated as the aggregate following restrictions will apply: 27 In the First Trust TCW Unconstrained Release, • gross notional value of such OTC Non-agency RMBS shall have a derivatives. the Commission previously approved an exception weighted average loan age of 84 months The Adviser and Sub-Adviser believe from requirements set forth in Commentary .01(e) or more; relating to investments in OTC derivatives similar • that it is important to provide the Fund to those proposed with respect to the Fund. See Non-agency CMBS and CLOs shall with additional flexibility to manage also, Securities Exchange Act Release No. 80657 have a weighted average loan age of 60 risk associated with its investments. (May 11, 2017), 82 FR 22702 (May 17, 2017) (SR– months or more; and NYSEArca–2017–09) (Notice of Filing of • Depending on market conditions, it may Amendment No. 2 and Order Granting Accelerated Non-agency ABS shall have a be critical that the Fund be able to weighted average loan age of 12 months Approval of a Proposed Rule Change, as Modified utilize available OTC derivatives for this by Amendment No. 2, Regarding Investments of the or more. purpose to attempt to reduce impact of Janus Short Duration Income ETF Listed Under In addition, as noted above, the Fund currency, interest rate or credit NYSE Arca Equities Rule 8.600). may not invest more than 2% of its total 28 Commentary .01 (a) to Rule 8.600–E specifies assets in any one Fixed Income Security fluctuations on Fund assets. Therefore, the equity securities accommodated by the generic (excluding U.S. government securities criteria in Commentary .01(a), namely, U.S. Component Stocks (as described in Rule 5.2– 25 be excluded from the determination of compliance and TIPS) on a per CUSIP basis. The with this 2% limitation. The total gross notional E(j)(3)); Non-U.S. Component Stocks (as described value of the Fund’s holdings in derivative in Rule 5.2–E(j)(3)); Derivative Securities Products 23 See First Trust TCW Unconstrained Release. instruments used to gain exposure to a specific (i.e., Investment Company Units and securities See also, Securities Exchange Act Release Nos. asset is limited to 2% of the Fund’s total assets. described in Section 2 of Rule 8–E); and Index- 67894 (September 20, 2012) 77 FR 59227 26 Commentary .01(e) to NYSE Arca Rule 8.600– Linked Securities that qualify for Exchange listing (September 26, 2012) (SR–BATS–2012–033) (order E provides that the portfolio may hold OTC and trading under Rule 5.2–E(j)(6). approving the listing and trading of shares of the derivatives, including forwards, options and swaps 29 For purposes of this section of the filing, non- iShares Short Maturity Bond Fund); 70342 on commodities, currencies and financial exchange-traded securities of other registered (September 6, 2013), 78 FR 56256 (September 12, instruments (e.g., stocks, fixed income, interest investment companies do not include money 2013) (SR–NYSEArca–2013–71) (order approving rates, and volatility) or a basket or index of any of market funds, which are cash equivalents under the listing and trading of shares of the SPDR SSgA the foregoing; however, on both an initial and Commentary .01(c) to Rule 8.600–E and for which Ultra Short Term Bond ETF, SPDR SSgA continuing basis, no more than 20% of the assets there is no limitation in the percentage of the Conservative Ultra Short Term Bond ETF and SPDR in the portfolio may be invested in OTC derivatives. portfolio invested in such securities. SSgA Aggressive Ultra Short Term Bond ETF). For purposes of calculating this limitation, a 30 The Commission has previously approved 24 See note 13, supra. portfolio’s investment in OTC derivatives will be proposed rule changes under Section 19(b) of the 25 As noted above, the Fund’s holdings in calculated as the aggregate gross notional value of Act for series of Managed Fund Shares that may derivative instruments for hedging purposes would the OTC derivatives. Continued

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The Exchange notes that Commentary requirement for U.S. Component Stocks information updated on a daily basis .01(a) through (d) to Rule 8.600–E in Commentary .01(a)(1)(B) that there be including, for the Fund, (1) daily trading exclude application of those provisions minimum monthly trading volume of volume, the prior business day’s to certain ‘‘Derivative Securities 250,000 shares, or minimum notional reported closing price, NAV and Products’’ that are exchange-traded volume traded per month of midpoint of the bid/ask spread at the investment company securities, $25,000,000, averaged over the last six time of calculation of such NAV (the including Investment Company Units months is tailored to exchange-traded ‘‘Bid/Ask Price’’),33 and a calculation of (as described in NYSE Arca Rule 5.2– securities (e.g., U.S. Component Stocks) the premium and discount of the Bid/ E(j)(3)), Portfolio Depositary Receipts (as and not to mutual fund shares, which Ask Price against the NAV, and (2) data described in NYSE Arca Rule 8.100–E) do not trade in the secondary market. in chart format displaying the frequency and Managed Fund Shares (as described Moreover, application of such criteria distribution of discounts and premiums in NYSE Arca Rule 8.600–E).31 In its would not serve the purpose served of the daily Bid/Ask Price against the 2008 Approval Order approving with respect to U.S. Component Stocks, NAV, within appropriate ranges, for amendments to Commentary .01(a) to namely, to establish minimum liquidity each of the four previous calendar Rule 5.2(j)(3) that exclude Derivative and diversification criteria for U.S. quarters. On each business day, before Securities Products from certain Component Stocks held by series of commencement of trading in Shares in provisions of Commentary .01(a) (which Managed Fund Shares. the Core Trading Session on the exclusions are similar to those in The Exchange notes that the Exchange, the Fund will disclose on its Commentary .01(a)(1) to Rule 8.600–E), Commission has previously approved website the Disclosed Portfolio as the Commission stated that ‘‘based on listing and trading of an issue of defined in NYSE Arca Rule 8.600– the trading characteristics of Derivative Managed Fund Shares that may invest E(c)(2) that forms the basis for the Securities Products, it may be difficult in equity securities that are non- Fund’s calculation of NAV at the end of for component Derivative Securities exchange-traded securities of other the business day.34 Products to satisfy certain quantitative open-end investment company On a daily basis, the Fund will index criteria, such as the minimum securities notwithstanding that the fund disclose the information required under market value and trading volume would not meet the requirements of NYSE Arca Rule 8.600–E(c)(2) to the limitations.’’ The Exchange notes that it Commentary .01(a)(1)(A) through (E) to extent applicable. The website would be difficult or impossible to Rule 8.600–E with respect to such information will be publicly available at apply to non-exchange-traded fund’s investments in such securities.32 no charge. investment company securities the Thus, the Exchange believes that it is In addition, a basket composition file, generic quantitative criteria (e.g., market appropriate to permit the Fund to invest which includes the security names and capitalization, trading volume, or in non-exchange-traded open-end share quantities, if applicable, required portfolio criteria) in Commentary .01 (a) management investment company to be delivered in exchange for the through (d) applicable to U.S. securities, as described above. Fund’s Shares, together with estimates Component Stocks. For example, the Deviations from the generic and actual cash components, will be requirements are necessary for the Fund publicly disseminated daily prior to the invest in non-exchange traded investment company to achieve its investment objective in a opening of the Exchange via the NSCC. securities. See, e.g., Securities Exchange Act The basket represents one Creation Unit Release No. 78414 (July 26, 2016), 81 FR 50576 manner that is cost-effective and that (August 1, 2016) (SR–NYSEArca–2016–79) (order maximizes investors’ returns. Further, of the Fund. Authorized Participants approving listing and trading of shares of the Virtus the proposed alternative requirements may refer to the basket composition file Japan Alpha ETF under NYSE Arca Equities Rule are narrowly tailored to allow the Fund for information regarding Fixed Income 8.600). Securities, and any other instrument 31 The Commission initially approved the to achieve its investment objective in Exchange’s proposed rule change to exclude manner that is consistent with the that may comprise the Fund’s basket on ‘‘Derivative Securities Products’’ (i.e., Investment principles of Section 6(b)(5) of the Act. a given day. Company Units and securities described in Section As a result, it is in the public interest Investors can also obtain the Trust’s 2 of Rule 8) and ‘‘Index-Linked Securities (as Statement of Additional Information described in Rule 5.2–E (j)(6)) from Commentary to approve listing and trading of Shares .01(a)(A) (1) through (4) to Rule 5.2–E(j)(3 in of the Fund on the Exchange pursuant (‘‘SAI’’), the Fund’s Shareholder Securities Exchange Act Release No. 57751 (May 1, to the requirements set forth herein. Reports, and the Fund’s Forms N–CSR, 2008), 73 FR 25818 (May 7, 2008) (SR–NYSEArca– The Exchange notes that, other than filed twice a year and Form N–CEN, 2008–29) (Order Granting Approval of a Proposed filed once a year. The Fund’s SAI and Rule Change, as Modified by Amendment No. 1 Commentary .01(a)(1), (a)(2), (b)(1), Thereto, to Amend the Eligibility Criteria for (b)(4), (b)(5), and (e) to Rule 8.600–E, as Shareholder Reports will be available Components of an Index Underlying Investment described above, the Fund’s portfolio free upon request from the Trust, and Company Units) (‘‘2008 Approval Order’’). See also, will meet all other requirements of Rule those documents and the Form N–CSR, Securities Exchange Act Release No. 57561 (March Form N–PX and Form N–CEN may be 26, 2008), 73 FR 17390 (April 1, 2008) (Notice of 8.600–E. Filing of Proposed Rule Change and Amendment viewed on-screen or downloaded from No. 1 Thereto to Amend the Eligibility Criteria for Availability of Information the Commission’s website at Components of an Index Underlying Investment The Fund’s website www.sec.gov. Company Units). The Commission subsequently approved generic criteria applicable to listing and (www.ftportfolios.com) will include the trading of Managed Fund Shares, including prospectus for the Fund that may be 33 The Bid/Ask Price of the Fund’s Shares will be exclusions for Derivative Securities Products and downloaded. The Fund’s website will determined using the mid-point of the highest bid and the lowest offer on the Exchange as of the time Index-Linked Securities in Commentary .01(a)(1)(A) include additional quantitative through (D), in Securities Exchange Act Release No. of calculation of the Fund’s NAV. The records 78397 (July 22, 2016), 81 FR 49320 (July 27, 2016) relating to Bid/Ask Prices will be retained by the (Order Granting Approval of Proposed Rule Change, 32 See the First Trust TCW Unconstrained Fund and its service providers. as Modified by Amendment No. 7 Thereto, Release. See also Securities Exchange Act Release 34 Under accounting procedures followed by the Amending NYSE Arca Equities Rule 8.600 To No. 83319 (May 24, 2018) (SR–NYSEArca–2018–15) Fund, trades made on the prior business day (‘‘T’’) Adopt Generic Listing Standards for Managed Fund (Order Approving a Proposed Rule Change, as will be booked and reflected in NAV on the current Shares). See also, Amendment No. 7 to SR– Modified by Amendment No. 1 Thereto, to business day (‘‘T+1’’). Accordingly, the Fund will NYSEArca–2015–110, available at https:// Continue Listing and Trading Shares of the PGIM be able to disclose at the beginning of the business www.sec.gov/comments/sr-nysearca-2015-110/ Ultra Short Bond ETF Under NYSE Arca Rule day the portfolio that will form the basis for the nysearca2015110-9.pdf. 8.600–E). NAV calculation at the end of the business day.

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Intra-day and closing price previous day’s closing price and trading Arca Rule 8.600–E. Consistent with information regarding exchange-traded volume information for the Shares will NYSE Arca Rule 8.600–E(d)(2)(B)(ii), the options will be available from the be published daily in the financial Adviser and Sub-Adviser will exchange on which such instruments section of newspapers. implement and maintain, or be subject are traded. Intra-day and closing price Quotation and last sale information to, procedures designed to prevent the information regarding Fixed Income for the Shares, ETFs, ETNs, closed-end use and dissemination of material non- Securities will be available from major funds, REITs, certain common stocks, public information regarding the actual market data vendors. Price information certain preferred stocks will be available components of the Fund’s portfolio. relating to OTC options, forwards and via the Consolidated Tape Association The Exchange represents that, for swaps will be available from major (‘‘CTA’’) high-speed line. Exchange- initial and continued listing, the Fund market data vendors. Intra-day price traded options quotation and last sale will be in compliance with Rule 10A– information for exchange-traded information for options cleared via the 3 37 under the Act, as provided by NYSE derivative instruments will be available Options Clearing Corporation (‘‘OCC’’) Arca Rule 5.3–E. The Exchange will from the applicable exchange and from are available via the Options Price obtain a representation from the issuer major market data vendors. Intraday and Reporting Authority (‘‘OPRA’’). In of the Shares that the NAV per Share other price information for the Fixed addition, the Portfolio Indicative Value will be calculated daily and that the Income Securities in which the Fund (‘‘PIV’’), as defined in NYSE Arca Rule NAV and the Disclosed Portfolio will be will invest will be available through 8.600–E(c)(3), will be widely made available to all market subscription services, such as disseminated by one or more major participants at the same time. The Bloomberg, Markit and Thomson market data vendors at least every 15 Fund’s investments will be consistent Reuters, which can be accessed by seconds during the Core Trading with its investment goal and will not be Authorized Participants and other Session. used to provide multiple returns of a benchmark or to produce leveraged market participants. Additionally, the Trading Halts Trade Reporting and Compliance Engine returns. With respect to trading halts, the (‘‘TRACE’’) of the Financial Industry Surveillance Regulatory Authority (‘‘FINRA’’) will be Exchange may consider all relevant a source of price information for factors in exercising its discretion to The Exchange represents that trading corporate bonds, and Private ABS/MBS, halt or suspend trading in the Shares of in the Shares will be subject to the to the extent transactions in such the Fund.36 Trading in Shares of the existing trading surveillances, securities are reported to TRACE.35 Fund will be halted if the circuit breaker administered by FINRA on behalf of the Non-exchange-traded open-end parameters in NYSE Arca Rule 7.12–E Exchange, or by regulatory staff of the investment company securities are have been reached. Trading also may be Exchange, which are designed to detect typically priced once each business day halted because of market conditions or violations of Exchange rules and and their prices will be available for reasons that, in the view of the applicable federal securities laws. The through the applicable fund’s website or Exchange, make trading in the Shares Exchange represents that these from major market data vendors. Price inadvisable. Trading in the Fund’s procedures are adequate to properly information regarding U.S. government Shares also will be subject to Rule monitor Exchange trading of the Shares securities, Private ABS/MBS, cash 8.600–E(d)(2)(D) (‘‘Trading Halts’’). in all trading sessions and to deter and detect violations of Exchange rules and equivalents and short-term instruments Trading Rules with maturities of three months or more federal securities laws applicable to 38 generally may be obtained from brokers The Exchange deems the Shares to be trading on the Exchange. and dealers who make markets in such equity securities, thus rendering trading The surveillances referred to above generally focus on detecting securities securities or through nationally in the Shares subject to the Exchange’s trading outside their normal patterns, recognized pricing services through existing rules governing the trading of which could be indicative of subscription agreements. Information equity securities. Shares will trade on manipulative or other violative activity. relating to weighted average loan age for the NYSE Arca Marketplace from 4 a.m. When such situations are detected, Private ABS/MBS is widely available to 8 p.m., E.T. in accordance with NYSE surveillance analysis follows and from major market data vendors such as Arca Rule 7.34–E (Early, Core, and Late investigations are opened, where Bloomberg. Trading Sessions). The Exchange has Information regarding market price appropriate rules to facilitate appropriate, to review the behavior of and trading volume of the Shares, ETFs, transactions in the Shares during all all relevant parties for all relevant ETNs, common stocks, preferred stocks, trading sessions. As provided in NYSE trading violations. The Exchange or FINRA, on behalf of REITs and closed-end funds will be Arca Rule 7.6–E, the minimum price the Exchange, or both, will continually available on a real-time variation (‘‘MPV’’) for quoting and entry communicate as needed regarding basis throughout the day on brokers’ of orders in equity securities traded on trading in the Shares, certain exchange- computer screens and other electronic the NYSE Arca Marketplace is $0.01, traded options and certain exchange- services. Information regarding the with the exception of securities that are priced less than $1.00 for which the traded futures, ETFs, ETNs, closed-end funds, certain common stocks, certain 35 Broker-dealers that are FINRA member firms MPV for order entry is $0.0001. have an obligation to report transactions in With the exception of the preferred stocks, and certain REITs with specified debt securities to TRACE to the extent requirements of Commentary .01(a)(1), other markets and other entities that are required under applicable FINRA rules. Generally, (a)(2), (b)(1), (b)(4), (b)(5), and (e) to Rule members of the Intermarket such debt securities will have at issuance a maturity Surveillance Group (‘‘ISG’’), and the that exceeds one calendar year. For Fixed Income 8.600–E as described above in Securities that are not reported to TRACE, (i) ‘‘Application of Generic Listing intraday price quotations will generally be available Requirements,’’ the Shares of the Fund 37 17 CFR 240.10A–3. from broker-dealers and trading platforms (as will conform to the initial and 38 FINRA conducts cross-market surveillances on applicable) and (ii) price information will be behalf of the Exchange pursuant to a regulatory available from feeds from market data vendors, continued listing criteria under NYSE services agreement. The Exchange is responsible for published or other public sources, or online FINRA’s performance under this regulatory services information services, as described above. 36 See NYSE Arca Rule 7.12–E. agreement.

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Exchange or FINRA, on behalf of the (4) how information regarding the PIV needed, trade information for certain Exchange, or both, may obtain trading and the Disclosed Portfolio is fixed income securities held by the information regarding trading in such disseminated; (5) the requirement that Fund reported to TRACE. The Adviser securities and financial instruments Equity Trading Permit Holders deliver a and Sub-Adviser are not registered as from such markets and other entities.39 prospectus to investors purchasing broker-dealers. The Adviser is affiliated In addition, the Exchange may obtain newly issued Shares prior to or with First Trust Portfolios L.P., a broker- information regarding trading in such concurrently with the confirmation of a dealer and has implemented and will securities and financial instruments transaction; and (6) trading information. maintain a fire wall with respect to its from markets and other entities that are In addition, the Bulletin will broker-dealer affiliate regarding access members of ISG or with which the reference that the Fund is subject to to information concerning the Exchange has in place a CSSA. In various fees and expenses described in composition and/or changes to the addition, FINRA, on behalf of the the Registration Statement. The Bulletin portfolios. The Sub-Adviser is affiliated Exchange, is able to access, as needed, will discuss any exemptive, no-action, with multiple broker-dealers and has trade information for certain fixed and interpretive relief granted by the implemented and will maintain a fire income securities held by the Fund Commission from any rules under the wall with respect to its broker-dealer reported to FINRA’s TRACE. Act. The Bulletin will also disclose that affiliates regarding access to information In addition, the Exchange also has a the NAV for the Shares will be concerning the composition and/or general policy prohibiting the calculated after 4:00 p.m., E.T. each changes to the portfolio. distribution of material, non-public trading day. The Exchange notes that, other than information by its employees. Commentary .01(a)(1), (a)(2), (b)(1), 2. Statutory Basis All statements and representations (b)(4), (b)(5), and (e) to Rule 8.600–E, as made in this filing regarding (a) the The basis under the Act for this described above, the Fund’s portfolio description of the portfolio or reference proposed rule change is the requirement will meet all other requirements of Rule asset, (b) limitations on portfolio under Section 6(b)(5) 40 that an 8.600–E. holdings or reference assets, or (c) the exchange have rules that are designed to The proposed rule change is designed applicability of Exchange listing rules prevent fraudulent and manipulative to promote just and equitable principles specified in this rule filing shall acts and practices, to promote just and of trade and to protect investors and the constitute continued listing equitable principles of trade, to remove public interest in that the Exchange will requirements for listing the Shares of impediments to, and perfect the obtain a representation from the issuer the Fund on the Exchange. mechanism of a free and open market of the Shares that the NAV per Share The issuer must notify the Exchange and, in general, to protect investors and will be calculated daily and that the of any failure by the Fund to comply the public interest. NAV and the Disclosed Portfolio will be with the continued listing requirements, The Exchange believes that the made available to all market and, pursuant to its obligations under proposed rule change is designed to participants at the same time. In Section 19(g)(1) of the Act, the Exchange prevent fraudulent and manipulative addition, a large amount of information will monitor for compliance with the acts and practices in that the Shares are will be publicly available regarding the continued listing requirements. If the listed and traded on the Exchange Fund and the Shares, thereby promoting Fund is not in compliance with the pursuant to the initial and continued market transparency. Quotation and last applicable listing requirements, the listing criteria in NYSE Arca Rule sale information for the Shares, ETFs, Exchange will commence delisting 8.600–E. The Exchange has in place ETNs, closed-end funds, certain REITs, procedures under NYSE Arca Rule 5.5– surveillance procedures that are certain common stocks, and certain E (m). adequate to properly monitor trading in preferred stocks will be available via the the Shares in all trading sessions and to CTA high-speed line. Exchange-traded Information Bulletin deter and detect violations of Exchange options quotation and last sale The Exchange will inform its Equity rules and applicable federal securities information for options cleared via the Trading Permit Holders in an laws. The Exchange or FINRA, on behalf OCC are available via OPRA. The Information Bulletin (‘‘Bulletin’’) of the of the Exchange, or both, will Exchange will inform its Equity Trading special characteristics and risks communicate as needed regarding Permit Holders in an Information associated with trading the Shares. trading in the Shares, certain exchange- Bulletin of the special characteristics Specifically, the Bulletin will discuss traded options and certain exchange- and risks associated with trading the the following: (1) The procedures for traded futures, ETFs, ETNs, closed-end Shares. Trading in Shares of the Fund purchases and redemptions of Shares in funds, certain common stocks, certain will be halted if the circuit breaker Creation Unit aggregations (and that preferred stocks, and certain REITs with parameters in NYSE Arca Rule 7.12–E Shares are not individually redeemable); other markets and other entities that are have been reached or because of market (2) NYSE Arca Rule 9.2–E(a), which members of the ISG, and the Exchange conditions or for reasons that, in the imposes a duty of due diligence on its or FINRA, on behalf of the Exchange, or view of the Exchange, make trading in Equity Trading Permit Holders to learn both, may obtain trading information the Shares inadvisable. Trading in the the essential facts relating to every regarding trading in such securities and Shares will be subject to NYSE Arca customer prior to trading the Shares; (3) financial instruments from such markets Rule 8.600–E (d)(2)(D), which sets forth the risks involved in trading the Shares and other entities. The Exchange may circumstances under which Shares of during the Early and Late Trading obtain information regarding trading in the Fund may be halted. In addition, as Sessions when an updated PIV will not such securities and financial noted above, investors will have ready be calculated or publicly disseminated; instruments from markets and other access to information regarding the entities that are members of ISG or with Fund’s holdings, NAV, the PIV, the 39 For a list of the current members of ISG, see which the Exchange has in place a Disclosed Portfolio, and quotation and www.isgportal.org. The Exchange notes that not all CSSA. In addition, FINRA, on behalf of last sale information for the Shares. components of the Disclosed Portfolio may trade on markets that are members of ISG or with which the the Exchange, is able to access, as The proposed rule change is designed Exchange has in place a comprehensive to perfect the mechanism of a free and surveillance sharing agreement (‘‘CSSA’’). 40 15 U.S.C. 78f(b)(5). open market and, in general, to protect

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investors and the public interest in that exceeding 20% of the Fund’s net assets portfolio to be more diversified and it will facilitate the listing and trading in the aggregate. provide the Fund with an opportunity of an additional type of actively- The Fund will not comply with the to earn higher returns, the Fund may managed exchange-traded product that requirement in Commentary .01(b)(1) to invest up to 50% of its total assets in the generally will principally hold fixed Rule 8.600–E that components that in aggregate in Private ABS/MBS, provided income securities and that will enhance the aggregate account for at least 75% of that the Fund (1) may not invest more competition among market participants, the fixed income weight of the portfolio than 25% of its total assets in non- to the benefit of investors and the each shall have a minimum original agency ABS; (2) may not invest more marketplace. As noted above, the principal amount outstanding of $100 than 30% of its total assets in non- Exchange has in place surveillance million or more. Instead, the Exchange agency RMBS; and (3) may not invest procedures relating to trading in the proposes that components that in the more than 25% of its total assets in non- Shares and may obtain information via aggregate account for at least 50% of the agency CMBS and CLOs. With respect to ISG from other exchanges that are fixed income weight of the portfolio the Fund’s investments in up to 30% of members of ISG or with which the each shall have a minimum original its total assets in Private ABS/MBS that Exchange has entered into a CSSA. In principal amount outstanding of $50 exceed the 20% of the weight of the addition, as noted above, investors will million or more. As noted above, the Fund’s portfolio that may be invested in have ready access to information Fund may not invest more than 2% of Private ABS/MBS under Commentary regarding the Fund’s holdings, NAV, its total assets in any one Fixed Income .01(b)(5) to NYSE Arca Rule 8.600–E, Disclosed Portfolio, and quotation and Security (excluding U.S. government the Fund’s holdings in Private ABS/ last sale information for the Shares. securities and TIPS) on a per CUSIP MBS will be subject to minimum basis. In addition, at least 50% of the weighted average loan age restrictions Deviations from the generic weight of the Fund’s portfolio would described above.42 In addition, as noted requirements, as described above, are continue to be subject to a substantial above, the Fund may not invest more necessary for the Fund to achieve its minimum (i.e., $50 million) original than 2% of its total assets in any one investment objective in a manner that is principal amount outstanding. The Fixed Income Security (excluding U.S. cost-effective and that maximizes Exchange believes this limitation would government securities and TIPS) on a investors’ returns. Further, the proposed provide significant additional per CUSIP basis.43 The Exchange alternative requirements are narrowly diversification to the Fund’s believes these limitations would tailored to allow the Fund to achieve its investments in Fixed Income Securities, provide additional diversification to the investment objective in a manner that is and reduce concerns that the Fund’s Fund’s Private ABS/MBS investments consistent with the principles of Section investments in such securities would be and reduce concerns that the Fund’s 6(b)(5) of the Act. As a result, it is in the readily susceptible to market investment in such securities would be public interest to approve listing and manipulation. readily susceptible to market trading of Shares of the Fund on the The Exchange proposes that Private manipulation. Exchange pursuant to the requirements ABS/MBS will not be required to The Exchange believes it is set forth herein. comply with the requirements of appropriate and in the public interest to Commentary .01(b)(4) because certain As noted above, the Fund will not approve listing and trading of Shares of Private ABS/MBS cannot satisfy the comply with the requirements set forth the Fund notwithstanding that the criteria in Commentary .01(b)(4). in Commentary .01(a)(1) and (a)(2) to Fund’s holdings in such Private ABS/ Instead, the Exchange proposes that the MBS do not comply with the NYSE Arca Rule 8.600–E with respect to Fund’s investments in Fixed Income requirements set forth in Commentary the Fund’s investments in equity Securities other than Private ABS/MBS .01(b)(5) to NYSE Arca Rule 8.600–E in securities. Instead, the Exchange will be required to comply with the that the Fund’s investment in Private proposes that (i) the Fund’s investments requirements of Commentary .01(b)(4). ABS/MBS is expected to provide the in equity securities will meet the The Exchange believes that this is Fund with benefits associated with requirements of Commentary .01(a) with appropriate because Commentary increased diversification, as Private the exception of Commentary .01(b)(4) does not appear to be designed ABS/MBS investments tend to be less .01(a)(1)(C) and .01(a)(1)(D) (with for structured finance vehicles such as correlated to interest rates than many respect to U.S. Component Stocks) and Private ABS/MBS. As noted above, the other fixed income securities. The Commentary .01(a)(2)(C) and Fund may not invest more than 2% of Fund’s investment in Private ABS/MBS .01(a)(2)(D) (with respect to Non-U.S. its total assets in any one Fixed Income will be subject to the Fund’s liquidity 41 Component Stocks). The Exchange Security (excluding U.S. government procedures as adopted by the Board, believes it is appropriate and in the securities and TIPS) on a per CUSIP and the Adviser and Sub-Adviser do not public interest to approve listing and basis. The Exchange believes this expect that investments in Private ABS/ trading of Shares of the Fund limitation would provide additional MBS of up to 50% of the total assets of notwithstanding that the Fund’s diversification to the Fund’s the Fund will have any material impact holdings in such equity securities do investments in Private ABS/MBS, and on the liquidity of the Fund’s not comply with the requirements set reduce concerns that the Fund’s investments. forth in Commentary .01(a)(1) and (a)(2) investment in such securities would be The Adviser and Sub-Adviser to NYSE Arca Rule 8.600–E in that any readily susceptible to market represent that the RMBS sector can be Fund investment in exchange-traded manipulation. an important component of the Fund’s common stocks, preferred stocks, As noted above, the Fund will not investment strategy because of the REITS, ETFs, ETNs and U.S. exchange- comply with the requirement in potential for attractive risk-adjusted traded closed-end funds would provide Commentary .01(b)(5) to Rule 8.600–E returns relative to other fixed income for enhanced diversification of the that Private ABS/MBS in the Fund’s sectors and the potential to add Fund’s portfolio. Such securities would portfolio account, in the aggregate, for significantly to the diversification in the be Non-Principal Investments, not no more than 20% of the weight of the Fund’s portfolio. Instead, the Exchange 42 See note 13 and accompanying text, supra. 41 See notes 18 and 19, supra. proposes that, in order to enable the 43 See note 25, supra.

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Fund’s portfolio. Similarly, the Private As noted above, the Fund’s portfolio effective hedges of interest rate exposure ABS/MBS sectors also have the will not comply with the requirements because they can be customized to potential for attractive risk-adjusted set forth in Commentary .01(e) to NYSE match the basis risk arising from the returns and added portfolio Arca Rule 8.600–E. The Exchange term of the investments held by the diversification. proposes that up to 25% of the Fund’s Fund. The Exchange believes the loan age assets (calculated as the aggregate gross Because the Fund, in furtherance of parameters described above are notional value) may be invested in OTC its investment objective, may invest a appropriate for the corresponding derivatives that are used to reduce substantial percentage of its investments Private ABS/MBS; the 84, 60 and 12 currency, interest rate or credit risk in foreign currency denominated Fixed month time frames take into account arising from the Fund’s investments Income Securities, the 20% limit in that the longer Private ABS/MBS (that is, ‘‘hedge’’), and that the Fund’s Commentary .01(e) to Rule 8.600–E continue to trade, the more price investments in OTC derivatives other could result in the Fund being unable to discovery has occurred in the market than OTC derivatives used to hedge the fully pursue its investment objective and the more opportunity there has Fund’s portfolio against currency, while attempting to sufficiently mitigate been for market participants to perform interest rate or credit risk will be limited investment risks. The inability of the due diligence in understanding and to 20% of the assets in the Fund’s Fund to adequately hedge its holdings evaluating the underlying loans for such portfolio, calculated as the aggregate would effectively limit the Fund’s securities. gross notional value of such OTC ability to invest in certain instruments, With respect to non-agency RMBS, a derivatives. As noted above, the Fund or could expose the Fund to additional weighted average loan age of 84 months will not use derivative instruments to investment risk. For example, if the accommodates investment in well- gain exposure to Private ABS/MBS, and Fund’s assets (on a gross notional value seasoned securities that are continuing derivative instruments linked to such basis) were $100 million and no listed to trade with resilient pricing securities will be used for hedging derivative were suitable to hedge the notwithstanding events during the purposes only. Fund’s risk, under the generic standards market crisis of 2008–2010, during The Exchange believes it is the Fund would be limited to holding which loan defaults drastically appropriate and in the public interest to up to $20 million gross notional value impacted pricing in non-agency RMBS. approve listing and trading of Shares of in OTC derivatives ($100 million * Pricing in such securities is generally the Fund notwithstanding that the 20%). Accordingly, the maximum Fund’s holdings in OTC derivatives do amount the Fund would be able to more reliable than RMBS with a lower not comply with the requirements set invest in foreign currency denominated loan age in that pricing is no longer forth in Commentary .01(e) to NYSE Fixed Income Securities while reliant on market expectations but on Arca Rule 8.600–E in that, depending on remaining adequately hedged would be actual post-crisis loan performance. market conditions, it may be critical that $20 million. The Fund then would hold With respect to non-agency CMBS, a the Fund be able to utilize available $60 million in assets that could not be weighted average loan age of 60 months OTC derivatives to attempt to reduce hedged, other than with listed would include securities for which impact of currency, interest rate or derivatives, which, as noted above, there is a known track record regarding credit fluctuations on Fund assets. might not be sufficiently tailored to the cash flows and default rates for loans Therefore, the Exchange believes it is specific instruments to be hedged. underlying real estate and other assets appropriate to apply a limit of up to In addition, by applying the 20% underlying CMBS. A five year loan age 25% of the Fund’s assets to the Fund’s limitation in Commentary .01(e) to Rule facilitates pricing based on actual loan investments in OTC derivatives 8.600–E, the Fund would be less able to performance rather than default (calculated as the aggregate gross protect its holdings from more than one projections. Similarly, for non-agency notional value of such OTC derivatives), risk simultaneously. For example, if the CLOs, a weighted average loan age of 60 including forwards, options and swaps, Fund’s assets (on a gross notional basis) months provides the opportunity for that are used for hedging purposes, as were $100 million and the Fund held market participants to evaluate data described above. $20 million in foreign currency regarding the bank loans underlying the The Adviser and Sub-Adviser denominated Fixed Income Instruments CLOs and to assess how the loans are represent that OTC derivatives can be with two types of risks (e.g., currency actually being used—for example, to tailored to hedge the specific risk arising and credit risk) which could not be implement corporate strategy or for from the Fund’s investments and hedged using listed derivatives, the capital usage—rather than relying on frequently may be a more efficient Fund would be faced with the choice of pro forma statements regarding the hedging vehicle than listed derivatives. either holding $20 million aggregate loans. For example, the Fund could obtain an gross notional value in OTC derivatives With respect to non-agency ABS, a OTC foreign currency derivative in a to mitigate one of the risks while weighted average loan age of 12 months notional amount that exactly matches passing the other risk to its provides an appropriately limited time the notional amount of the Fund’s shareholders, or, for example, holding frame for market participants to assess investments. If the Fund were limited to $10 million aggregate gross notional the likely trajectory of expected defaults investing up to 20% of assets in OTC value in OTC derivatives on each of the (for example, for sub-prime auto loans). derivatives, the Fund might have to risks while passing the remaining The loans underlying non-agency ABS ‘‘over hedge’’ or ‘‘under hedge’’ if round portion of each risk to the Fund’s are typically of much shorter duration lot sizes in listed derivatives were not shareholders. than other Private ABS/MBS. Because available. In addition, for example, an The Adviser and Sub-Adviser believe such loans are more likely to default OTC CDX option can be structured to that it is in the best interests of the within a short time after issuance, a one- provide protection tailored to the Fund’s shareholders for the Fund to be year minimum loan age can be expected Fund’s credit exposure and can be a allowed to reduce the currency, interest to provide a sufficient time frame for more efficient way to hedge credit risk rate or credit risk arising from the market participants to assess the with respect to specific exposures than Fund’s investments using the most reliability of loan pricing for loans listed derivatives. Similarly, OTC efficient financial instrument. While underlying non-agency ABS. interest rate derivatives can be more certain risks can be hedged via listed

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derivatives, OTC derivatives (such as facilitate the listing and trading of an Securities and derivative instruments to forwards, options and swaps) can be additional type of actively-managed be held by the Fund are substantially customized to hedge against precise exchange-traded product that generally the same as the securities and derivative risks. Accordingly, the Adviser and Sub- will principally hold fixed income instruments in the previously approved Adviser believe that OTC derivatives securities and that will enhance First Trust TCW Unconstrained Release, may frequently be a more efficient competition among market participants, the proposal does not raise any novel hedging vehicle than listed derivatives. to the benefit of investors and the regulatory issues. For these reasons, the Therefore, the Exchange believes that marketplace. Commission believes that waiving the increasing the percentage limit in 30-day operative delay is consistent C. Self-Regulatory Organization’s Commentary .01(e), as described above, with the protection of investors and the Statement on Comments on the to the Fund’s investments in OTC public interest. Accordingly, the Proposed Rule Change Received From derivatives, including forwards, options Commission waives the 30-day Members, Participants, or Others and swaps, that are used specifically for operative delay and designates the hedging purposes would help protect No written comments were solicited proposed rule change operative upon investors and the public interest. or received with respect to the proposed filing.50 As noted above, the Fund’s portfolio rule change. At any time within 60 days of the will not meet the requirements of III. Date of Effectiveness of the filing of such proposed rule change, the Commentary .01(a)(1)(A) through (E) to Proposed Rule Change and Timing for Commission summarily may Rule 8.600–E with respect to the Fund’s Commission Action temporarily suspend such rule change if investments in non-exchange-traded it appears to the Commission that such securities of open-end investment The Exchange has filed the proposed action is necessary or appropriate in the company securities would not meet the rule change pursuant to Section public interest, for the protection of requirements of Commentary 19(b)(3)(A)(iii) of the Act 45 and Rule investors, or otherwise in furtherance of .01(a)(1)(A) through (E) and 19b–4(f)(6) thereunder.46 Because the the purposes of the Act. If the Commentary .01(a)(2) (A) through (E) to proposed rule change does not: (i) Commission takes such action, the Rule 8.600–E. The Exchange believes Significantly affect the protection of Commission shall institute proceedings that it is appropriate and in the public investors or the public interest; (ii) under Section 19(b)(2)(B) 51 of the Act to interest to approve listing and trading of impose any significant burden on determine whether the proposed rule Shares of the Fund on the Exchange competition; and (iii) become operative change should be approved or notwithstanding that the Fund would prior to 30 days from the date on which disapproved. not meet the requirements of it was filed, or such shorter time as the IV. Solicitation of Comments Commentary .01(a)(1)(A) through (E) to Commission may designate, if Rule 8.600–E with respect to the Fund’s consistent with the protection of Interested persons are invited to investments in non-exchange-traded investors and the public interest, the submit written data, views, and securities of open-end investment proposed rule change has become arguments concerning the foregoing, company securities would not meet the effective pursuant to Section 19(b)(3)(A) including whether the proposed rule requirements of Commentary of the Act and Rule 19b–4(f)(6)(iii) change is consistent with the Act. .01(a)(1)(A) through (E) to Rule 8.600–E. thereunder.47 Comments may be submitted by any of Investments in non-exchange-traded A proposed rule change filed under the following methods: securities of open-end investment Rule 19b–4(f)(6) 48 does not become operative prior to 30 days after the date Electronic Comments company securities will not be principal • investments of the Fund.44 Such of the filing. However, pursuant to Rule Use the Commission’s internet investments, which may include mutual 19b–4(f)(6)(iii),49 the Commission may comment form (http://www.sec.gov/ funds that invest, for example, designate a shorter time if such action rules/sro.shtml); or • Send an email to rule-comments@ principally in fixed income securities, is consistent with the protection of sec.gov. Please include File Number SR– would be utilized to help the Fund meet investors and the public interest. The NYSEArca–2020–20 on the subject line. its investment objective and to equitize Exchange requested that the cash in the short term. Commission waive the 30-day operative Paper Comments The proposed rule change is designed delay so that the proposal may become • operative immediately upon filing. Send paper comments in triplicate to perfect the mechanism of a free and to Secretary, Securities and Exchange open market and, in general, to protect According to the Exchange, the proposed rule change does not Commission, 100 F Street NE, investors and the public interest in that Washington, DC 20549–1090. it will facilitate the listing and trading significant affect the protection of All submissions should refer to File of shares of an additional type of investors or the public and does not Number SR–NYSEArca–2020–20. This actively-managed exchange-traded impose any significant burden on file number should be included on the product that will enhance competition competition. Specifically, the Exchange subject line if email is used. To help the among market participants, to the believes that because the Fixed Income Commission process and review your benefit of investors and the marketplace. 45 15 U.S.C. 78s(b)(3)(A)(iii). comments more efficiently, please use B. Self-Regulatory Organization’s 46 17 CFR 240.19b–4(f)(6). only one method. The Commission will Statement on Burden on Competition 47 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– post all comments on the Commission’s The Exchange does not believe that 4(f)(6) requires a self-regulatory organization to give internet website (http://www.sec.gov/ the Commission written notice of its intent to file rules/sro.shtml). Copies of the the proposed rule change will impose the proposed rule change, along with a brief any burden on competition that is not description and text of the proposed rule change, submission, all subsequent necessary or appropriate in furtherance at least five business days prior to the date of filing of the purpose of the Act. The Exchange of the proposed rule change, or such shorter time 50 For purposes only of waiving the 30-day as designated by the Commission. The Exchange operative delay, the Commission has considered the notes that the proposed rule change will has satisfied this requirement. proposed rule’s impact on efficiency, competition, 48 17 CFR 240.19b–4(f)(6). and capital formation. See 15 U.S.C. 78c(f). 44 See note 29, supra. 49 17 CFR 240.19b–4(f)(6)(iii). 51 15 U.S.C. 78s(b)(2)(B).

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amendments, all written statements Administration, 409 3rd Street, 8th date. For further information, please with respect to the proposed rule Floor, Washington, DC 20416. contact Kristen Nunnally at (202) 245– change that are filed with the FOR FURTHER INFORMATION CONTACT: 0312 or [email protected]. Commission, and all written Mary Frias, Loan Specialist, Office of Authority: 49 U.S.C. 1321, 49 U.S.C. communications relating to the Financial Assistance, (202) 401–8234, 11101; 49 U.S.C. 11121. proposed rule change between the [email protected], or Curtis B. Rich, Decided: March 17, 2020. Commission and any person, other than Management Analyst, (202) 205–7030, those that may be withheld from the By the Board, Allison C. Davis, Director, [email protected]. Office of Proceedings. public in accordance with the SUPPLEMENTARY INFORMATION: Section Kenyatta Clay, provisions of 5 U.S.C. 552, will be 7(a) of the Small Business Act available for website viewing and Clearance Clerk. authorizes the Small Business [FR Doc. 2020–05973 Filed 3–20–20; 8:45 am] printing in the Commission’s Public Administration to guaranty loans in BILLING CODE 4915–01–P Reference Room, 100 F Street NE, each of the 7(a) Programs. The Washington, DC 20549 on official Regulations covering these and other business days between the hours of loan programs at 13 CFR 120 require SURFACE TRANSPORTATION BOARD 10:00 a.m. and 3:00 p.m. Copies of the certain information from loan applicants filing also will be available for and lenders that is used to determine [Docket No. EP 290 (Sub-No. 5) (2020–2)] inspection and copying at the principal program eligibility and compliance. office of the Exchange. All comments Quarterly Rail Cost Adjustment Factor received will be posted without change. Solicitation of Public Comments AGENCY: Surface Transportation Board. Persons submitting comments are SBA is requesting comments on (a) cautioned that we do not redact or edit ACTION: Approval of rail cost adjustment whether the collection of information is factor. personal identifying information from necessary for the agency to properly comment submissions. You should perform its functions; (b) whether the SUMMARY: The Board has approved the submit only information that you wish burden estimates are accurate; (c) second quarter 2020 Rail Cost to make available publicly. All whether there are ways to minimize the Adjustment Factor (RCAF) and cost submissions should refer to File burden, including through the use of index filed by the Association of Number SR–NYSEArca–2020–20 and automated techniques or other forms of American Railroads. The second quarter should be submitted on or before April information technology; and (d) whether 2020 RCAF (Unadjusted) is 1.051. The 13, 2020. there are ways to enhance the quality, second quarter 2020 RCAF (Adjusted) is For the Commission, by the Division of utility, and clarity of the information. 0.442. The second quarter 2020 RCAF– Trading and Markets, pursuant to delegated 5 is 0.417. 52 Summary of Proposed Information authority. DATES: Applicability Date: April 1, 2020. J. Matthew DeLesDernier, Collection FOR FURTHER INFORMATION CONTACT: Assistant Secretary. Title: SBA 7(a) Borrower Information Pedro Ramirez, (202) 245–0333. [FR Doc. 2020–06006 Filed 3–20–20; 8:45 am] Form, Lender’s Application for Loan Assistance for the hearing impaired is Guaranty, Religious Eligibility BILLING CODE 8011–01–P available through the Federal Relay Worksheet, 7(a) Loan Post Approval Service at (800) 877–8339. Action Checklist, and Community SUPPLEMENTARY INFORMATION: SMALL BUSINESS ADMINISTRATION Advantage Addendum. SBA Forms: 1919, 1920, 1971, 2237, Additional information is contained in 2449. the Board’s decision, which is available Data Collection Available for Public on our website at www.stb.gov. Comments Description of Respondents: 7(a) Program Participants. Decided: March 17, 2020. ACTION: 60-Day notice and request for Total Estimated Annual Reponses: By the Board, Board Members Begeman, comments. 205,080. Fuchs, and Oberman. Total Estimated Annual Hour Burden: Regena Smith-Bernard, SUMMARY: The Small Business 43,155. Clearance Clerk. Administration (‘‘SBA’’) intends to request approval from the Office of Curtis Rich, [FR Doc. 2020–06042 Filed 3–20–20; 8:45 am] Management and Budget (‘‘OMB’’) for Management Analyst. BILLING CODE 4915–01–P the collection of information described [FR Doc. 2020–05958 Filed 3–20–20; 8:45 am] below. The Paperwork Reduction Act BILLING CODE 8026–03–P (‘‘PRA’’) of 1995, requires federal OFFICE OF THE UNITED STATES agencies to publish a notice in the TRADE REPRESENTATIVE Federal Register concerning each SURFACE TRANSPORTATION BOARD [Docket Number USTR–2020–0011] proposed collection of information before submission to OMB, and to allow [Docket No. EP 670 (Sub-No. 1)] Request for Comments on Negotiating 60 days for public comment in response Objectives for a United States- to the notice. This notice complies with Notice of Rail Energy Transportation Republic of Kenya Trade Agreement that requirement. Advisory Committee Meeting AGENCY: Office of the United States DATES: Submit comments on or before On March 11, 2020, the Board Trade Representative. May 22, 2020. provided notice of a meeting of the Rail ACTION: Request for comments and ADDRESSES: Send all comments to Mary Energy Transportation Advisory notice of public hearing. Frias, Loan Specialist, Office of Committee (RETAC), to be held on April Financial Assistance, Small Business 21, 2020. This meeting will be SUMMARY: On March 17, 2020, the U.S postponed. Notice of the rescheduled Trade Representative notified Congress 52 17 CFR 200.30–3(a)(12). meeting will be announced at a later of the Administration’s intent to enter

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into negotiations with the Republic of II. Public Comment and Hearing must provide written notification of Kenya (Kenya) for a U.S.-Kenya trade The TPSC invites interested parties to their intention by April 15, 2020. You agreement. The Office of the United submit comments and/or oral testimony must make the intent to testify States Trade Representative (USTR) is to assist USTR as it develops negotiating notification in the ‘type comment’ field seeking public comments on a proposed objectives and positions for the under docket number USTR–2020–0011 U.S.-Kenya trade agreement, including agreement, including with regard to on Regulations.gov and should include U.S. interests and priorities, in order to objectives identified in section 102 of the name, address, telephone number, and email address of the person develop U.S. negotiating positions. You the Bipartisan Congressional Trade presenting the testimony. You should can provide comments in writing and Priorities and Accountability Act of attach a summary of the testimony by orally at a public hearing. The 2015 (19 U.S.C. 4201). In particular, the using the ‘upload file’ field. The file Administration’s aim in negotiations TPSC invites interested parties to name should include who will be with Kenya is to address both tariff and comment on issues that USTR should presenting the testimony. Remarks at non-tariff barriers and to achieve free, address in the negotiations including, the hearing should be limited to no fair, and reciprocal trade. but not limited to, the following: more than five minutes to allow for a. General and product-specific DATES: possible questions from the TPSC. negotiating objectives for the proposed April 15, 2020: Deadline for the agreement. III. Requirements for Submissions submission of written comments and for b. Relevant barriers to trade in goods written notification of your intent to In order to ensure the timely receipt and services between the United States testify, as well as a summary of your and consideration of comments, USTR and Kenya. testimony at the public hearing. strongly encourages commenters to c. Economic costs and benefits to U.S. make on-line submissions, using April 28, 2020: The Trade Policy Staff producers and consumers of removal or Regulations.gov. Persons submitting a Committee (TPSC) will hold a public reduction of tariffs and non-tariff notification of intent to testify and/or hearing beginning at 9:30 a.m., in barriers on articles traded with Kenya. written comments must do so in English Rooms 1 and 2, 1724 F Street NW, d. Treatment of specific goods and must identify (on the first page of Washington, DC 20508. (classified under the Harmonized Tariff the submission) the ‘‘U.S.-Kenya Trade ADDRESSES: You should submit Schedule of the United States or Agreement.’’ notifications of intent to testify and HTSUS) under the proposed agreement, To submit comments via written comment through the Federal including comments on the following: Regulations.gov, enter docket number eRulemaking Portal: https:// i. Product-specific import or export USTR–2020–0011 on the home page and www.regulations.gov (Regulations.gov). interests or barriers. click ‘search.’ The site will provide a Follow the instructions for submissions ii. Experience with particular search-results page listing all documents in parts II and III below. For alternatives measures that USTR should address in associated with this docket. Find a to on-line submissions, please contact the negotiations. reference to this notice and click on the Yvonne Jamison at (202) 395–3475 in iii. Ways to address export priorities link entitled ‘comment now!’ For further advance of the deadline and before and import sensitivities in the context of information on using Regulations.gov, transmitting a comment. the proposed agreement. please consult the resources provided e. Fees, charges, and taxes affecting on the website by clicking on ‘How to FOR FURTHER INFORMATION CONTACT: For trade in goods and services between the Use This Site’ on the left side of the procedural questions concerning written United States and Kenya. home page. comments, please contact Yvonne f. Customs and trade facilitation Regulations.gov allows users to Jamison at (202) 395–3475. Direct all issues, including those related to pre- provide comments by filling in a ‘type other questions to Alan Treat, Deputy shipment inspection. comment’ field, or by attaching a Assistant U.S. Trade Representative for g. Sanitary and phytosanitary document using an ‘upload file’ field. Africa, at (202) 395–9514. measures and technical barriers to trade. USTR prefers that you provide h. Transparency issues. SUPPLEMENTARY INFORMATION: comments in an attached document. If i. Other measures or practices, you attach a document, it is sufficient to I. Background including those of third-country type ‘see attached’ in the ‘type entities, which undermine fair market comment’ field. USTR prefers The decision to launch negotiations opportunities for U.S. businesses, submissions in Microsoft Word (.doc) or for a U.S.-Kenya trade agreement is an workers, farmers, and ranchers. Adobe Acrobat (.pdf). If the submission important step to strengthen the U.S.- USTR must receive written comments is in an application other than those Kenya economic relationship and to no later than April 15, 2020. USTR two, please indicate the name of the achieve free, fair, and reciprocal trade. requests that small businesses (generally application in the ‘type comment’ field. President Trump and President defined by the Small Business For any comments submitted Kenyatta established the U.S.-Kenya Administration as firms with fewer than electronically that contain business Trade and Investment Working Group in 500 employees) or organizations confidential information (BCI), the file August 2018 to explore ways to deepen representing small business members, name of the business confidential economic ties between the United States which submit comments to self-identify version should begin with the characters and Kenya and lay the groundwork for as such, so that we may be aware of ‘BCI.’ Clearly mark any page containing a stronger future trade relationship. issues of particular interest to small BCI ‘BUSINESS CONFIDENTIAL’ on the On March 17, 2020, following businesses. top of that page. Filers of submissions consultations with relevant The TPSC will hold a hearing on containing BCI also must submit a Congressional committees, the U.S. Tuesday, April 28, 2020 in Rooms 1 and public version of their comments. The Trade Representative informed Congress 2, 1724 F Street NW, Washington, DC file name of the public version should that the President intends to commence 20508. If necessary, the hearing will begin with the character ‘P.’ Follow the negotiations with Kenya for a U.S.- continue on the next business day. ‘BCI’ and ‘P’ with the name of the Kenya trade agreement Persons wishing to testify at the hearing person or entity submitting the

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comments. Filers submitting comments ADDRESSES: Interested persons are Issued in Oklahoma City, OK, on March 18, containing no BCI should name their invited to submit written comments on 2020. file using the name of the person or the proposed information collection to Bonnie Lefko, entity submitting the comments. the Office of Information and Regulatory Program Analyst, Civil Aviation Registry, Please do not attach separate cover Affairs, Office of Management and Aircraft Registration Branch, AFB–710. letters to electronic submissions; rather, Budget. Comments should be addressed [FR Doc. 2020–06039 Filed 3–20–20; 8:45 am] include any information that might to the attention of the Desk Officer, BILLING CODE 4910–13–P appear in a cover letter in the comments Department of Transportation/FAA, and themselves. Similarly, to the extent sent via electronic mail to oira_ possible, please include any exhibits, [email protected], or faxed to DEPARTMENT OF TRANSPORTATION annexes, or other attachments in the (202) 395–6974, or mailed to the Office same file as the submission itself, not as of Information and Regulatory Affairs, Pipeline and Hazardous Materials separate files. Office of Management and Budget, Safety Administration As noted, USTR strongly urges Docket Library, Room 10102, 725 17th [Docket No. PHMSA–2017 0084; Notice No. submitters to file comments through Street NW, Washington, DC 20503. 2018–14] Regulations.gov. If alternative FOR FURTHER INFORMATION CONTACT: arrangements are essential, you must Hazardous Materials: Termination of Bonnie Lefko by email at: bonnie.lefko@ make them before transmitting a M-Number and R-Number Approvals faa.gov; phone: 405–954–7461. comment and in advance of the Issued Without an Expiration Date applicable deadline, with Yvonne SUPPLEMENTARY INFORMATION: AGENCY: Pipeline and Hazardous Jamison at (202) 395–3475. Public Comments Invited: You are Materials Safety Administration USTR will place comments in the asked to comment on any aspect of this (PHMSA), Department of Transportation docket for public inspection, except information collection, including (a) (DOT). BCI. General information concerning Whether the proposed collection of ACTION: Notice. USTR is available at www.ustr.gov. information is necessary for FAA’s Edward Gresser, performance; (b) the accuracy of the SUMMARY: All R-number holders and Chair of the Trade Policy Staff Committee, estimated burden; (c) ways for FAA to holders of M-number approvals issued Office of the United States Trade enhance the quality, utility and clarity without an expiration date that did not Representative. of the information collection; and (d) show cause why their approvals should [FR Doc. 2020–06041 Filed 3–20–20; 8:45 am] ways that the burden could be not be terminated, or did not apply for BILLING CODE 3290–F0–P minimized without reducing the quality a modification of that approval to get a of the collected information. The agency 5-year expiration time frame in response will summarize and/or include your to the Federal Register Notice issued DEPARTMENT OF TRANSPORTATION comments in the request for OMB’s Friday, November 17, 2017, [Docket No. clearance of this information collection. PHMSA–2017–0084; Notice No. 2017– Federal Aviation Administration OMB Control Number: 2120–0042. 03], are hereby notified that these Title: Aircraft Registration. approvals shall be terminated, 30 days [Docket No. FAA–2020–0046] from the publication of this Federal Form Numbers: AC Forms 8050–1, Register Notice. Agency Information Collection 8050–1B, 8050–2, 8050–4, 8050–88, FOR FURTHER INFORMATION CONTACT: Activities: Requests for Comments; 8050–88A, 8050–98 and 8050–117. Clearance of Renewed Approval of Duane Cassidy, Acting Director, Type of Review: Renewal of an Information Collection: Aircraft Approvals and Permits Division, Office information collection. Registration of Hazardous Materials Safety, (202) Background: The Federal Register 366–5794 PHMSA, 1200 New Jersey AGENCY: Federal Aviation Notice with a 60-day comment period Avenue SE, Washington, DC 20590 or at Administration (FAA), DOT. soliciting comments on the following [email protected]. ACTION: Notice and request for collection of information was published Correspondence regarding the comments. on January 15, 2020 (85 FR 2481). proposed M-number and R-number Public Law 103–272 states that all terminations should be sent to SUMMARY: In accordance with the aircraft must be registered before they [email protected] with the subject line Paperwork Reduction Act of 1995, FAA may be flown. It sets forth registration ‘‘Termination of M-numbers/ invites public comments about our eligibility requirements and provides for Termination of R-numbers.’’ intention to request the Office of application for registration as well as SUPPLEMENTARY INFORMATION: Management and Budget (OMB) suspension and/or revocation of approval to renew a previously registration. The FAA uses the I. Introduction approved information collection. The information collected to register an PHMSA is terminating M-number and Federal Register Notice with a 60-day aircraft or hold an aircraft in trust. The R-number approvals discussed in the comment period soliciting comments on information requested is required to Federal Register Notice issued Friday, the following collection of information register and prove ownership. November 17, 2017 (82 FR 54465) to was published on January 15, 2020. The Respondents: Approximately 162,176 streamline all approvals issued by the FAA uses the information collected to registrants. Approvals and Permits Division. R- register aircraft or hold an aircraft in number and M-number approvals that Frequency: Information is collected trust. The information to register and were issued without an expiration date, on occasion. prove ownership of an aircraft is whose holders have not shown cause required from any person wishing to Estimated Average Burden per why their approval should not be register an aircraft. Response: 32 minutes. terminated or applied for a modification DATES: Written comments should be Estimated Total Annual Burden: to get a 5-year expiration date, are submitted by April 22, 2020. 135,457 hours. terminated effective January 1, 2020.

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PHMSA originally proposed that PHMSA also interacted with The IPANA contacted PHMSA by phone termination of these approvals would Sporting Arms and Ammunition in 2017, and inquired as to whether this take effect one year from the publication Manufacturers’ Institute (SAAMI) and cancellation applied to all M Numbers, date of the Notice. The Notice, and the the Industrial Packaging Alliance of even those with an expiration date. comments received by PHMSA, are North America (IPANA). SAAMI PHMSA responded to IPANA that the available on regulations.gov in Docket opposed the addition of an expiration notice applied to all R Number No. PHMSA–2017–0084. date, as this would come with the added approvals and existing M Number approvals without an expiration date. II. Background responsibility of renewal by the applicants. They also questioned PHMSA also noted that it was PHMSA’s M-number approvals are issued to PHMSA’s action, believing it would intent to cover registered symbols companies that manufacture or affect the M-number marking, as this further under a separate Federal recondition packaging related to would cause economic hardship to its Register Notice as there are other issues hazardous materials to show that the members. IPANA contacted PHMSA by that need to be addressed concerning manufacturer holds a registered M phone and questioned whether the the use of one approval for several Number symbol. This number is used announcement covered registration locations. This action is being reviewed for identification purposes in place of symbols previously grandfathered into by PHMSA and will be initiated at a the manufacturer or reconditioner’s the database. future date under a separate Federal name and address, as authorized in 49 After review of the correspondence Register Notice. However, PHMSA also CFR 178.503. In previous years, PHMSA made clear that if an original approval issued reconditioner approvals, known received, PHMSA responded with verbal and/or written communications authorizing a grandfathered symbol as an ‘‘R-number,’’ to companies that does not have an expiration date, it will reconditioned packages related to to each of the commenters. PHMSA made SAAMI aware that PHMSA was require one. hazardous materials. PHMSA no longer Subsequently, PHMSA indicated that not changing the marking requirements issues R-number approvals and now it would provide increased outreach and that the addition of expiration dates issues M-number approvals in their efforts on the Federal Register Notice to approvals and permits was initiated place. Prior to 2010, M-number and R- regarding M-number and R-number as part of PHMSA’s 2010 action plan number approvals were issued without approvals and would host a question following an audit of Approvals and expiration dates. and answer webinar on the proposed On November 17, 2017, PHMSA Permits. As a result, PHMSA changes prior to Summer 2018. PHMSA issued a Federal Register Notice implemented expiration dates on all hosted a webinar on May 21, 2018 to proposing to terminate R-number and approvals and permits, except for provide additional information on the M-number approvals without expiration classification approvals. PHMSA also M-Number and R-Number Program dates, if approval holders did not hosted representatives from SAAMI at Federal Register Notice. PHMSA had 20 modify their approvals or show cause its headquarters on two separate entities participate including why their approvals should not be occasions, once in December of 2017 stakeholders from several companies terminated as provided for in 49 Code and again in August of 2018. SAAMI is and associations in the hazmat of Federal Regulations (CFR) opposed to the addition of expiration community. A recording of the material § 107.713(c)(1). See 82 FR 54465. dates on M Number approvals, as they covered was posted on PHMSA’s web Taking this action will allow PHMSA believe that it will impose an page on June 30, 2018. to regularly review approval documents administrative burden on their and track changes. It will ensure that all members. On both occasions, PHMSA III. Action applicants are subject to the same answered questions in relation to the PHMSA is granting an extension of renewal timelines and requirements to reasoning for the addition of expiration the November 17, 2018 show cause contact PHMSA when pertinent dates and SAAMI’s concern that it deadline and termination date proposed information pertaining to the approval would cause hardship to its members in the Notice. Holders of R-number and holder, such as operating status and due to the responsibility of renewal and M-number approvals issued without an facility locations, has changed. maintenance of approval documents. expiration date that have not shown PHMSA has communicated the PHMSA expressed that the cause why their approvals should not be details of Notice No. 2017–03 with the administrative burden would be terminated as provided in 49 CFR regulated community, utilizing various minimal, due to a simple application 107.713(c)(1), or have not applied for a methods (webinars, brochures/ process consisting of a short email modification of their approval in pamphlets, YouTube presentations). submission including information accordance with 49 CFR § 107.705 30 National Tank Truck Carriers (NTTC) pursuant to 49 CFR 107.705. days after the posting of this notice are commented, requesting that PHMSA Additionally, as this is a registration hereby informed that effective 30 days immediately suspend, modify or remove process, no onsite inspection or fitness from the issuance of this notice, these the posting and the opportunity to action would be required prior to approvals are terminated. The extension comment on the policy be given to issuance. PHMSA also noted that this of the termination date was to allow for industry prior to its implementation. effort was to increase the reliability of sufficient time to respond to comments PHMSA communicated with NTTC via its data, track out of business companies from the public and provide outreach on teleconference meeting. NTTC to limit resource drain on its the proposed action. mistakenly assumed that the Federal investigators, and ensure changes to A holder of an M-number or R- Register Notice would affect the Repair/ ownership, addresses, and name number approval that is terminated Rebuild R-Stamp certification issued by changes of approval holders are kept up according to this Notice may request ASME for cargo tank repair. PHMSA to date as required. PHMSA also that the Associate Administrator for the explained that this program would be explained that expiration dates on Office of Hazardous Materials Safety unaffected by the Federal Register approvals allow PHMSA to re-evaluate reconsider the termination. Pursuant to Notice and NTTC officially submitted a the need for the approval and the 49 CFR 107.715, such a request must: (1) withdrawal of their comments from the continued fitness of approval holders at Be in writing and filed within 20 days docket. regular intervals. of the date of termination; (2) state in

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detail any alleged errors of fact and law; DEPARTMENT OF VETERANS Dated: March 17, 2020. (3) enclose any additional information AFFAIRS LaTonya L. Small, needed to support the request to Federal Advisory Committee Management reconsider; and (4) state in detail the Special Medical Advisory Group, Officer. modification of the final decision Notice of Meeting—Cancellation [FR Doc. 2020–05990 Filed 3–20–20; 8:45 am] sought. This notice serves as service of BILLING CODE P process pursuant to 49 CFR The Department of Veterans Affairs § 105.35(a)(3). (VA) gives notice under the Federal Issued in Washington, DC, on March 18, Advisory Committee Act that a meeting 2020, under the authority of 49 U.S.C. 5101– of the Special Medical Advisory Group 5128, as delegated in 49 CFR part 107. (the Committee) that was scheduled for William S. Schoonover, March 20, 2020 has been postponed. Associate Administrator for Hazardous Details on a future meeting will be Materials Safety, Pipeline and Hazardous posted at a later date. Materials Safety Administration. [FR Doc. 2020–06040 Filed 3–20–20; 8:45 am] BILLING CODE 4909–60–P

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Part II

Department of Homeland Security

Transportation Security Administration 49 CFR Parts 1500, 1520, et al. Security Training for Surface Transportation Employees; Final Rule

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DEPARTMENT OF HOMELAND view the daily published Federal TSSM—Transportation Security-Sensitive SECURITY Register edition; or accessing the Material ‘‘Search the Federal Register by UASI—Urban Area Security Initiative Transportation Security Administration Citation’’ in the ‘‘Related Resources’’ UMRA—Unfunded Mandates Reform Act of 1995 column on the left, if you need to do a VBIED—Vehicle-Borne Improvised Explosive 49 CFR Parts 1500, 1520, 1570, 1580, Simple or Advanced search for Device 1582, and 1584 information, such as a type of document Table of Contents [Docket No. TSA–2015–0001] that crosses multiple agencies or dates. In addition, copies are available by I. Executive Summary and Background RIN 1652–AA55 writing or calling the individual in the A. Statutory Mandate FOR FURTHER INFORMATION CONTACT B. Benefits of Requiring Security Training Security Training for Surface section. Make sure to identify the docket C. Costs of This Final Rule Transportation Employees number of this rulemaking. D. Organization of This Final Rule II. Security Program Requirements AGENCY: Transportation Security Small Entity Inquiries A. Who must provide security training? Administration, DHS. The Small Business Regulatory 1. Freight Railroads (§ 1580.101) ACTION: Final rule. Enforcement Fairness Act (SBREFA) of 2. Public Transportation and Passenger Railroads (§ 1582.101) SUMMARY: The Transportation Security 1996 requires TSA to comply with small 3. Over-the-Road Buses (§ 1584.101) Administration (TSA) is requiring entity requests for information and 4. Impact on Certain Business Operations owner/operators of higher-risk freight advice about compliance with statutes B. Who is responsible for determining railroad carriers, public transportation and regulations within TSA’s whether a specific owner/operator is agencies (including rail mass transit and jurisdiction.1 Any small entity that has subject to the requirements of the rule bus systems), passenger railroad a question regarding this document may (applicability determinations)? carriers, and over-the-road bus contact the person listed in the FOR (§ 1570.105) C. Which employees must receive security companies, to provide TSA-approved FURTHER INFORMATION CONTACT section. Persons can obtain further information training? (§§ 1580.115(a), 1582.115(a) security training to employees and 1584.115(a)) performing security-sensitive functions. regarding SBREFA on the Small D. How does an owner/operator determine The training curriculum must teach Business Administration’s web page at if someone is a security-sensitive employees how to observe, assess, and https://www.sba.gov/category/advocacy- employee? (§§ 1580.3, 1582.3, and respond to terrorist-related threats and/ navigation-structure/regulatory-policy/ 1584.3) or incidents. Additionally, TSA is regulatory-flexibility-act/sbrefa. E. Can untrained security-sensitive employees perform security-sensitive expanding its requirements for security Abbreviations and Terms Used in This coordinators and reporting of significant functions? (§§ 1580.115(b), 1582.115(b), Document and 1584.115(b)) security concerns (currently limited to F. What topics must be included in the rail operations) to include bus Amtrak—National Railroad Passenger Corporation security training? (§§ 1580.115(c)–(f), operations within the scope of the APTA—American Public Transportation 1582.115(c)–(f), and 1584.115(c)–(f)) regulation’s applicability. TSA is Association G. Who will provide the security training amending other provisions of its CDL—Commercial Driver’s License curriculum? (§§ 1580.113, 1582.113, and regulations, as necessary, to implement DHS—Department of Homeland Security 1584.113)? these requirements. DOT—Department of Transportation H. Can owner/operators use pre-existing material or other third-party material? DATES: FRA—Federal Railroad Administration (§ 1570.103) Effective date: This rule is effective FTA—Federal Transit Administration GAO—U.S. Government Accountability I. How do these requirements relate to June 22, 2020. Office other security training required by other Compliance date: In general, HSA—Homeland Security Act of 2002 Federal or State agencies? compliance schedules are indicated in HTUA—High Threat Urban Area (§§ 1580.115(c), 1582.115(c), and this rule. The requirements in 49 CFR IED—Improvised Explosive Device 1584.115(c)) 1570.201 must be met no later than July MOU—Memorandum of Understanding J. What is the required schedule for 29, 2020. NSI—Nationwide Suspicious Activity providing training? (§ 1570.111) Reporting (SAR) Initiative FOR FURTHER INFORMATION CONTACT: 1. Initial Training (§ 1570.111(a)) OMB—Office of Management and Budget 2. Recurrent Training (§ 1570.111(b)) Harry Schultz (TSA, Security Policy and OSHA—Occupational Health and Safety 3. Previous Training (§ 1570.107) Industry Engagement, Surface Division) Administration K. Do employees have to pass a test? or David Kasminoff (TSA, Senior OTRB—Over-the-Road Bus ((§§ 1580.113(b)(9), 1582.113(b)(9), and Counsel, Regulations and Security PHMSA—Pipeline and Hazardous Materials 1584.113(b)(9)) Safety Administration Standards) at telephone (571) 227–5563, III. Operational Requirements (Subpart D) or email to SecurityTrainingPolicy@ PRA—Paperwork Reduction Act of 1995 A. Security Coordinator Requirements tsa.dhs.gov. PTPR—Public Transportation and Passenger Railroads (§ 1570.201) SUPPLEMENTARY INFORMATION: RFA—Regulatory Flexibility Act of 1980 B. Requirement To Report Security RIA—Regulatory Impact Analysis Concerns (§ 1570.203) Availability of Rulemaking Document RSC—Rail Security Coordinator C. Methods for Reporting Information and An electronic copy can be obtained RSSM—Rail Security-Sensitive Material Substance of Information Provided using the internet by— SBA—Small Business Administration (§ 1570.203 (a) and (c)) (1) Searching the electronic Federal SBREFA—Small Business Regulatory IV. Security Program Procedures Docket Management System (FDMS) Enforcement Fairness Act of 1996 A. Deadlines Related to Submission and SSI—Sensitive Security Information Approval of Security Training Program web page at http://www.regulations.gov; TSA—Transportation Security B. Amendments (2) Accessing the Government Administration 1. Amendments Initiated by Owner/ Printing Office’s web page at http:// Operator (§ 1570.113) www.gpo.gov/fdsys/browse/ 1 Public Law 104–121, 110 Stat. 857 (Mar. 29, 2. Amendments Initiated by TSA collection.action?collectionCode=FR to 1996). (§ 1570.115)

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C. Alternative Measures (§ 1570.117) the Aviation and Transportation for Counterterrorism in the United D. Petitions for Reconsideration Security Act (ATSA) and established the States: (§ 1570.119) agency’s primary Federal role to E. Recordkeeping Requirements The critical infrastructure of the United enhance security for all modes of States—much of which is privately owned— (§ 1570.121) 2 F. Summary of Deadlines transportation. The scope of TSA’s provides the essential goods and services that V. Miscellaneous Changes authority includes assessing security drive American prosperity. Coordinated A. Amendments to Part 1500 risks, developing security measures to efforts are, therefore, necessary to strengthen B. Amendments to Part 1503 address identified risks, and enforcing and maintain secure and resilient critical C. Amendments to Part 1520 compliance with these measures.3 TSA infrastructure and to prepare Americans to D. Amendments to Part 1570 respond appropriately should an attack also has broad regulatory authority to occur. By integrating and improving 1. Security Responsibilities for Employees issue, rescind, and revise regulations as and Other Persons (§ 1570.7) preparedness across all levels of government 2. Compliance, Inspection, and necessary to carry out its transportation as well as the private and public sectors, we 4 Enforcement (§ 1570.9) security functions. will stop terrorists from undermining our 3. ‘‘Covered Person’’ (§ 1570.305) As part of the Implementing security and prosperity.9 VI. Summary of Changes Recommendations of the 9/11 Consistent with this strategy, the VII. Response to Comments on NPRM Commission Act of 2007 (9/11 Act),5 purpose of this rule is to solidify the A. General Comments 1. Need for Rule Congress mandated regulations to baseline of security for higher-risk 2. Cost of Rule enhance surface transportation security surface transportation operations by 3. Stakeholder Consultation through security training of frontline improving and sustaining the 4. Terms employees. The mandate includes preparedness of surface transportation B. Investigative and Enforcement prescriptive requirements for who must employees in higher-risk operations, Procedures be trained, what the training must including their critical capability to C. Part 1570—General Rules encompass, and how to submit and observe, assess, and respond to security 1. Terms Used in This Subchapter obtain approval for a training program.6 risks and potential security breaches (§ 1570.3) 2. Recognition of Prior or Established The 9/11 Act also mandates regulations within their unique working Security Measures or Programs (§ 1570.7) requiring higher-risk railroads and over- environment. In developing this 3. Submission and Approval (§ 1570.109) the-road buses (OTRBs) to appoint rulemaking, TSA recognizes private 4. Implementation Schedule (§ 1570.111) security coordinators.7 In addition to sector capabilities, voluntary initiatives, 5. Recordkeeping and Availability implementing these provisions, this and other Federal requirements to raise (§ 1570.121) final rule also addresses a mandate to security within distinct surface 6. Security Coordinator (§ 1570.201) define Transportation Security-Sensitive transportation operations. By integrating 7. Reporting Significant Security Concerns Materials.8 these efforts, setting a national standard (§ 1570.203) for surface transportation employee D. Subpart B—Security Programs B. Benefits of Requiring Security security training, and ensuring this 1. Security Training Program General Training Requirements (§§ 1580.113, 1582.113, training is sustained across higher-risk and 1584.113) TSA is issuing this rule pursuant to operations, this rule promotes national 2. Security Training and Knowledge for its authority and responsibility over the security in alignment with the intent of Security-Sensitive Employees security of the nation’s transportation the 9/11 Act and the National Strategy. (§§ 1580.115, 1582.115, and 1584.115) systems. TSA fulfills its transportation The rule accomplishes this purpose E. Freight Rail Specific Issues by requiring higher-risk public 1. Applicability of Security Training security mission in partnership with its Requirements (§ 1580.101) industry and government stakeholders. transportation systems, railroad carriers 2. Chain of Custody and Control As noted in the 2018 National Strategy (passenger and freight), and OTRB Requirements (§ 1580.205) owner/operators to prepare and train F. Public Transportation and Passenger 2 Public Law 107–71, 115 Stat. 597 (Nov. 19, their employees performing security- Railroad Specific Issues 2001). ATSA created TSA as a component of the sensitive job functions. Through G. OTRB Specific Issues Department of Transportation (DOT). Section 403(2) security training, employees will have 1. Definition of Security-Sensitive of the Homeland Security Act of 2002 (HSA), Public the capability to identify, report, and Law 107–296, 116 Stat. 2135 (Nov. 25, 2002), Employees (§ 1584.3 and Appendix B to appropriately react to suspicious Part 1584) transferred all functions related to transportation 2. Applicability (§ 1584.101) security, including those of the Secretary of activity, suspicious items, dangerous Transportation and the Under Secretary of H. Comments Beyond Scope of Rulemaking substances, and security incidents that Transportation for Security, to the Secretary of may be associated with terrorist VIII. Rulemaking Analyses and Notices Homeland Security. Pursuant to DHS Delegation A. Paperwork Reduction Act Number 7060.2, the Secretary delegated to the reconnaissance, preparation, or action. B. Economic Impact Analyses Administrator, subject to the Secretary’s guidance TSA believes this training may be the 1. Regulatory Impact Analysis Summary and control, the authority vested in the Secretary critical point for preventing a terrorist 2. Executive Orders 12866, 13563, and with respect to TSA, including the authority in sec. act and mitigating the consequences. 13711 Assessments 403(2) of the HSA. In order to ensure effective 3 See 49 U.S.C. 114, which codified section 101 3. OMB A–4 Statement communication regarding threats (both 4. Alternatives Considered of ATSA. 5. Regulatory Flexibility Assessment 4 49 U.S.C. 114(l)(1). to regulated parties and from regulated 6. International Trade Impact Assessment 5 Public Law 110–53, 121 Stat. 266 (Aug. 3, 2007). parties), TSA is also expanding 7. Unfunded Mandates Assessment 6 See secs. 1408, 1517, and 1534 of the 9/11 Act, applicability of current requirements for C. Executive Order 13132, Federalism codified at 6 U.S.C. 1137, 1167, and 1184, rail operations to have security respectively. D. Environmental Analysis 7 coordinators and report security E. Energy Impact Analysis See secs. 1512 and 1531 of the 9/11 Act, codified at 6 U.S.C. 1162 and 1181, respectively. incidents to TSA. With this rulemaking, I. Executive Summary and Background TSA addresses 1512(e)(1)(A) and 1531(e)(1)(A) in this rulemaking. TSA intends to address the other 9 See The White House, National Strategy for A. Statutory Mandate regulatory requirements of these provisions in Counterterorrism in the United States, at 19 (Oct. separate rulemakings. 2018), available at https://www.dni.gov/files/NCTC/ Following the attacks of September 8 See sec. 1501 of the 9/11 Act, codified at 6 documents/news_documents/NSCT.pdf (last 11, 2001, Congress created TSA under U.S.C. 1151. accessed Nov. 26, 2018) (National Strategy).

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the applicability for this requirement is aspects of subchapter D; (2) subpart B recordkeeping requirements. This expanded to include any owner/ includes security program requirements section also includes a table that operator required to provide security consistently relevant to multiple modes; summarizes the compliance deadlines training. Requiring higher-risk owner/ (3) subpart C includes operational owner/operators must meet. Section V operators to have security coordinators requirements consistently applicable to discusses other revisions to TSA’s and report significant security concerns multiple modes; and (4) subpart D regulations that result from adding these to TSA will enhance TSA’s ability to moves and consolidates general new requirements to Subchapter D.12 recognize trends and communicate provisions related to security threat This final rule includes TSA’s directly with individuals within higher- assessments (STAs) which are more responses to comments received on the risk operations that have direct specifically addressed in part 1572. As NPRM. Section VI includes a chart responsibility for security. noted below, mode-specific summarizing the minimal changes requirements are contained in C. Costs of This Final Rule between the NPRM and final rule. subsequent parts. Section VII provides TSA’s responses to Table 1 identifies TSA’s estimates for • Part 1580 is modified to limit comments on the NPRM. the overall cost of this rule. requirements applicable to rail security. Section VIII includes the rulemaking This part includes operational analysis and notices. This analysis TABLE 1—COST OF FINAL RULE requirements unique to freight railroads includes any changes in the impact and rail hazardous materials shippers/ estimates between the NPRM and the Estimated costs receivers (such as chain of custody) 11 (over 10 years, final rule and the basis for those discounted at 7 and modal-specific security training changes. percent) requirements for freight railroads. The requirements for appointment of II. Security Program Requirements Freight Railroads ...... $25.09 million. security coordinators and reporting A. Who must provide security training? Public Transportation and 17.12 million. security issues are moved to part 1570 Passenger Railroads and several definitions are moved to Consistent with TSA’s commitment to (PTPRs). part 1500. a risk-based approach to transportation OTRBs ...... 8.06 million. • Part 1582, a new part entitled security, the requirements of this rule TSA ...... 2.03 million. ‘‘Public Transportation and Passenger only apply to higher-risk operations. A Total ...... 52.30 million. Railroad Security,’’ includes modal- higher-risk operation is one that meets specific security training requirements the criteria in §§ 1580.101 (freight D. Organization of This Final Rule for public transportation system and railroads), 1582.101 (PTPR), and passenger railroads (PTPR). The 1584.101 (OTRB). These criteria are Subchapter D of chapter XII of title requirements for appointment of used to identify operations with a 49, ‘‘Maritime and Surface security coordinators and reporting relatively higher-risk of being targeted Transportation Security’’ 10 (Subchapter security issues applicable to PTPR rail or used by terrorists. While there are D), includes security program operations are moved to part 1570 and approximately 10,000 surface requirements for surface transportation, several definitions are moved to part transportation operations, including the requirements in this final 1500. approximately 300 of them currently rule. Before this final rule, Subchapter • Part 1584, a new part entitled, meet the criteria.13 D included requirements relevant to two ‘‘Highway and Motor Carrier Security,’’ While the requirements of this rule vetting programs (the Transportation includes modal-specific security are limited to higher-risk operations, Worker Identification Credential (TWIC) training requirements for OTRB owner/ TSA encourages all owner/operators to and Hazmat Material Endorsement operators. consider implementing the security (HME), as well as certain rail security Owner/operators subject to the training program required by this rule, requirements, including chain of requirements of this final rule will need modified and adapted to their custody for Rail Security-Sensitive to address the requirements in part 1570 operations, as appropriate. TSA will Materials (RSSM), appointment of as well as the requirements applicable ensure resources developed for security coordinators, and reporting to their respective mode in parts 1582 regulated owner/operators, such as security issues. through 1584. Sections II through IV, TSA-created training materials, are This final rule (1) adds requirements which follow, provide a comprehensive available to owner/operators of non- for security training for certain surface discussion of these requirements as they higher-risk operations who are transportation owner/operators; (2) will be implemented, rather than a committed to enhancing security expands applicability of the security sequential section-by-section analysis. through improving the security coordinator and reporting security issue Section II addresses general awareness of employees. requirements to include higher-risk bus programmatic requirements, including: TSA’s applicability criteria for freight operations; and (3) adds other Applicability determinations, which railroads, PTPR, OTRB, and certain miscellaneous provisions necessary for employees must be trained, content of business operations are as follows. implementation of a new regulatory training, and the required training program. 1. Freight Railroads (§ 1580.101) To incorporate these new elements, schedule. Section III discusses A freight railroad owner/operator TSA is organizing Subchapter D as operational requirements, such as the must provide security training if it is: (a) follows. requirement for security coordinators • Part 1570 is divided into four and reporting of security incidents. subparts: (1) Subpart A includes Section IV provides the procedural 12 The discussion does not address provisions that are moved, as discussed above, but not requirements generally applicable to all requirements for submission and approval of a security training program, modified. 13 A full discussion of TSA’s analysis and 10 TSA is modifying the title of this subchapter, amendments to the program, and considerations in making its determination and changing it from ‘‘Maritime and Land developing the applicability criteria can be found Transportation Security’’ to ‘‘Maritime and Surface 11 See Rail Transportation Security Final Rule in the NPRM. See 81 FR at 91355 et seq. (section Transportation Security.’’ (Rail Security Rule), 73 FR 72130, (Nov. 26, 2008). III.F. of the NPRM).

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Designated as Class I; 14 (b) transports railroads and the intercity or commuter training is recommended by TSA. TSA RSSM in one or more of the areas listed systems identified in § 1582.101). The estimates the requirements of this rule in current Appendix A to 49 CFR part flowchart in Figure 1 summarizes when currently apply to 33 freight railroads. 1580; 15 and/or (c) hosts a higher-risk a freight railroad owner/operator must rail operation (including freight provide security training and when this

2. Public Transportation and Passenger 3. Over-the-Road Buses (§ 1584.101) where the owner/operator provides Railroads (§ 1582.101) An OTRB owner/operator must service, rather than corporate headquarters locations, TSA considered A public transportation agency or provide security training if it provides fixed-route service to, through, or from factors that could make an OTRB a passenger railroad must provide any of ten areas identified in 49 CFR potential target for a terrorist attack, security training if it is (a) one of the 46 part 1584, Appendix A. These ten areas including (1) its visibility (the size of its identified PTPR systems listed in 49 receive the highest funding allocation operations); (2) the extent to which its CFR part 1582, Appendix A; (b) Amtrak; under the FY 2018 Urban Area Security schedule is publicly available; (3) or (c) hosts a higher-risk freight railroad. Initiative (UASI) grant program (87 whether or not it is relatively easy for DHS consistently identifies the eight percent of the total available funding).16 unknown individuals to board the bus; regions where the 46 systems operate as TSA estimates that this rule will apply (4) and whether the bus will have ease having the highest transit-specific risk. to approximately 205 OTRB owner/ of access to high-consequence locations. Applying the rule’s requirements to operators. TSA is aware that some private these systems corresponds to providing The determining factor for whether a companies provide commuter services enhanced security for more than 80 fixed-route OTRB owner/operator is that may trigger applicability of the rule. percent of all PTPR passengers. within the scope of the rule is not where Figure 2 provides a flowchart to assist they are headquartered, but where they companies with determining if the provide service. In deciding to rely on security training requirements apply.

14 The Surface Transportation Board defines a 16 UASI funds are allocated based on a risk the FY 2018 Homeland Security Grant Program Class I railroad as one with annual operating methodology employed by DHS and the Federal Notice of Funding Opportunity, Appendix A at revenue in excess of $447,621,226 (adjusted for Emergency Management Agency (FEMA). For the https://www.fema.gov/media-library-data/ inflation). list of UASI allocations for the FY 2018 UASI grant 1526578809767-7f08f471f36d22b2c program, which is administered by FEMA as part 0d8afb848048c96/FY_2018_HSGP_NOFO_FINAL_ 15 See § 1580.3 for definition of RSSM. of the larger Homeland Security Grant Program, see 508.pdf.

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4. Impact on Certain Business situation, owner/operator B could route. The Canadian OTRB owner/ Operations choose to submit a proposed alternative operator would be required to have a Parent corporations and subsidiaries. to limit application of the requirements security training program and provide While the criteria for higher-risk to branches and a handful of the required training to the driver and determinations presumes similarities for headquarters or other regional any other employee performing a operations within each mode,17 TSA employees that provide operational security-sensitive function that supports recognizes there are other support. The submission requirements the operations transiting through higher- considerations that could affect and procedures for requesting risk regions in the United States (such applicability, particularly related to alternative measures are discussed in as individuals providing maintenance or subsidiaries. As discussed in section section IV. inspection services and dispatch III.F of the NPRM,18 TSA is limiting the Foreign owner/operators. While the information applicable to the covered requirements to the level of the applicability provisions for security route). Once applicability is triggered, it subsidiary whose operations fit the training do not specifically reference is irrelevant where the OTRB owner/ applicability criteria identified in the foreign owner/operators, the operator’s company is located or where rule. requirements apply to employees the function is being performed During the review and approval performing a security-sensitive function (whether the employee is performing process of the security training program, ‘‘. . . in the United States or in direct the security-sensitive function at a TSA will work with owner/operators to support of the common carriage of location in Canada or along the route in address any compliance issues based on persons or property between a place in the United States). corporate structure. For example, the United States and any place outside In addition, while foreign owner/ owner/operator A may be organized to the United States.’’ Therefore, the operators providing service in the make each regional area a separate training requirements of this rule apply United States are required to have a subsidiary. As such, only the subsidiary to both domestic owner/operators and security coordinator and alternate, that meets the applicability foreign owner/operators with employees foreign owner/operators are only requirements must develop a security performing covered functions within the required to report potential threats and training program. Owner/operator B United States or in support of significant security concerns for may be a single entity for purposes of operations within the United States. For operations in the United States or corporate-legal structure with branches, example, the rule may apply to a transportation to, from, or within the rather than subsidiaries, providing Canadian OTRB owner/operator offering United States. A similar requirement service on specific routes. Under this fixed-route service that begins at a point currently applies to foreign freight rule, the entire corporation is subject to in Canada and transits through an area railroad owner/operators under 49 CFR the requirements based on the identified in part 1584, Appendix A part 1580. This approach is also operations of one route. In this before concluding at a point in Mexico. consistent with that taken by the Even if only one employee (for example, Federal Railroad Administration (FRA). 17 See discussion on applicability at 81 FR 91355 the driver), performs a security-sensitive Hosting relationships. TSA recognizes et seq. (sec. III.F. of NPRM). function while physically in the United that joint operations are common within 18 81 FR at 91355. States, applicability is triggered by the the rail industry and include agreements

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such as hosting. In a hosting TSA-approved-security training established information sharing relationship, the ‘‘host railroad’’ owns program. TSA will expect the passenger mechanisms, TSA also conducts regular the track and exercises operational operation to clearly state in its security calls, workshops, and meetings with control of the movement of trains of training program, as part of the major industry partners and trade other railroads (the ‘‘tenant’’ railroads) submission process under 49 CFR associations. TSA’s surface while they are using that track. 1570.109, that the freight railroad carrier representatives also work closely with Under this rule, both the host and will conduct the training and provide surface-system owner/operators during tenant railroads are required to have a the required information on that industry-led security work groups, training program that appropriately training. conferences, roundtables, and other addresses the ramifications of the Regardless of how the parties define sector-specific government coordination hosting relationship. For example, the who will do what, TSA has authority to meetings. TSA plans to use all of these host railroad’s training program will inspect both parties’ operations for mechanisms to notify relevant industry need to address the operational compliance. The regulated party is partners of the new requirements. considerations of the hosting primarily responsible, but TSA has relationship, such as training authority to initiate enforcement actions C. Which employees must receive dispatchers on their role and for non-compliance against either party security training? (§§ 1580.115(a), responsibilities in halting the tenant based upon a fact-specific 1582.115(a) and 1584.115(a)) railroad’s operations over a segment of determination. While TSA historically track where there is a potential threat initiates enforcement actions against the Any owner/operator required to have (such as a suspected improvised regulated entity, we have begun to look a security training program under explosive device (IED) or tampering more closely at authorized §§ 1580.101, 1582.101, or 1584.101, with infrastructure). Similarly, a tenant representative/contractual relationships must provide security training to all railroad subject to the security training in our effort to address the root cause of security-sensitive employees. Security- requirements of 49 CFR part 1582 noncompliance. sensitive employees include any direct (PTPR), will need to address the employee, contractor, employee of a B. Who is responsible for determining operational considerations of the contractor, or other authorized person whether a specific owner/operator is hosting relationship, such as instructing who is compensated for performing a subject to the requirements of the rule its train and engine employees on the security-sensitive function on behalf of (applicability determinations)? proper communication procedures to or for the benefit of the owner/ (§ 1570.105) follow when a potential threat is operator.19 For example, if an OTRB identified. Under either example, the Owner/operators are required to use owner/operator does not employ any host and tenant railroad owner/ the criteria in 49 CFR parts 1580, 1582, drivers directly, but uses drivers under operators are only responsible for and 1584 (contained in a subpart B to contract, these drivers will need to be training their own employees. each part) to determine whether their trained. Similarly, if an owner/operator Contracted services. Contracted operations are higher-risk. If the has chosen to combine dispatch services services may involve joint operation operations meet the criteria, the with any affiliates of its parent pursuant to specific terms, but are requirements of this rule apply. Under corporation, the owner/operator different from hosting relationships. For § 1570.105(a), owner/operators must required to provide security training to example, some commuter passenger notify TSA within 30 days of the its direct employees will also be train services are owned by public effective date of this final rule if they required to provide security training to transportation agencies, but the agency meet the criteria for applicability. This any dispatchers providing services for has a contract with a private company obligation also applies to new and its fleet. (such as a freight railroad) to operate the modified operations (commencing after train. This is not a hosting relationship. publication of the final rule). Under D. How does an owner/operator When inspecting compliance by § 1570.105(b), owner/operators must determine if someone is a security- participants in this type of a contracted notify TSA no later than 90 calendar sensitive employee? (§§ 1580.3, 1582.3, services agreement, TSA will consider days before commencing operations or and 1584.3) the freight railroad carrier (the private implementing modifications triggering Definitions of mode-specific company/contractor) to be an applicability of the requirements. ‘‘security-sensitive employees’’ are authorized representative of the PTPR While the rule requires owner/ included in §§ 1580.3 (freight rail), owner/operator (the owner/operator of operators to determine whether the 1582.3 (PTPR), and 1584.3 (OTRB), with the passenger train service). TSA will criteria apply, TSA is aware of the additional detail regarding job functions hold the PTPR owner/operator primarily operations that are likely to be within provided in mode-specific tables responsible for compliance and for the scope of applicability. TSA may published as appendices to parts 1580,20 ensuring that all security-sensitive initiate a compliance investigation if an 1582, and 1584. As discussed in section employees receive the required training, owner/operator fails to self-identify III.E. of the NPRM, ‘‘security-sensitive whether they are employed directly by within the required period. employees’’ are individuals who the PTPR owner/operator or contractor. To mitigate the likelihood of an perform functions with a direct nexus The PTPR owner/operator must train owner/operator failing to comply based to, or impact on, transportation the freight railroad carrier’s employees upon lack of recognition of the performing security-sensitive functions applicability for these requirements, 19 related to the passenger train service. TSA will use a variety of See § 1570.3 for the definition of an ‘‘employee.’’ To the extent the contract between the communication strategies to notify 20 The table in part 1580 Appendix B is unique PTPR owner/operator and the freight regulated parties that are likely to meet in that it includes examples of the job titles related railroad includes a provision for the the applicability criteria. For example, to these functions based on historic use of these freight railroad to train its own TSA will use email to immediately terms for railroads. The job titles, however, are provided solely as a resource to help understand employees, the passenger operation is notify its key stakeholder points of the functions described; whether an employee must responsible for documenting satisfaction contact regarding publication of this be trained is based upon the function, not the job of the training requirements within its final rule. In addition to these title.

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security.21 These functions fall into the same environment as security-sensitive rule requires the owner/operator to following categories: (1) Operating a employees, TSA encourages owner/ remove the employee from a security- vehicle; inspecting and maintaining operators to make their training sensitive function. This requirement vehicles; (2) inspecting or maintaining materials and sessions available. does not affect the owner/operators’ building or transportation Providing awareness of training content discretion to reassign the individual to infrastructure; (3) controlling dispatch to local law enforcement personnel other non-security-sensitive job or movement of vehicles; (4) providing regularly assigned to patrols at locations functions. security of the owner/operator’s where security-sensitive employees F. What topics must be included in the equipment and property; (5) loading or work can enhance communication and security training? (§§ 1580.115(c)–(f), unloading cargo or baggage; (6) cooperation in response to potential 1582.115(c)–(f), and 1584.115(c)–(f)) interacting with travelling public (on threats or actual terrorist-related board a vehicle or within a incidents. TSA is requiring a training program transportation facility); and (7) The law enforcement agency or that focuses on the specific knowledge complying with security programs or personnel may be considered security- provided to security-sensitive measures, including those required by sensitive employees of the owner/ employees related to preparedness, Federal law (a catch-all category that operator if, for example, there is a observation, assessment and response. includes a small number of employees contractual relationship for the law As a key aspect of security awareness is such as security coordinators and any enforcement agency to provide services the ability to detect anomalies in the other individuals who may have to the owner/operator and the law operating environment, the rule affords responsibility for carrying out aspects of enforcement officer is assigned to that flexibility for owner/operators to the owner/operator’s security program location by the owner/operator. develop and implement a program that or other security measures who are not Similarly, where the owner/operator has addresses the above-required otherwise identified in the previous a dedicated police or security force who components in the context of their categories). are employees of the owner/operator, unique operational environments. The requirements also apply to these individuals are security-sensitive The ‘‘prepare’’ category addresses managers, supervisors, or others who employees who must be trained under training on discharging any security perform a security-sensitive function or this rule. responsibilities that security-sensitive who so directly supervise the TSA encourages owner/operators to employees may have under an owner/ performance of such a function that consider other employees within their operator’s existing security plan or their nexus is equivalent to the security- corporate structure or business security measure. This rule does not sensitive employee.22 For example, a operations who may not be performing require any owner/operator to adopt or yardmaster in freight railroad operations a security-sensitive function as implement a security plan or measures, is considered a security-sensitive identified in the rule, but who could but TSA is aware that many owner/ employee because he or she directs provide an additional layer of security operators have security plans or security-sensitive functions, even if not if they received security training. measures implemented to comply with in the direct management chain of all Furthermore, if an owner/operator Federal requirements, to qualify for individuals performing these functions. identifies positions or functions not Federal grants, or as the result of At the same time, individuals within a listed by TSA as security-sensitive, but voluntary initiatives. To the extent these corporate structure who neither perform which have the nexus to transportation plans or procedures exist, employees a security-sensitive function nor have security that is intended to be covered must be trained in order to ensure they direct management responsibilities over by the rule, TSA encourages the owner/ are effective. Similar to the threat and individuals who do are unlikely to have operator to identify and include these incident prevention and response a position within the corporation with employees within its security training training, this portion of the training a significant nexus to the transportation program. program will need to be tailored to the operations of the business (such as E. Can untrained security-sensitive specific operation. accounting functions). To the extent The ‘‘prepare’’ element provides employees perform security-sensitive there are such individuals in the multiple benefits to transportation functions? (§§ 1580.115(b), 1582.115(b), management structure, they will not be security and to owner/operators. First, and 1584.115(b)) considered ‘‘security-sensitive’’ the requirement recognizes that the time employees. If a security-sensitive employee does when a crisis is occurring is not the time In some circumstances, security- not receive the required security to provide training on how to sensitive functions may be performed by training, this employee is prohibited implement crisis-response measures. individuals not within the definition of from performing a security-sensitive Employees need to be prepared in ‘‘employee.’’ For example, police function without the direct supervision advance, especially if they have officers employed by a local law of an employee who has met the responsibilities related to responding to enforcement agency may be routinely training requirements applicable to that a terrorist incident in order to mitigate patrolling the owner/operator’s security-sensitive function. While TSA the consequences. Second, this training premises and/or operations, but do not is not defining ‘‘direct,’’ TSA expects element ensures that training conducted work directly for, or under contract to, the supervisor to be located in under this rule meets all of the the owner/operator. Owner/operators reasonable proximity to the employee to requirements for security training are not required to provide training to supervise actions and provide the required for ‘‘hazmat employees’’ under these individuals. To the extent, necessary level of security awareness 49 CFR 172.704(a)(5).23 Third, this however, these individuals work in the and response capabilities. Furthermore, even if an employee is 23 An analysis of the relationship between the 21 See 81 FR at 91353 et seq. for more information directly supervised, TSA imposes a 60- Pipeline and Hazardous Materials Safety on how TSA identifies these employees and how day limit for the amount of time that an Administration (PHMSA) required training and the the chosen functions align with requirements in the training provided by this final rule can be found in 9/11 Act. employee may perform a security- Diagram B of the NPRM. See 81 FR at 91364. The 22 The definition of ‘‘employee,’’ which is in sensitive function without completing relation with other training is also discussed in § 1570.3, includes immediate supervisors. the required training. After 60 days, the section II.H. and I. of this preamble.

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element also captures specific training The ‘‘respond’’ category includes they meet the standards and criteria for freight railroads related to the training on security incident required by the 9/11 Act. This requirements in § 1580.115(c) for chain responses—including how to assumption is also bolstered by certain of custody and control requirements, appropriately report a security threat, industry responses to TSA’s Notice ensuring appropriate procedures are interact with the public and first published in 2013 in which TSA sought followed to comply with the security responders at the scene of a threat or public comment and data on current requirements in subpart C to part 1580 incident, applicable uses of self-defense security training practices.25 (which contains the requirements devices or protective equipment, and TSA is committed to mitigating the moved from §§ 1580.103 and 1580.107 communication with passengers. In costs of training for all owner/operators as a result of this rulemaking). addition to meeting training through several initiatives. For example, Finally, the ‘‘prepare’’ category requirements enumerated in the 9/11 TSA has, and will continue, to identify captures training that may vary based on Act,24 this category is intended to existing training materials that address the specific nature of an employee’s provide elements of security awareness the curriculum content requirements responsibilities. For example, training required by 49 CFR identified in the rule and will make this appropriate methods of self-defense may 172.704(a)(4). To the extent owner/ information available to regulated vary based upon an employee’s job and operators need to provide training on parties.26 TSA is also developing extent to which he or she interacts with specific self-defense devices or training materials that meet specific the public. Similarly, an employee’s protective equipment, TSA has not training requirements in this rule. TSA need to be trained in how to operate and calculated these costs. Such training is will notify regulated parties as the maintain security equipment may be not a cost of this rule based on an relevant training materials are dictated by the employee’s assumption that training on the use of completed. responsibilities. Within this category, self-defense devices and equipment is a H. Can owner/operators use pre-existing owner/operators have some flexibility to standard part of any operation before material or other third-party material? shape the training to be appropriate for providing such devices or equipment to (§ 1570.103) their specific employees and operations. individuals. This rule does not require the owner/ This flexibility allows owner/operators TSA recognizes that owner/operators may choose, or have chosen, to integrate operator to create their own material or to avoid situations where employees are impose limits on the use of third-party required to sit through training varying levels of training into their security training programs, such as for material. If, however, owner/operators completely irrelevant to their roles and choose to rely on previously prepared responsibilities. particular categories of employees or job functions, to meet the objectives of their training material, including material TSA intends for the training required overall security program or plan. As developed to satisfy other regulatory in the Observe, Assess, and Respond noted in section I, TSA intends for this requirements, or third-party material, categories to be relevant to all rule to establish and solidify the they must incorporate that material into employees, regardless of their job baseline of security for higher-risk an appendix to their security training functions. Training in security surface transportation operations. To the program and reference that appendix in awareness and behavior recognition is extent an owner/operator has a program the corresponding portions of their appropriate for all employees and TSA that goes beyond the required baseline, security program, as discussed below. believes there should be a common level TSA encourages continuation of these of proficiency on these issues among I. How do these requirements relate to efforts as long as the owner/operator can other security training required by other security-sensitive employees of the meet the minimum training required by owner/operators. Federal or State agencies? this rule for all security-sensitive (§§ 1580.115(c), 1582.115(c), and The ‘‘observe’’ category is intended to employees. provide knowledge to increase a 1584.115(c)) security-sensitive employee’s G. Who will provide the security training TSA recognizes that many owner/ observational skills. In general, this curriculum? (§§ 1580.113, 1582.113, operators covered by this rule are training focuses on recognizing the and 1584.113)? subject to training requirements under difference between what is normal for Owner/operators are required to train regulations of the Department of the operational environment and security-sensitive employees using Transportation (DOT) that overlap with abnormalities that could indicate curriculum approved by TSA. TSA the training content required in the 9/ terrorist planning or imminent attack. assumes that many of the owner/ 11 Act.27 TSA does not expect owner/ Training delivered should teach the operators required to provide security operators to duplicate training. To the employees that suspicious activity is a training under this rule already have extent that an owner/operator intends to combination of actions and individual training programs in place that may use existing training programs behaviors that appear strange, substantially comply with the rule’s inconsistent, or out of the ordinary for requirements. This assumption is based 25 See Request for Comments on Security Training the employee’s work environment. In on TSA’s involvement in allocations of Programs for Surface Mode Employees, 78 FR most instances, it will not be a single 35945, 35948 (June 14, 2013) (discussion on grant- grant funding to owner/operators for the funded training programs under ‘‘Relation to Other factor, but a combination of factors development of security training Training Programs’’). TSA summarizes the response taking place at a particular time and materials, funded through various DHS- to the 2013 Notice in this final rule’s RIA, Section place, that will accurately identify a grant program appropriations, as well as 1.5. TSA explains in Sections 1.8.2. and 1.8.3. of the suspicious individual or act. RIA how it used information from the responses to a comprehensive review of available the 2013 Notice to assess the level of training in the The ‘‘assess’’ category requires training materials to determine whether baseline for PTPR and OTRB owner/operators, providing knowledge of how to respectively. determine the most appropriate 24 Diagram B in the NPRM, Development 26 See, e.g., Example of Security Training Matrix response to what is observed. For Considerations for Requirements in §§ 1580.113, (TSA–2013–0005–0084) available in the docket to 1582.113, and 1584.11, provides an analysis of the this rulemaking at www.regulations.gov. example, does the incident require a 9/11 Act’s requirements and other considerations 27 See sections III.G.5 and I of NPRM for a response and, if so, what is the incorporated into the four categories of training discussion of other related training. 81 FR at 91361– appropriate response? required by this rule. See 81 FR at 91364. 91362 and 91364 et seq.

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implemented to comply with other is employed to perform a security- ensure all training requirements are met, Federal requirements or other standards sensitive function one time for less than the current owner/operator is in order to satisfy some or all of the 60 days. Training is required if an responsible for ensuring that any requirements of this rule, the program individual performs a security-sensitive previous training courses satisfy the submitted to TSA for approval must function for short but repeated rule’s requirements and documenting identify how the owner/operators durations and the aggregated period of that the training was received within the intends to use the other training to time equals 60 days. TSA recognizes required timeframe. satisfy TSA’s requirements, such as the that some owner/operators may choose Finally, there may be situations where curriculum or lesson plan for that to train all regular contractors or other ‘‘dual-hatted’’ or other specific-function program. TSA intends to maintain an individuals employed for short but employees are required to receive iterative list available to regulated regular durations rather than having to security training from other sources as owner/operators of training programs monitor aggregated days of employment. part of their jobs, such as railroad police that have been approved by TSA for use In meeting the initial training officers employed by the owner/ in meeting this rule’s requirements. schedule, TSA expects that many operator. As indicated above, it is the Paragraph (c)(2) requires an index to owner/operators will rely on the obligation of the owner/operator to be provided if the owner/operator provisions in § 1570.107, which provide ensure and document the training, chooses to submit all or part of an standards for accepting previous including training received under these existing security training program to training. TSA may allow ‘‘training circumstances. TSA for approval. The index must be credit’’ to be given for employees who 2. Recurrent Training (§ 1570.111(b)) organized in the same sequence as the received equivalent security training content requirements in §§ 1580.115, within one year before the rule’s TSA believes regular recurrent 1582.115, and 1584.115. Indexing is a effective date. This training credit may training is essential for transportation necessary requirement if TSA is to include the following: employees to maintain a high level of provide flexibility for owner/operators • Training on emergency awareness and competency. To ensure to use existing training programs to preparedness plans that railroads this need is met, this rule requires satisfy this rule. TSA may request connected with the operation of owner/operators to provide the TSA- additional information on the program passenger trains must implement to approved security training curriculum through the review and approval address subjects such as to their security-sensitive employees at process. communication, employee training and least once every three years. This qualification, joint operations, tunnel frequency is consistent with the J. What is the required schedule for safety, liaison with emergency requirements for security training providing training? (§ 1570.111) responders, on-board emergency imposed by the Pipeline and Hazardous 1. Initial Training (§ 1570.111(a)) equipment, and passenger safety Material Safety Administration Current employees must be trained information. (PHMSA) for hazardous materials • Training on policies that public within one year of TSA’s approval of the employees under 49 CFR part 172. transportation agencies implement to In addition, consistent with 49 CFR security training program. Initial ensure safety promotion to support the 172.704, if the owner/operator modifies training for new employees or those execution of the Public Transportation a security program or security plan for transitioning to a covered job function Agency Safety Plan required under 49 which training is required under this (as identified in Appendix B to parts CFR part 673 for all employees, agents, rule, the owner/operator must ensure 1580 (freight rail), 1582 (PTPR), and and contractors of any State, local that each security-sensitive employee 1584 (OTRB)), must occur within the government authority, or other operator first 60 days of the date an employee with position- or function-specific of a public transportation system that begins to perform a security-sensitive responsibilities related to the revised receives Federal financial assistance function. In general, this means that an plan or program changes receives under 49 U.S.C. Chapter 53. employee must be trained within 60 training on the revisions within 90 days • Training provided through funds days of starting in a permanent- of implementation of the revised plan or granted under the Transit Security Grant employment position that may require program changes. This requirement Program or other grant programs. performance of a security-sensitive ensures employees responsible for 28 The recordkeeping provisions, implementing the security program or function, whether full or part-time. discussed below, require an owner/ Section 1570.111(a)(3) addresses non- plan will be trained in a timely manner operator to provide current and former permanent employees. Non-permanent concerning any changes or revisions to employees with documentation upon employees must receive training within the security plan or program as request of any training completed to 60 calendar days after employment that necessary to reflect changes in security meet the requirements of this rule. meets the definition of a security- affecting their specific operating Options for compliance with this sensitive employee. If an individual is environment or the surface requirement could include providing employed on an intermittent or non- transportation system. employees with certificates to validate permanent basis, such as a contractor completed training. Providing 3. Previous Training (§ 1570.107) hired to perform a security-sensitive employees with documentation of While there is no specific requirement function for short durations, then the training is particularly relevant for in the 9/11 Act for TSA to allow use of training must take place before the operations such as those in the OTRB existing training programs to satisfy the individual’s aggregated length of industry, where employees (for security training regulatory employment by the owner/operator example, commercial drivers) may work requirements, this rule provides an equals 60 calendar days within a for multiple owner/operators. If an opportunity for owner/operators to seek consecutive twelve-month period. owner/operator can validate an recognition of previously provided Training is not required if an individual employee has received the required training. Under § 1570.107, an owner/ 28 These deadlines are set by secs. 1408(d)(3), training within the specified timeframe, operator may rely on previous training 1517(d)(3), 1534(d)3 of the 9/11 Act, codified at 6 the training does not need to be that occurred within the identified U.S.C. 1137, 1167, and 1184. repeated. Because of its obligation to periods for initial or recurrent training.

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In order to use previous training, the identify areas where modifications are operations, is consolidated and owner/operator must validate that the needed. analyzed by TSA to identify developing previous training satisfies the Similarly, TSA is not prescribing threats and trend analysis. requirements of this rule (for example, conditions for a pass/fail policy that TSA is expanding applicability of reviewing records of training and may be associated with post-training these requirements to the owner/ curriculum), is relevant to the testing. While individual companies operators subject to the security training employee’s job function, and may elect to enforce pass/fail criteria requirements. As a result, the scope of appropriate for owner/operator’s with associated personnel actions, TSA the requirement applies to: operations. As part of its inspection and is neither requiring nor recommending • All rail operations subject to the compliance authority, TSA may require a specified maximum number of times security coordinator and reporting the owner/operator to provide the that an individual may take a test or requirements under previous 1580.101, documentation used to determine the evaluation to demonstrate knowledge 1580.105, 1580.201, and 1580.203 (now previous training met the requirements and competency. As previously noted, located in sections 1570.201 and of this rule. however, the methods submitted by an 1570.203); owner/operator for determining training • Any bus operations of a public K. Do employees have to pass a test? efficacy may affect TSA’s approval of ((§§ 1580.113(b)(9), 1582.113(b)(9), and transportation owner/operator required any alternative measures for 1584.113(b)(9)) to provide security training under this compliance. In reviewing security TSA is not requiring security training rule; and training programs, TSA’s focus is on • programs to include employee testing, whether the program includes measures Any OTRB owner/operator required with prescribed pass/fail rates. The to provide security training under this for the effectiveness of the training 31 security training programs submitted to program, not an individual employee’s rule. TSA, however, must include how the performance. As proposed in the NPRM, the rule owner/operator will measure the text for applicability of the security effectiveness of the training program. III. Operational Requirements (Subpart coordinator requirements erroneously TSA will afford flexibility to each D) included all bus-only public individual owner/operator to identify TSA requires freight and passenger transportation systems, TSA intended, measures for determining the railroad carriers, rail transit systems, rail however, to limit applicability to the effectiveness of their security training hazardous materials shippers, and bus-only public transportation systems program using methods and criteria certain rail hazardous materials within the scope of the security training appropriate for their operations. For receivers, to appoint ‘‘rail security requirements, that is, the higher-risk example, TSA expects that some owner/ coordinators’’ 29 (RSCs) and report bus-only systems.32 To be consistent operators will choose to administer a significant security concerns to TSA.30 with TSA’s intent as explained above written test or evaluation to gauge their The RSCs are security liaisons to TSA, and in the preamble of the NPRM, TSA employees’ level of knowledge in order providing a single point of contact for is clarifying the requirement in the final to assess the overall effectiveness of receiving communications and inquiries rule text. training, while others may rely upon from TSA concerning threat information Table 2 compares applicability scope operational tests conducted by or security procedures, and coordinating of the previous requirement with the supervisors to determine whether responses with appropriate law expanded applicability. The cost employees are being trained effectively. enforcement and emergency response estimate for this requirement in the Some may use the results of drills and agencies. This information, reported to NPRM is consistent with TSA’s intent exercises to measure effectiveness and TSA from the frontline of rail and the corrected rule text.

TABLE 2—COMPARISON OF APPLICABILITY FOR SECURITY COORDINATOR AND REPORTING REQUIREMENTS

Previous §§ 1580.101/ New 103 and §§ 1570.201/ 1580.201/203 203

Freight railroad carriers ...... X X Rail hazardous materials shippers ...... X X Rail hazardous materials receivers in High Threat Urban Areas (HTUAs) ...... X X Owner/operators of private rail cars* ...... X X Railroads hosting freight or PTPR rail operations ...... X X

29 These requirements were promulgated in 2008, communications from appropriate Federal officials 32 See 81 FR at 91350: ‘‘Because of the benefits see supra n. 8, codified at 49 CFR 1580.101 and regarding over-the-road bus security’’). See 9/11 Act of [the security coordinator and reporting 1580.201 (before changes made by this rule). sec. 1512, codified at 6 U.S.C. 1162(e)(1)(A). For a requirements] to transportation security, TSA is 30 See id. at 49 CFR 1580.105 and 1580.203 similar provision applicable to railroads. Consistent proposing to extend these requirements to the with this mandate, TSA is extending the (before changes made by this rule). modes of transportation covered by this proposed requirement to appoint a primary and at least one 31 As previously noted, TSA currently requires alternate security coordinator for OTRB companies rule that are not currently subject to the security coordinators for rail operations, including and bus operations of PTPR owner/operators requirements of 49 CFR part 1580.... TSA freight railroads, passenger railroads, and public identified as higher-risk through this rulemaking. proposes to extend the requirement to appoint a transportation rail operations. In addition to This will have a limited impact on the PTPR mode primary and at least one alternate security mandating security coordinators for railroads, the 9/ as most public transportation bus agencies covered coordinator for OTRB companies and the bus 11 Act also requires security coordinators for bus by this rule are part of a larger system that is already operations of PTPR owner/operators (with a limited operations. See 9/11 Act sec. 1531, codified at 6 required to have a security coordinator under impact as most public transportation bus agencies U.S.C. 1181(e)(1)(A) (‘‘Identification of a security current 49 CFR part 1580. See sec. III.D.4 of the are part of a larger system that is required to have coordinator having authority—(i) to implement NPRM for more discussion regarding the security security actions under the plan; (ii) to coordinate coordinator and reporting requirements (81 FR at a security coordinator under current 49 CFR part security improvements; (iii) to receive immediate 91350 et seq.). 1580).’’

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TABLE 2—COMPARISON OF APPLICABILITY FOR SECURITY COORDINATOR AND REPORTING REQUIREMENTS—Continued

Previous §§ 1580.101/ New 103 and §§ 1570.201/ 1580.201/203 203

PTPR operating rail transit systems on general railroad system, intercity passenger train service, and com- muter train services ...... X X PTPR operating rail transit systems not part of general railroad system ...... X X PTPR operating bus transit or commuter bus systems in designated areas ...... X Tourist, scenic, historic, and excursion rail owner/operators* ...... X X OTRB owner/operators providing fixed-route service in designated areas ...... X * Security Coordinator only required if notified by TSA in writing that a threat exists. Requirement to report significant security concerns always applies.

A. Security Coordinator Requirements this is true for passenger rail carriers, approach among law enforcement (§ 1570.201) freight railroad carriers, and rail transit officers and security officials with Security coordinators are a vital part systems operated by public surface transportation entities produces of transportation security, providing transportation agencies. Owner/ more informative reports that can, more TSA and other government agencies operators required to appoint security effectively, focus investigative efforts with an identified point of contact with coordinators for the first time under this and intelligence analysis for potential access to company leadership and rule must provide this information to trends and indicators of terrorism- knowledge of the owner/operators’ TSA by July 29, 2020. TSA will also use related activity. operations, in the event it is necessary this contact for communications related Finally, consistent with TSA’s to convey extremely time-sensitive to requirements in this rule. purpose in requiring submission of the information about threats or security information, the rule requires B. Requirement To Report Security notification within 24-hours of the procedures to an owner/operator, Concerns (§ 1570.203) particularly in situations requiring initial discovery of the incident by the As with the security coordinator frequent information updates. The owner/operator (see 49 CFR requirement, TSA is moving and 37 security coordinator and alternate 1570.203(a)). This schedule will consolidating the requirement to report provide TSA with a contact in a enable TSA to obtain timely security concerns from part 1580 into position to understand security information, without undermining the § 1570.203 and extending it to higher- problems; immediately raise issues ability of the owner/operator to risk bus operations.34 The list of with, or transmit information to, appropriately handle a situation. If there reportable incidents can be found in corporate or system leadership; and is an immediate threat, owner/operators Appendix A to part 1570 and includes help recognize when emergency and/or their employees should prioritize not only a list of incidents, but response action is appropriate. The notifying and working with first descriptions and examples to assist responders. The notification to TSA individuals must be accessible to TSA regulated parties in making a should occur after the immediate crisis 24 hours per day, 7 days per week. determination of whether an incident The rule does not change the is addressed, but within a timeframe must be reported based on its similarity expectation that the security coordinator that allows TSA to assess and share to one of the examples. and alternate be appointed at the timely information. This list of reportable significant For purposes of this requirement, the headquarters level. Nor does the rule security concerns is consistent with the clock ‘‘starts running’’ when the owner/ require the security coordinator or Nationwide Suspicious Activity operator becomes aware of the incident. alternate to be a dedicated position who Reporting (SAR) Initiative (NSI). The Awareness of the owner/operator has no other primary or additional NSI is a partnership between Federal, includes awareness of (or discovery by) duties. As with the previous part 1580 State, local, tribal, and territorial law employees of the owner/operator.38 TSA requirements, TSA’s primary concern is enforcement that ‘‘establishes a national recognizes that local law enforcement having a designated point of contact capacity for gathering, documenting, do not always immediately notify available to TSA at all times. processing, analyzing and sharing SAR owner/operators when there is a The rule also requires the owner/ information . . . in a manner that security-related incident on the owner/ operator to submit contact information rigorously protects the privacy and civil operator’s property or affecting their for both the security coordinator and liberties of Americans.’’ 35 The NSI operations. alternate and to update this information defines ‘‘suspicious activity’’ as within 7 days if it changes. As ‘‘observed behavior reasonably C. Methods for Reporting Information previously noted, this is not a new indicative of pre-operational planning and Substance of Information Provided requirement for owner/operators of associated with terrorism or other (§ 1570.203 (a) and (c)) railroads, including the rail transit criminal activity.’’ 36 The standardized As previously noted, TSA has almost operations of PTPR owner/operators. If a decade of experience with incidents an owner/operator subject to this rule 34 This extension is within TSA’s discretion to reported by railroads. Based on this has provided current information for require other actions or procedures determined to experience, TSA recognizes that its primary and alternate RSCs to TSA, it be appropriate to address the security of public transportation and OTRB operations. See 9/11 Act ability to analyze the data and improve will not have to take further action to sections. 1405(c)(2)(I) and 1531(e)(1)(H), as codified 33 meet the requirement. TSA assumes at 6 U.S.C. 1134 and 1181, respectively. 37 This change to reporting is a modification from 35 See Nationwide SAR Initiative (NSI), ‘‘About the requirement as promulgated in the Rail Security 33 Any changes to the information must, as the NSI’’ (accessed Nov. 3, 2016), available at http:// Rule, which required immediate reporting. previously required, be reported within seven nsi.ncirc.gov/about_nsi.aspx. 38 One of the required training elements includes calendar days of the change taking effect. 36 Id. how to appropriately report security issues.

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the quality of information disseminated within 10 business days from the second and third categories are back to its stakeholders is proportional effective date of this final rule. necessary to ensure the training to the quality of information it receives. Consistent with comments received on programs are providing relevant and Section 1570.203(b) is consistent with the NPRM, this information will include timely information to security-sensitive the reporting requirements as the designated email address and any employees. promulgated in 2008, which reflected related information regarding This final rule revises the NPRM’s the need for detailed and verified submission of Sensitive Security proposed requirement for seeking an information from individual owner/ Information (SSI). amendment for any changes relating to operators to enhance TSA’s ability to As required by the 9/11 Act, TSA will ‘‘measures, training, or staffing provide timely and useful information review the programs within 60 days of described in the security program.’’ products to all of the relevant receipt and either approve them or Since publication of the NPRM, TSA stakeholders. specify changes that are needed for determined that the scope of this TSA is working on two initiatives that approval.40 If TSA requires changes, the requirement is too broad as it could should assist owner/operators with owner/operator must submit a modified capture measures relevant to security in reporting information. The first is to training program that meets TSA’s general, such as theft. As proposed, the pilot an electronic reporting option for specifications within 30 days of requirement could impose an significant security concerns.39 If made notification by TSA. TSA provides an unnecessary burden on owner/operators a permanent capability, TSA intends to analysis of burden and estimated costs and create conflict between the develop an online form that owner/ associated with this information programmatic requirements. For operators, or their designated collection in section VIII.A. of this example, the overly broad requirement employees, may use to submit preamble and the Office of Management for amendments could result in the need information to TSA to meet the and Budget (OMB) 83–I Supporting to revise a security training program to requirements of this rule. If the pilot Statement for its information collection address issues not related to reducing succeeds, TSA may pursue a second request, which is available in the docket the risk of terrorism-related incidents. initiative to provide an electronic for this rulemaking. To narrow the scope of the reporting form on a secure website. TSA amendment requirement, the final rule will provide updates on development of B. Amendments incorporates a specific list of the types these capabilities to owner/operators Procedures related to revision and/or of changes to security that require an through the designated security amendment of security training amendment. For purposes of identifying coordinators as well as appropriate programs, as described in §§ 1570.113, what types of changes should be notices in the Federal Register. Pending 1570.115, and 1570.117, are necessary included in the list, TSA determined the completion of these capabilities owner/ as part of developing a regulatory most appropriate source is the 9/11 operators and their designated program and are consistent with the 9/ Act’s requirements for TSA to issue a employees are generally required to 11 Act’s requirements for vulnerability assessment and security meet the requirements of this section by implementation and submission of planning regulation for surface owner/ contacting the Transportation Security programs. These procedures are also operators.42 The 9/11 Act’s provisions Operations Center at 1–866–615–5150. consistent with TSA’s statutory are tailored to security issues related to There is an exception for owner/ authority to allow exemptions from reducing the risk of terrorism-related operators participating in the pilot to regulatory requirements.41 The rule incidents. report electronically. provides for two types of amendments: If an owner/operator makes any IV. Security Program Procedures (1) Amendments initiated by owner/ changes to the security measures operators and (2) amendments initiated identified in § 1570.113, the owner/ A. Deadlines Related to Submission and by TSA. operator must request an amendment to Approval of Security Training Program modify the TSA-approved security Section 1570.109 identifies the 1. Amendments Initiated by Owner/ training program to align with these required deadlines for submitting Operator (§ 1570.113) changes. In general, the program must security training programs and the Under section 1570.113, there are be amended if there are changes to process for TSA approval. In general, three situations which require owner/ procedures intended to prevent and not later than 90 days from the effective operators to submit a request to amend detect unauthorized access to restricted date of this final rule, owner/operators their security training programs: (1) areas; measures to be implemented in are required to submit programs to TSA Changes affecting ownership or control response to periods of heightened in a form and manner prescribed by of the operations; (2) changes to security risk; and changes to emergency TSA. Owner/operators commencing conditions affecting security; and (3) response plans. new businesses or operations triggering changes to content in the security The security program requirements applicability are required to submit training program. Owner/operators must established by this rulemaking will also their security training programs to TSA seek an amendment if any of these be applicable to a future rulemaking to no less than 60 days before commencing changes are expected to have a duration address the 9/11 Act’s requirements for operations. of more than 60 days. TSA will provide details for Amendments related to changes in 42 As previously discussed, the 9/11 Act includes submission of security programs ownership/control are necessary for a mandate for TSA to issue regulations requiring directly to security coordinators vulnerability assessments and security plans in TSA to maintain current information addition to the requirements for security training. identified under section 1570.201, about relevant contacts as well as for See 9/11 Act sections 1405, 1612, and 1531, purposes related to enforcement and codified at 6 U.S.C. 1134, 1162, and 1181, 39 See OMB Control No. 1652–0051, 30-Day liability. Amendments related to the respectively. The security planning requirements Notice: Revision of Agency Information Collection include a detailed list of security measures that Activity Under OMB Review: Rail Transportation must be incorporated into an owner/operator’s Security, 83 FR 40542 (Aug. 15, 2018), and related 40 See 9/11 Act secs. 1137(d)(2), 1167(d)(2), and TSA-approved security plan. TSA intends to supporting statement available at https:// 1184(d)(2), codified at 6 U.S.C. 1137, 1167, and address the vulnerability assessment and security www.reginfo.gov/public/do/PRA 1184. training requirements through a separate ViewDocument?ref_nbr=201809-1652-002. 41 See 49 U.S.C. 114(q). rulemaking.

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vulnerability assessments and security While the rule only requires resulted in the death of a Transportation planning. As a result, incorporating the amendments if the change is to be Security Officer in Los Angeles, 9/11 Act’s list of security measures to be permanent (defined as 60 or more Congress prioritized the need for this incorporated in security planning as the calendar days), TSA recognizes that type of training.46 TSA could also basis for determining when an there are times when a change of short require an amendment to provide amendment is necessary to a security duration could have a significant impact additional training to address risks like training program establishes a on training. For example, if a city is the NSSE discussed above, in section C. framework that can be consistently hosting a National Special Security As with other requirements imposed by applied in the future as the scope of Event (NSSE), the public transportation TSA, the owner/operator may request a requirements for higher-risk owner/ system serving that city may implement petition for reconsideration of TSA- operators of surface transportation additional security measures. It is likely required amendments. systems is expanded.43 that additional training will be C. Alternative Measures (§ 1570.117) Finally, owner/operators must request necessary to raise appropriate awareness an amendment if their security training of these additional measures. The rule Section 1570.117 includes the program is modified, including does not require the owner/operator to procedures for requesting a waiver, modifications related to addressing the request an amendment to provide this procedures for requesting the use of effectiveness of the program or additional training. alternative measures, and identification development of recurrent training TSA is also modifying the schedule of the types of information TSA will materials that differ from the initial for submitting an amendment from the need in order to make a decision to training. This provision is intended to requirement as proposed in the NPRM. grant such requests. TSA may grant ensure an owner/operator is Under the NPRM, an amendment had to such a request under the authority 49 appropriately addressing the results of be submitted no later than 45 days U.S.C. 114(q), based on a determination its TSA-approved method for before the change takes effect. This that the alternative measure or determining effectiveness of security schedule does not work with the exemption is in the public interest. In training.44 It is TSA’s intent that this provision that allows changes to general, TSA will consider factors such specificity will reduce the burden for security measures to be in effect for 60 as risk associated with the type of owner/operators by providing clarity on days before they are considered operation, current threat information, the types of changes that may trigger the permanent, and only permanent and any other factors relevant to need for an amendment. If there are any changes require notification and potential risk to the public and changes in these areas, it is reasonable amendment. To address this transportation security if the request is to expect that some aspects of the inconsistency, TSA is requiring granted. security training program must be amendments to be submitted within 65 These procedures can be used by an revised. days of the change. As the owner/ owner/operator to request alternative In addition to the preceding issues operator controls changes to the security measures to satisfy all of some or all of that require owner/operators to request measures identified in the rule and the requirements of subchapter D. For an amendment, the same procedures whether these changes will be example, the owner/operator could can be used when the owner/operator permanent, it is presumed the owner/ request to extend the time period for seeks to amend its program to address operator will have sufficient advance submitting its training program or for other operation issues. For example, an notice that an amendment is needed and training all of its security-sensitive owner/operator may choose to seek an can prepare and submit the request employees. An owner/operator could amendment to modify the required within this timeframe. This specificity also request a waiver from some or all training schedule. The same procedural is added to provide clarity for of the regulatory requirements. For requirements for seeking an amendment compliance. example, a freight railroad may meet the apply. criteria for applicability, but the 2. Amendments Initiated by TSA operations that trigger applicability may TSA may approve an amendment if it (§ 1570.115) is in the interest of public and be a de minimis part of its overall transportation security and meets the TSA may require amendments in the business operations. In such a situation, required security standards. As part of interest of the public and transportation the owner/operator might consider its standard practice for security security. As indicated in § 1570.115, requesting either a complete waiver or program administration, TSA works TSA may require owner/operators to an alternative that limits the with owner/operators on amendment revise their training based on emerging requirements to a more discrete part of requests to develop options acceptable threats or methods for addressing its business. emerging threats. This is consistent with to both TSA and the requesting owner/ D. Petitions for Reconsideration TSA’s authorities under 49 U.S.C. 114 operator. TSA may ask for additional (§ 1570.119) information from the owner/operator or and the 9/11 Act, which specifically provide that TSA must update the Section 1570.119 describes the review require more time in order to makes its and petition process for TSA’s determination. requirements, as appropriate, ‘‘to reflect 45 reconsideration when it denies a request If TSA is unable to come to agreement new or changing security threats.’’ For for amendment, waiver, or alternative with the owner/operator on the content example, the curriculum requirements measures, as well as a TSA requirement or scope of the amendment, TSA may identified in the 9/11 Act do not address deny the amendment request. The training to respond to active shooter incidents. Following several active 46 Section 7 of the Gerardo Hernandez Airport denial will include a statement of why Security Act of 2015 (Pub. L. 114–50), which the request is denied. The owner/ shooter incidents, including one that directed TSA, in consultation with the Department operator can petition for reconsideration of Transportation and other relevant agencies, to under section 1570.119. 45 See 9/11 Act at 1408(d)(4), 1517(d)(4), and conduct outreach to all passenger transportation 1534(d)(4), codified at 6 U.S.C. 1137, 1167, and agencies and providers of high-risk facilities to 1184, respectively. This provision also requires verify such agencies and providers have in place 43 See discussion supra in n. 42 owner/operators change their programs to address plans to respond to active shooters, acts of 44 See requirements in subpart B to parts 1580, TSA’s requires updates and retrain employees as terrorism, or other security-related incidents that 1582, and 1584. necessary, within a reasonable time. target passengers.

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to modify or amend a program. If an must include each trained employee’s upon completion of training. In order owner/operator seeks to challenge the name, job title or function, date of for TSA to allow any owner/operator to decision, the owner/operator is required hiring, and date and course information rely upon previous security training to to submit a written petition for on the most recent security training that satisfy the requirements of this rule, it reconsideration within the time frame each employee received. Records for is critical that employees be able to identified in the applicable section. The individual employees must reflect the validate whether they received previous petition must include a statement, with training courses completed and date of training. supporting documentation, explaining completion. Records of an employee’s TSA assumes training records are why the owner/operator believes the initial and recurrent training must be unlikely to include SSI, but nonetheless reason for the denial or for the maintained by owner/operators for no provides a reminder in this provision amendment, as applicable, is incorrect. less than five years from the date of the that any SSI maintained as a result of If the owner/operator requested the training and available at the location(s) these recordkeeping requirements must amendment, the results of the specified in the security training be maintained consistent with the reconsideration could be confirmation program approved by TSA. requirements in 49 CFR part 1520. For of TSA’s previous denial or approval of The final rule provides flexibility to example, an owner/operator may decide the proposed amendment. If the issue owner/operators to decide whether to to keep a copy of the content of the involves a TSA-required amendment, maintain the records in electronic training program with the employee the results of the reconsideration could format provided that (1) any electronic files (which is not required by the rule). be withdrawal, affirmation, or records system used is designed to If the curriculum contains SSI modification of the amendment. A prevent tampering, loss of data, or information, any file it is in must be disposition pursuant to 49 CFR corruption of records, and (2) paper stored as required by the SSI 1570.119 occurs when the copies of records, and any amendments regulations. Owner/operators needing Administrator or designee has disposed to these records, must be made available additional information about of the petition by affirming, modifying, to TSA upon request for inspection or appropriately maintaining SSI may or rescinding the previous decision. copying. Whether the records are kept contact TSA for assistance and/or find Such disposition constitutes a final in electronic or other form, the information on TSA’s website.47 agency action for purposes of review employee must be provided with proof F. Summary of Deadlines under 49 U.S.C. 46110. of training upon request, at any time during the three-year recordkeeping The following table summarizes the E. Recordkeeping Requirements period, without regard to the requestor’s deadlines for the preceding (§ 1570.121) current status as an employee of that programmatic requirements. The The final rule requires owner/ entity. As discussed above in II.J. (Initial information is provided for operations operators to create and maintain lists of Training), owner/operators may meet that exist on the effective date of this their security-sensitive employees and the proof-of-training requirement by rule and those that may commence or specify when these employees received providing a certificate, letter, or other trigger applicability based on future the required training. Training records similar documentation to the employee modifications.

TABLE 3—SUMMARY OF DEADLINES FOR COMPLIANCE

Dates Requirement New employees (hired after TSA ap- Existing operations New or modified operations proves the security program)

Effective date of rule ...... June 22, 2020. Deadline for notifying TSA of applica- July 22, 2020...... 90 calendar days before com- bility determination (1570.105). mencing new or modified oper- ations. Deadline for providing security coordi- July 29, 2020...... 7 calendar days after commence- nator information to TSA (1570.201). ment of operations. Deadline for submission of security 90 calendar days from 90 calendar days after commencing training program to TSA for ap- effective date. new or modified operations. proval (1570.109(b)). TSA approval or notification of re- 60 calendar days from 60 calendar days from receipt of se- quired modification (1570.109(c)). receipt of security curity training program. training program. Initial training of security-sensitive em- 1 year from TSA ap- 1 year from TSA approval of security 60 calendar days after employee first ployees (1570.111(a)). proval of security training program. performs a security-sensitive job training program. function (60th day, aggregated over 12-month period, if intermit- tent employee). Recurrent training of security-sensitive Within three-years of the Within 90 days of changes to secu- employees (1570.111(b)). date of initial training rity program or security plan affect- and every three-years ing employees’ security-related re- thereafter. sponsibilities.

47 See https://www.tsa.gov/for-industry/sensitive- security-information.

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V. Miscellaneous Changes streamlining a lengthy description of rulemaking, but TSA has chosen to This final rule includes the following types of transportation to simply state include a restatement of its authority in changes to other provisions in TSA’s ‘‘aviation, maritime, or surface its rules. The statute specifically transportation.’’ requires TSA to— regulations as necessary to implement • these requirements. The impact of these revisions should Assess threats to transportation; also be minimal. Under § 1520.7(j), any • Enforce security-related regulations A. Amendments to Part 1500 person who has access to SSI is required and requirements; • Consistent with the rule’s to protect it according to the Inspect, maintain, and test security organization, TSA includes definitions requirements of the regulation. Most of of facilities, equipment, and systems; • Ensure the adequacy of security for terms relevant to several subchapters the population affected by this rule has previously received SSI information measures for the transportation of cargo; of TSA regulations, beyond the • Oversee the implementation, and requirements of subchapter D, in part from TSA, as well as training on the proper handling of SSI, and have ensure the adequacy, of security 1500. Terms only relevant to the measures at airports and other provisions in subchapter D are procedures in place to ensure the requirements of the regulation are met.51 transportation facilities; incorporated in § 1570.3. Terms • Require background checks for uniquely relevant to each mode or the D. Amendments to Part 1570 airport security screening personnel, other requirements in subchapter D are Because of the significant individuals with access to secure areas incorporated into the relevant parts. restructuring of part 1570, as discussed of airports, and other transportation As noted in the NPRM, TSA is security personnel; and meeting a 9/11 mandate to define, above, the rule text includes the entire • part. In addition, TSA is adding a Carry out such other duties, and through notice and comment exercise such other powers, relating to rulemaking, the term ‘‘security-sensitive provision related to security responsibilities and relocating to this transportation security as the material.’’ To meet the requirement, Administrator considers appropriate, to TSA is incorporating by reference the part the provisions related to compliance, inspection, and the extent authorized by law. definition of hazardous materials for While current part 1570 includes a enforcement (previously in part 1580). which a security program is required provision stating TSA’s compliance, under 49 CFR 172.800(b), promulgated 1. Security Responsibilities for inspection, and enforcement authority, by PHMSA through notice and comment Employees and Other Persons (§ 1570.7) it is not provide the same detail found rulemaking and in consultation with in other regulatory provisions.54 48 Under § 1570.7, the obligation for TSA. There are no current TSA- compliance is not limited to owner/ Therefore, TSA is transferring the text of programmatic requirements linked to operators specifically referenced under current § 1580.5 to subpart A as this definition. A full discussion of applicability provisions. Rather, any § 1570.9, with minor modifications to amendments to the terms in part 1500 reflect the addition of certain bus 49 person may be held to have violated is provided in the NPRM. these rules, including contractors who operations that have previously been 55 B. Amendments to Part 1503 provide service to owner/operators and unregulated by TSA. TSA is making minor amendments to the employees of such contractors. This 3. ‘‘Covered Person’’ (§ 1570.305) provision in subchapter D ensures a part 1503 (Investigative and This final rule includes a technical uniform application of TSA’s Enforcement Procedures), as necessary, correction to § 1570.305 (currently enforcement policy across all modes of to conform these regulations to changes § 1570.13) of subchapter D as part of this transportation, consistent with TSA’s made by this final rule. In § 1503.101(b), rulemaking. This provision prohibits authority under 49 U.S.C. 114(f).52 In the scope of statutory provisions is public transportation agencies and rail addition to violations for failure to amended to add authorities from the 9/ carriers from knowingly comply with requirements, TSA can 11 Act that are administered by the TSA misrepresenting Federal guidance or also pursue enforcement actions for Administrator. These are conforming regulations related to security interfering with compliance or hiding amendments with no cost impact. background checks for certain evidence of non-compliance. individuals.56 The definitions in the C. Amendments to Part 1520 Contractors are also subject to section currently include the term inspection for compliance with this rule TSA is also finalizing proposed ‘‘covered individual,’’ which may result and enforcement actions, as discussed modifications to part 1520 (Protection of in confusion as to whether the term has below. Sensitive Security Information). As the same meaning as ‘‘covered person’’ discussed in the NPRM, these changes 2. Compliance, Inspection, and in TSA’s programs to address access to are necessary to conform the SSI Enforcement (§ 1570.9) SSI.57 To eliminate any potential for provisions to include the transportation confusion, this rule amends § 1570.305 security-related requirements in this TSA is mandated to: (1) Enforce its 50 regulations and requirements; (2) rule. The amendments are limited to: 54 oversee the implementation and ensure Compare current § 1570.11 with current (1) Eliminating unnecessary terms from § 1580.5. The provision in part 1580 is also part 1520 that are added to part 1500 the adequacy of security measures; and consistent with 49 CFR 1542.5, 1544.3. 1546.3, and (2) replacing the limiting term ‘‘rail (3) inspect, maintain, and test security 1548.3, and 1549.3. 55 transportation security requirement’’ facilities, equipment, and systems for all A more detailed discussion of current § 1580.5, modes of transportation.53 This mandate still relevant to the section, can be found in the with ‘‘surface transportation security preamble for current part 1580. See 71 FR 76852 requirement.’’ In some places, such as applies even in the absence of (Dec. 21, 2006) and the Rail Security Rule, see the definition of ‘‘vulnerability supra n. 8. (Final Rule). 51 assessment’’ in § 1520.3, TSA is See https://www.tsa.gov/for-industry/sensitive- 56 This final rule moves this section from security-information. § 1570.13 of subchapter D to section § 1570.305. 52 See 49 U.S.C. 114(f)(7) and (11). A similar The requirement was added to address another 9/ 48 See 81 FR at 91344. provision applicable to aviation employees and 11 Act requirement. See 73 FR 44665 (July 31, 2008) 49 See section III.A. of the NPRM. 81 FR at 91342 other related persons is in 49 CFR 1540.105(a)(1) for more information on the rulemaking that added et seq. and (b). this provision. 50 See id. at 91343–91345. 53 See 49 U.S.C. 114(f). 57 See 49 CFR 1520.7.

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to delete the definition and consistently clarification purposes only and has no VI. Summary of Changes use the term ‘‘employee’’ (as defined by substantive impact. The following table summarizes this rulemaking in § 1570.3) rather than changes between the NPRM and final ‘‘covered individual.’’ This change is for rule.

TABLE 4—SUMMARY OF CHANGES BETWEEN NPRM AND FINAL RULE

Section No. Section title Change from NPRM Implication

1570.111(b) ...... Implementation sched- In response to comments, TSA is modifying Cost Savings. ules (recurrent secu- the recurrent security training schedule to a rity training). three-year cycle rather than annual. Changes to security programs and plans may require training certain employees within 90 days of the changes. 1570.113 ...... Amendments re- NPRM proposed requiring owner/operators to TSA recognizes that some owner/operators quested by owner/ request an amendment to their security may have security programs that address operator. training programs when there are changes issues not related to transportation secu- to (a) ownership or control of operations rity, such as theft or vandalism. TSA is nar- and/or (b) measures, training, or staffing rowing the scope of the requirement to re- described in the security program. The final duce the burden. The final rule identifies rule includes a specific list of the types of the types of issues that would require changes that would trigger the need to up- amendment. The list of issues used by date the security training program. The TSA is consistent with the requirements for NPRM also proposed to require an amend- security plans in sections 1405, 1512, and ment to be filed within 45 days before the 1531 of the 9/11 Act. Modifying the dead- amendment takes effect. The final rule re- line for requesting an amendment is in- quires an amendment to be requested no tended to provide clarity for compliance later than 65 days after the change to the and be more appropriate for the types of security program/measures/plans takes ef- amendment-requests TSA expects to re- fect. ceive. 1570.201 ...... Security coordinator ... NPRM proposed requiring all public transpor- The scope of this requirement in the NPRM tation agencies to have a security coordi- was broader than TSA intended as the re- nator. Final rule limits the scope of the re- sult a drafting error. TSA intended the se- quirement to rail operations of public trans- curity coordinator requirement to apply to portation agencies and the bus-only oper- all of the rail operations and shippers/re- ations of those determined by TSA to be ceivers covered by the Rail Security Rule, higher-risk. plus bus operations required to provide se- curity training under this rule. 1570.203 ...... Reporting significant NPRM proposed requiring all public transpor- The scope of this requirement in the NPRM security concerns. tation agencies to report security issues. was broader than TSA intended as the re- Final rule limits the scope of the require- sult of a drafting error. TSA intended the ment to rail operations of public transpor- reporting requirement to apply to all of the tation agencies and the bus-only oper- rail operations and shippers/receivers cov- ations of those determined by TSA to be ered by the Rail Security Rule, plus bus higher-risk. operations that are required to provide se- curity training under this rule. 1570.305 ...... False statements re- TSA is making a technical correction to this This technical revision eliminates potential garding security provision by replacing the term ‘‘covered confusion in the terminology. background checks individual,’’ with the term ‘‘employee,’’ by public transpor- which is defined by this rulemaking in tation agency or rail- § 1570.3. road carrier.

VII. Response to Comments on NPRM endorsed the rule, noting that proper security training. Promulgation of this training could prevent harm to both rule does not signal a change in TSA’s Following TSA’s publication of the employees and passengers. A few commitment to maximize enhancements NRPM on December 16, 2016, industry commenters suggested expanding the to surface transportation security associations, unions, and private scope of the rulemaking to include through voluntary cooperation and citizens were among those who additional training for surface workers, collaboration. Consistent with this submitted comments in docket TSA such as self-defense training, or to commitment, TSA does not believe it is 2015–0001. TSA’s responses are provide training to all American citizens necessary to expand the scope of organized by topic. to identify terrorist threats. One applicability or requirements, but A. General Comments commenter supported a ‘‘community of encourages owner/operators to provide the whole’’ approach, reflecting the 1. Need for Rule additional security training as they collaborative and cooperative consider appropriate to address Comments endorsing the rulemaking partnership between TSA and industry potential vulnerabilities or threats and recommending an expanded scope: to detect and deter individuals seeking within their unique operational A number of submissions included a to commit acts of terrorism. environments. As noted in the NPRM, statement of general support for TSA to TSA response: This rulemaking is TSA encourages owner/operators issue this rulemaking. Commenters also intended to solidify a baseline of covered by this rule to determine

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whether there are employees not general authority under ATSA to issue 2. Cost of Rule 61 covered by the scope of the security- a rule including these requirements. Comments: Some commenters sensitive definition who could provide The terrorism-related threat to surface expressed concern that the cost of the benefits to security if trained. transportation modes has not subsided rulemaking is too high, and that the rule Regarding the recommended and Congress has not retreated from its is too costly for industry to implement. expansion of the rule to cover broader commitment to the need for this rule. Commenters also asserted the estimate populations, including the general Since enactment of the 9/11 Act, of OTRB owner/operators is too low, public, DHS has numerous programs Members of Congress and the DHS and questioned whether TSA’s cost- and initiatives to provide and encourage Office of the Inspector General (OIG) estimate analysis considers the awareness of terrorist threats and have expressed continued interest in the Unfunded Mandate Reform Act of 1995 63 appropriate responses. These initiatives publication of this rule. (UMRA). One commenter generally suggested that the expense of providing include ‘‘hometown security’’ and the This rulemaking is intended to ‘‘See Something, Say Something’’ security awareness training to surface solidify the baseline for security training transportation personnel may not be campaign. More information on these of surface employees. TSA recognizes initiatives and training available to justified by the potential benefits. the substantial efforts of our Another commenter, a mass transit support them can be found on the DHS stakeholders to enhance their security agency in a large metropolitan area, website.58 TSA also encourages owners/ posture since 9/11 and seeks to estimated the cost of the rule to be operators not within the scope of the recognize and build upon these efforts. higher than the estimate TSA provided rule’s applicability to voluntarily As noted in the NPRM, owner/operators in the NPRM RIA. provide security training to their subject to requirements to provide TSA response: A full discussion of the employees, using the curriculum similar training may request to use this cost-benefit analysis is included in the requirements in this rule to guide training to satisfy requirements in this Final Regulatory Impact Analysis and development of voluntary security rule. For example, TSA is aware that Regulatory Flexibility Analysis (Final training programs. As noted in section many public transportation agencies RIA) 64 and summarized in section II.A., TSA also intends to provide and railroads currently provide security VIII.B.1. While training and the other resources developed to support this rule training to comply with State or Federal requirements of this final rule are not to other owner/operators, as training requirements. (TSA is not absolute deterrents for a terrorist intent appropriate. aware of any overlapping requirements on carrying out attacks on surface Comments opposing rulemaking: for OTRB owner/operators.) If an owner/ modes of transportation, TSA expects Other commenters opposed the operator intends to use previous the probability of success for such rulemaking, primarily because they training or existing training programs in attacks to decrease when the believe certain modes already conduct order to satisfy some or all of the requirements of this rule are fully training, and asserted these efforts make requirements of this rule, the program implemented. the rulemaking unnecessary. Three submitted to TSA for approval must Regarding the commenters concerns that TSA’s estimate of OTRB owner/ commenters expressed concern the rule identify how the other training satisfies operators within the scope of overlaps with existing State and Federal TSA’s requirements. This will likely applicability is too low, TSA training requirements, including the necessitate submitting the curriculum or acknowledges the inherent uncertainty FRA’s 2014 final rule, which established lesson plan for that program and training records, as well as information in this estimate due to the fluid and minimum training standards for all opaque nature of the industry. As 59 on the employees who have completed safety-related railroad employees. One described in the Final RIA, ‘‘many commenter suggested States may have the training and the date of the most recent training. [OTRB] owner/operators that operate different requirements, which should be charter and/or tour services also provide considered in this rulemaking. Several Regarding voluntary training, TSA scheduled or fixed-route services, commenters advocated for the rule to be acknowledges many owner/operators of sometimes on an ad hoc basis, making voluntary, and noted voluntary training higher-risk surface transportation it difficult for any one source to keep has so far produced exceptional results. operations have voluntarily track of those that may provide TSA response: As previously implemented security training programs scheduled service as part of their non- discussed, TSA has a statutory mandate addressing some of the requirements in primary operation.’’ 65 In response to the to publish a final rule requiring security this rule. As noted in the Preliminary issue of disparate data, TSA consulted training for frontline employees of Regulatory Impact Analysis and Initial multiple sources and databases to build Regulatory Flexibility Analysis (NPRM public transportation agencies, its estimate.’ The commenter who stated RIA), however, the private market may railroads, and OTRB owner/operators.60 the OTRB estimate was too low did not not provide adequate incentives for The statutory mandate includes specific provide any reason to support the claim owner/operators to make an optimal requirements for the content of the that TSA underestimated the number of investment in the full range of measures required security training. In addition, affected owner/operators or any source/ to reduce the probability of a successful TSA determined it is necessary to terrorist attack based on the economics 63 Public Law 104–4, 109 Stat. 48 (Mar. 22, 1995), require security training for employees of externalities. Mandating security codified at 2 U.S.C. 1501–1538. of higher-risk surface transportation 64 training for higher-risk operations will The Final RIA is available in the docket for this operations and appropriate to use its rulemaking at www.regulations.gov. solidify the current baseline of security 65 Id. at 40. Note: Under the requirements of this training established through voluntary rule, any owner/operators conducting ad hoc or 58 See www.dhs.gov/hometown-security and measures.62 sub-contracted service for a regulated person must www.dhs.gov/see-something-say-something. comply with the requirements of the rule as an 59 See 79 FR 66460 (Nov. 7, 2014), codified at 49 authorized representative. Similarly, an owner/ CFR part 243. 61 See 81 FR 91339–91341 (discussion of purpose operator not subject to the requirements of the rule 60 See discussion in section I.A. of this rule. See and authorities). may trigger applicability if they contract for ad hoc also 81 FR 91341 (discussion of statutory 62 See NPRM RIA at 116–117 (available in the or subcontracted service through an area that authorities and requirements for this rulemaking). docket to this rulemaking at www.regulations.gov). triggers applicability.

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data to back up the assertion. As to conduct a break even analysis that agencies from the Bureau of Labor mentioned in the NPRM RIA, TSA accounts for the difficult-to-estimate Statistics to estimate cost of the rule to sought public contribution to refine its macroeconomic and other indirect PTPR owner/operators. TSA believes estimate, but neither the commenter nor impacts (avoided indirect costs) that this is a reasonable rate to calculate anyone else provided any data or new may be even more significant than the incurred costs to regulated PTPR owner/ information on which to build a direct impacts of the attack. Avoided operators because it encompasses the different estimate. consequences, such as the value of a entire transit industry (which are Title II of UMRA, establishes reduction in fear felt by the public at typically found in cities around the requirements for Federal Agencies to large, are not included in the analysis country). Based on this analysis, TSA assess the effects of their regulatory because they are difficult to measure believes its cost-assessment for the final actions on State, local, and tribal and quantify. Given these results and rule is representative of the incremental governments and the private sector.66 the demonstrated effectiveness of burden PTPR owner/operators will Agencies must prepare a written employee training—including security incur from implementing the regulatory statement, including a cost-benefit awareness in mitigating terrorist requirements at a national level. analysis, for proposed and final rules attacks 69—TSA believes the benefits of However, TSA does acknowledge that with ‘‘Federal mandates’’ that may the rule justify its costs. Finally, as differences in the cost of labor among result in expenditures by State, local, previously discussed, TSA is under a the various cities may contribute to and tribal governments, in the aggregate, statutory mandate to publish a final rule certain transit agencies having higher or or by the private sector, of $100 million requiring security training for frontline lower costs than the national average. or more in any one year.67 TSA’s employees of public transportation analysis for both the NPRM RIA and agencies, railroads, and OTRB owner/ 3. Stakeholder Consultation Final RIA determined this rule does not operators. Comments: Several commenters contain a Federal mandate that may One commenter, from a large suggested TSA consult with labor result in expenditures of $100 million or metropolitan area public transportation unions in drafting the rulemaking, as more either for State, local, and tribal system, provided information to support required by the 9/11 Act, and also reach governments in the aggregate, or for the statements that the costs of out to international security experts. private sector in any one year. implementing the rule would be higher TSA response: The 9/11 Act directed The commenter who stated security than TSA estimated in the NPRM RIA TSA to consult with major stakeholders awareness training may not be justified for that commenter. TSA believes there during the development of the NPRM, by the potential benefits did not provide are a number of issues with the including labor organizations. As noted data to support this assertion. Based commenter’s estimate that result in an and summarized in the NPRM, TSA upon the data available to TSA, as overestimation of the rule’s burden. The conducted numerous meetings and shown in the Final RIA, TSA disagrees commenter assumed the duration of conference calls with all necessary with the commenter. In both the NPRM training to be three hours when TSA parties, including relevant labor and Final RIA, TSA includes a chapter, estimates that training for security- organizations.71 In addition to inviting titled ‘‘Benefits of Employee Security sensitive employees of a PTPR owner/ participation of labor union Training,’’ which identifies the security operator will likely average 1 hour and representatives in many of the mode- risks to surface transportation and 20 minutes in order to address all of the specific meetings, TSA also met directly explained how providing employees required elements in this rule.70 The with labor unions as part of its with the knowledge to prepare, observe, commenter appears to base their three stakeholder consultation process, assess, and respond to a terrorist related hour estimate on an assumption that a including the Transportation Trades threat or incident reduces the classroom setting and development of Department of the American Federation vulnerability to a terrorist attack. In original course material is necessary. As of Labor and Congress of Industrial addition, TSA conducted a break even further discussed below in section Organizations, the International analysis that compared the cost of the VII.D., TSA is not requiring instructor or Brotherhood of Teamsters, the surface training program to the direct classroom training and will further Brotherhood of Locomotive Engineers, economic losses that would be averted mitigate costs by providing a video, free and the Amalgamated Transit Union.72 by avoiding certain terrorist attack of charge, to regulated owner/operators International outreach is also a key scenarios. Given the relative small costs for compliance with the parts of the component of TSA’s transportation of implementing training compared to rule. TSA intends for this material to security mission. TSA surface the catastrophic costs of a successful cover three of the four PTPR training representatives partner with the terrorist attack, this analysis found that elements in the rule and take less than international community through a the rule would only have to deter, at one hour. number of forums, such as INTERPOL, minimum, one attack every 40 years for Finally, the commenter comes from European Network of Railway Police the benefits to equal costs for freight one of the largest metropolitan areas in Forces (RAILPOL), and the United rail, a number that increases to one the United States with one of highest Nations led International Working attack every 166 years for OTRBs.68 The costs of living. This leads TSA to Group Land Transport Security monetized benefits of preventing an believe that the estimate provided by (IWGLTS). These meetings include a attack would likely be greater were TSA the commenter is likely higher than the regular exchange of lessons learned in national average of transit agencies. TSA addressing emerging threats within the 66 See supra n. 63. used national wage data for transit surface transportation environment. 67 Id. at sec. 202, codified at 2 U.S.C. 1532. The $100 million in 1995 dollars is adjusted for 4. Terms inflation to 2017 dollars using the GDP implicit 69 See id. at Section 4.1 (full summary of the price deflator for the U.S. economy. Bureau of threat to surface transportation and an example of Comments on definition of Economic Analysis, National Data, Table 1.1.4. security training effectiveness). ‘‘transportation security-sensitive Price Indexes for Gross Domestic Product, Line 1 70 See Final RIA at Section 2.4 for an explanation materials (TSSM)’’: Several commenters Gross domestic product. Available at: https:// and rationale to why TSA estimates 1 and 20 apps.bea.gov/iTable/iTable.cfm?reqid=19&step= minutes needed to train mass transit agencies’ 2#reqid=19&step=2&isuri=1&1921=survey. security-sensitive employees on the training 71 See 81 FR 91336 at 91368–91370. 68 See Final RIA at Section 4.3. components of the final rule. 72 See id. at 91370.

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asked for clarification regarding how the follow when a potential threat is suggested TSA consider an audit TSSM definition applies to motor identified. Under either example, the program for contractors, rather than coaches, and suggested industry aid host and tenant railroad owner/ making the owner/operator responsible TSA in determining what should qualify operators will only be responsible for for ensuring contractor receives training as TSSM. One commenter asked TSA to training their own employees. or otherwise comply with the rule’s provide handling and storage When inspecting for compliance by requirements. information regarding TSSM specific to regulated parties participating in a TSA response: As explained in the the motor coach industry. contractual relationship, TSA will NPRM, TSA is mandated to: (1) Enforce TSA response: As noted in the NPRM, consider the freight railroad carrier (the its rules and requirements; (2) oversee TSA is satisfying a 9/11 Act requirement private company) to be an authorized the implementation and ensure the to define TSSM 73 by incorporating by representative of the PTPR owner/ adequacy of security measures; and; (3) reference the hazardous materials operator (the owner/operator of the inspect, maintain, and test security identified in 49 CFR 172.800(b). There passenger train service). TSA will hold facilities, equipment, and systems for all are no specific requirements in the rule the PTPR owner/operator primarily modes of transportation.79 TSA’s related to the definition. To the extent responsible for compliance and for authority over transportation security is there are requirements associated with ensuring that all security-sensitive comprehensive and supported with the materials identified in 49 CFR employees receive the required training, specific powers related to the 172.800(b), persons should consult 49 whether they are employed directly by development and enforcement of CFR part 172, the hazardous materials the PTPR owner/operator or contractor. security-related regulations and other rules promulgated by PHMSA. The The PTPR owner/operator must train requirements. Within this broad PHMSA rules include security the freight railroad carrier’s employees authority, the agency may assess a requirements related to these specific performing security-sensitive functions security risk for any mode of materials. The PHMSA requirements related to the passenger train service.76 transportation and develop security were promulgated through notice and measures for dealing with this risk.80 If B. Investigative and Enforcement comment rulemaking, including TSA identifies noncompliance with its Procedures participation by relevant stakeholders in requirements, TSA may hold the owner/ developing the list of materials. Comments on penalties and violations operators responsible for the violation Comments on definition of ‘‘host under 49 CFR part 1503: Several and subject to enforcement action, railroad’’: One commenter asserted the commenters requested clarification which may result in civil monetary definition of ‘‘host railroad’’ is regarding the exact penalties for non- penalties.81 confusing. Additionally, the commenter compliance, and others asked TSA to Pursuant to its statutory authority and noted TSA’s expectations of the explain the basis of violations. responsibilities, TSA is the sole Federal railroads responsible for ensuring TSA response: The 9/11 Act included agency with authority to enforce its training of employees in ‘‘host’’ authority for TSA to assess civil regulations. DOT’s components do not situations are unclear, as railroads penalties for violations of title 49 of the have authority to enforce TSA’s rules currently train employees under U.S. Code, including surface and TSA cannot enforce theirs. DHS and existing training programs. transportation requirements.77 TSA DOT, however, do consult and TSA response: As noted in the posts, and regularly updates, its coordinate with each other on security- NPRM,74 TSA is defining ‘‘host sanction policies on its website.78 related issues pursuant to various railroad’’ consistent with the definition Between this rule’s date of publication memoranda of understanding (MOU). well-established by use for the rail and effective date, TSA will update this To mitigate concerns about duplication industry under rules of the FRA.75 policy to address violations of this rule. of efforts by inspectors, DHS has entered Under this rule, both the host and Comments on compliance, inspection, into an MOU with DOT with separate tenant railroads are required to have a and enforcement under 49 CFR 1570.9: annexes between TSA and the modal training program that appropriately Several commenters expressed concern components of DOT. These annexes addresses the ramifications of the regarding how TSA will enforce the address coordination on regulatory hosting relationship. For example, the rule. One commenter suggested TSA matters. host railroad’s training program will and relevant DOT components should When appropriate, TSA will need to address the operational develop a cooperative enforcement coordinate with an owner/operator on considerations of the hosting program allowing DOT personnel to inspections. Notice gives the parties to relationship, such as training enforce TSA’s security training be inspected the opportunity to gather dispatchers on their role and requirements as they conduct their evidence of compliance and to arrange responsibilities in halting the tenant safety inspections. Several commenters to have the appropriate personnel railroad’s operations over a segment of suggested TSA coordinate with the available to assist TSA. Some track where there is a potential threat owner/operator before an inspection, inspections, however, can only be (such as a suspected IED or tampering and one suggested that TSA provide an effective if TSA’s presence is with infrastructure). Similarly, a tenant audit checklist before arriving on the unannounced. TSA must have the railroad subject to the security training owner/operator’s property. Another flexibility to respond to information, requirements of 49 CFR part 1582 commenter asked TSA inspectors to operations, and specific circumstances (PTPR), will need to address the undergo safety training before visiting whenever they exist or develop. operational considerations of the the property. Finally, one commenter Security concerns are different at hosting relationship, such as instructing different times of the day and on its train and engine employees on the 76 See supra, section II.A.4 for more discussion on different days of the week. Terrorists the distinction between hosting and contractual may seek to take advantage of proper communication procedures to relationships and the ramifications for responsibility of providing security training. vulnerabilities whenever they occur. 73 Id. at 91344. 77 See sec. 1302(a) of the 9/11 Act. TSA is issuing 74 Id. at Table 3, Explanation of Proposed Terms this rule under the authority of 49 U.S.C. 114. 79 See 81 FR 91341, citing 49 U.S.C. 114. and Definitions. 78 See https://www.tsa.gov/sites/default/files/ 80 49 U.S.C. 114(f) and (l). 75 See 49 CFR 236.1003. enforcement_sanction_guidance_policy.pdf. 81 49 U.S.C. 114(f) and (v).

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TSA has the authority to assess the the actions of their authorized statutory requirement for TSA to security of transportation entities during representatives. specifically use the term ‘‘frontline all times of the day or night and under Second, authorized representatives employee,’’ as long as the scope of the all operational situations (including and other contractors (and their rule includes the employees identified nights, weekends, and holidays). The employees) are also responsible for in relevant portions of the 9/11 Act, nature of any given TSA inspection will complying with TSA’s regulatory which it does. depend on the specific circumstances requirements. Under section 1570.7 of Finally, as discussed in the NPRM,84 surrounding a particular owner/operator this rule, any person may be subject to TSA applied a risk-based approach to at a given point in time and will be enforcement action for violations of the all requirements in this rule, including considered in conjunction with rule, including contractors who provide the definition of security-sensitive available threat information. service to owner/operators and the employee. The NPRM explained TSA employees of such contractors. As a began with an analysis of the employees An audit checklist is unnecessary for result, TSA could pursue an listed in the 9/11 Act’s definitions of this program. Under the rule, owner/ enforcement action against the regulated ‘‘frontline employees’’ who must receive operators are required to submit a party, the regulated party and the training 85 and then considered whether security training program to TSA for contractor as an authorized other employees may also be in a approval. As the regulated owner/ representative, or against the contractor. position to spot suspicious activity operators are the original drafters of the because of where they work, their security training program approved by C. Part 1570—General Rules interaction with the public, or their TSA, they should not need a checklist 1. Terms Used in This Subchapter access to information. TSA also from TSA to inform them of the (§ 1570.3) considered who needs to know how to program’s content and requirements. report or respond to these potential The use of TSA-provided training Comments on definition of ‘‘security- threats. This additional group of material does not eliminate the owner/ sensitive employees’’: In addition to employees includes managers, operator’s ownership of the program comments of general support for the supervisors, or others who perform the and knowledge of the program’s definition of security-sensitive function or who so directly supervise contents. The security training program employee, TSA received a few questions the performance of a function that their developed and submitted by the owner/ about the term. One commenter sought nexus to the job function is equivalent operator to TSA for approval is likely to more information on what defines an to the employee. include additional information provided employee in a security-sensitive 2. Recognition of Prior or Established or developed by the owner/operator to position, specifically asking whether the Security Measures or Programs meet all of the curriculum requirements. definition includes a cyber-expert or a frontline engineer staffing a commuter (§ 1570.7) Regarding having TSA inspectors train. Another commenter suggested Comments related to use of existing undergo safety training prior to visiting replacing the term with ‘‘Frontline training: Several commenters suggested a property, TSA’s inspectors are Employees’’ for consistency with the 9/ that TSA should allow use of previous properly trained regarding how to safely 11 Act, finding the term ‘‘security- training or programs to satisfy the rule’s inspect an owner/operator’s property sensitive’’ to be confusing and therefore requirements. The range of these and the importance of complying with subject to misinterpretation. Further, existing programs include training official safety-related requirements this commenter found no risk-based provided under TSA’s First ObserverTM while on the owner/operator’s property. justification for establishing a program and existing railroad security For example, TSA puts its inspectors classification of employees to determine training, which commenters assert through a rigorous training program, who should receive security training. meets the intent of the 9/11 Act. incorporating classroom and field TSA response: As discussed in the Commenters noted that both freight and training, so inspectors are NPRM, the definition of ‘‘security- passenger railroads currently maintain knowledgeable on all aspects related to sensitive employees’’ includes effective security training programs. this regulatory program as well as on employees who perform functions with Comments on how to use these safety issues. TSA recognizes the a direct nexus to, or impact on, existing programs varied, including importance of this training to ensure transportation security based on their allowing owner/operators to amend inspectors avoid danger to themselves, job functions.83 Engineers are their existing programs to make them to workers on the inspected property, to specifically covered within the job comply with the rule’s requirements; travelers, and to the inspected property. functions identified for 49 CFR parts letting currently trained employees be Finally, concerning the suggestion 1580 (freight railroads) and 1582 (public ‘‘grandfathered’’ in as long as their that TSA consider an audit program for transportation and passenger railroads). training meets the rule’s requirements; contractors, in lieu of making the A cyber-expert may be considered a and a request that TSA determine these owner/operator responsible for ensuring security-sensitive employee based upon existing training programs meet the 9/11 contractor receives training, TSA specific job functions, such as functions Act’s requirements without imposing applies two important regulatory involving control or movement of trains, additional regulatory requirements. policies related to responsibilities of or because of other cyber-security Finally, a commenter expressed contractors. First, contractors responsibilities related to the owner/ concern that owner/operators will be performing measures required under operators security measures in its allowed to fulfill the training TSA’s rules are ‘‘authorized security plan to protect the integrity of requirements in a variety of ways, representatives’’ of the regulated its information systems. creating unique programs for each party.82 As part of its general TSA chose the term ‘‘security- system. The commenter noted the enforcement policy, TSA consistently sensitive’’ for this rule to mirror the holds regulated parties responsible for term ‘‘safety-sensitive’’ used in rules 84 See id. at 61353–61355. 85 See id. at Table 6, Comparison of security promulgated by DOT. There is no training NPRM proposed categories for ‘‘security- 82 See the rule’s definition of ‘‘authorized sensitive employees’’ to 9/11 Act definitions of representative’’ in 49 CFR 1500.3. 83 81 FR 91333 et seq. ‘‘frontline employees’’ who must be trained.

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training requirements may become security training program. This allows training programs are robust and overly burdensome for employees and the owner/operator to ensure all of the adaptable, evolving to address threats employers if an employee must be re- security-sensitive employees receive and security concerns. To continue to be trained every time he or she leaves one training specific to their operations in effective, the commenters advocated transportation operation and joins order to best mitigate security risks. that they be allowed to update their another. programs as needed without TSA TSA response: Consistent with 3. Submission and Approval approval. They also noted the FRA requirements of the 9/11 Act, the rule (§ 1570.109) already oversees railroad security specifically provides for recognition of Comments on frequency of submitting training programs, and TSA inspectors previous training in § 1570.107.86 Under security training programs to TSA: Two can review the same materials. They this section, owner/operators can use commenters suggested companies noted that given their current process, previously provided training meeting or should be permitted to submit training the NPRM lacked adequate justification exceeding the requirements of the rule plans and curriculum only once to TSA, for the imposition of a prescriptive to the extent they can provide which TSA would store and review on process for submission, review, and documentation of the training and a yearly basis and make recommended approval of training programs already in validation this training satisfies the changes based on the current threat. effect. requirements applicable to that TSA response: The rule does not TSA response: In response to employee. The rule also provides impose a specific schedule for owner/ concerns regarding form of submission, owner/operators with the flexibility to operators to submit updates to their TSA intends to allow for electronic use other training programs addressing security programs, such as an annual submission of required documentation, some or all of the same topics to satisfy update. It does, however, require owner/ consistent with SSI requirements. the regulatory requirements in operators to request to amend their Relating to the need for updating §§ 1580.113(c), 1582.113(c), and programs if necessary to reflect changes programs, the final rule requires owner/ 1584.113(c).87 in ownership or permanent changes in operators to adapt their training TSA recognizes that many of the operations affecting the security training materials to address specific threats in owner/operators to be regulated by this program or curriculum.89 For example, the various modes as they emerge. TSA rule have taken voluntary actions to a program may need to be updated if the approval is not required for an update raise their security baseline. TSA owner/operator replaces equipment unless the changes stay in effect for applauds these efforts, but also notes resulting in instructions conflicting with more than 60 days. For example, an that they do not negate the benefits of the current security training curriculum, owner/operator may provide additional this rulemaking. The purpose of this or expands operations into a new training to address risks associated with rule is to solidify the baseline for those commodity with different risks, changes a city hosting a national special security that have already implemented security personnel structures affecting reporting, event. If the changes are to stay in effect training programs, and to raise those or begins operations in a new for more than 60 days, the owner/ who have not to a consistent standard geographical area. In addition, the final operator must formally request approval across higher-risk operations. To the rule narrows the scope of amendments to amend their security program. As the extent owner/operators established required for changes to security required content for the required security training programs consistent measures or plans. Recognizing an security training is general operation with the 9/11 Act as a voluntary owner/operator’s security program may security, TSA does not anticipate the initiative or implemented use of TSA’s include issues not specifically relevant TSA-approved security training needing TM 88 First Observer program, and to the scope of transportation security to change significantly in response to a continue to provide regular training to this rule is intended to address, the final specific threat. their employees, these efforts should rule includes a list of the specific type As to the concern about duplication of significantly mitigate any costs for of measures and program changes effort, TSA may accept all or portions of compliance with the rule. triggering the requirement to request an an owner/operator’s existing security Finally, the provision on use of amendment. TSA may also require training. Under § 1570.107, an owner/ previous training, in § 1570.107, also owner/operators to amend their plans in operator may rely on previous training addresses concerns about unique the interest of the public and provided within the stipulated periods training programs and the impact on transportation security.90 for initial or recurrent training, as employees who change jobs. If the Comments on methods for submitting validated by TSA (based on information owner/operator can validate the content security programs to TSA: A number of submitted by the owner/operator). In and timing of the previous training, the commenters supported submitting addition, the rule provides for owner/ rule allows this training to be credited training programs to TSA via electronic operators to rely on training conducted towards satisfying the regulatory means, such as in email on a secured pursuant to other requirements to satisfy requirements. At most, the new password protected platform. One the rule’s security training employer may need to supplement 91 commenter also expressed support for requirements. In fact, the rule portions of previous training to address the proposed initial security program specifically references training required unique aspects of its own TSA-approved 92 submission and approval process, as by FRA. In reviewing material well as the amendment approval prepared for other requirements, TSA 86 See id. at 91347 for the discussion on this topic will determine whether the material in the NPRM. process. 87 See id. at 91361–91362. Two commenters, however, raised adequately addresses security training 88 The First ObserverTM program, previously concerns with this process, claiming it from TSA’s perspective and reduces the known as Operation Secure Transport, has been in is too rigid and cumbersome to be risk of a terrorist-related attack on the use for highway motor carriers (OTRB owner/ effective. Commenters noted railroad transportation. As previously noted, operators) and covers the Observe, Assess, and TSA mitigates concerns about Respond security training components required by this rulemaking. TSA credits those OTRB owner/ 89 See § 1570.113 and discussion in section operators who have used the First ObserverTM IV.B.1. 91 See §§ 1580.113(c), 1582.113(c), and program in its RIA (full description in Section 1.5 90 See § 1570.115 and discussion in section 1584.113(c). of the Final RIA). IV.B.2. 92 See §§ 1580.113(c) and 1582.113(c).

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duplication of inspections, through the Appendix B to parts 1580 (freight rail), material to address most of the annexes to the DHS/DOT MOU. These 1582 (PTPR), and 1584 (OTRB).94 TSA requirements and limit their operation- annexes address distinctions between is not adopting the suggestion of a day specific training to procedures unique to TSA’s focus on security and DOT’s equaling an aggregated 8-hour period. their operation, such as points of focus on safety, as well as coordination TSA’s intent with this rule is to ensure contact to report security concerns and on regulatory matters between TSA and employee’s that are regularly positioned emergencies. the relevant modal components of DOT. to identify and respond to security Comments on recurrent security Finally, regarding the prescriptive threats are prepared to do so. TSA does training: TSA received a variety of process requirements, TSA reviewed all not believe that this priority is served by comments on recurrent training. Some requirements in this rule to identify any hourly calculations to determine what commenters generally supported annual options to reduce the burden without constitutes a day. recurrent training. Other commenters undermining the rule’s effectiveness or As to contractors, TSA consistently stated they should have flexibility to conflicting with requirements in the 9/ applies a policy requiring regulated self-determine the training schedule for 11 Act. The 9/11 Act specifically parties to accept responsibility for their their employees, as opposed to an requires submission of the training contractors, including employees adhering to a ‘‘one size fits all’’ programs to DHS for approval and operating under pooling agreements. approach. Some commenters expressed regular updates.93 TSA believes the Any person working for an owner/ concern with the time frame due to cost submission and approval requirements operators within the scope of constraints and the practicality of in § 1570.109 are consistent with this applicability, performing a security- training employees while statutory requirement, provide clear sensitive position—without regard to simultaneously maintaining service. instruction on how this requirement is primary employer or full/part-time These commenters suggested longer to be met, and ensure consistent status—must be trained. In other words, time periods between training, such as application of the rule’s requirements. a pooling agreement does not mitigate two or three years. One commenter the need for security training. The highlighted the safety requirements in 4. Implementation Schedule impact of this policy is more fully (§ 1570.111) FRA’s rules, which require training discussed under comments related to 49 every three years. Comments on initial security training: CFR part 1503. TSA response: TSA considered Several commenters advocated for the Finally, TSA is not changing the options for recurrent training both proposed accumulated grace periods, aggregated employment requirement in before proposing the requirement in the ranging from 90 to 180 days, to allow § 1570.111(4) nor the requirement for NPRM and in consideration of recently hired employees to work before employees (whether intermittent or comments submitted on the NPRM. TSA they complete the training contract) to be trained no later than the continues to believe in the importance 60th day of aggregated employment requirements. One commenter suggested of recurrent training to meet the purpose performing a security-sensitive function. abandoning the accumulated days of the rule, but is adjusting the This requirement ensures these concept and replacing it with a frequency of training in consideration of employees are trained after they are in requirement for all employees to receive the comments. The final rule requires a position with a particular owner/ security training no later than 90 days recurrent training once every three operator long enough to gain awareness after beginning employment. One years. If, however, the owner/operator of the operations necessary to determine commenter suggested a method for modifies its security program or plan when there is an anomaly that could calculating date: A day should be based and those changes affect the on full-time employment, with each 8- constitute a threat. In response to the comment about all responsibilities of specific security- hour period worked counting as one sensitive employees, based on their day. Regarding contractors, the same drivers (presumably of OTRBs) being required to receive training, TSA is position or function in relation to commenter suggested the training security program or plan requirements, responsibility should rest with the limiting it to individuals with a commercial driver’s license to focus on the affected employees must receive contracted company. recurrent training to address the Comments also addressed how to those with a nexus to security, in other changes within 90 days of regulate temporary and/or part-time words, those likely to operate a bus to, implementation of the revisions. This employees. One commenter suggested through, or from a high-risk location, change is consistent with the all drivers, whether employees or rather than employees moving a bus requirements for hazardous materials contractors, should be trained. Another across a yard. While TSA is not employees under 49 CFR 172.704.95 The commenter explained ‘‘pooling currently requiring all drivers to receive recurrent training requirements are agreements,’’ which allow or require the security training, this does not discussed in more detail in section II.J.2. employees from other companies to prevent owner/operators from operate their equipment, and noted voluntarily providing the security 5. Recordkeeping and Availability these arrangements should be covered training required for security-sensitive (§ 1570.121) employees to a broader population of in the final rule. Comments: Two commenters said the TSA response: While TSA appreciates employees. proposed 5-year record-keeping concerns regarding the implementation In addition, TSA is developing requirement would be excessive in schedule for initial training, the 60-day training materials that can be duration, costly and burdensome in requirement is set by the statute. As consistently used across a particular administration, and unjustified by any noted in the NPRM, the 9/11 Act mode. Use of this material, coupled risk-based factors. As an alternative, requires initial training within the first with the ability to use previous training, they suggested owner/operators should 60-days of employment for new will minimize the burden of ensuring only be required to retain training from employees or for those transitioning to employees in pooling agreements received adequate training. Owner/ a covered job function (as identified in 95 In addition, TSA notes that it may order operators can rely on the TSA-provided modifications to a security program or plan, or 93 9/11 Act sections 1408(d), 1517(d), and order additional training, as necessary. See, e.g., 49 1534(d). 94 See 81 FR 91347. U.S.C. 114(l).

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the past three years (assuming TSA communication between TSA and should an incident occur and an earlier adopts a 3-year training requirement). security coordinators may be routine, warning action was not observed. TSA response: Within the context of these individuals are intended to serve Several other commenters specifically an annual recurrent training key roles in times of heightened and opposed the 24-hour proposed time requirement, TSA considered modifying specific security threat and incident. limit, stating it was too short, and some the record retention period based on the During such periods, immediate transit agencies may not know what the comments as three years would provide communication with the security threat is in that amount of time. adequate records of previous training. coordinators may be required to prevent Commenters also suggested TSA The change, however, to recurrent or mitigate loss of life or severe harm to authorize electronic reporting of training on a three-year cycle transportation security. TSA believes significant security concerns to meet the necessitates maintaining the 5-year the requirement for security reporting requirements in § 1580.203. retention schedule in order to ensure coordinators to be accessible to TSA on These commenters noted the rail that the owner/operator can provide a 24-hour a day, 7-day a week basis is industry has developed an electronic adequate representation of previous amply justified by commonly accepted reporting capability and demonstrated training consistent with recurrent principles of emergency and security its effectiveness in three industry-wide training requirements as well as any management. If TSA needs to convey exercises. training based on modification to the extremely time-sensitive security Finally, a few commenters asked for owner/operator’s security program or information to a regulated party, additional clarity regarding what plan. particularly in situations requiring ‘‘significant security concern’’ entails, and one asked for a list of examples. 6. Security Coordinator (§ 1570.201) frequent information updates, the information exchange benefits if there is One commenter specifically suggested Comments on security coordinator continuity in participants. The security TSA harmonize its definition of availability: Two commenters suggested coordinator must be in a position to ‘‘security threat’’ with the FRA’s changes to the security coordinator understand security problems, raise requirement in 49 CFR part 239. Several requirements specifically for railroad issues with corporate leadership, and commenters suggested streamlining the companies. First, they suggested TSA recognize when emergency response requirements. only require affected railroads to action is appropriate. If the contact TSA response: As with the security maintain a 24/7 communications changes every time TSA makes a call, coordinator requirement, TSA is capability to ensure TSA can reach the the loss of continuity will undermine reorganizing the location of the rail security coordinators and the effectiveness of the communication. reporting significant security concerns designated representatives for the stated Comments on citizenship requirement requirements promulgated in 2008 purpose of receiving intelligence for security coordinators: Two (which were at 49 CFR part 1580), information and coordinating on commenters stated disclosing placing the requirement in part 1570 to security practices and procedures. citizenship status is unnecessary and expand its applicability to OTRBs and Second, there was one objection to the should not be required. One of the two bus operations of public transportation proposed requirement for freight commenters suggests TSA should system companies within the scope of railroad operators to name rail security recognize Canadian government security the rule’s applicability. As proposed in coordinators (RSC) ‘‘accessible to TSA clearances in lieu of requiring RSC to be the NPRM, TSA is making three primary on a 24-hour a day, 7-day a week basis.’’ citizens of the United States. changes to the current requirement The commenter suggests modifying this TSA response: The rule does not through this final rule. These changes proposal to require the railroad to require a rail security coordinator to be affect all owner/operators required to ‘‘maintain a 24/7 communications a citizen of the United States. It does report, but results in a reduced burden capability to ensure TSA can reach the however, require each owner/operator for rail operators previously required to RSCs and designated representatives for to report the citizen status of report. First, the rule modifies the the stated purpose of receiving individuals it intends to put forward as current requirement to report intelligence information and its RSC under § 1570.201(d). This immediately, to allow up to 24 hours to coordinating on security practices and requirement is necessary to meet the 9/ report significant security concerns. procedures.’’ 11 Act requirement that security TSA is providing a period of up to 24 TSA response: First, TSA is coordinators be U.S. citizens unless hours to report the information for two reorganizing the location of the RSC TSA determines it is appropriate to reasons: (1) If there is an emergency, the requirements promulgated in 2008, waive the requirement ‘‘based on a immediate priority is to notify and work moving the requirements from 49 CFR background check of the individual and with first responders, not call TS, and part 1580 to part 1570 (§§ 1570.201 and a review of the consolidated terrorist (2) TSA is aware the quality of 1570.203) and expanding applicability watchlist.’’ 96 By providing this information provided is improved when of the existing RSC requirement to information up front, TSA can initiate owner/operators have an opportunity to include bus operations of public any additional actions necessary to review the information and ensure it transportation systems and OTRB comply with this requirement. constitutes a valid significant security owner/operators within the scope of the concern consistent with the description rule’s applicability. TSA neither 7. Reporting Significant Security of activities in Appendix A to part 1570 proposed nor is adopting any Concerns (§ 1570.203) before it is reported. TSA believes 24 modifications to the RSC requirements Comments on mandatory reporting hours is an adequate period for this as they apply to railroads and the requirement, scope of reporting, and process to work effectively. If more time requirement regarding 24/7 accessibility form of reporting: Several commenters is granted, the information may be too of security coordinators. opposed a mandatory reporting stale to be of benefit to TSA or its other It is critical for security coordinators requirement. A few argued the stakeholders. to be ‘‘accessible to TSA on a [24/7] requirements would open up their Second, TSA is modifying the existing basis’’ rather than accepting ‘‘a 24/7 companies and employees to liability requirement to allow for electronic communications capability [that] can reporting. The current rule requires reach the RSCs.’’ Although most 96 See 9/11 Act sections 1512(e)(2) and 1531(e)(2). reporting to be made by telephone. With

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this final rule, TSA is expanding the To address this variety, the rule appropriate for their operational requirement to allow for other methods requires owner/operators to develop and environment. prescribed by TSA. TSA will implement a security training program Comment on size of train crew: One communicate these methods directly to meeting the requirements of the relevant commenter noted that a two-person security coordinators to avoid a subparts and ensures the standards are minimum crew in train cabs is vital to situation where a phone number or met by requiring the program to be defending national security. Their email address may become outdated submitted to TSA for review and concerns reflected current operational based on changes or requirements approval of the curriculum (including requirements, such as monitoring of beyond the scope of this rulemaking. lesson plans, objectives, and modes of computer screens rather than Third, as noted in the NPRM and delivery) and method for measuring monitoring conditions outside of the discussed in section III.C, TSA is effectiveness.98 TSA is unwilling to put train (such as the track). including in the final rule a table that a cap on the requirement. Based on the TSA response: The purpose of this identifies categories of incidents and security awareness training TSA regulation is to ensure employees provides detailed descriptions.97 These requires for its own employees as well performing security-sensitive functions incidents are modified from the as its work and discussions with experts receive adequate training. Staffing requirements promulgated in 2008 to on content development, TSA assumes requirements for train operation are align with other standards, including adequately addressing all of the beyond the scope of this rulemaking. those mentioned by commenters, and required elements will take Comments on effectiveness of security recommendations from the Government approximately one hour. training: The rule requires owner/ Accountability Officer (GAO). TSA is committed to providing operators to include in their security maximum flexibility within the training programs a method for D. Subpart B—Security Programs constraints of the 9/11 Act’s evaluating the effectiveness of the 1. Security Training Program General requirements and needs of regulatory program.99 A few commenters suggested Requirements (§§ 1580.113, 1582.113, compliance. To support compliance, ways to ensure the training is effective and 1584.113) TSA intends to provide complimentary and applicable to real-world situations. Suggestions included having businesses Comment on content creation: TSA training material satisfying many of the put up a poster as a general reminder of received several comments regarding rule’s requirements. If owner/operators responsibility for creating training choose not to use this material, they will the material covered in the class, content. TSA also received questions need to develop a full curriculum to be creating incentives (monetary or time- concerning who will conduct training approved by TSA. If they do use it, they off awards) to completing training, and and the training format, including may still need to submit additional ensuring class is engaging and not only recommendations for TSA to consider material for any portion of the required a lecture in a classroom. Another video training, in-classroom, and/or training (based on their unique suggestion was to integrate randomized field training. Another commenter operations) not covered by the TSA written tests or drills of the covered suggested putting a one-hour cap on materials. As a result, the rule provides material, of which successful course length. One commenter a process balancing flexibility (for completion could warrant an award. suggested an outside entity, not TSA, owner/operators to develop a program Comments included suggestions for should provide oversight for compliance specific to their operational training to be conducted in a classroom, with the training. Several commenters environment) and TSA’s need to ensure citing two benefits of classroom also suggested TSA should require training programs meet the rule’s training: (1) Allows employees to ask transit systems, rail carriers and OTRB purpose. questions and learn from questions and operators to seek the input of employees TSA does not agree with suggestions discussions and (2) allows instructors to and union representatives as they draft for third-parties (not TSA) to oversee the work with employees through a variety their training plans, which would curriculum development and training. of scenarios, which would include ensure the plans consider individual In light of the flexibility given for teaching how to look out for and spot circumstances and are effective in curriculum development, TSA must various security threat and explain the promoting transportation security. ensure the minimum requirements of various roles each employee serves in TSA response: Rather than putting the rule are met in order to satisfy both responding to these threats. One limits on curriculum development, the the mandate of the 9/11 Act and TSA’s commenter asked whether the training rule requires owner/operators to submit intent for this rule to provide a could be incorporated into ‘‘Entry Level their security training programs to TSA consistent baseline of security training Driver’’-training, and also suggested an for review and approval. While the across higher-risk operations. TSA’s online ‘‘train the trainer’’ course. burden is on owner/operators to subject matter experts for the modes of Commenters were divided on the develop and provide the training, the operation covered by this rule will lead question of whether the training’s rule neither prescribes how the content this review and approval process. effectiveness should be documented is to be created nor dictates how it is to TSA agrees the materials should be through testing. Several commenters be provided. The flexible requirement is relevant to the operational environment stated that classroom testing should be an intentional effort to address the and the employees who work within augmented by field testing. Others varied operational issues for owner/ that environment. Like other aspects of suggested no testing should be required. operators required to provide training. curriculum development, the rule gives Several commenters suggested that TSA For example, larger owner/operators owner/operators the flexibility incorporate efficacy standards or may determine it is more cost-effective necessary to meet this objective without incentives for public transportation to incorporate the training required by imposing a prescriptive requirement. agency employees. As an alternative, a this rule into existing training provided Similarly, the rule does not prohibit number of commenters opposed any in a classroom. For smaller operators, owner/operators from consulting with kind of proficiency testing on the web-based training may be easier. relevant parties or developing programs training course material.

97 See Appendix A to part 1570. See also 81 FR 98 See §§ 1580.113(b)(6), 1582.113(b)(6), and 99 See §§ 1580.113(b)(9), 1582.113(b)(9), and 91351–91353. 1584.113(b)(6). 1584.113(b)(9). See also discussion at II.K.

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TSA response: TSA is requiring the community policing principles. Other type of training will satisfy the owner/operator to describe the method proposed topics included how to curriculum requirement concerning to be used for measuring effectiveness of respond to an attack, high-jacking, and/ ‘‘defending oneself.’’ security training and will conduct or kidnapping scenario; self-defense TSA response: In the past, TSA has inspections to ensure the approved training; specified training on high-risk worked with the relevant associations method is being used, as part of events; training on accessing and and FEMA to identify training to implementing the TSA-approved interpreting situations; and address specific security needs and security training program. While TSA development of communication skills. anticipates continuing to do so as it appreciates the information provided by Commenters suggested the training relates to the requirements in this rule. commenters for measuring the address issue of civil rights and In addition, TSA has partnered with effectiveness of training, TSA has liberties, expressing concerns about national associations and industry to decided not to dictate which method training employees to identify cooperatively develop security training must be used. As part of its commitment individuals as threats based on their curriculum and programs. While TSA to recognizing the many unique socioeconomic status. One commenter does not intend to endorse specific operational environments for owner/ specifically cautioned against enabling third-party training programs owner/ operators subject to this regulation, as transit security personnel to profile operators may submit these programs to well as the commitment to balance riders based on race or religion, and TSA as part of their security training maximum flexibility with effective suggested personnel should first be programs. TSA will assess all submitted security, TSA is not requiring a specific trained to respect rights of all programs to ensure compliance with the method for measuring effectiveness.100 individuals, and should also be trained rule’s requirements before approving the TSA recognizes that pre- and post- in effective measures not involving training program. As to the comment on testing in a classroom setting is an ‘‘stop and frisk,’’ or similar measures. providing more information on efficient way to determine the TSA response: TSA believes the ‘‘defending oneself,’’ the rule does not effectiveness of training. TSA also required security-training topics require training on how to use self- acknowledges, however, that, other (covering prepare, observe, assess, and defense devices or other protective methods of documenting the response) will provide a baseline of equipment provided by the employer. effectiveness of training exist, which security awareness to enhance the TSA assumes the employer’s standard may be preferable for some employees overall safety and security of passenger employee training will address these and/or circumstances. Therefore, TSA is and cargo transported by rail and issues at the time the equipment is not specifying a particular type of highway. This type of security provided (one commenter noted the testing or other method for determining awareness does not inconvenience Occupational Health and Safety effectiveness, but will use the owner/ passengers or undermine their safety. It Administration (OSHA) requires operator’s TSA-approved standard for does, however, enhance passenger employees to receive training in the use measuring effectiveness when security. Furthermore, nothing in the of (PPE) required by their job functions). inspecting an owner/operator’s training rule empowers employees to engage in Comments on impact of TSA- documentation to verify that each racial profiling or conduct police developed security training materials: employee who must be trained has operations. TSA will not approve a One commenter suggested that TSA received the required training and that training curriculum encouraging develop an annual course based on the owner/operator has determined that employees to conduct racial profiling or current threat and intelligence rather the training is effective. report threats based on socioeconomic than requiring companies to create status. annual plans for TSA approval. 2. Security Training and Knowledge for Finally, the regulatory requirements Similarly, several commenters suggested Security-Sensitive Employees for training content provide flexibility to that TSA create a baseline curriculum, (§§ 1580.115, 1582.115, and 1584.115) owner/operators to develop programs such as a video, that would meet the Comments on security training appropriate to their operational regulatory requirements. One knowledge requirements: TSA received environment, including known threats commenter suggested that companies varied comments on the required and vulnerabilities. As a result, training could voluntarily submit supplemental security training curriculum content may include how to identify threats training that exceeds the recommended requirements. The comments ranged such as a potential hijackers and how to baseline training that is specific to their from asserting that the scope of the prepare and use the required training mode. One commenter, however, training content is overly broad to during high-profile events (including specifically stated that TSA’s First proposing additional training appropriate communications with the ObserverTM training materials are requirements to be added to the rule. public and first responders). The inadequate. One commenter, concerned that the requirements of this rule will enhance TSA response: This rule does not scope is too broad, suggested training such targeted, optional training. The require owner/operators to submit beyond awareness observation and rule’s requirements will result in updated plans every year. Updates, or reporting may be excessive and employees possessing an understanding amendments, are only required for counterproductive to the safety and of the norm for their operational specific reasons, as discussed in section convenience of passengers. The environment, the skills and knowledge IV.B. commenter recommended that security necessary to identify anomalies In regard to the comments regarding training requirements not exceed the indicating a potential threat, and the use of First ObserverTM, TSA notes that parameters of the employee’s unique capability to respond appropriately. the First ObserverTM program most tasks or working environment. Comments on training to satisfy familiar to regulated parties was created Finally, some commenters wanted regulatory requirements: Several primarily for highway and motor carrier topics added to the curriculum. Two commenters requested more specificity professionals. While TSA assessed that commenters suggested the training focus regarding what type of training will First ObserverTM covers three of the on civil liberties, and integrate satisfy the curriculum requirements, required training elements for OTRB including a list of examples. One owner/operators, the program was not 100 For further discussion, see 81 FR at 91361. commenter asked for guidance on what created to specifically address this rule

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nor was it meant to be applicable to all E. Freight Rail Specific Issues TSA encourages owner/operators not within the scope of the rule’s surface modes of transportation. 1. Applicability of Security Training applicability to use the regulatory At the time the NPRM was published, Requirements (§ 1580.101) requirements as guidance for voluntarily TSA anticipated expanding the First Comments: Several commenters ObserverTM program to incorporate implementing a security training expressed concern related to the program for its security-sensitive and additional training material. Since designated list of HTUAs in Appendix other employees, whether by using publication of the NPRM, however, TSA A to part 1580. One commenter believed TSA-developed programs or through its initiated development of new materials the training is necessary for all frontline own training. These owner/operators to address three of the required training employees, not just those employed by may contact TSA through the numbers program components (Observe, Assess, higher-risk operations. Another noted and addressed identified in under FOR and Respond) that are relevant to all that improving security at some FURTHER INFORMATION CONTACT, or owner/operators within the three locations may result in terrorists through modal associations (with whom 101 covered modes. While these videos redirecting their operations to softer TSA regularly interacts). are a new product intended to targets not covered under the rule. The specifically align with the rule’s commenter suggested the rule should 2. Chain of Custody and Control requirements, they build upon previous require security training at all Requirements (§ 1580.205) training developed by TSA under First transportation locations. The Comments: Two commenters asserted ObserverTM and other transportation commenter specifically recommended threat assessments indicate freight security-related training programs. TSA that the rule cover freight, passenger railroads face a lower terrorist threat. adapted this previously developed rail, and public transit systems. The commenters concluded the transfer information, and supplemented it as TSA response: As discussed in the of custody procedures should only necessary, to ensure the videos address NPRM, TSA’s risk-based determinations apply at elevated or imminent terrorism as many of the required training for applicability are consistent with the levels. elements as can be met through a one- focus of the 9/11 Act’s requirements on TSA response: TSA understands this size fits all training video. These higher-risk operations.102 This risk- comment to be about the chain of materials may eventually be placed based focus is reflected in the statutory custody requirements currently required under the First ObserverTM umbrella, requirement for the training to be by 49 CFR 1580.107 and not this rule’s but will not be the same as the original provided to frontline employees, not all requirements to provide training on the program. employees, and placing the security chain of custody procedures employed training requirements within the context by the railroad. For the underlying As noted in the NPRM, use of TSA- of a broader security program focusing chain of custody requirements, this rule developed and provided material is on higher-risk operations. merely relocates the requirement within optional. TSA developed these materials While hardening one target could the CFR; TSA did not propose to further reduce the burden of make those with nefarious intent believe modifying them. TSA thus considers compliance to owner/operators with a that other targets are more vulnerable, these comments pertaining to resource they may use to meet a the threat (an adversary’s intent and substantive changes to the chain of majority of the security training capability) is only one of the critical custody requirements as beyond the requirements under this rule. These factors affecting risk (which also scope of this rulemaking. Consistent, videos will be made available to all of includes vulnerabilities and however, with the requirements of TSA’s surface stakeholders. consequences). The risk analysis Executive Order 13777, Enforcing the TSA is aware that not all owner/ underlying the applicability for freight Regulatory Reform Agenda (Feb. 24, operators will choose to use TSA- railroad is heavily weighted to address 2017), TSA is addressing this comment provided material, particularly if they concerns regarding the vulnerabilities as a suggested revision to existing are incorporating their training into and consequences. TSA determined the regulations. Under 49 U.S.C. 114(l)(3), TSA is existing training programs to meet other highest risk freight railroads are those required to consider the potential Federal, state, or local training designated as Class I, based on their revenue and the Nation’s dependence impact on security before it rescinds or requirements. Owner/operators may on these systems to move both freight in revises a regulatory requirement. need to develop and/or provide support of critical sectors and Transfer of custody requirements are supplemental material to ensure the passengers. All Class I railroads must intended to prevent access by training provided meets all of the provide security training. Similarly, unauthorized persons to railcars loaded training requirements, specifically some shortlines (also known as Class II with certain chemicals or materials may reflecting nuances within the operations or Class III railroads) are higher-risk constitute an immediate threat to life or of a particular owner/operator or a because of what they transport and health if released into the environment. particular sub-set or location of these where they transport it. As noted above, TSA does not agree that transfer of operations. This additional information and in the NPRM, certain materials have custody procedures should only apply must be identified and included in the a higher-risk associated with them based to elevated or immediate threat risk. The security training program submitted to on the potential consequences should state of the terrorism alert level is not TSA. As the videos use is not they be released.103 The likelihood of related to the need to deny mandatory, the economic analysis does catastrophic consequences is greater in unauthorized persons access to railcars not account for them when estimating HTUAs. By reducing the vulnerability loaded with hazardous materials; costs of compliance. through increased security training, the unauthorized persons must be denied rule’s applicability is intended to reduce access to such railcars at all times. 101 The ‘‘Prepare’’ element of the required training the risk for these systems without Terrorism alert levels are increased curriculum is, by its nature, specific to each the increasing the risk for others. Finally, when there is reason to believe a operations of each owner/operator covered by the rule. As such, this element cannot be addressed in heightened threat of an attack exists or material intended to be applicable to multiple 102 See 81 FR 91355 et seq. may exist. Accessible freight cars owner/operators. 103 See id. containing hazardous materials may be

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used to mount an attack spontaneously, to $14.93 million (both annualized and security training, not just those who without elaborate planning or discounted at 7 percent).104 It seems drive an OTRB to, through, or from an premeditation on the part of the unlikely that expanding security identified area. attacker, and therefore without warning training to an additional 206 owner/ The comments provided conflicting or reason to elevate the threat level in operators, to include operations not opinions on whether requiring all advance of the attack. Current ‘‘chain of considered higher-risk, will yield a security-sensitive employees to receive custody’’ requirements accomplish this corresponding reduction in risk. As the training, regardless of where the objective and are retained in the final previously noted, TSA encourages individual operates, is necessary. TSA is rule. owner/operators not covered by the requiring that all security-sensitive rule’s applicability to use the regulatory employees must be trained, but notes F. Public Transportation and Passenger requirements as guidance for voluntarily that owner/operators may request Railroad Specific Issues implementing a security training alternative measures under the Comments: Several commenters program for its frontline employees, procedures in § 1570.117. questioned the scope of the rulemaking whether by using TSA-developed 2. Applicability (§ 1584.101) in relation to PTPR. Commenters programs or through its own training. specifically questioned TSA’s criteria Finally, the nexus between the FTA’s Comments on threat: One commenter for identifying the current PTPR requirements and this rule are more disagreed that vehicle borne improvised systems, and asked whether TSA will fully discussed in the NPRM.105 explosive devices (VBIED) are the identify additional PTPR systems in the greatest and most likely attack risk, future. One commenter urged TSA to G. OTRB Specific Issues citing recent terrorism-related incidents reconsider limiting the applicability to 1. Definition of Security-Sensitive involving vehicle ramming. 46 systems rather than all PTPR Employees (§ 1584.3 and Appendix B to TSA response: Within the context of systems, as the cost-savings is far Part 1584) the 9/11 Act’s mandate for TSA to outweighed by the cost-effectiveness require OTRB owner/operators to Comments: Two commenters provide security training to their achieved by meaningful training of all expressed concern that bus companies frontline transit employees in security- employees, TSA’s risk analysis focused do not always know in advance exactly on what risks were greatest for OTRB, sensitive positions. One commenter which buses will be used for which asked if the Federal Transit not all forms of motor vehicles. To the service. One of the commenters extent the commenter is suggesting use Administration’s (FTA’s) impending suggested it would be easiest for their repeal of 49 CFR part 659 would mean of an OTRB for vehicle ramming is company if all drivers take part in greater than the risk of using an OTRB only TSA’s identified ‘‘higher risk’’ mandatory training, regardless of their PTPR systems will have security as a VBIED, the distinction would have normal scheduled route, as there is no impact on how TSA uses its risk training requirements, vulnerability potential for a driver to be transferred to assessments, and security planning analysis to determine applicability as a different assignment at the last the vulnerabilities and consequences for requirements after April 15, 2019. minute. Another commenter cautioned TSA response: As noted above, TSA’s OTRBs are similar. To the extent the the rule may cause confusion as to risk-based determinations for commenter is referring to other types of which employees of an operation applicability are consistent with the 9/ motor carrier-related threats, TSA notes should be trained, and asked for 11 Act’s requirements regarding higher- that security awareness training is a clarification whether an operator should risk operations. This focus on risk is valuable countermeasure against vehicle only train front line employees servicing reflected in the statutory requirement ramming attacks. Because large identified destinations. The commenter for training frontline employees, not all commercial vehicles can do more explained a scheduled service operator employees, and placement of the damage in a ramming attack, teaching may offer charter, shuttle bus, or other security training requirements within large vehicle operators to be more transportation services, in addition to the context of a broader security sensitive to and aware of possible fixed-route service to areas that are program required to focus on higher-risk hijacking or other attempts to procure outside the UASI areas. their vehicle can mitigate losses and operations. In questioning TSA’s criteria TSA response: To address the request for its determination, the commenter damages. for clarity, TSA recommends owner/ provided no specific information Comments on applicability: Several operators first determine whether they regarding TSA’s perceived failures nor commenters expressed concern with the have operations placing them within the provided alternatives. If TSA decides to scope and applicability of the rule. One scope of the rule’s applicability, i.e., expand the rule’s applicability to commenter agreed with the definition of whether the owner/operator provides additional systems, it would do so ‘‘higher risk’’ and their application to fixed-route service to, through, or from through appropriate rulemaking the rule, but urged TSA to ensure DHS one of the areas identified in Appendix procedures consistent with TSA’s provides consistency throughout all its A to part 1584. If so, the owner/operator statutory authorities and rulemaking components regarding ‘‘the factors that must provide security training to all of requirements. could make an OTRB a potential target.’’ its security-sensitive employees. The TSA cannot confirm the rule will One commenter suggested that UASI question of which employees receive continue to be as cost-effective if the may be ‘‘over kill,’’ and suggested only training is not based on where the number of PTPR systems is expanded. 10 areas. Another expressed concern employee’s job takes them, but what In the NPRM and Final RIA, TSA that as UASI areas are re-determined their job requires them to do. Thus, all performed an alternatives analysis annually, the prioritized locations could employees who have a commercial (Section 5.2 of the Final RIA), in which change frequently, which would result driver’s license and operate an OTRB for one of the alternatives expanded the in an undue burden on operators and the owner/operator must receive scope of affected PTPR owner/operators foster soft targets as resources are from 47 (46 PTPR systems + Amtrak) to shifted to address new threats. Finally, 104 See Final Rule RIA, tables 40 and 91 for total 253. This alternative would result in the costs to PTPR in the preferred alternative and commenters expressed concern that the costs of compliance for the PTPR Alternative 2 (expanded population), respectively. rule may create ‘‘soft targets’’ which industry to increase from $2.44 million 105 See 81 FR at 91365. could be exploited by terrorists.

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TSA response: As discussed in the operators not covered by the rule’s training program if certain changes are NPRM,106 TSA’s risk-based applicability to use the regulatory made to their operations or if notified by determinations for applicability are requirements as guidance for voluntarily TSA that an amendment is necessary. consistent with the focus of the 9/11 implementing a security training For purposes of its burden estimates, Act’s requirements on higher-risk program for its frontline employees, TSA assumes such modification will operations. This is reflected in the whether by using TSA-developed occur every three years. statutory requirement for the training to programs or through its own training. Second, the public transportation bus be provided to frontline employees, not H. Comments Beyond Scope of systems and OTRB owner/operators to all employees, and placing the security Rulemaking whom the final rule applies would be training requirements within the context required to obtain personal and contact of a broader security program that TSA received several comments information from their designated focuses on higher-risk operations. regarding issuance of self-defense security coordinator, and alternate, and While hardening one target could devices, such as tasers and mace, submit such records to TSA. make those with nefarious intent believe ranging from suggesting that we require Third, respondents would be required that other targets are more vulnerable, employers to issue them to suggesting to retain individual training records on the threat (an adversary’s intent and that we prohibit it. Either suggestion is security-sensitive employees at the capability) is only one of the critical beyond the scope of this rulemaking. location(s) specified in each factors affecting risk (which also The comment indicating that OSHA respondent’s respective security training includes vulnerabilities and mandates employee training in the use program, and make such records consequences). The risk analysis of PPE, if required by their job available to TSA upon request. underlying the applicability for OTRB is functions, has already been noted. Fourth, the public transportation bus heavily weighted to address concerns VIII. Rulemaking Analyses and Notices systems and OTRB owner/operators to regarding the vulnerabilities and whom the final rule applies would be A. Paperwork Reduction Act consequences, including the required to report significant security vulnerability associated with scheduled The Paperwork Reduction Act of 1995 concerns, which includes incidents, service and the consequences should an (PRA) requires Federal agencies to suspicious activities, and/or threat attack occur in highly populated urban consider the impact of paperwork and information. areas. other information collection burdens Use of: This information will be used Because the risk involving an OTRB imposed on the public and, under the to support the implementation of this as a VBIED is primarily to the targeted provisions of PRA sec. 3507(d), obtain final rule, including to TSA urban area, TSA relied on a risk model approval from the OMB for each determinations that security training developed by DHS to determine highest collection of information it conducts, programs satisfy the requirements in risk urban areas for the UASI grant sponsors, or requires through this final rule. Recordkeeping program. This model has been approved regulations.108 requirements are necessary for TSA to by the Secretary of Homeland Security OMB has approved a related verify employee training is in for calculating the relative risk of urban information collection request for compliance with the final rule. Security areas in order to inform UASI allocation contact information for RSCs and coordinator information supports determinations.107 As with PTPR, TSA alternate RSCs, as well as the reporting respondent communications with TSA drew the line for applicability where of significant security concerns by concerning intelligence information, there is a natural and significant break freight railroad carriers, passenger security related activities, and incident in the funding allocations as informed railroad carriers, and rail transit or threat response with appropriate law by the risk methodology. systems.109 enforcement and emergency response As to concern about the impact of This final rule, however, contains agencies. The reporting of significant future changes to UASI designations, new information-collection activities security concerns supports the analysis that concern is misplaced. While TSA subject to the PRA. Accordingly, TSA of trends and indicators of developing used the UASI designations to develop has submitted the following information threats and potential terrorist activity. its applicability determination, the term requirements to OMB for its review. The Respondents (including number of): UASI is not used in the applicability. Supporting Statement for this The likely respondents to this Instead, the rule applies to those information collection request is information collection are the owner/ providing fixed-route service to, available in the docket for this operators of covered surface modes, through, or from one of the areas rulemaking. which are estimated to incur Title: Security Training Programs for identified in Appendix A to part 1584. approximately 579,070 responses over Surface Mode Employees. The table in this appendix includes the next 3 years (including 145,731 Summary: This final rule requires the specific counties to avoid any potential freight railroad responses; 254,754 PTPR confusion regarding applicability. following information collections: First, owner/operators identified in 49 responses; and 178,586 OTRB company Finally, TSA does not believe the responses), which amounts to an regulation creates soft targets. By CFR 1580.101, 1582.101, and 1584.101 are required to submit a security average annual cost of $0.93 million. reducing the vulnerability through Frequency: TSA estimates that increased security training, the rule’s training program for security-sensitive employees that meets the requirements following initial submission, security applicability is intended to reduce the training programs would need to be risk for these systems without of subpart B of 49 CFR part 1580, subpart B of 49 CFR part 1582, and periodically updated as appropriate. increasing the risk for others. Finally, Security training records would need to TSA notes that it encourages owner/ subpart B of 49 CFR part 1584. Additionally, they are required to be updated after each training submit a request to amend their security occurrence. Security coordinator 106 See general discussion on applicability, id. at information would need to be updated 91355 et seq. See also OTRB specific discussion, id. at 91358 et seq. 108 Public Law 96–511, 94 Stat. 2812 (Dec. 11, as appropriate. Significant security 107 As the risk methodology relies upon SSI, it is 1980), as codified at 44 U.S.C. 3501 et seq. concerns would be reported as they not available to the public. 109 See OMB Control No. 1652–0051. occur. TSA estimates inspections for

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compliance would occur at a rate of one employee training documentation estimate is approximately 12,318 hours. inspection per year per owner/operator. recordkeeping, and incident reporting is Table 5 shows the information Annual Burden Estimate: The average estimated to be 2,729 hours for freight collections and corresponding hour yearly burden for security training railroads; 3,311 hours for PTPRs; and burdens for entities falling under the program development and submission, 6,278 hours for OTRB companies. The requirements of the final rule. security coordinator submission, total average annual time burden

TABLE 5—PRA HOURS OF BURDEN

Time per Number of responses Average Collection response 3-Year time annual time (hours) Year 1 Year 2 Year 3 burden burden

Initial Security Training Program Development and Submission

Freight Rail ...... 152 33 0 0 5,016 1,672 PTPR ...... 88 47 0 0 4,136 1,379 OTRB (Large to Medium) ...... 44 31 1 1 1,439 480 OTRB (Small) ...... 28 174 3 3 5,062 1,687

Modified Security Training Program Development and Submission

Freight Rail ...... 25 30 0 0 743 248 PTPR ...... 25 42 0 0 1,058 353 OTRB (Large to Medium) ...... 25 28 1 1 736 245 OTRB (Small) ...... 25 157 3 3 4,068 1,356

Security Coordinator Information Submission

PTPR ...... 0.5 52 6 6 32 11 OTRB ...... 0.5 467 65 66 299 100

Employee Training Documentation Recordkeeping

Freight Rail ...... 0.017 136,155 4,750 4,764 2,428 809 PTPR ...... 0.017 194,219 23,173 23,251 4,011 1,337 OTRB ...... 0.017 39,147 5,142 5,206 825 275

Incident Reporting

PTPR ...... 0.05 4,652 4,652 4,652 698 233 OTRB ...... 0.05 41,881 42,691 43,516 6,404 2,135

Total Burden (responses) ...... 579,070 193,023

Total Burden (hours) ...... 36,953 12,318

B. Economic Impact Analyses controlled through a budgeting process. 2. Executive Orders 12866, 13563, and Third, the Regulatory Flexibility Act of 13711 Assessments 1. Regulatory Impact Analysis Summary 1980 113 requires agencies to consider Changes to Federal regulations must the economic impact of regulatory Under the requirements of Executive undergo several economic analyses. changes on small entities. Fourth, the Orders 12866 and 13563, agencies must First, Executive Order 12866, Regulatory Trade Agreement Act of 1979 114 assess the costs and benefits of available 110 Planning and Review, as prohibits agencies from setting regulatory alternatives and, if regulation supplemented by Executive Order standards that create unnecessary is necessary, select regulatory 13563, Improving Regulation and obstacles to the foreign commerce of the approaches that maximize net benefits Regulatory Review,111 directs each United States. Fifth, UMRA requires (including potential economic, Federal agency to propose or adopt a agencies to prepare a written assessment environmental, public health and safety regulation only upon a reasoned of the costs, benefits, and other effects effects, distributive impacts, and determination that the benefits of the of proposed or final rules that include equity). These requirements were intended regulation justify its costs. supplemented by Executive Order Second, E.O. 13771, Reducing a Federal mandate likely to result in the expenditure by State, local, or tribal 13563, which emphasizes the Regulation and Controlling Regulatory importance of quantifying both costs Costs,112 requires agencies to identify at governments, in the aggregate, or by the private sector, of $100 million or more and benefits, of reducing costs, of least two regulations to be eliminated harmonizing rules, and of promoting for every new regulation, and also annually (adjusted for inflation).115 flexibility. Under Executive Order requires that the cost of planned 13711, Reducing Regulation and regulations be prudently managed and 113 Public Law 96–354, 94 Stat. 1164 (Sept. 19, Controlling Regulatory Costs,116 1980) as codified at 5 U.S.C. 601 et seq. agencies must identify whether a 110 58 FR 51735 (Oct. 4, 1993). 114 Public Law 96–39, 93 Stat. 144 (July 26, 1979), 111 76 FR 3821 (Jan. 21, 2011). codified at 19 U.S.C. 2531–2533. 112 82 FR 9339 (Feb. 3, 2017). 115 Supra n. 63. 116 82 FR 9339 (Feb. 3, 2017).

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rulemaking is a regulatory or training burden cost estimates to reflect the final rule, TSA decided to include deregulatory action. the final rule’s triennial training cycle. the cost of developing a custom training In conducting these analyses, TSA has • TSA updated employee population program in the Final RIA. Because of determined: estimates in each of the three industries this change, TSA increased the time 1. This rulemaking is a significant regulated by this final rule. In all three burden for owner/operators to develop a regulatory action within the meaning of modes, the final rule employee training program. TSA also increased Executive Order 12866 and a regulatory population estimates decreased from the the time burden for TSA to review, action under Executive Order 13771. estimates in the NPRM: (1) The modify, and re-review these programs. TSA has determined that this population of impacted freight rail Lastly, TSA increased its estimate of rulemaking is not economically employees decreased based on an hours spent per inspection because TSA significant. The rule will not result in an updated source.117 (2) The population of believes Transportation Security effect on the economy of $100 million impacted PTPR employees decreased as Inspectors will need more time to or more in any year of the analysis. The a result of TSA using more detailed inspect owner/operators on the total annualized costs of the final rule population data in this Final RIA, as particulars of their unique training over a perpetual time period using a 7 well as an update in the percentage of program. percent discount rate, in 2016 dollars, employees performing security-sensitive • TSA revised its assumption that and discounted back to 2016 is $5.28 roles. (3) The population of impacted owner/operators will, on average, million. The rule will not adversely OTRB employees decreased as a result update their training program every five affect the economy, interfere with of reevaluating the population of years (as assumed in the NPRM RIA) to actions taken or planned by other impacted OTRB owner/operators from every three years. TSA made this change agencies, or generally alter the the NPRM dataset. TSA made revisions because it better aligns with the new budgetary impact of any entitlements. based on new information about the assumption that owner/operators would 2. TSA prepared a Final Regulatory owner/operator’s operations (such as the create their own training program. TSA Flexibility Analysis (FRFA), which lack of scheduled services), as well as assumes a custom training program finds that this rulemaking would likely the consolidation and closure of owner/ would involve more owner/operator- have a regulatory cost that exceeds one operators within the industry. This re- specific circumstantial changes and percent of revenue for 47 small evaluation resulted in eight fewer OTRB those would occur, on average, more entities—1 freight rail and 46 OTRB owner/operators than previously often. This change increased the owner/operators—of the total 200 small estimated in the NPRM, which in turn estimated cost to owner/operators and entities that would be regulated by the meant fewer employees were impacted. TSA because they will, respectively, final rule. • TSA updated its estimates of submit and review training programs 3. This rulemaking would not compensation rates, employee turnover more frequently within a ten-year constitute a barrier to international rates, and various other inputs. TSA has period. trade. reviewed all the inputs used in the • TSA added the cost for a name 4. This rulemaking does not impose NPRM RIA and updated them to ensure check of new security coordinators an unfunded mandate on State, local, or that the Final RIA uses the most against its Terrorist Screening Database. tribal governments, or on the private recently available data. This cost is absorbed by TSA, not sector under UMRA. • TSA added the cost for owner/ In the NPRM RIA, TSA estimated that owner/operators nor the security operators to develop their own training coordinators. the rule would cost $157.27 million programs in its primary cost analysis; in • over ten years, discounted at 7 percent. TSA revised its time burden the NPRM RIA, only Alternative 2 made estimate for recordkeeping from 15 In the Final RIA, TSA updated its this assumption. In the primary cost benefit-cost analysis and estimated this seconds to 1 minute. This more closely analysis of the NPRM RIA, TSA aligns to previous estimates TSA has regulation will cost $52.30 million over assumed owner/operators would use a ten years, discounted at 7 percent. The made for other employee-specific video provided by TSA, free of charge, recordkeeping requirements. change in cost estimate from the NPRM to meet a majority of the training RIA to the Final RIA is due to the Table 6 shows the cost components requirements. TSA still plans to make that TSA expects industry and following: this video available, however for the • The final rule will require affected Government will incur from purpose of presenting the full range of surface mode employees to undergo implementing the final rule. This table possible costs for owner/operators from security training at least once every compares these cost components to their respective estimates in the NPRM and three years, which is a change in 117 The Final RIA used the 2017 version of ‘‘AAR frequency from the annual training Railroad Facts’’ versus the 2014 version used in the describes the changes made from the requirement in the NPRM. TSA updated NPRM. original analysis.

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TABLE 6—10-YEAR TOTAL COST OF NPRM VS FINAL RULE [Discounted at 7 percent, in $ thousands]

NPRM and FR comparison Requirements Section Description Significant change from NPRM Final rule Difference NPRM to final rule

Training Cost ...... 1580.113, $152,277 $43,429 ($108,848) Requirement to train se- Changed cost estimate to 1582.113, and curity-sensitive employ- reflect three-year train- 1584.113. ees on required ele- ing cycle. Updated and ments (one of the ele- refined population data ments is expanded for of security-sensitive freight rail) of security employees. Overall es- training. timate of affected em- ployees decreased from the NPRM. Training Plan ...... 1570.109 ...... 1,653 4,372 2,718 Requirement to submit a Added the cost for cre- training program to ating custom training TSA. Costs include plans; TSA previously, planning, drafting, re- assumed they would view and submission. use the TSA-provided video. Security Coordi- 1570.201 ...... 77 48 (29) Requirement to assign a Added the TSA cost to nator. security coordinator perform a name check and an alternate to of new security coordi- serve as a security liai- nators against the Ter- son with TSA. Costs rorist Screening Data- include initial and up- base. dated submissions from security coordi- nator turnover. Incident Report- 1570.203 ...... 2,052 2,404 353 Requirement to report Included additional post- ing. significant security con- call administrative cerns within 24 hours costs for TSA. of initial discovery. TSA assumes incident reporting will occur telephonically. Recordkeeping ... 1570.121 ...... 592 875 283 Requirement to maintain (1) Decreased cost asso- security training ciated with number of records for each indi- records due to reduced vidual trained. These frequency of training records may be stored and (2) increased the either electronically or time burden per record printed on paper and from 15 seconds to 1 filed. minute. This estimate is also more aligned with previous estimates TSA made for record- keeping of other vet- ting programs. Inspections ...... 1570.9 ...... 622 1,175 553 Availability for inspection No significant changes. by TSA for compliance Cost difference due to with the final rule. updates in wages and Costs assume annual population estimates. inspections for each owner/operator; indus- try cost to prepare for and host TSA inspec- tions. and presentation of training records and program curriculum when requested by TSA during inspection.

Total Costs ...... 157,274 52,303 (104,971)

TSA has prepared an analysis of its the cost of a rulemaking, agencies recurring costs of the regulated surface estimated costs and benefits, typically estimate future expected costs mode owner/operators and new owner/ summarized in the following imposed by a regulation over a period operators that are expected due to paragraphs. The OMB Circular A–4 of analysis. For this rule’s period of industry growth. Accounting Statement for this final rule analysis, TSA uses a 10-year period of TSA concluded the following about is in section VIII.B.3. When estimating analysis to estimate the initial and the current, or baseline, training

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environment for freight rail, public affected by the final rule.119 These 33 coordinators and report significant transportation and passenger railroad freight rail owner/operators provide security concerns to TSA under current (PTPR), and OTRB employees (see security awareness 120 and chain of 49 CFR 1580. Table 7 below identifies section 1.8 of the RIA placed in the custody and control 121 trainings to their the requirements of the final rule docket for further detailed information employees. These trainings address two implemented by freight rail owner/ on the current baseline): of the required elements of security operators. The check marked items in There are 574 U.S. freight rail owners/ training required by the final rule in the table represent existing operators and are composed of 7 Class § 1580.115 (Security training and requirements under PHMSA’s I, 21 Class II, and 546 Class III knowledge for security-sensitive regulations (see 49 CFR 172.704 and 118 railroads. A total of 33 (7 Class I, 8 employees: Prepare and Assess). 1580.107) and, therefore, do not Class II, and 18 Class III) out of the 574 Additionally, freight rail owner/ represent additional burden to the U.S. freight rail owner/operators carry operators are already required to comply freight rail owners/operators. RSSM through an HTUA and would be with the requirements to assign security

There are nearly 6,800 public training address two of the required identifies the requirements of the final transportation organizations in the elements of security training required by rule already implemented by PTPR United States.122 Of these, 47 PTPR the final rule in § 1582.115 (Prepare and owner/operators. The check marked owner/operators 123 fall within the Assess). Additionally, 24 PTPR owner/ items in the table represent existing applicability of the final rule. Twenty- operators with rail operations are requirements under 49 CFR part 1580 four of these 47 PTPR owner/operators already required to comply with the and, therefore do not represent effectively provide training to their requirements to assign security additional burden to the freight rail employees on security awareness and coordinators and report significant owners/operators. employee- and company-specific security concerns to TSA under current security programs and measures.124 This 49 CFR part 1580. Table 8 below

118 AAR, ‘‘Railroad Facts, 2017 Edition,’’ at pg.3 121 In place because of the chain of custody Transit Database (NTD) to identify the 47 PTPR (2017). requirement in 49 CFR 1580.107. owner/operators. 119 TSA used its railcar tracking system that 122 APTA, ‘‘2016 Public Transportation Fact 124 Agencies identified using latest evaluation monitors toxic inhalant hazard cars, the Rail Asset Book’’ (Feb. 2017), available at http:// from TSA’s BASE assessment. Information on BASE Integrated Logistics System, (RAILS), to identify www.apta.com/resources/statistics/Documents/ assessment can be found at: https://www.tsa.gov/ freight rail owner/operators that transported one or FactBook/2016-APTA-Fact-Book.pdf. news/top-stories/2015/09/21/transit-agencies-earn- more shipments of RSSM during the period in 123 TSA elicited and used input from SMEs in its calendar year 2017. Surface Division, combined with data from the high-ratings-through-base-program. 120 As required by PHMSA. See 49 CFR 172.704. Federal Transit Administration’s (FTA) National

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There are 2,990 U.S. companies in the elements of this final rule (Observe, compared to the ‘‘no-action’’ motorcoach industry.125 Of these, Assess, and Respond). Table 9 identifies baseline.127 In Appendix A of the RIA, 205 126 fall within the applicability of the requirements of this final rule however, TSA has also monetized the the final rule. Three of the 205 are large implemented by OTRB owner/operators. cost of their current participation in OTRB companies that currently use the The check marked items in the table First ObserverTM. TSA estimated this TSA-supplied First ObserverTM represent the training components cost at $0.57 million to these owner/ program, which covers a majority of the already covered by the First ObserverTM operators over 10 years (discounted at 7 9/11 Act security training requirements, program and, therefore do not represent percent).128 to train their employees. This training additional burden to the OTRB owners/ addresses three of the security training operators currently using this program

TSA summarizes the costs of the final Table 10, TSA estimates the 10-year costs to industry (all three surface rule to be borne by four affected parties: total cost of this final rule to be $73.17 modes) comprise approximately 96.2 freight railroad owner/operators, PTPR million undiscounted, $62.82 million percent of the total costs of the rule; and owner/operators, OTRB owner/ discounted at 3 percent, and $52.30 the remaining costs are incurred by operators, and TSA. As displayed in million discounted at 7 percent. The TSA. TABLE 10—TOTAL COST OF THE FINAL RULE BY ENTITY [$ millions]

Total final rule cost Year Freight rail PTPR OTRB TSA Undiscounted Discounted at 3% Discounted at 7%

1 $8.82 $5.74 $2.28 $0.63 $17.46 $16.95 $16.32 2 0.31 0.67 0.42 0.21 1.60 1.50 1.39 3 0.31 0.67 0.42 0.21 1.61 1.47 1.31

125 American Bus Association Foundation, Intercity Bus Riders Association (AIBRA) intercity a clearly stated alternative. This normally will be ‘‘Motorcoach Census 2015’’ (Oct. 9, 2017), available bus service operator list, consultations with ABA, a ‘no action’ baseline: What the world will be like at https://www.buses.org/assets/images/uploads/ and internet research of websites like GotoBus.com if the proposed rule is not adopted.’’) pdf/Motorcoach_Census_2015.pdf. and other publicly available sources of information. 128 OMB also requires TSA to consider a ‘‘pre- 126 TSA relied on a variety of sources to identify 127 OMB, ‘‘Circular A–4,’’ at 2, available at statute’’ baseline. Id. at 16. Costs of First the 205 owner/operators: Intercity Bus Security https://www.whitehouse.gov/sites/default/files/ ObserverTM have accrued since passage of the 9/11 Grant Program (IBSGP) applications submitted to omb/assets/regulatory_matters_pdf/a-4.pdf. Act and are part of this ‘‘pre-statute’’ baseline. FEMA and reviewed by TSA, the American (‘‘Benefits and costs are defined in comparison with

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TABLE 10—TOTAL COST OF THE FINAL RULE BY ENTITY—Continued [$ millions]

Total final rule cost Year Freight rail PTPR OTRB TSA Undiscounted Discounted at 3% Discounted at 7%

4 8.08 4.49 2.02 0.27 14.87 13.21 11.34 5 0.58 1.10 0.56 0.22 2.46 2.12 1.75 6 0.58 1.11 0.57 0.22 2.48 2.07 1.65 7 7.64 3.82 1.91 0.28 13.65 11.10 8.50 8 0.82 1.41 0.68 0.23 3.14 2.48 1.83 9 0.83 1.42 0.69 0.23 3.17 2.43 1.72 10 7.25 3.35 1.85 0.29 12.74 9.48 6.48

Total 35.21 23.78 11.40 2.78 73.17 62.82 52.30

Annualized ...... 7.36 7.45 Note: Totals may not add due to rounding.

TSA estimates the 10-year costs to the million undiscounted, $30.18 million million discounted at 7 percent, as freight railroad industry to be $35.21 discounted at 3 percent, and $25.09 displayed by cost categories in Table 11.

TSA estimates the 10-year costs to the undiscounted, $20.48 million million discounted at 7 percent, as PTPR industry to be $23.78 million discounted at 3 percent, and $17.12 displayed by cost categories in Table 12.

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TSA estimates the 10-year costs to the undiscounted, $9.74 million discounted discounted at 7 percent, as displayed by OTRB industry to be $11.40 million at 3 percent, and $8.06 million cost categories in Table 13.

TSA estimates the 10-year costs to $2.41 million discounted at 3 percent, percent, as displayed by cost categories TSA to be $2.78 million undiscounted, and $2.03 million discounted at 7 in Table 14.

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This final rule will enhance surface expanded scope of owner/operators OMB Circular No. A–4, ‘‘Regulatory transportation security by reducing the required to report significant security Analysis,’’ such an analysis answers the risk of terrorist attacks in four ways. concerns will enhance TSA’s ability to question ‘‘How small could the value of First, the rule ensures employees on the identify risks and recommend the non-qualified benefits be (or how frontline of higher-risk surface appropriate actions based on a more large would the value of the non- transportation systems and operations comprehensive picture of threats to quantified costs need to be) before the (defined as ‘‘security-sensitive surface transportation security. rule would yield zero net benefits?’’ 129 While training and the other employees’’) are trained on how to To conduct the break-even analysis, requirements of this final rule are not observe, assess, and respond to a TSA evaluates three composite absolute deterrents for terrorists intent security threat, enhancing their scenarios for each the three modes on carrying out attacks on surface capabilities to take appropriate actions covered by the final rule. For each modes of transportation, TSA expects and mitigate the consequences of any scenario, TSA calculates a total the probability of success for such monetary consequence from an threat or incident. Second, security- attacks to decrease when the estimated statistical value of the human sensitive employees with requirements of this rule are fully casualties and capital replacement responsibilities under their employer’s implemented. security plan or for specific security TSA uses a break-even analysis to resulting from the attack (see Section 4.3 measures will be prepared through frame the relationship between the of the Final RIA for a more detailed training to perform any actions potential benefits of the final rule and description of these calculations; associated with that responsibility. the costs of implementing the rule. however, many assumptions regarding Third, there will be more effective When it is not possible to quantify or specific terrorist attacks scenarios are communication between TSA and all monetize a majority of the incremental SSI and cannot be publicly released). higher-risk operations through the benefits of a regulation, OMB Table 15 presents the composite or designation of security coordinators by recommends conducting a threshold, or weighted average of direct consequences all higher-risk operations. Finally, the ‘‘break-even’’ analysis. According to from a successful attack on each mode.

129 See id. guidance from the Department of Transportation for (Moderate injuries × $0.45 million) + (Severe 130 As explained in the Final RIA, available in the valuing injuries based on the Abbreviated Injury chemical injuries × $43,743) + (Moderate chemical docket, to monetize injuries, TSA used two Scale. To monetize chemical-related injuries, TSA injuries × $1,687) + Public property loss + Private obtained information on the cost of medical approaches (depending on whether the injury was property loss + Rescue and clean-up cost. treatment for poisoning injuries. due to exposure to hazardous chemicals). To 131 Total Direct Consequences = (Deaths × $9.6 monetize ‘‘non-chemical’’ injuries, TSA uses million VSL) + (Severe injuries × $2.55 million) +

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TSA compared the estimated direct every 141 years, this rule ‘‘breaks-even’’ social costs.’’ 132 In addition, Ackerman monetary costs of an attack to the (the benefits equal the costs). and Heinzerling state ‘‘. . . terrorism annualized cost (discounted at 7 The break-even analysis does not ‘works’ through the fear and percent) to industry and TSA from the include the difficult-to-quantify indirect demoralization caused by final rule for each mode to estimate how costs of an attack or the macroeconomic uncontrollable uncertainty.’’ 133 As often an attack of that nature would impacts that could occur due to a major devastating as the direct impacts of a need to be averted for the expected attack. In addition to the direct impacts successful terrorist attack can be in benefits to equal estimated costs. Table of a terrorist attack in terms of lost life terms of the immediate loss of life and 16 presents the results of the break-even and property, there are other more property, avoiding the impacts of the analysis for each mode. For example, indirect impacts that are difficult to more difficult to measure indirect Table 16 shows that if the freight rail measure. As noted by Cass Sunstein in effects are also substantial benefits of training requirements in this rule Laws of Fear, ‘‘. . . fear is a real social preventing a terrorist attack. prevents one freight rail terrorist attack cost, and it is likely to lead to other

TABLE 16—BREAK-EVEN ANALYSIS RESULTS [$ millions]

Weighted average Annualized cost of Modes direct costs of a the final rule at Breakeven averted attack frequency successful attack 7%

a b c = a ÷ b

Freight Rail ...... $505.87 $3.60 One attack every 141 years. PTPR ...... 487.80 2.48 One attack every 197 years. OTRB ...... 371.00 1.37 One attack every 271 years. Note: Totals may not add due to rounding.

3. OMB A–4 Statement The OMB A–4 Accounting Statement (in Table 17) presents annualized costs and qualitative benefits of the final rule.

132 Cass R. Sunstein, Laws of Fear at 127 (2005). 133 Frank Ackerman and Lisa Heinzerling, Priceless On Knowing the Price of Everything and the Value of Nothing at 136 (2004).

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TABLE 17—OMB A–4 ACCOUNTING STATEMENT [in $ millions, 2017 dollars]

Category Primary estimate Minimum Maximum Source citation (Final RIA, estimate estimate preamble, etc.)

Benefits ($ millions)

Annualized monetized benefits (discount N/A N/A N/A N/A Final RIA rate in parentheses).

Unquantified benefits ...... The requirements proposed in this rule produce benefits by reduc- Final RIA ing security risks through training security-sensitive surface mode employees to identify and/or mitigate an attempted ter- rorist attack.

Costs ($ millions)

Annualized monetized costs (discount rate (7%) $7.45 ...... Final RIA in parentheses). (3%) $7.36

Annualized quantified, but unmonetized, 0 0 0 Final RIA costs.

Qualitative costs (unquantified) ...... N/A Final RIA

Transfers

Annualized monetized transfers: ‘‘on budg- N/A N/A N/A Final RIA et’’. From whom to whom? ...... N/A N/A N/A None Annualized monetized transfers: ‘‘off-budg- N/A N/A N/A Final RIA et’’. From whom to whom? ...... N/A N/A N/A None

Miscellaneous analyses/category ...... Effects Source citation (NPRM RIA, preamble, etc.)

Effects on State, local, and/or tribal govern- None Final RIA ments. Effects on small businesses ...... Prepared FRFA FRFA (Chapter 6 RIA) Effects on wages ...... None None Effects on growth ...... None None

4. Alternatives Considered Though not the least costly option, of custody and control requirements TSA selects the requirements in this In addition to the final rule, TSA also have the necessary training to ensure final rule as the preferred alternative. considered two alternative policies. In compliance with these security TSA rejected Alternative 1 because it comparison to the final rule, the first measures in place since promulgation of omitted the following important 136 alternative (Alternative 1) removes TSA’s Rail Security Rule. By security measures TSA proposed in the requirements for recordkeeping, security including these security measures, TSA NPRM: (1) Recordkeeping requirements incident reporting, and security can ensure compliance with the rule, to ensure TSA can determine coordinators for bus-only PTPR owner/ obtain a complete picture of potential compliance (all modes), (2) expanding operators. This alternative also removes threats to surface transportation across security coordinator requirements to the requirement to train freight railroad multiple modes, and enhance provide a security point of contact for security-sensitive employees on chain of compliance with security measures bus-only operations (PTPR), (3) custody and control requirements.134 required for freight railroads. expanding reporting requirements for The second alternative (Alternative 2) security incidents to ensure TSA has a TSA also rejected Alternative 2. As increases the training frequency to an more complete picture of potential discussed in the NPRM, TSA applied a annual basis and expands the threats to surface transportation (PTPR risk-based approach to determining population of owners/operators to all and OTRB); and (4) ensuring freight applicability of this final rule.137 who operate within any UASI, which railroad security-sensitive employees Expanding the population would be includes the entire metropolitan 135 with responsibilities under TSA’s chain inconsistent with TSA’s commitment to statistical area. All other 138 requirements remain the same. risk-based security. TSA is also also 81 FR at 91348. For the NPRM, TSA also rejecting requiring annual recurrent considered an alternative to ‘‘train security- 134 Table 64 in the RIA found in the docket sensitive employees once every three years using training in response to comments provides a section-by section analysis of which TSA-provided materials. Id. at 91379. In response regulatory provisions are statutorily required and to comments, TSA is adopting a three-year 136 73 FR 72129, 72130–72179 (Nov. 26, 2008). which provisions are discretionary. recurrent training cycle for purposes of the final ‘‘Rail Transportation Security; Final Rule.’’ 135 As previously noted, see section VII.C.4. of the rule, making the annual recurrent training preamble to this final rule, TSA proposed an annual requirement the alternative considered for purposes 137 See supra n. 13. recurrent training requirement in the NPRM. See of the alternatives analysis. 138 Id..

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received on the NPRM.139 In response to modified the recurrent training annual recurrent training requirement in these comments which suggested longer requirement to at least once every three Alternative 2. time periods between training, TSA years in the final rule, and rejected the

TABLE 18—COMPARISON OF COSTS BETWEEN ALTERNATIVES [in millions]

Initial Affected popu- 10-Year costs (in $ millions) at a 7% discount lation (number of Requirements rate owner/operators) Industry TSA Total

Final Rule ...... 33 Freight Rails ...... 1. Provide security training to security-sen- $50.28 $2.03 $52.30 47 PTPRs ...... sitive employees once every three years. 205 OTRBs ...... 2. Designate a security coordinator (ex- panded requirement to include bus-only PTPR and OTRB)...... 3. Report significant security incidents to TSA (expanded requirement to include bus-only PTPR and OTRB) Maintain em- ployee training records and...... 4. Provide access to TSA and proof of com- pliance. Alternative 1 ...... 1. Provide security training to security-sen- 48.03 0.99 49.02 sitive employees once every three years (except for Chain of custody and control);...... 2. Designate a security coordinator (ex- panded requirement limited to OTRB)...... 3. Maintain employee training records and...... 4. Provide access to TSA and proof of com- pliance. Alternative 2 ...... 69 Freight Rails ...... 1. Provide annual security training to secu- 219.54 4.52 224.05 253 PTPRs ...... rity-sensitive employees within expanded 403 OTRBs ...... applicability...... 2. Designate a security coordinator...... 3. Report significant security incidents to TSA...... 4. Maintain employee training records and...... 5. Provide access to TSA and proof of com- pliance. Note: Totals may not add due to rounding.

5. Regulatory Flexibility Assessment Additionally, TSA will collect security comment period specifically on the coordinator and alternate coordinator IRFA. However, elsewhere in in the 140 The RFA requires agencies to information from entities covered in the preamble of the final rule, TSA consider the impacts of their rules on final rule, as well as require reporting of answered public comments on the cost small entities. TSA performed a Final suspicious activities or incidents by estimate of the rule. Regulatory Flexibility Analysis (FRFA) these owner/operators. TSA requests c. Description of and an Estimate of to analyze the impact to small entities this information from owner/operators the Number of Small Entities to Which 141 affected by the final rule. The RFA to be better prepared to respond to the Rule Will Apply or an Explanation analysis presented below is a summary emergencies or incidents and to have of Why No Such Estimate is Available. of the FRFA, including the six elements designated points of contacts with Under the RFA, the term ‘‘small in 5 U.S.C. 604. covered entities when information entities’’ comprises small businesses, a. A Statement of the Need for, and needs to be shared or retrieved. TSA not-for-profit organizations that are Objectives of, the Rule. Sections 1408, requests reporting of security-related independently owned and operated and 1517, and 1534 of the 9/11 Act require incidents and suspicious activities to are not dominant in their fields, and TSA to issue a security training rule assess if there is a new threat or small governmental jurisdictions with requiring owner/operators of various increased threat to the surface modes of populations of less than 50,000. modes of surface transportation to transportation. Individuals and States are not provide training to frontline employees b. A Statement of the Significant considered ‘‘small entities’’ based on the of freight rail, PTPR, and OTRB Issues Raised by Public Comments in definitions in the RFA (5 U.S.C. 601). employees. Owner/operators are Response to the IRFA, a Statement of The PTPR owner/operators affected required to submit a training program to the Assessment of the Agency of Such by this final rule are not considered TSA for review that will be marked SSI. Issues, and a Statement of Any Changes small entities because they are either An owner/operator must also keep Made in the Proposed Rule as a Result owned/operated by governmental records of whether each employee has of Such Comments. The public did not jurisdictions that exceed the RFA successfully completed their training. submit significant comments during the population threshold of 50,000 or a

139 See section VI.C.4 of this final rule. 140 See supra n. 113. 141 See Chapter 6 of the Final RIA in the docket for the full FRFA.

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business that exceeds the Small passenger rail operations on their tracks. freight rail owner/operator. Of these 18 Business Administration’s (SBA) size TSA identified 33 freight railroad small freight rail owner/operators, TSA threshold. Only freight rail and OTRB entities affected by the final rule. estimates that one of these freight rail owner/operators have small entities TSA uses the SBA size standards to owner/operators would likely have a affected by the final rule. identify that 18 of the 33 freight rail regulatory cost that exceeds one percent The final rule requires security owner/operators affected by the final of their revenue. Table 19 presents the training for Class I freight rail owner/ rule are considered a small business. likely distribution of costs for small operators and freight rail owner/ TSA calculates that final rule’s freight rail owner/operators. operators that transport RSSM in one or requirements are estimated to cost more HTUAs 142 or host high-risk $61.82 per employee and $18,390.32 per

TABLE 19—COSTS AS A PERCENT OF REVENUE FOR SMALL FREIGHT RAIL OWNER/OPERATORS

Number of Percent of Revenue impact range entities entities

0% < Impact ≤ 1% ...... 17 94 1% < Impact ≤ 3% ...... 0 0 3% < Impact ≤ 5% ...... 1 6 5% < Impact ≤ 10% ...... 0 0 Above 10% ...... 0 0

Total ...... 18 100.0

TSA identified 205 OTRB owner/ calculates that the final rule’s estimates that 32% of them would likely operators entities affected by the final requirements are estimated to cost have a regulatory cost that exceeds one rule. Using SBA’s size threshold, TSA $35.68 per employee and $5,759.94 per percent of their revenue. Table 20 estimates that 182 OTRB owner/ entity to these OTRB owner/operators. presents the likely distribution of costs operators regulated by the final rule are Using a relevant sample of these 143 for this sample of small OTRB owner/ considered a small business. TSA small OTRB owner/operators, TSA operators.

TABLE 20—COSTS AS A PERCENT OF REVENUE FOR SMALL OTRB OWNER/OPERATORS

Number of Percent of Revenue impact range entities entities

0% < Impact ≤ 1% ...... 97 68 1% < Impact ≤ 3% ...... 36 25 3% < Impact ≤ 5% ...... 6 4 5% < Impact ≤ 10% ...... 4 3 Above 10% ...... 0 0

Total ...... 143 100.0

d. The Response of the Agency to Any security training programs, security Policy, and Legal Reasons for Selecting Comments Filed by the Chief Counsel coordinator and security incident the Alternative Adopted in the Final for Advocacy of the Small Business information, retention of training Rule and Why Each of the Other Administration in Response to the records, and availability for compliance Significant Alternatives to the Rule Proposed Rule, and a Detailed inspections. TSA assumes that any Considered by the Agency which Affect Statement of Any Change Made to the training program, incident report, the Impact on Small Entities was Proposed Rule in the Final Rule as a security coordinator package, or other Rejected. TSA will allow owner/ Result of the Comments. The Small information submitted to TSA will be operators to develop their own training Business Administration did not submit completed by management-level programs (which must receive TSA any comments during the comment personnel. TSA also assumes that approval). TSA will give owner/ period for the NPRM. owner/operators will have a manager operators the flexibility to use different e. A Description of the Projected prepare before a TSA compliance training materials to satisfy the final Reporting, Recordkeeping, and Other inspection. TSA assumes the rule’s training requirements. Compliance Requirements of the Final recordkeeping requirements of the final Additionally, in an effort to create a Rule, Including an Estimate of the rule will be fulfilled by employees with baseline for security training and Classes of Small Entities that Will Be administrative and clerical skills. minimize costs on regulated owner/ Subject to the Requirement and the f. A Description of the Steps the operators, TSA will provide training Type of Professional Skills Necessary for Agency has Taken to Minimize videos to incorporate the non-entity- Preparation of the Report or Record. Significant Economic Impact on Small specific training requirements laid out This final rule’s reporting, Entities Consistent with the Stated in the final rule. TSA will make these recordkeeping and other compliance Objectives of Applicable Statutes, training videos available to all owner/ requirements will include submission of including a Statement of the Factual, operators, including small entities not

142 See Appendix A to part 1580 of this final rule for list of HTUAs.

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covered by the high-risk criteria, which impose additional burdens to a in Title II of UMRA do not apply and could be used on a voluntary basis by significant number of small owner/ TSA has not prepared a statement. entities seeking to improve their operators, including those that TSA has C. Executive Order 13132, Federalism security posture. not determined to be higher-risk. This TSA considered two other feasible alternative could have a TSA has analyzed this rulemaking alternatives, detailed in chapter 5 of the disproportionate impact upon small under the principles and criteria of Final RIA, in addition to the final rule. entities. Alternative 2 would increase Executive Order 13132, Federalism. We Alternative 1: Requirements Limited total costs upon the regulated determined that this action would not to Those Expressly Authorized by community as a whole. Additionally, have a substantial direct effect on the Statute. In comparison to the final rule, TSA received comments to the NPRM States, on the relationship between the the first regulatory alternative TSA (section VI.C.4 of this preamble) that National Government and the States, or considered would limit the suggested longer time periods between on the distribution of power and requirements to those expressly training, such as two or three years. In responsibilities among the various authorized by the 9/11 Act or other response to these comments, TSA levels of government, and therefore relevant statutory provisions, such as 49 modified the recurrent training would not have federalism implications. U.S.C. 114. Under this alternative, the requirement to at least once every three D. Environmental Analysis applicability of owner/operators years in the final rule, and rejected the TSA has reviewed this rulemaking for required to comply and employees to be annual recurrent training requirement in purposes of the National Environmental trained would remain the same and the Alternative 2. TSA rejected this Policy Act of 1969 (NEPA) (42 U.S.C. recurrence of training would be the alternative as it is inconsistent with the 4321–4347) and has determined that same as the final rule (once every three agency’s risk-based security policy this action will not have a significant years), but TSA would remove the determination to focus on higher-risk following requirements: effect on the human environment. This • owner/operators and commitment to action is covered by categorical Recordkeeping (final rule requires outcomes-based regulations. TSA also retention of records necessary to exclusion (CATEX) number A3(b) in rejected this alternative because of its DHS Management Directive 023–01 validate compliance); annual recurrent training requirement. • Training freight rail employees on (formerly Management Directive the chain of custody procedures 6. International Trade Impact 5100.1), Environmental Planning required by TSA’s regulations (see Assessment Program, which guides TSA compliance § 1580.205 for chain of custody and with NEPA. The Trade Agreement Act of 1979 control requirements relocated from prohibits Federal agencies from E. Energy Impact Analysis § 1580.107); • Security coordinators and reporting establishing any standards or engaging The energy impact of this rulemaking security incidents by bus-only PTPR in related activities that create has been assessed in accordance with owner/operators; and unnecessary obstacles to the foreign the Energy Policy and Conservation Act • Reporting security incidents by commerce of the United States. (EPCA), Public Law 94–163, as amended OTRB owner/operators. Legitimate domestic objectives, such as (42 U.S.C. 6362). TSA has determined The alternative would still include safety, are not considered unnecessary that this rulemaking is not a major requirements to provide security obstacles. The statute also requires regulatory action under the provisions training to security-sensitive employees consideration of international standards of the EPCA. and, where appropriate, that they be the (with the exception of chain of custody List of Subjects and control) once every three years, basis for U.S. standards. TSA has designating security coordinators for assessed the potential effect of this final 49 CFR Part 1500 OTRB owner/operators, and providing rule and has determined that it would Air carriers, Air transportation, access to TSA to inspect for compliance. have only a domestic impact and Aircraft, Airports, Bus transit systems, The narrower scope from this therefore no effect on any trade- Commuter bus systems, Law alternative means the costs to small sensitive activity. enforcement officer, Maritime carriers, businesses would be less than the final 7. Unfunded Mandates Assessment Over-the-Road buses, Public rule. TSA rejected this alternative based transportation, Rail hazardous materials on the determination that recordkeeping The Unfunded Mandates Reform Act receivers, Rail hazardous materials is implicitly required as it is a necessary of 1995 is intended, among other things, shippers, Rail transit systems, Railroad component of enforcing a regulation, to curb the practice of imposing carriers, Railroad safety, Railroads, and the other measures are necessary for unfunded Federal mandates on State, Reporting and recordkeeping consistent application of the TSA’s local, and tribal governments. Title II of requirements, Security measures, requirements imposed to enhance UMRA requires each Federal agency to Transportation facility, Vessels. surface transportation security. prepare a written statement assessing Alternative 2: Increased Population the effects of any Federal mandate in a 49 CFR Part 1520 Alternative with Program Creation proposed or final agency rule that may Air carriers, Air transportation, Assumptions. TSA considered a second result in a $100 million or more Aircraft, Airports, Bus transit systems, regulatory alternative that would require expenditure (adjusted annually for Commuter bus systems, Law annual training and increase the inflation) in any one year by State, local, enforcement officer, Maritime carriers, population of owner/operators required and tribal governments, in the aggregate, Over-the-Road buses, Public to comply with the final rule. For or by the private sector; such a mandate transportation, Rail hazardous materials Alternative 2, TSA considered is deemed to be a ‘‘significant regulatory receivers, Rail hazardous materials expanding the scope of applicability to action.’’ 143 shippers, Rail transit systems, Railroad any freight railroad, PTPR system, or This final rule does not contain such carriers, Railroad safety, Railroads, OTRB operator operating fixed-route a mandate. Therefore, the requirements Reporting and recordkeeping service to, through, or from a UASI. requirements, Security measures, Under this alternative, TSA would 143 Supra n. 63 as codified at 2 U.S.C. 1532. Transportation facility, Vessels.

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49 CFR Part 1570 for Security identified in 49 U.S.C. may be transported throughout the Commuter bus systems, Crime, Fraud, 114(b). nation and passengers may travel Authorized representative means any Hazardous materials transportation, between cities and within metropolitan individual who is not a direct employee Motor carriers, Over-the-Road bus and suburban areas’’ as defined in of a person regulated under this title, safety, Over-the-Road buses, Public appendix A to 49 CFR part 209. but is authorized to act on that person’s Hazardous material means transportation, Public transportation behalf to perform measures required ‘‘hazardous material’’ as defined in 49 safety, Rail hazardous materials under the Transportation Security CFR 171.8. receivers, Rail hazardous materials Regulations, or a TSA security program. Heavy rail transit means service shippers, Rail transit systems, Railroad For purposes of this subchapter, the provided by self-propelled electric carriers, Railroad safety, Railroads, term ‘‘authorized representative’’ railcars, typically drawing power from a Reporting and recordkeeping includes agents, contractors, and third rail, operating in separate rights- requirements, Security measures, subcontractors, and employees of the of-way in multiple cars; also referred to Transportation facility, Transportation same. as subways, metros or regional rail. Security-Sensitive Materials. Bus means any of several types of Host railroad means a railroad that 49 CFR Part 1580 motor vehicles used by public or private has effective control over a segment of entities to provide transportation service track. Hazardous materials transportation, for passengers. Improvised explosive device (IED) Rail hazardous materials receivers, Rail Bus transit system means a public means a device fabricated in an hazardous materials shippers, Railroad transportation system providing improvised manner that incorporates carriers, Railroad safety, Railroads, frequent transportation service (not explosives or destructive, lethal, Reporting and recordkeeping limited to morning and evening peak noxious, pyrotechnic, or incendiary requirements, Security measures. travel times) for the primary purpose of chemicals in its design, and generally 49 CFR Part 1582 moving passengers between bus stops, includes a power supply, a switch or often through multiple connections (a timer, and a detonator or initiator. Public transportation, Public bus transit system does not become a Intercity passenger train service transportation safety, Railroad carriers, commuter bus system even if its means both ‘‘train, long-distance Railroad safety, Railroads, Rail transit primary purpose is the transportation of intercity passenger’’ and ‘‘train, short- systems, Reporting and recordkeeping commuters). This term does not include distance intercity passenger’’ as defined requirements, Security measures. tourist, scenic, historic, or excursion in 49 CFR 238.5. 49 CFR Part 1584 operations. Light rail transit means service Commuter bus system means a system provided by self-propelled electric Over-the-Road bus safety, Over-the- providing passenger service primarily railcars, typically drawing power from Road buses, Reporting and during morning and evening peak an overhead wire, operating in either recordkeeping requirements, Security periods, between an urban area and exclusive or non-exclusive rights-of-way measures. more distant outlying communities in a in single or multiple cars, with shorter The Amendments greater metropolitan area. This term distance trips, and frequent stops; also referred to as streetcars, trolleys, and For the reasons set forth in the does not include tourist, scenic, historic, or excursion operations. trams. preamble, the Transportation Security Motor vehicle means a vehicle, Administration amends chapter XII, of Commuter passenger train service means ‘‘train, commuter’’ as defined in machine, tractor, trailer, or semitrailer title 49, Code of Federal Regulations as propelled or drawn by mechanical follows: 49 CFR 238.5, and includes service provided by diesel or electric powered power and used upon the highways in Subchapter A—Administrative and locomotives and railroad passenger cars the transportation of passengers or Procedural Rules to serve an urban area, its suburbs, and property, or any combination thereof, more distant outlying communities in but does not include any vehicle, PART 1500—APPLICABILITY, TERMS, the greater metropolitan area. A locomotive, or car operated exclusively AND ABBREVIATIONS commuter passenger train service is part on a rail or rails, or a trolley bus of the general railroad system of operated by electric power derived from ■ 1. The authority citation for part 1500 transportation regardless of whether it is a fixed overhead wire, furnishing local is revised to read as follows: physically connected to other railroads. passenger transportation similar to Authority: 49 U.S.C. 114, 5103, 40113, DHS means the Department of street-railway service. 44901–44907, 44913–44914, 44916–44918, Homeland Security and any directorate, Over-the-Road Bus (OTRB) means a 44935–44936, 44942, 46105; Pub. L. 110–53 bureau, or other component within the bus characterized by an elevated (121 Stat. 266, Aug. 3, 2007) secs. 1408 (6 Department of Homeland Security, passenger deck located over a baggage U.S.C. 1137), 1501 (6 U.S.C. 1151), 1517 (6 including the United States Coast compartment. U.S.C. 1167), and 1534 (6 U.S.C. 1184). Guard. Owner/operator means any person ■ 2. Revise § 1500.3 to read as follows: DOT means the Department of that owns, or maintains operational Transportation and any operating control over, any transportation § 1500.3 Terms and abbreviations used in administration, entity, or office within infrastructure asset, facility, or system this chapter. the Department of Transportation. regulated under this title, including As used in this chapter: Fixed-route service means the airport operator, aircraft operator, Administrator means the Assistant provision of transportation service by foreign air carrier, indirect air carrier, Secretary for Homeland Security, private entities operated along a certified cargo screening facility, flight Transportation Security Administration prescribed route according to a fixed school within the meaning of 49 CFR (Assistant Secretary), who is the schedule. 1552.1(b), motor vehicle, public highest-ranking TSA official, or his or General railroad system of transportation agency, or railroad her designee. Administrator also means transportation means ‘‘the network of carrier. For purposes of a maritime the Under Secretary of Transportation standard gauge track over which goods facility or a vessel, owner/operator has

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the same meaning as defined in 33 CFR system of transportation and receives or (2) Such term includes rail transit 101.105. unloads from transportation in service operating on track that is part of Passenger rail car means rail rolling commerce by rail one or more of the the general railroad system of equipment intended to provide categories and quantities of rail security- transportation but does not include transportation for members of the sensitive materials identified in 49 CFR rapid transit operations in an urban area general public and includes a self- 1580.3, but does not include the owner/ that are not connected to the general propelled rail car designed to carry operator of a facility owned or operated railroad system of transportation. passengers, baggage, mail, or express. by a department, agency or Record includes any means by which This term includes a rail passenger instrumentality of the Federal information is preserved, irrespective of coach, cab car, and a Multiple Unit Government. format, including a book, paper, (MU) locomotive. In the context of Rail hazardous materials shipper drawing, map, recording, tape, film, articulated equipment, ‘‘passenger rail means the owner/operator of any fixed- photograph, machine-readable material, car’’ means that segment of the rail site facility that has a physical and any information stored in an rolling equipment located between two connection to the general railroad electronic format. The term record also trucks. This term does not include a system of transportation and offers (as includes any draft, proposed, or private rail car. defined in the definition of ‘‘person who recommended change to any record. Passenger railroad carrier means a offers or offeror’’ in 49 CFR 171.8), Sensitive security information (SSI) railroad carrier that provides prepares or loads for transportation by means information that is described in transportation to persons (other than rail one or more of the categories and and must be managed in accordance employees, contractors, or persons quantities of rail security-sensitive with 49 CFR part 1520. riding equipment to observe or monitor materials as identified in 49 CFR 1580.3, State means a State of the United railroad operations) by railroad in but does not include the owner/operator States and the District of Columbia. intercity passenger service or commuter of a facility owned or operated by a Tourist, scenic, historic, or excursion or other short-haul passenger service in department, agency or instrumentality operation means a railroad or bus a metropolitan or suburban area. of the Federal Government. operation that carries passengers, often Passenger train means a train that Rail secure area means a secure using antiquated equipment, with the transports or is available to transport location(s) identified by a rail hazardous conveyance of the passengers to a members of the general public. materials shipper or rail hazardous particular destination not being the Person means an individual, materials receiver where security- principal purpose. Train or bus corporation, company, association, firm, related pre-transportation or movements of new passenger equipment partnership, society, joint-stock transportation functions are performed for demonstration purposes are not company, or governmental authority. It or rail cars containing the categories and tourist, scenic, historic, or excursion includes a trustee, receiver, assignee, quantities of rail security-sensitive operations. successor, or similar representative of materials are prepared, loaded, stored, Transit means mass transportation by any of them. and/or unloaded. a conveyance that provides regular and Private rail car means rail rolling Rail transit facility means rail transit continuing general or special equipment that is used only for stations, terminals, and locations at transportation to the public, but does excursion, recreational, or private which rail transit infrastructure assets not include school bus, charter, or transportation purposes. A private rail are stored, command and control sightseeing transportation. Rail transit car is not a passenger rail car. operations are performed, or may occur on or off the general railroad Public transportation means maintenance is performed. The term system of transportation. transportation provided to the general also includes rail yards, crew Transportation or transport means the public by a regular and continuing management centers, dispatching movement of property including general or specific transportation centers, transportation terminals and loading, unloading, and storage. vehicle that is owned or operated by a stations, fueling centers, and Transportation or transport also public transportation agency, including telecommunication centers. includes the movement of people, providing one or more of the following Rail transit system or ‘‘Rail Fixed boarding, and disembarking incident to types of passenger transportation: Guideway System’’ means any light, that movement. (1) Intercity or commuter passenger heavy, or rapid rail system, monorail, Transportation facility means a train service or other short-haul railroad inclined plane, funicular, cable car, location at which transportation cargo, passenger service in a metropolitan or trolley, or automated guideway that equipment or infrastructure assets are suburban area (as described by 49 U.S.C. traditionally does not operate on track stored, equipment is transferred 20102(1)). that is part of the general railroad between conveyances and/or modes of (2) Heavy or light rail transit service, system of transportation. transportation, transportation command whether on or off the general railroad Railroad carrier means an owner/ and control operations are performed, or system of transportation. operator providing railroad maintenance operations are performed. (3) An automated guideway, cable car, transportation. The term also includes, but is not inclined plane, funicular, or monorail Railroad transportation means: limited to, passenger stations and system. (1) Any form of non-highway ground terminals (including any fixed facility at (4) Bus transit or commuter bus transportation that runs on rails or which passengers are picked-up or service. electromagnetic guideways, including: discharged), vehicle storage buildings or Public transportation agency means (i) Commuter or other short-haul rail yards, crew management centers, any publicly-owned or operated passenger service in a metropolitan or dispatching centers, fueling centers, and provider of regular and continuing suburban area; and telecommunication centers. public transportation. (ii) High speed ground transportation Transportation security equipment Rail hazardous materials receiver systems that connect metropolitan areas, and systems means items, both means any owner/operator of a fixed- without regard to whether these systems integrated into a system and stand- site facility that has a physical use new technologies not associated alone, used by owner/operators to connection to the general railroad with traditional railroads. enhance capabilities to detect, deter,

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prevent, or respond to a threat or (1) Those provisions of title 49 U.S.C. any investigation or an alleged violation incident, including, but not limited to, administered by the Administrator; of aviation, maritime, or surface video surveillance, explosives detection, (2) 46 U.S.C. chapter 701; and transportation security requirements of radiological detection, intrusion (3) Provisions of Public Law 110–53 Federal law, that could reveal a security detection, motion detection, and (121 Stat. 266, Aug. 3, 2007) not vulnerability, including the identity of security screening. codified in title 49 U.S.C. that are the Federal special agent or other Transportation Security Regulations administered by the Administrator. Federal employee who conducted the (TSR) means the regulations issued by inspection or investigation, and the Transportation Security Subchapter B—Security Rules for all including any recommendations Administration, in title 49 of the Code Modes of Transportation concerning the inspection or of Federal Regulations, chapter XII, investigation. which includes parts 1500 through PART 1520—PROTECTION OF SENSITIVE SECURITY INFORMATION * * * * * 1699. (8) Security measures. Specific details Transportation Security-Sensitive ■ 5. The authority citation for part 1520 of aviation, maritime, or surface Material (TSSM) means hazardous continues to read as follows: transportation security measures, both materials identified in 49 CFR Authority: 46 U.S.C. 114, 40113, 44901– operational and technical, whether 172.800(b). applied directly by the Federal TSA means the Transportation 44907, 44913–44914, 44916–44918, 44935– 44936, 44942, 46105, 70102–70106, 70117; government or another person, Security Administration. Pub. L. 110–53 (121 Stat. 266, Aug. 3, 2007) including the following: United States, in a geographical sense, secs. 1408 (6 U.S.C. 1137), 1413 (6 U.S.C. * * * * * means the States of the United States, 1142), 1501 (6 U.S.C. 1151), 1512 (6 U.S.C. the District of Columbia, and territories 1162), 1517 (6 U.S.C. 1167), 1531 (6 U.S.C. (10) Security training materials. and possessions of the United States, 1181), and 1534 (6 U.S.C. 1184). Records created or obtained for the including the territorial sea and the purpose of training persons employed overlying airspace. § 1520.3 [Amended] by, contracted with, or acting for the Vulnerability assessment includes any ■ 6. In § 1520.3, remove the definitions Federal government or another person review, audit, or other examination of of ‘‘DHS, ‘‘DOT’’, ‘‘Rail facility’’, ‘‘Rail to carry out aviation, maritime, or the security of a transportation system, hazardous materials receiver’’, ‘‘Rail surface transportation security measures infrastructure asset, or a transportation- hazardous materials shipper, ‘‘Rail required or recommended by DHS or related automated system or network to transit facility’’, ‘‘Rail transit system or DOT. determine its vulnerability to unlawful Rail Fixed Guideway System’’, * * * * * interference, whether during the ‘‘Railroad’’, ‘‘Record’’, and (12) Critical transportation conception, planning, design, ‘‘Vulnerability assessment’’. infrastructure asset information. Any construction, operation, or ■ 7. In § 1520.5, revise paragraphs (b)(1), list identifying systems or assets, decommissioning phase. A vulnerability (b)(6)(i), (b)(8) introductory text, (b)(10), whether physical or virtual, so vital to assessment includes the methodology (b)(12) introductory text, and (b)(15) to the aviation, maritime, or surface for the assessment, the results of the read as follows: transportation that the incapacity or assessment, and any proposed, destruction of such assets would have a recommended, or directed actions or § 1520.5 Sensitive security information. debilitating impact on transportation countermeasures to address security * * * * * security, if the list is— concerns. (b) * * * * * * * * (1) Security programs, security plans, (15) Research and development. PART 1503—INVESTIGATIVE AND and contingency plans. Any security Information obtained or developed in ENFORCEMENT PROCEDURES program, security plan, or security the conduct of research related to contingency plan issued, established, ■ aviation, maritime, or surface 3. The authority citation for part 1503 required, received, or approved by DHS transportation, where such research is continues to read as follows: or DOT, including any comments, approved, accepted, funded, Authority: 18 U.S.C. 6002; 28 U.S.C. 2461 instructions, or implementing guidance, recommended, or directed by DHS or (note); 49 U.S.C. 114, 20109, 31105, 40113– including— DOT, including research results. 40114, 40119, 44901–44907, 46101–46107, (i) Any aircraft operator, airport 46109–46110, 46301, 46305, 46311, 46313– operator, fixed base operator, or air * * * * * 46314; Public Law 104–134 (110 Stat. 1321; ■ April 26, 1996), as amended by Pub. L. 114– cargo security program, or security 8. In § 1520.7, revise paragraph (n) to 74 (129 Stat. 584; Nov. 2, 2015); and Pub. L. contingency plan under this chapter; read as follows: 110–53 (121 Stat. 266, Aug. 3, 2007) secs. (ii) Any vessel, maritime facility, or § 1520.7 Covered persons. 1408 (6 U.S.C. 1137), 1413 (6 U.S.C. 1142), port area security plan required or 1501 (6 U.S.C. 1151), 1512 (6 U.S.C. 1162), directed under Federal law; * * * * * 1517 (6 U.S.C. 1167), 1531 (6 U.S.C. 1181), (iii) Any national or area security plan (n) Each owner/operator of maritime and 1534 (6 U.S.C. 1184). prepared under 46 U.S.C. 70103; or surface transportation subject to the (iv) Any security incident response requirements of subchapter D of this Subpart B—Scope of Investigative and plan established under 46 U.S.C. 70104, chapter. Enforcement Procedures and ■ 9. Revise the heading for subchapter D ■ 4. In § 1503.101 revise paragraphs (v) Any security program or plan to read as follows: (b)(1) and (2) and add paragraph (b)(3) required under subchapter D of this to read as follows: title. Subchapter D—Maritime and Surface * * * * * Transportation Security § 1503.101 TSA requirements. (6) * * * * * * * * (i) Details of any aviation, maritime, ■ 10. Revise part 1570 to read as (b) * * * or surface transportation inspection, or follows:

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PART 1570—GENERAL RULES Alien means any person not a citizen Final Determination of Threat or national of the United States. Assessment means a final Subpart A—General Alien registration number means the administrative determination by TSA, Sec. number issued by the DHS to an including the resolution of related 1570.1 Scope. individual when he or she becomes a appeals, that an individual poses a 1570.3 Terms used in this subchapter. lawful permanent resident of the United security threat warranting denial of an 1570.5 Fraud and intentional falsification of States or attains other lawful, non- HME or a TWIC. records. 1570.7 Security responsibilities of citizen status. Hazardous materials endorsement employees and other persons. Applicant means a person who has (HME) means the authorization for an 1570.9 Compliance, inspection, and applied for one of the security threat individual to transport hazardous enforcement. assessments identified in this materials in commerce, an indication of subchapter. Subpart B—Security Programs which must be on the individual’s Commercial driver’s license (CDL) is commercial driver’s license, as provided 1570.101 Scope. used as defined in 49 CFR 383.5. in the Federal Motor Carrier Safety 1570.103 Content. Contractor means a person or Administration regulations in 49 CFR 1570.105 Responsibility for Determinations. organization that provides a service for 1570.107 Recognition of prior or part 383. established security measures or an owner/operator regulated under this Immediate supervisor means a programs. subchapter consistent with a specific manager, supervisor, or agent of the 1570.109 Submission and approval. understanding or arrangement. The owner/operator to the extent the 1570.111 Implementation schedules. understanding can be a written contract individual: 1570.113 Amendments requested by owner/ or an informal arrangement that reflects (1) Performs the work of a security- operator. an ongoing relationship between the sensitive employee; or 1570.115 Amendments required by TSA. parties. (2) Supervises and otherwise directs 1570.117 Alternative measures. Convicted means any plea of guilty or the performance of a security-sensitive 1570.119 Petitions for reconsideration. nolo contendere, or any finding of guilt, 1570.121 Recordkeeping and availability. employee. except when the finding of guilt is Imprisoned or imprisonment means Subpart C—Operations subsequently overturned on appeal, confined to a prison, jail, or institution 1570.201 Security Coordinator. pardoned, or expunged. For purposes of for the criminally insane, on a full-time 1570.203 Reporting significant security this subchapter, a conviction is basis, pursuant to a sentence imposed as concerns. expunged when the conviction is the result of a criminal conviction or Subpart D—Security Threat Assessments removed from the individual’s criminal finding of not guilty by reason of history record and there are no legal 1570.301 Fraudulent use or manufacture; insanity. Time spent confined or responsibilities of persons. disabilities or restrictions associated restricted to a half-way house, treatment 1570.303 Inspection of credential. with the expunged conviction, other facility, or similar institution, pursuant 1570.305 False statements regarding than the fact that the conviction may be to a sentence imposed as the result of a security background checks by public used for sentencing purposes for criminal conviction or finding of not transportation agency or railroad carrier. subsequent convictions. In addition, guilty by reason of insanity, does not Appendix A to Part 1570—Reporting of where an individual is allowed to constitute imprisonment for purposes of Significant Security Concerns withdraw an original plea of guilty or this rule. Authority: 18 U.S.C. 842, 845; 46 U.S.C. nolo contendere and enter a plea of not Incarceration means confined or 70105; 49 U.S.C. 114, 5103a, 40113, and guilty and the case is subsequently otherwise restricted to a jail-type 46105; Pub. L. 108–90 (117 Stat. 1156, Oct. dismissed, the individual is no longer institution, half-way house, treatment 1, 2003), sec. 520 (6 U.S.C. 469), as amended considered to have a conviction for facility, or another institution on a full by Pub. L. 110–329 (122 Stat. 3689, Sept. 30, 2008) sec. 543 (6 U.S.C. 469); Pub. L. 110– purposes of this subchapter. or part-time basis, pursuant to a 53 (121 Stat. 266, Aug. 3, 2007) secs. 1402 Determination of No Security Threat sentence imposed as the result of a (6 U.S.C. 1131), 1405 (6 U.S.C. 1134), 1408 means an administrative determination criminal conviction or finding of not (6 U.S.C. 1137), 1413 (6 U.S.C. 1142), 1414 by TSA that an individual does not pose guilty by reason of insanity. (6 U.S.C. 1143), 1501 (6 U.S.C. 1151), 1512 a security threat warranting denial of an Initial Determination of Threat (6 U.S.C. 1162), 1517 (6 U.S.C. 1167), 1522 HME or a TWIC. Assessment means an initial (6 U.S.C. 1170), 1531 (6 U.S.C. 1181), and Employee means an individual who is administrative determination by TSA 1534 (6 U.S.C. 1184). engaged or compensated by an owner/ that an applicant poses a security threat operator regulated under this warranting denial of an HME or a TWIC. Subpart A—General subchapter, or by a contractor to an Initial Determination of Threat § 1570.1 Scope. owner/operator regulated under this Assessment and Immediate Revocation This part applies to any person subchapter. The term includes direct means an initial administrative involved in maritime or surface employees, contractor employees, determination that an individual poses transportation as specified in this authorized representatives, immediate a security threat that warrants subchapter. supervisors, and individuals who are immediate revocation of an HME or self-employed. invalidation of a TWIC. In the case of an § 1570.3 Terms used in this subchapter. Federal Maritime Security HME, the State must immediately In addition to the definitions in Coordinator (FMSC) has the same revoke the HME if TSA issues an Initial §§ 1500.3, 1500.5, and 1503.202 of meaning as defined in 46 U.S.C. Determination of Threat Assessment subchapter A, the following terms are 70103(a)(2)(G); is the Captain of the Port and Immediate Revocation. In the case used in this subchapter: (COTP) exercising authority for the of a TWIC, TSA invalidates the TWIC Adjudicate means to make an COTP zones described in 33 CFR part 3, when TSA issues an Initial administrative determination of whether and is the Port Facility Security Officer Determination of Threat Assessment an applicant meets the standards in this as described in the International Ship and Immediate Revocation. subchapter, based on the merits of the and Port Facility Security (ISPS) Code, Invalidate means the action TSA takes issues raised. part A. to make a credential inoperative when

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it is reported as lost, stolen, damaged, posing a threat to national security; to described in a security plan and/or no longer needed, or when TSA transportation security; or of terrorism. program approved by TSA. determines an applicant does not meet Transportation Worker Identification the security threat assessment standards Credential (TWIC) means a Federal § 1570.9 Compliance, inspection, and enforcement. of 49 CFR part 1572. biometric credential, issued to an Lawful permanent resident means an individual, when TSA determines that (a) Each person subject to any of the alien lawfully admitted for permanent the individual does not pose a security requirements of this subchapter, must residence, as defined in 8 U.S.C. threat. allow TSA and other authorized DHS 1101(a)(20). Withdrawal of Initial Determination of officials, at any time and in a reasonable Maritime facility has the same Threat Assessment is the document that manner, without advance notice, to meaning as ‘‘facility’’ together with TSA issues after issuing an Initial enter, assess, inspect, and test property, ‘‘OCS facility’’ (Outer Continental Shelf Determination of Security Threat, when facilities, equipment, and operations; facility), as defined in 33 CFR 101.105. TSA determines that an individual does and to view, inspect, and copy records, Mental health facility means a mental not pose a security threat that warrants as necessary to carry out TSA’s security- institution, mental hospital, sanitarium, denial of an HME or TWIC. related statutory or regulatory psychiatric facility, and any other authorities, including its authority to— § 1570.5 Fraud and intentional falsification facility that provides diagnoses by of records. (1) Assess threats to transportation. licensed professionals of mental (2) Enforce security-related laws, retardation or mental illness, including No person may make, cause to be regulations, directives, and a psychiatric ward in a general hospital. made, attempt, or cause to attempt any of the following: requirements. National of the United States means (a) Any fraudulent or intentionally a citizen of the United States, or a (3) Inspect, maintain, and test the false statement in any record or report person who, though not a citizen, owes security of facilities, equipment, and that is kept, made, or used to show permanent allegiance to the United systems. compliance with the subchapter, or States, as defined in 8 U.S.C. (4) Ensure the adequacy of security exercise any privileges under this 1101(a)(22), and includes American measures for the transportation of subchapter. Samoa and Swains Island. (b) Any reproduction or alteration, for passengers and cargo. Revocation means the termination, fraudulent purpose, of any record, (5) Oversee the implementation, and deactivation, rescission, invalidation, report, security program, access ensure the adequacy, of security cancellation, or withdrawal of the medium, or identification medium measures for the owner/operator’s privileges and duties conferred by an issued under this subchapter or conveyances and vehicles, at HME or TWIC, when TSA determines pursuant to standards in this transportation facilities and an applicant does not meet the security subchapter. infrastructure and other assets related to threat assessment standards of 49 CFR transportation. part 1572. § 1570.7 Security responsibilities of Secure area means the area on board employees and other persons. (6) Review security plans and/or programs. a vessel or at a facility or outer (a) No person may— continental shelf facility, over which the (1) Tamper or interfere with, (7) Determine compliance with any owner/operator has implemented compromise, modify, attempt to requirements in this chapter. security measures for access control, as circumvent, or cause another person to (8) Carry out such other duties, and defined by a Coast Guard approved tamper or interfere with, compromise, exercise such other powers, relating to security plan. It does not include modify, or attempt to circumvent any transportation security, as the passenger access areas or public access security measure implemented under Administrator for TSA considers areas, as these terms are defined in 33 this subchapter. appropriate, to the extent authorized by CFR 104.106 and 105.106 respectively. (2) Enter, or be present within, a law. Vessels operating under the waivers secured or restricted area without (b) At the request of TSA, each owner/ provided for at 46 U.S.C. 8103(b)(3)(A) complying with the security measures operator subject to the requirements of or (B) have no secure areas. Facilities applied as required under this this subchapter must provide evidence subject to 33 CFR chapter I, subchapter subchapter to control access to, or of compliance with this chapter, H, part 105 may, with approval of the presence or movement in, such areas. including copies of records. Coast Guard, designate only those (3) Use, allow to be used, or cause to portions of their facility that are directly be used, any approved access medium (c) TSA and other authorized DHS connected to maritime transportation or or identification medium that authorizes officials, may enter, without advance are at risk of being involved in a the access, presence, or movement of notice, and be present within any area transportation security incident as their persons or vehicles in secured or or within any vehicle or conveyance, secure areas. restricted areas in any other manner terminal, or other facility covered by Security-sensitive employee, for than that for which it was issued by the this chapter without access media or purposes of this part, means ‘‘security appropriate authority to meet the identification media issued or approved sensitive employee’’ as defined in requirements of this subchapter. by an owner/operator covered by this § 1580.3, § 1582.3, or § 1584.3 of this (b) The provisions of paragraph (a) of chapter in order to inspect or test title. this section do not apply to conducting compliance, or perform other such Security-sensitive job function, for inspections or tests to determine duties as TSA may direct. purposes of this part, means a job compliance with this subchapter (d) TSA inspectors and other function identified in appendix B to authorized by— authorized DHS officials working with part 1580, appendix B to part 1582, and (1) TSA and DHS officials working TSA will, on request, present their appendix B to part 1584 of this title. with TSA; or credentials for examination, but the Security threat means an individual (2) The owner/operator when acting credentials may not be photocopied or whom TSA determines or suspects of in accordance with the procedures otherwise reproduced.

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Subpart B—Security Programs requirements of § 1580.115, § 1582.115, to modify, the owner/operator may file or § 1584.115 of this subchapter as it a petition for reconsideration under § 1570.101 Scope. relates to the function of the individual § 1570.119 of this part. The requirements of this subpart security-sensitive employee and the address general security program training was provided within the § 1570.111 Implementation schedules. requirements applicable to each owner/ schedule required for recurrent training. (a) Initial security training. Each operator required to have a security (b) Retains a record of such training owner/operator required under parts program under subpart B to 49 CFR in compliance with the requirements of 1580, 1582, or 1584 of this subchapter parts 1580, 1582, and 1584. § 1570.121 of this part. to adopt and carry out a security program must provide initial security § 1570.103 Content. § 1570.109 Submission and approval. training to security-sensitive employees, (a) Security program. Except as (a) Submission of security program. using the curriculum approved by otherwise approved by TSA, each Each owner/operator required under TSA— owner/operator required to have a parts 1580, 1582, or 1584 of this (1) No later than one year after the security program must address each of subchapter to adopt and carry out a date of TSA-approval of the owner/ the security program requirements security program must submit it to TSA operator’s security training program if identified in subpart B to 49 CFR parts for approval in a form and manner the employee is employed to perform a 1580, 1582, and 1584. prescribed by TSA. security-sensitive function on the date (b) Use of appendices. The owner/ (b) Security training deadlines. Except TSA approves the program. operator may comply with the as otherwise directed by TSA, each (2) No later than 60 calendar days requirements referenced in paragraph owner/operator required under subpart after the employee first performs a (a) of this section by including in its B to part 1580, 1582, or 1584 of this security-sensitive job function if security program, as an appendix, any subchapter to develop a security performance of a security-sensitive job document that contains the information training program must— function is initiated after TSA approves required by the applicable subpart B, (1) Submit its program to TSA for the security training program. including procedures, protocols or approval no later than 90 calendar days (3) No later than the 60th calendar memorandums of understanding related after June 22, 2020. day of employment performing a to external agency response to security (2) If commencing or modifying security-sensitive function, aggregated incidents or events. The appendix must operations so as to be subject to the over a consecutive 12-month period, if be referenced in the corresponding requirements of subpart B to 49 CFR the security-sensitive job function is section(s) of the security program. part 1580, 1582, or 1584 after June 22, performed intermittently. § 1570.105 Responsibility for 2020, submit a training program to TSA (b) Recurrent security training. (1) Determinations. no later than 90 calendar days before Except as provided in paragraph (b)(2) (a) Higher-risk operations. While TSA commencing new or modified of this section, a security-sensitive has determined the criteria for operations. employee required to receive training applicability of the requirements in (c) TSA approval. (1) No later than 60 under part 1580, 1582, or 1584 of this subpart B to 49 CFR parts 1580, 1582, calendar days after receiving the subchapter must receive the required and 1584 based on risk-assessments for proposed security program required by training at least once every three years. freight railroad, public transportation subpart B to 49 CFR parts 1580, 1582, (2) If an owner/operator modifies a system, passenger railroad, or over-the- and 1584, TSA will either approve the security program or security plan for road (OTRB) owner/operators are program or provide the owner/operator which training is required under required to determine if the with written notice to modify the § 1580.203(b), § 1582.115(b), or applicability criteria identified in program to comply with the applicable § 1584.115(b) of this subchapter, the subpart B to parts 1580, 1582, and 1584 requirements of this subchapter. TSA owner/operator must ensure each apply to their operations. Owner/ will notify the owner/operator if it security-sensitive employee with operators are required to notify TSA of needs an extension of time to approve position- or function-specific applicability within 30 days of June 22, the program or provide the owner/ responsibilities related to the revised 2020. operator with written notice to modify plan or program changes receives (b) New or modified operations. If an the program to comply with the training on the revisions within 90 days owner/operator commences new applicable requirements of this of implementation of the revised plan or operations or modifies existing subchapter. program changes. All other employees operations after June 22, 2020, that (2) Notice to modify. If TSA provides must receive training that reflects the person is responsible for determining the owner/operator with written notice changes to the operating security whether the new or modified operations to modify the security program to requirements as part of their regularly would meet the applicability criteria in comply with the applicable scheduled recurrent training. subpart B to 49 CFR part 1580, 1582, or requirements of this subchapter, the (3) The three-year recurrent training 1584 and must notify TSA no later than owner/operator must provide a cycle is based on the anniversary 90 calendar days before commencing modified security program to TSA for calendar month of the employee’s initial operations or implementing approval within the timeframe specified security training. If the owner/operator modifications. by TSA. provides the recurrent security training (3) TSA may request additional in the month of, the month before, or § 1570.107 Recognition of prior or information, and the owner/operator the month after it is due, the employee established security measures or programs. must provide the information within the is considered to have taken the training Previously provided security training time period TSA prescribes. The 60-day in the month it is due. may be credited towards satisfying the period for TSA approval or modification (c) Extensions of time. TSA may grant requirements of this subchapter will begin when the owner/operator an extension of time for implementing provided the owner/operator— provides the additional information. a security program identified in subpart (a) Obtains a complete record of such (g) Petition for reconsideration. B to parts 1580, 1582, and 1584 of this training and validates the training meets Within 30 days of receiving the notice subchapter upon a showing of good

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cause. The owner/operator must request emergency response procedures addressed and the material is consistent the extension of time in writing and identified during regular drills or with the most recent iteration of the TSA must receive the request within a exercises that test corporate capabilities security program submitted to, and reasonable time before the due date to to direct, coordinate, and execute approved by, TSA (including be extended; an owner/operator may prevention and response activities for amendments made to reflect relevant request an extension after the expiration terrorist attacks or other security threats, changes to operations and/or security of a due date by sending a written including tunnel evacuation procedures, measures and response plans). request describing why the failure to if applicable. (iii) TSA may request additional (iv) Redundant and backup systems to meet the due date was excusable. TSA information from the owner/operator ensure the continuity of operations of will respond to the request in writing. before rendering a decision. critical assets and infrastructure system § 1570.113 Amendments requested by in the event of a terrorist attack or other (g) Petition for reconsideration. No owner/operator. transportation security-related incident. later than 30 calendar days after (a) Changes to ownership or control of (c) Changes to security training receiving a denial, the owner/operator operations. Each owner/operator curriculum. Each owner/operator may file a petition for reconsideration required under part 1580, 1582, or 1584 required under part 1580, 1582, or 1584 under § 1570.119 of this part. of this subchapter to adopt and carry out of this subchapter to adopt and carry out a security program must submit a a security program must submit a § 1570.115 Amendments required by TSA. request to amend its security program if, request to amend its security program if, (a) Notification of requirement to after approval, there are any changes to after approval, the owner/operator amend. TSA may require amendments the ownership or control of the makes, or intends to make, permanent to a security program in the interest of operation. changes to its security training the public and transportation security, (b) Changes to conditions affecting curriculum required under part 1580, including any new information about security. Each owner/operator required 1582, or 1584, including changes to emerging threats, or methods for under part 1580, 1582, or 1584 of this address: addressing emerging threats, as follows: subchapter to adopt and carry out a (1) Determinations that the security (1) TSA will notify the owner/ security program must submit a request training program is ineffective based on operator of the proposed amendment, to amend its security program if, after the approved method for evaluating fixing a period of not less than 30 approval, the owner/operator makes, or effectiveness in the security training calendar days within which the owner/ intends to make, permanent changes to program approved by TSA under operator may submit written any of the following procedures, subpart B of parts 1580, 1582, and 1584; information, views, and arguments on measures, or other aspects of security or or emergency response planning (2) Development of recurrent training the amendment. implemented by the owner/operator to material for purposes of meeting the (2) After TSA considers all relevant address: requirements in § 1570.111(b) of this material received, TSA will notify the (1) Specific procedures implemented part or other alternative training owner/operator of any amendment or used to prevent and detect materials not previously approved by adopted or rescind the notice. unauthorized access to restricted areas TSA. (b) Effective date of amendment. If designated by the owner/operator; (d) Permanent change. For purposes TSA adopts the amendment, it becomes (2) Measures to be implemented in of this section, a ‘‘permanent change’’ is effective not less than 30 calendar days response to a period of heightened one intended to be in effect for 60 or after the owner/operator receives the security risk, communicated through a more calendar days. notice of amendment, unless the owner/ DHS enhanced security notification, (e) Schedule for requesting operator disagrees with the proposed including the process used to notify all amendment. The owner/operator must amendment and files a petition for employees of changes in alert level file the request for an amendment with reconsideration under § 1570.119 of this status or requirements to implement TSA no later than 65 calendar days after part no later than 15 calendar days specific elements of the security plan the change in subsection (b) takes effect, before the effective date of the and verify that appropriate enhanced unless TSA allows a shorter time amendment. A timely petition for security measures have been period. reconsideration stays the effective date (f) TSA approval. (1) Within 30 implemented at all relevant locations. of the amendment. (3) Emergency response plans, calendar days after receiving a proposed including: amendment, TSA will, in writing, either (c) Emergency amendments. If TSA (i) Coordinated response plans approve or deny the request to amend. determines that there is an emergency establishing procedures for appropriate TSA will notify the owner/operator if it requiring immediate action in the interaction with State, local, and tribal needs an extension of time to consider interest of the public or transportation law enforcement agencies, emergency the proposed amendment. security, TSA may issue an amendment, responders, and Federal officials in (2) TSA may approve— without the prior notice and comment order to coordinate security measures (i) An amendment to a security procedures in paragraph (a) of this and plans for response in the event of program if TSA determines that it is in section, effective without stay on the a terrorist threat, attack, or other the interest of the public and date the covered owner/operator transportation security-related incident; transportation security and the receives notice of it. In such a case, TSA (ii) Specific procedures to be proposed amendment provides the level will incorporate in the notice a brief implemented or used by the owner/ of security required under this statement of the reasons and findings for operator in response to a terrorist attack, subchapter. the amendment to be adopted. The including evacuation and (ii) Modification to security training owner/operator may file a petition for communication plans that include curriculum, including alternative reconsideration under § 1570.119 of this individuals with disabilities; and training for purposes of meeting the part; however, this does not stay the (iii) Additional measures to be recurrent training requirement, if all the effective date of the emergency adopted to address weaknesses in required training elements are amendment.

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§ 1570.117 Alternative measures. previous decision. This is considered a if the owner/operator is identified in (a) If in TSA’s judgment, the overall final agency action. appendix A to part 1582 of this security of transportation provided by subchapter or is notified by TSA in an owner/operator subject to the § 1570.121 Recordkeeping and availability. writing that a threat exists concerning requirements of 49 CFR part 1580, 1582, (a) Retention. Each owner/operator that operation. or 1584 are not diminished, TSA may required to have a security program (c) An owner/operator identified in approve alternative measures. under subpart B to parts 1580, 1582, and § 1580.1(a)(5) or § 1582.1(a)(4) of this (b) Each owner/operator requesting 1584 of this subchapter must— subchapter (private rail car, tourist, alternative measures must file the (1) Retain security training records for scenic, historic, or excursion rail request for approval in a form and each individual required to receive operations) must designate and use a manner prescribed by TSA. The filing of security training under §§ 1580.115, primary and at least one alternate such a request does not affect the 1582.115, and 1584.115 that, at a Security Coordinator, only if notified by owner/operator’s responsibility for minimum— TSA in writing that a threat exists compliance while the request is being (i) Includes employee’s full name, job concerning that type of operation. considered. title or function, date of hire, and date (d) The Security Coordinator and (c) TSA may request additional of initial and recurrent security training; alternate(s) must be appointed at the information, and the owner/operator and corporate level. must provide the information within the (ii) Identifies the date, course name, (e) Each owner/operator required to time period TSA prescribes. Within 30 course length, and list of topics have a Security Coordinator must calendar days after receiving a request addressed for the security training most provide in writing to TSA the names, for alternative measures and all recently provided in each of the areas U.S. citizenship status, titles, phone requested information, TSA will, in required under §§ 1580.115, 1582.115, number(s), and email address(es) of the writing, either approve or deny the and 1584.115 of this subchapter. Security Coordinator and alternate request. (2) Retain records of initial and Security Coordinator(s) within 37 (d) If TSA finds that the use of the recurrent security training for no less calendar days of the effective date of alternative measures is in the interest of than five (5) years from the date of this rule, commencement of operations, the public and transportation security, it training. or change in any of the information may grant the request subject to any (3) Provide records to current and required by this section. conditions TSA deems necessary. In former employees upon request and at (f) Each owner/operator required to considering the request for alternative no charge as necessary to provide proof have a Security Coordinator must measures, TSA will review all relevant of training. ensure that at least one Security factors including— (b) Electronic records. Each owner/ Coordinator— (1) The risks associated with the type operator required to retain records (1) Serves as the primary contact for of operation, for example, whether the under this section may keep them in intelligence information and security- owner/operator transports hazardous electronic form. An owner/operator may related activities and communications materials or passengers within a high maintain and transfer records through with TSA. Any individual designated as threat urban area, whether the owner/ electronic transmission, storage, and a Security Coordinator may perform operator transports passengers and the retrieval provided that the electronic other duties in addition to the duties volume of passengers transported, or system provides for the maintenance of described in this section. whether the owner/operator hosts a records as originally submitted without (2) Is accessible to TSA on a 24 hours passenger operation. corruption, loss of data, or tampering. a day, 7 days a week basis. (2) Any relevant threat information. (c) Protection of SSI. Each owner/ (3) Coordinates security practices and (3) Other circumstances concerning operator must restrict the distribution, procedures internally and with potential risk to the public and disclosure, and availability of security appropriate law enforcement and transportation security. sensitive information, as identified in emergency response agencies. (e) No later than 30 calendar days part 1520 of this chapter, to persons after receiving a denial, the owner/ with a need to know. The owner/ § 1570.203 Reporting significant security concerns. operator may petition for operator must refer requests for such reconsideration under § 1570.119 of this information by other persons to TSA. (a) Each owner/operator identified in part. (d) Availability. Each owner/operator §§ 1580.1, 1582.1, and 1584.101 of this must make the records available to TSA subchapter must report, within 24 hours § 1570.119 Petitions for reconsideration. upon request for inspection and of initial discovery, any potential threats (a) If an owner/operator seeks to copying. and significant security concerns petition for reconsideration of a involving transportation-related determination, required modification, Subpart C—Operations operations in the United States or denial of a request for amendment by transportation to, from, or within the the owner/operator, denial to rescind a § 1570.201 Security Coordinator. United States as soon as possible by the TSA-required amendment, or denial of (a) Except as provided in paragraphs methods prescribed by TSA. an alternative measure, the owner/ (b) and (c) of this section, each owner/ (b) Potential threats or significant operator must submit a written petition operator identified in §§ 1580.1, 1582.1, security concerns encompass incidents, for reconsideration that includes a and 1584.101 of this subchapter must suspicious activities, and threat statement and any supporting designate and use a primary and at least information including, but not limited documentation explaining why the one alternate Security Coordinator. to, the categories of reportable events owner/operator believes TSA’s decision (b) An owner/operator identified in listed in appendix A to this part. is incorrect. § 1582.1(a)(2) of this subchapter (public (c) Information reported must include (b) Upon review of the petition for transportation agency) that owns or the following, as available and reconsideration, the Administrator or operates a bus-only operation must applicable: designee will dispose of the petition by designate and use a primary and at least (1) The name of the reporting affirming, modifying, or rescinding its one alternate Security Coordinator only individual and contact information,

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including a telephone number or email circumvent, or circumvent TWIC access a threat to transportation security, address. control procedures. national security, or of terrorism: (2) The affected freight or passenger (d) No person may cause or attempt to (i) Relevant criminal history train, transit vehicle, motor vehicle, cause another person to violate databases. station, terminal, rail hazardous paragraphs (a) through (c) of this materials facility, or other facility or section. (ii) In the case of an alien (as defined infrastructure, including identifying in sec. 101 of the Immigration and information and current location. § 1570.303 Inspection of credential. Nationality Act (8 U.S.C. 1101(a)(3)), the (3) Scheduled origination and (a) Each person who has been issued relevant databases to determine the termination locations for the affected or possesses a TWIC must present the status of the alien under the freight or passenger train, transit TWIC for inspection upon a request immigration laws of the United States. vehicle, or motor vehicle–including from TSA, the Coast Guard, or other (iii) Other relevant information or departure and destination city and authorized DHS representative; an databases, as determined by the route. authorized representative of the Secretary of Homeland Security. (4) Description of the threat, incident, National Transportation Safety Board; or or activity, including who has been a Federal, State, or local law (c) Prohibitions. (1) A public notified and what action has been taken. enforcement officer. transportation agency or a contractor or (5) The names, other available (b) Each person who has been issued subcontractor of a public transportation biographical data, and/or descriptions or who possesses a TWIC must allow his agency may not knowingly misrepresent (including vehicle or license plate or her TWIC to be read by a reader and to an employee or other relevant person, information) of individuals or motor must submit his or her reference including an arbiter involved in a labor vehicles known or suspected to be biometric, such as a fingerprint, and any arbitration, the scope, application, or involved in the threat, incident, or other required information, such as a meaning of any rules, regulations, activity. PIN, to the reader, upon a request from (6) The source of any threat directives, or guidance issued by the TSA, the Coast Guard, other authorized information. Secretary of Homeland Security related DHS representative; or a Federal, State, to security background check Subpart D—Security Threat or local law enforcement officer. requirements for employees when Assessments § 1570.305 False statements regarding conducting a security background check. § 1570.301 Fraudulent use or manufacture; security background checks by public responsibilities of persons. transportation agency or railroad carrier. (2) A railroad carrier or a contractor (a) No person may use or attempt to (a) Scope. This section implements or subcontractor of a railroad carrier use a credential, security threat sections 1414(e) (6 U.S.C. 1143) and may not knowingly misrepresent to an assessment, access control medium, or 1522(e) (6 U.S.C. 1170) of the employee or other relevant person, identification medium issued or ‘‘Implementing Recommendations of the including an arbiter involved in a labor conducted under this subchapter that 9/11 Commission Act of 2007,’’ Public arbitration, the scope, application, or was issued or conducted for another Law 110–53 (121 Stat. 266, Aug. 3, meaning of any rules, regulations, person. 2007). directives, or guidance issued by the (b) No person may make, produce, use (b) Definitions. In addition to the Secretary of Homeland Security related or attempt to use a false or fraudulently terms in §§ 1500.3, 1500.5, and to security background check created access control medium, 1503.202 of subchapter A and § 1570.3 requirements for employees when identification medium or security threat of subchapter D of this chapter, the conducting a security background assessment issued or conducted under following term applies to this part: check. this subchapter. Security background check means (c) No person may tamper or interfere reviewing the following for the purpose Appendix A to Part 1570—Reporting of with, compromise, modify, attempt to of identifying individuals who may pose Significant Security Concerns

Category Description

Breach, Attempted Intrusion, and/or Interference Unauthorized personnel attempting to or actually entering a restricted area or secure site relat- ing to a transportation facility or conveyance owned, operated, or used by an owner/operator subject to this part. This includes individuals entering or attempting to enter by imperson- ation of authorized personnel (for example, police/security, janitor, vehicle owner/operator). Activity that could interfere with the ability of employees to perform duties to the extent that security is threatened. Misrepresentation ...... Presenting false, or misusing, insignia, documents, and/or identification, to misrepresent one’s affiliation with an owner/operator subject to this part to cover possible illicit activity that may pose a risk to transportation security. Theft, Loss, and/or Diversion ...... Stealing or diverting identification media or badges, uniforms, vehicles, keys, tools capable of compromising track integrity, portable derails, technology, or classified or sensitive security information documents which are proprietary to the facility or conveyance owned, operated, or used by an owner/operator subject to this part. Sabotage, Tampering, and/or Vandalism ...... Damaging, manipulating, or defeating safety and security appliances in connection with a facil- ity, infrastructure, conveyance, or routing mechanism, resulting in the compromised use or the temporary or permanent loss of use of the facility, infrastructure, conveyance or routing mechanism. Placing or attaching a foreign object to a rail car(s). Cyber Attack ...... Compromising, or attempting to compromise or disrupt the information/technology infrastruc- ture of an owner/operator subject to this part. Expressed or Implied Threat ...... Communicating a spoken or written threat to damage or compromise a facility/infrastructure/ conveyance owned, operated, or used by an owner/operator subject to this part (for exam- ple, a bomb threat or active shooter).

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Category Description

Eliciting Information ...... Questioning that may pose a risk to transportation or national security, such as asking one or more employees of an owner/operator subject to this part about particular facets of a facili- ty’s conveyance’s purpose, operations, or security procedures. Testing or Probing of Security ...... Deliberate interactions with employees of an owner/operator subject to this part or challenges to facilities or systems owned, operated, or used by an owner/operator subject to this part that reveal physical, personnel, or cyber security capabilities. Photography ...... Taking photographs or video of facilities, conveyances, or infrastructure owned, operated, or used by an owner/operator subject to this part in a manner that may pose a risk to transpor- tation or national security. Examples include taking photographs or video of infrequently used access points, personnel performing security functions (for example, patrols, badge/ve- hicle checking), or security-related equipment (for example, perimeter fencing, security cam- eras). Observation or Surveillance ...... Demonstrating unusual interest in facilities or loitering near conveyances, railcar routing appli- ances or any potentially critical infrastructure owned or operated by an owner/operator sub- ject to this part in a manner that may pose a risk to transportation or national security. Ex- amples include observation through binoculars, taking notes, or attempting to measure dis- tances. Materials Acquisition and/or Storage ...... Acquisition and/or storage by an employee of an owner/operator subject to this part of mate- rials such as cell phones, pagers, fuel, chemicals, toxic materials, and/or timers that may pose a risk to transportation or national security (for example, storage of chemicals not needed by an employee for the performance of his or her job duties). Weapons Discovery, Discharge, or Seizure...... Weapons or explosives in or around a facility, conveyance, or infrastructure of an owner/oper- ator subject to this part that may present a risk to transportation or national security (for ex- ample, discovery of weapons inconsistent with the type or quantity traditionally used by company security personnel). Suspicious Items or Activity ...... Discovery or observation of suspicious items, activity or behavior in or around a facility, con- veyance, or infrastructure of an owner/operator subject to this part that results in the disrup- tion or termination of operations (for example, halting the operation of a conveyance while law enforcement personnel investigate a suspicious bag, briefcase, or package).

■ 11. Revise part 1580 to read as Subpart A—General chapter, the following terms apply to follows: this part: § 1580.1 Scope. Class I means Class I as assigned by PART 1580—FREIGHT RAIL (a) Except as provided in paragraph regulations of the Surface TRANSPORTATION SECURITY (b) of this section, this part includes Transportation Board (STB) (49 CFR requirements for the following persons. part 1201; General Instructions 1–1). Subpart A—General Specific sections in this part provide Attended, in reference to a rail car, Sec. detailed requirements. means an employee— 1580.1 Scope. (1) Each freight railroad carrier that (1) Is physically located on-site in 1580.3 Terms used in this part. operates rolling equipment on track that reasonable proximity to the rail car; 1580.5 Preemptive effect. is part of the general railroad system of (2) Is capable of promptly responding Subpart B—Security Programs transportation. to unauthorized access or activity at or near the rail car, including immediately 1580.101 Applicability. (2) Each rail hazardous materials shipper. contacting law enforcement or other 1580.103 [Reserved] authorities; and 1580.105 [Reserved] (3) Each rail hazardous materials receiver located within an HTUA. (3) Immediately responds to any 1580.107 [Reserved] unauthorized access or activity at or 1580.109 [Reserved] (4) Each freight railroad carrier near the rail car either personally or by 1580.111 [Reserved] serving as a host railroad to a freight contacting law enforcement or other 1580.113 Security training program general railroad operation described in requirements. authorities. paragraph (a)(1) of this section or a Document the transfer means 1580.115 Security training and knowledge passenger operation described in for security-sensitive employees. documentation uniquely identifying § 1582.1 of this subchapter. that the rail car was attended during the Subpart C—Operations (5) Each owner/operator of private rail transfer of custody, including: 1580.201 Applicability. cars, including business/office cars and (1) Car initial and number. 1580.203 Location and shipping circus trains, on or connected to the (2) Identification of individuals who information. general railroad system of attended the transfer (names or uniquely 1580.205 Chain of custody and control transportation. identifying employee number). requirements. (b) This part does not apply to a (3) Location of transfer. 1580.207 Harmonization of Federal freight railroad carrier that operates (4) Date and time the transfer was regulation of nuclear facilities. rolling equipment only on track inside completed. Appendix A to Part 1580—High Threat an installation that is not part of the High threat urban area (HTUA) Urban Areas (HTUAS) general railroad system of means, for purposes of this part, an area Appendix B to Part 1580—Security-Sensitive transportation. comprising one or more cities and Job Functions for Freight Rail surrounding areas including a 10-mile § 1580.3 Terms used in this part. Authority: 49 U.S.C. 114; Pub. L. 110–53 buffer zone, as listed in appendix A to (121 Stat. 266, Aug. 3, 2007) secs. 1501 (6 In addition to the terms in §§ 1500.3, this part 1580. U.S.C. 1151), 1512 (6 U.S.C. 1162) and 1517 1500.5, and 1503.202 of subchapter A Maintains positive control means that (6 U.S.C. 1167). and § 1570.3 of subchapter D of this the rail hazardous materials receiver

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and the railroad carrier communicate common law requirement covering the recurrent training will need to be and cooperate with each other to same subject matter. submitted and approved by TSA. provide for the security of the rail car (7) Plan for ensuring supervision of during the physical transfer of custody. Subpart B—Security Programs untrained security-sensitive employees Attending the rail car is a component of § 1580.101 Applicability. performing functions identified in maintaining positive control. Appendix B to this part. Rail security-sensitive materials This subpart applies to each of the (8) Plan for notifying employees of (RSSM) means— following owner/operators: changes to security measures that could (1) A rail car containing more than (a) Described in § 1580.1(a)(1) of this change information provided in 2,268 kg (5,000 lbs.) of a Division 1.1, part that is a Class I freight railroad. previously provided training. 1.2, or 1.3 (explosive) material, as (b) Described in § 1580.1(a)(1) of this (9) Method(s) for evaluating the defined in 49 CFR 173.50; part that transports one or more of the effectiveness of the security training (2) A tank car containing a material categories and quantities of RSSM in an program in each area required by poisonous by inhalation as defined in HTUA. § 1580.115 of this part. 49 CFR 171.8, including anhydrous (c) Described in § 1580.1(a)(4) of this (c) Relation to other training. (1) ammonia, Division 2.3 gases poisonous part that serves as a host railroad to a Training conducted by owner/operators by inhalation as set forth in 49 CFR freight railroad described in paragraph to comply other requirements or 173.115(c), and Division 6.1 liquids (a) of (b) of this section or a passenger standards, such as emergency meeting the defining criteria in 49 CFR operation described in § 1582.101 of this preparedness training required by the 173.132(a)(1)(iii) and assigned to hazard subchapter. Department of Transportation (DOT) (49 zone A or hazard zone B in accordance § 1580.103 [Reserved] CFR part 239) or other training for with 49 CFR 173.133(a), excluding communicating with emergency residue quantities of these materials; § 1580.105 [Reserved] responders to arrange the evacuation of and passengers, may be combined with and (3) A rail car containing a highway § 1580.107 [Reserved] used to satisfy elements of the training route-controlled quantity of a Class 7 § 1580.109 [Reserved] requirements in this subpart. (radioactive) material, as defined in 49 (2) If the owner/operator submits a CFR 173.403. § 1580.111 [Reserved] security training program that relies on Residue means the hazardous material § 1580.113 Security training program pre-existing or previous training remaining in a packaging, including a general requirements. materials to meet the requirements of tank car, after its contents have been subpart B, the program submitted for (a) Security training program unloaded to the maximum extent approval must include an index, required. Each owner/operator practicable and before the packaging is organized in the same sequence as the identified in § 1580.101 of this part is either refilled or cleaned of hazardous requirements in this subpart. required to adopt and carry out a material and purged to remove any (d) Submission and implementation. security training program under this hazardous vapors. The owner/operator must submit and subpart. Security-sensitive employee means an implement the security training program (b) General requirements. The security employee who performs— in accordance with the schedules training program must include the (1) Service subject to the Federal identified in §§ 1570.109 and 1570.111 following information: hours of service laws (49 U.S.C. chapter of this subchapter. 211), regardless of whether the (1) Name of owner/operator. employee actually performs such (2) Name, title, telephone number, § 1580.115 Security training and service during a particular duty tour; or and email address of the primary knowledge for security-sensitive (2) One or more of the security- individual to be contacted with regard employees. sensitive job functions identified in to review of the security training (a) Training required for security- Appendix B to this part where the program. sensitive employees. No owner/operator security-sensitive function is performed (3) Number, by specific job function required to have a security training in the United States or in direct support category identified in Appendix B to program under § 1580.101 of this part of the common carriage of persons or this part, of security-sensitive may use a security-sensitive employee property between a place in the United employees trained or to be trained. to perform a function identified in States and any place outside of the (4) Implementation schedule that Appendix B to this part, unless that United States. identifies a specific date by which individual has received training as part initial and recurrent security training of a security training program approved § 1580.5 Preemptive effect. required by § 1570.111 of this by TSA under 49 CFR part 1570, subpart Under 49 U.S.C. 20106, issuance of subchapter will be completed. B, or is under the direct supervision of the regulations in this subchapter (5) Location where training program an employee who has received the preempts any State law, regulation, or records will be maintained. training required by this section as order covering the same subject matter, (6) Curriculum or lesson plan, applicable to that security-sensitive except an additional or more stringent including learning objectives and function. law, regulation, or order that is method of delivery (such as instructor- (b) Limits on use of untrained necessary to eliminate or reduce an led or computer-based training) for each employees. Notwithstanding paragraph essentially local security hazard; that is course used to meet the requirements of (a) of this section, a security-sensitive not incompatible with a law, regulation, § 1580.115 of this part. TSA may request employee may not perform a security- or order of the U.S. Government; and additional information regarding the sensitive function for more than sixty that does not unreasonably burden curriculum during the review and (60) calendar days without receiving interstate commerce. For example, approval process. If recurrent training security training. under 49 U.S.C. 20106, issuance of 49 under § 1570.111 of this subchapter is (c) Prepare. (1) Each owner/operator CFR 1580.205 preempts any State or not the same as initial training, a must ensure that each of its security- tribal law, rule, regulation, order or curriculum or lesson plan for the sensitive employees with position- or

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function-specific responsibilities under (2) Identify appropriate responses (iii) The identification number the owner/operator’s security program based on observations and context. prescribed for the material in column 4 has knowledge of how to fulfill those (f) Respond. Each owner/operator of the table in 49 CFR 172.101. responsibilities in the event of a security must ensure that each of its security- (4) Each rail car’s initial and number. threat, breach, or incident to ensure— sensitive employees has knowledge of (5) Whether the rail car is in a train, (i) Employees with responsibility for how to— rail yard, siding, rail spur, or rail transportation security equipment and (1) Appropriately report a security hazardous materials shipper or receiver systems are aware of their threat, including knowing how and facility, including the name of the rail responsibilities and can verify the when to report internally to other yard or siding designation. equipment and systems are operating employees, supervisors, or management, (c) Timing-Class I freight railroad and properly maintained; and and externally to local, state, or Federal carriers. Upon request by TSA, each (ii) Employees with other duties and agencies according to the owner/ Class I freight railroad carrier described responsibilities under the company’s operator’s security procedures or other in paragraph (a) of this section must security plans and/or programs, relevant plans; provide the location and shipping including those required by Federal law, (2) Interact with the public and first information to TSA no later than— know their assignments and the steps or responders at the scene of the threat or (1) Five minutes if the request applies resources needed to fulfill them. incident, including communication to a single (one) rail car; and (2) Each employee who performs any with passengers on evacuation and any (2) Thirty minutes if the request security-related functions under specific procedures for individuals with concerns multiple rail cars or a § 1580.205 of this subpart must be disabilities and the elderly; and geographic region. provided training specifically applicable (3) Use any applicable self-defense (d) Timing-other than Class I freight to the functions the employee performs. devices or other protective equipment railroad carriers. Upon request by TSA, As applicable, this training must provided to employees by the owner/ all owner/operators described in address— operator. paragraph (a) of this section, other than (i) Inspecting rail cars for signs of Class I freight railroad carriers, must tampering or compromise, IEDs, Subpart C—Operations provide the location and shipping information to TSA no later than 30 suspicious items, and items that do not § 1580.201 Applicability. belong; minutes, regardless of the number of This subpart applies to the following: cars covered by the request. (ii) Identification of rail cars that (1) Each owner/operator described in contain rail security-sensitive materials, (e) Method. All owner/operators § 1580.1(a)(1) of this part that transports described in paragraph (a) of this including the owner/operator’s one or more of the categories and procedures for identifying rail security- section must provide the requested quantities of rail security-sensitive location and shipping information to sensitive material cars on train materials. documents, shipping papers, and in TSA by one of the following methods: (2) Each owner/operator described in (1) Electronic data transmission in computer train/car management § 1580.1(a)(2) and (3) of this part. systems; and spreadsheet format. (iii) Procedures for completing § 1580.203 Location and shipping (2) Electronic data transmission in transfer of custody documentation. information. Hyper Text Markup Language (HTML) format. (d) Observe. Each owner/operator (a) General requirement. Each owner/ (3) Electronic data transmission in must ensure that each of its security- operator described in § 1580.201 of this sensitive employees has knowledge of Extensible Markup Language (XML). part must have procedures in place to (4) Facsimile transmission of a hard the observational skills necessary to determine the location and shipping copy spreadsheet in tabular format. recognize— information for each rail car under its (5) Posting the information to a secure (1) Suspicious and/or dangerous items physical custody and control that website address approved by TSA. (such as substances, packages, or contains one or more of the categories (6) Another format approved by TSA. conditions (for example, characteristics and quantities of rail security-sensitive (f) Telephone number. Each owner/ of an IED and signs of equipment materials. operator described in § 1580.201 of this tampering or sabotage); (b) Required information. The part must provide a telephone number (2) Combinations of actions and location and shipping information must for use by TSA to request the individual behaviors that appear include the following: information required in paragraph (b) of suspicious and/or dangerous, (1) The rail car’s current location by this section. inappropriate, inconsistent, or out of the city, county, and state, including, for (1) The telephone number must be ordinary for the employee’s work freight railroad carriers, the railroad monitored at all times. environment, which could indicate a milepost, track designation, and the (2) A telephone number that requires threat to transportation security; and time that the rail car’s location was a call back (such as an answering (3) How a terrorist or someone with determined. service, answering machine, or beeper malicious intent may attempt to gain (2) The rail car’s routing, if a freight device) does not meet the requirements sensitive information or take advantage railroad carrier. of this paragraph. of vulnerabilities. (3) A list of the total number of rail (e) Assess. Each owner/operator must cars containing rail security-sensitive § 1580.205 Chain of custody and control ensure that each of its security-sensitive materials, broken down by— requirements. employees has knowledge necessary (i) The shipping name prescribed for (a) Within or outside of an HTUA, rail to— the material in column 2 of the table in hazardous materials shipper (1) Determine whether the item, 49 CFR 172.101; transferring to carrier. Except as individual, behavior, or situation (ii) The hazard class or division provided in paragraph (g) of this requires a response as a potential number prescribed for the material in section, at each location within or terrorist threat based on the respective column 3 of the table in 49 CFR outside of an HTUA, a rail hazardous transportation environment; and 172.101; and materials shipper transferring custody of

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a rail car containing one or more of the of rail security-sensitive materials to quantities of rail security-sensitive categories and quantities of rail security- another freight railroad carrier, and the materials to the originating offeror or sensitive materials to a freight railroad rail car containing this hazardous shipper, the requirements of this section carrier must do the following: material may subsequently enter an do not apply to the receiver. The (1) Physically inspect the rail car HTUA, each freight railroad carrier must requirements of this section do apply to before loading for signs of tampering, adopt and carry out procedures to any railroad carrier to which the including closures and seals; other signs ensure that the rail car is not left receiver transfers custody of the rail car. that the security of the car may have unattended at any time during the (h) Document retention. Covered been compromised; and suspicious physical transfer of custody. These entities must maintain the documents items or items that do not belong, procedures must include the receiving required under this section for at least including the presence of an improvised railroad carrier performing the required 60 calendar days and make them explosive device. security inspection in accordance with available to TSA upon request. (2) Keep the rail car in a rail secure 49 CFR 174.9. Both the transferring and (i) Rail secure area. The rail area from the time the security the receiving railroad carrier must hazardous materials shipper and the rail inspection required by paragraph (a)(1) document the transfer of custody in hazardous materials receiver must use of this section or by 49 CFR 173.31(d), hard copy or electronically. physical security measures to ensure whichever occurs first, until the freight (e) Within an HTUA, carrier that no unauthorized individual gains railroad carrier takes physical custody transferring to rail hazardous materials access to the rail secure area. of the rail car. receiver. A freight railroad carrier (j) Exemption for rail hazardous (3) Document the transfer of custody delivering a rail car containing one or materials receivers. A rail hazardous to the railroad carrier in hard copy or more of the categories and quantities of materials receiver located within an electronically. rail security-sensitive materials to a rail HTUA may request from TSA an (b) Within or outside of an HTUA, hazardous materials receiver located exemption from some or all of the carrier receiving from a rail hazardous within an HTUA must not leave the rail requirements of this section if the materials shipper. At each location car unattended in a non-secure area receiver demonstrates that the potential within or outside of an HTUA where a until the rail hazardous materials risk from its activities is insufficient to freight railroad carrier receives from a receiver accepts custody of the rail car. warrant compliance with this section. rail hazardous materials shipper Both the railroad carrier and the rail TSA will consider all relevant custody of a rail car containing one or hazardous materials receiver must circumstances, including the following: more of the categories and quantities of document the transfer of custody in (1) The amounts and types of all rail security-sensitive materials, the hard copy or electronically. hazardous materials received. freight railroad carrier must document (f) Within an HTUA, rail hazardous (2) The geography of the area the transfer in hard copy or materials receiver receiving from carrier. surrounding the receiver’s facility. electronically and perform the required Except as provided in paragraph (j) of (3) Proximity to entities that may be security inspection in accordance with this section, a rail hazardous materials attractive targets, including other 49 CFR 174.9. receiver located within an HTUA that businesses, housing, schools, and (c) Within an HTUA, carrier receives a rail car containing one or hospitals. transferring to carrier. Within an HTUA, more of the categories and quantities of (4) Any information regarding threats whenever a freight railroad carrier rail security-sensitive materials from a to the facility. transfers a rail car containing one or freight railroad carrier must— more of the categories and quantities of (1) Ensure that the rail hazardous (5) Other circumstances that indicate rail security-sensitive materials to materials receiver or railroad carrier the potential risk of the receiver’s another freight railroad carrier, each maintains positive control of the rail car facility does not warrant compliance freight railroad carrier must adopt and during the physical transfer of custody with this section. carry out procedures to ensure that the of the rail car; § 1580.207 Harmonization of Federal rail car is not left unattended at any (2) Keep the rail car in a rail secure regulation of nuclear facilities. time during the physical transfer of area until the car is unloaded; and TSA will coordinate activities under custody. These procedures must include (3) Document the transfer of custody this subpart with the Nuclear Regulatory the receiving freight railroad carrier from the railroad carrier in hard copy or Commission (NRC) and the Department performing the required security electronically. of Energy (DOE) with respect to inspection in accordance with 49 CFR (g) Within or outside of an HTUA, rail regulation of rail hazardous materials 174.9. Both the transferring and the hazardous materials receiver rejecting shippers and receivers that are also receiving railroad carrier must car. This section does not apply to a rail licensed or regulated by the NRC or document the transfer of custody in hazardous materials receiver that does DOE under the Atomic Energy Act of hard copy or electronically. not routinely offer, prepare, or load for 1954, as amended, to maintain (d) Outside of an HTUA, carrier transportation by rail one or more of the consistency with the requirements transferring to carrier. Outside an categories and quantities of rail security- imposed by the NRC and DOE. HTUA, whenever a freight railroad sensitive materials. If such a receiver carrier transfers a rail car containing one rejects and returns a rail car containing Appendix A to Part 1580—High Threat or more of the categories and quantities one or more of the categories and Urban Areas (HTUAs)

State Urban area Geographic areas

AZ ...... Phoenix Area ...... Chandler, Gilbert, Glendale, Mesa, Peoria, Phoenix, Scottsdale, Tempe, and a 10-mile buffer ex- tending from the border of the combined area. CA ...... Anaheim/Santa Ana Anaheim, Costa Mesa, Garden Grove, Fullerton, Huntington Beach, Irvine, Orange, Santa Ana, Area. and a 10-mile buffer extending from the border of the combined area.

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State Urban area Geographic areas

Bay Area ...... Berkeley, Daly City, Fremont, Hayward, Oakland, Palo Alto, Richmond, San Francisco, San Jose, Santa Clara, Sunnyvale, Vallejo, and a 10-mile buffer extending from the border of the com- bined area. Los Angeles/Long Burbank, Glendale, Inglewood, Long Beach, Los Angeles, Pasadena, Santa Monica, Santa Beach Area. Clarita, Torrance, Simi Valley, Thousand Oaks, and a 10-mile buffer extending from the border of the combined area. Sacramento Area ...... Elk Grove, Sacramento, and a 10-mile buffer extending from the border of the combined area. San Diego Area ...... Chula Vista, Escondido, and San Diego, and a 10-mile buffer extending from the border of the combined area. CO ...... Denver ...... Arvada, Aurora, Denver, Lakewood, Westminster, Thornton, and a 10-mile buffer extending from Area ...... the border of the combined area. DC ...... National Capital Region National Capital Region and a 10-mile buffer extending from the border of the combined area. FL ...... Fort Lauderdale Area .... Fort Lauderdale, Hollywood, Miami Gardens, Miramar, Pembroke Pines, and a 10-mile buffer ex- tending from the border of the combined area. Jacksonville Area ...... Jacksonville and a 10-mile buffer extending from the city border. Miami Area ...... Hialeah, Miami, and a 10-mile buffer extending from the border of the combined area. Orlando Area ...... Orlando and a 10-mile buffer extending from the city border. Tampa Area ...... Clearwater, St. Petersburg, Tampa, and a 10-mile buffer extending from the border of the com- bined area. GA ...... Atlanta Area ...... Atlanta and a 10-mile buffer extending from the city border. HI ...... Honolulu Area ...... Honolulu and a 10-mile buffer extending from the city border. IL ...... Chicago Area ...... Chicago and a 10-mile buffer extending from the city border. IN ...... Indianapolis Area ...... Indianapolis and a 10-mile buffer extending from the city border. KY ...... Louisville Area ...... Louisville and a 10-mile buffer extending from the city border. LA ...... Baton Rouge Area ...... Baton Rouge and a 10-mile buffer extending from the city border. New Orleans Area ...... New Orleans and a 10-mile buffer extending from the city border. MA ...... Boston Area ...... Boston, Cambridge, and a 10-mile buffer extending from the border of the combined area. MD ...... Baltimore Area ...... Baltimore and a 10-mile buffer extending from the city border. MI ...... Detroit Area ...... Detroit, Sterling Heights, Warren, and a 10-mile buffer extending from the border of the combined area. MN ...... Twin Cities Area ...... Minneapolis, St. Paul, and a 10-mile buffer extending from the border of the combined entity. MO ...... Kansas City Area ...... Independence, Kansas City (MO), Kansas City (KS), Olathe, Overland Park, and a 10-mile buffer extending from the border of the combined area. St. Louis Area ...... St. Louis and a 10-mile buffer extending from the city border. NC ...... Charlotte Area ...... Charlotte and a 10-mile buffer extending from the city border. NE ...... Omaha Area ...... Omaha and a 10-mile buffer extending from the city border. NJ ...... Jersey City/Newark Elizabeth, Jersey City, Newark, and a 10-mile buffer extending from the border of the combined Area. area. NV ...... Las Vegas Area ...... Las Vegas, North Las Vegas, and a 10-mile buffer extending from the border of the combined en- tity. NY ...... Buffalo Area ...... Buffalo and a 10-mile buffer extending from the city border. New York City Area ...... New York City, Yonkers, and a 10-mile buffer extending from the border of the combined area. OH ...... Cincinnati Area ...... Cincinnati and a 10-mile buffer extending from the city border. Cleveland Area ...... Cleveland and a 10-mile buffer extending from the city border. Columbus Area ...... Columbus and a 10-mile buffer extending from the city border. Toledo Area ...... Oregon, Toledo, and a 10-mile buffer extending from the border of the combined area. OK ...... Oklahoma City Area ...... Norman, Oklahoma and a 10-mile buffer extending from the border of the combined area. OR ...... Portland Area ...... Portland, Vancouver, and a 10-mile buffer extending from the border of the combined area. PA ...... Philadelphia Area ...... Philadelphia and a 10-mile buffer extending from the city border. Pittsburgh Area ...... Pittsburgh and a 10-mile buffer extending from the city border. TN ...... Memphis Area ...... Memphis and a 10-mile buffer extending from the city border. TX ...... Dallas/Fort Worth/Arling- Arlington, Carrollton, Dallas, Fort Worth, Garland, Grand Prairie, Irving, Mesquite, Plano, and a ton Area. 10-mile buffer extending from the border of the combined area. Houston Area ...... Houston, Pasadena, and a 10-mile buffer extending from the border of the combined entity. San Antonio Area ...... San Antonio and a 10-mile buffer extending from the city border. WA ...... Seattle Area ...... Seattle, Bellevue, and a 10-mile buffer extending from the border of the combined area. WI ...... Milwaukee Area ...... Milwaukee and a 10-mile buffer extending from the city border.

Appendix B to Part 1580—Security- regulated under this part. All employees purposes of this rule and must be Sensitive Functions for Freight Rail performing security-sensitive functions trained. This table identifies security-sensitive are ‘‘security-sensitive employees’’ for job functions for owner/operators

Examples of job titles ap- Categories Security-sensitive job functions for plicable to these func- freight rail tions *

A. Operating a vehicle ...... 1. Employees who operate or directly con- Engineer, conductor trol the movements of locomotives or other self-powered rail vehicles.

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Examples of job titles ap- Categories Security-sensitive job functions for plicable to these func- freight rail tions *

2. Train conductor, trainman, brakeman, or utility employee or performs acceptance inspections, couples and uncouples rail cars, applies handbrakes, or similar func- tions. 3. Employees covered under the Federal hours of service laws as ‘‘train employ- ees.’’ See 49 U.S.C. 21101(5) and 21103.. B. Inspecting and maintaining vehicles ...... Employees who inspect or repair rail cars Carman, car repairman, and locomotives. car inspector, engineer, conductor. C. Inspecting or maintaining building or transportation infrastructure .... 1. Employees who— ...... Signalman, signal main- a. Maintain, install, or inspect commu- tainer, track-man, gang nications and signal equipment. foreman, bridge and b. Maintain, install, or inspect track building laborer, and structures, including, but not roadmaster, bridge, and limited to, bridges, trestles, and tun- building inspector/oper- nels. ator. 2. Employees covered under the Federal hours of service laws as ‘‘signal employ- ees.’’ See 49 U.S.C. 21101(3) and 21104. D. Controlling dispatch or movement of a vehicle ...... 1. Employees who— ...... Yardmaster, dispatcher, a. Dispatch, direct, or control the block operator, bridge movement of trains. operator. b. Operate or supervise the operations of moveable bridges. c. Supervise the activities of train crews, car movements, and switch- ing operations in a yard or terminal. 2. Employees covered under the Federal hours of service laws as ‘‘dispatching service employees.’’ See 49 U.S.C. 21101(2) and 21105. E. Providing security of the owner/operator’s equipment and property .. Employees who provide for the security of Police officer, special the railroad carrier’s equipment and agent; patrolman; property, including acting as a railroad watchman; guard. police officer (as that term is defined in 49 CFR 207.2). F. Loading or unloading cargo or baggage ...... Includes, but is not limited to, employees Service track employee. that load or unload hazardous materials. G. Interacting with travelling public (on board a vehicle or within a Employees of a freight railroad operating in Conductor, engineer, transportation facility). passenger service. agent. H. Complying with security programs or measures, including those re- 1. Employees who serve as security coor- Security coordinator, train quired by Federal law. dinators designated in § 1570.201 of this master, assistant train subchapter, as well as any designated master, roadmaster, di- alternates or secondary security coordi- vision roadmaster. nators. 2. Employees who—. a. Conduct training and testing of em- ployees when the training or testing is required by TSA’s security regula- tions. b. Perform inspections or operations required by § 1580.205 of this sub- chapter. c. Manage or direct implementation of security plan requirements. * These job titles are provided solely as a resource to help understand the functions described; whether an employee must be trained is based upon the function, not the job title.

■ 12. Add part 1582 to read as follows: 1582.1 Scope. 1582.109 [Reserved] 1582.3 Terms used in this part. 1582.111 [Reserved] PART 1582—PUBLIC 1582.5 Preemptive effect. 1582.113 Security training program general requirements. TRANSPORTATION AND PASSENGER Subpart B—Security Programs RAILROAD SECURITY 1582.115 Security training and knowledge 1582.101 Applicability. for security-sensitive employees. Subpart A—General 1582.103 [Reserved] Appendix A to Part 1582—Determinations 1582.105 [Reserved] for Public Transportation and Passenger Sec. 1582.107 [Reserved] Railroads

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Appendix B to Part 1582—Security-Sensitive Subpart B—Security Programs performing functions identified in Job Functions For Public Transportation Appendix B to this part. and Passenger Railroads § 1582.101 Applicability. (8) Plan for notifying employees of Authority: 49 U.S.C. 114; Pub. L. 110–53 The requirements of this subpart changes to security measures that could (121 Stat. 266, Aug. 3, 2007) secs. 1402 (6 apply to the following: change information provided in U.S.C. 1131), 1405 (6 U.S.C. 1134), and 1408 (a) Amtrak (also known as the previously provided training. National Railroad Passenger (6 U.S.C. 1137). (9) Method(s) for evaluating the Corporation). effectiveness of the security training Subpart A—General (b) Each owner/operator identified in Appendix A to this part. program in each area required by § 1582.1 Scope. (c) Each owner/operator described in § 1582.115 of this part. § 1582.1(a)(1) through (3) of this part (c) Relation to other training. (1) (a) Except as provided in paragraph that serves as a host railroad to a freight Training conducted by owner/operators (b) of this section, this part includes operation described in § 1580.301 of this to comply other requirements or requirements for the following persons. subchapter or to a passenger train standards, such as emergency Specific sections in this part provide operation described in paragraph (a)(1) preparedness training required by the detailed requirements. or (a)(2) of this section. Department of Transportation (DOT) (49 (1) Each passenger railroad carrier. CFR part 239) or other training for § 1582.103 [Reserved] (2) Each public transportation agency. communicating with emergency § 1582.105 [Reserved] responders to arrange the evacuation of (3) Each operator of a rail transit passengers, may be combined with and system that is not operating on track § 1582.107 [Reserved] used to satisfy elements of the training that is part of the general railroad requirements in this subpart. § 1582.109 [Reserved] system of transportation, including (2) If the owner/operator submits a heavy rail transit, light rail transit, § 1582.111 [Reserved] security training program that relies on automated guideway, cable car, inclined pre-existing or previous training plane, funicular, and monorail systems. § 1582.113 Security training program materials to meet the requirements of general requirements. (4) Each tourist, scenic, historic, and subpart B, the program submitted for excursion rail owner/operator, whether (a) Security training program approval must include an index, operating on or off the general railroad required. Each owner/operator organized in the same sequence as the system of transportation. identified in § 1582.101 of this part is requirements in this subpart. required to adopt and carry out a (d) Submission and implementation. (b) This part does not apply to a ferry security training program under this The owner/operator must submit and system required to conduct training subpart. pursuant to 46 U.S.C. 70103. (b) General requirements. The security implement the security training program in accordance with the schedules § 1582.3 Terms used in this part. training program must include the following information: identified in §§ 1570.109 and 1570.111 In addition to the terms in §§ 1500.3, (1) Name of owner/operator. of this subchapter. 1500.5, and 1503.202 of subchapter A (2) Name, title, telephone number, § 1582.115 Security training and and § 1570.3 of subchapter D of this and email address of the primary knowledge for security-sensitive chapter, the following term applies to individual to be contacted with regard employees. to review of the security training this part. (a) Training required for security- program. Security-sensitive employee means an sensitive employees. No owner/operator (3) Number, by specific job function employee whose responsibilities for the required to have a security training category identified in Appendix B to owner/operator include one or more of program under § 1582.101 of this part this part, of security-sensitive the security-sensitive job functions may use a security-sensitive employee employees trained or to be trained. identified in appendix B to this part if (4) Implementation schedule that to perform a function identified in the security-sensitive function is identifies a specific date by which appendix B to this part unless that performed in the United States or in initial and recurrent security training individual has received training as part direct support of the common carriage required by § 1570.111 of this of a security training program approved of persons or property between a place subchapter will be completed. by TSA under 49 CFR part 1570, subpart in the United States and any place (5) Location where training program B, or is under the direct supervision of outside of the United States. records will be maintained. an employee who has received the training required by this section as § 1582.5 Preemptive effect. (6) Curriculum or lesson plan, including learning objectives and applicable to that security-sensitive Under 49 U.S.C. 20106, issuance of method of delivery (such as instructor- function. the passenger railroad and public led or computer-based training) for each (b) Limits on use of untrained transportation regulations in this course used to meet the requirements of employees. Notwithstanding paragraph subchapter preempts any State law, § 1582.115 of this part. TSA may request (a) of this section, a security-sensitive regulation, or order covering the same additional information regarding the employee may not perform a security- subject matter, except an additional or curriculum during the review and sensitive function for more than sixty more stringent law, regulation, or order approval process. If recurrent training (60) calendar days without receiving that is necessary to eliminate or reduce under § 1570.111 of this subchapter is security training. an essentially local security hazard; that not the same as initial training, a (c) Prepare. Each owner/operator is not incompatible with a law, curriculum or lesson plan for the must ensure that each of its security- regulation, or order of the U.S. recurrent training will need to be sensitive employees with position- or Government; and that does not submitted and approved by TSA. function-specific responsibilities under unreasonably burden interstate (7) Plan for ensuring supervision of the owner/operator’s security program commerce. untrained security-sensitive employees have knowledge of how to fulfill those

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responsibilities in the event of a security (2) Combinations of actions and sensitive employees has knowledge of threat, breach, or incident to ensure— individual behaviors that appear how to— (1) Employees with responsibility for suspicious and/or dangerous, (1) Appropriately report a security transportation security equipment and inappropriate, inconsistent, or out of the threat, including knowing how and systems are aware of their ordinary for the employee’s work when to report internally to other responsibilities and can verify the environment, which could indicate a employees, supervisors, or management, equipment and systems are operating threat to transportation security; and and externally to local, state, or Federal and properly maintained; and (3) How a terrorist or someone with agencies according to the owner/ (2) Employees with other duties and malicious intent may attempt to gain operator’s security procedures or other responsibilities under the company’s sensitive information or take advantage relevant plans; security plans and/or programs, of vulnerabilities. (2) Interact with the public and first including those required by Federal law, (e) Assess. Each owner/operator must responders at the scene of the threat or know their assignments and the steps or ensure that each of its security-sensitive incident, including communication resources needed to fulfill them. employees has knowledge necessary with passengers on evacuation and any (d) Observe. Each owner/operator to— specific procedures for individuals with must ensure that each of its security- (1) Determine whether the item, disabilities and the elderly; and sensitive employees has knowledge of individual, behavior, or situation (3) Use any applicable self-defense the observational skills necessary to requires a response as a potential devices or other protective equipment recognize— terrorist threat based on the respective provided to employees by the owner/ operator. (1) Suspicious and/or dangerous items transportation environment; and (such as substances, packages, or (2) Identify appropriate responses Appendix A to Part 1582— conditions (for example, characteristics based on observations and context. Determinations for Public of an IED and signs of equipment (f) Respond. Each owner/operator Transportation and Passenger tampering or sabotage); must ensure that each of its security- Railroads

State Urban area Systems

CA Bay Area ...... Alameda-Contra Costa Transit District (AC Transit). Altamont -Corridor Express (ACE). City and County of San Francisco (San Francisco Bay Area Rapid Transit District) (BART). Central Contra Costa Transit Authority. ≤Golden Gate Bridge, Highway and Transportation District (GGBHTD). Peninsula Corridor Joint Powers Board (PCJPB) (Caltrain). San Francisco Municipal Railway (MUNI) (San Francisco Municipal Transportation Agen- cy). San Mateo County Transit District (San Mateo County Transit Authority) (SamTrans). Santa Clara Valley Transportation Authority (VTA). Transbay Joint Powers Authority. Greater Los Angeles Area (Los An- City of Los Angeles Department of Transportation (LADOT) geles/Long Beach and Anaheim/ Foothill Transit. Santa Ana urban Areas).. Long Beach Transit (LBT). Los Angeles County Metropolitan Transportation Authority (LACMTA). City of Montebello (Montebello Bus Lines) (MBL). Omnitrans (OMNI). Orange County Transportation Authority (OCTA). City of Santa Monica (Santa Monica’s Big Blue Bus) (Big Blue Bus). Southern California Regional Rail Authority (Metrolink). DC/MD/VA Greater National Capital Region Arlington County, Virginia (Arlington Transit). (National Capital Region and Bal- City of Alexandria (Alexandria Transit Company) (Dash). timore urban Areas).. Fairfax County Department of Transportation—Fairfax Connector Bus System. Maryland Transit Administration (MTA). Montgomery County Department of Transportation (Ride-On Montgomery County Tran- sit). Potomac and Rappahannock Transportation Commission. Prince George’s County Department of Public Works and Transportation (The Bus). Virginia Railway Express (VRE). Washington Metropolitan Area Transit Authority (WMATA). GA Atlanta Area ...... Georgia Regional Transportation Authority (GRTA, within State Road and Tollway Au- thority (SRTA)). Metropolitan Atlanta Rapid Tran- sit Authority (MARTA).. IL/IN Chicago Area ...... Chicago Transit Authority (CTA). Northeast Illinois Regional Commuter Railroad Corporation (Metra/NIRCRC). Northern Indiana Commuter Transportation District (NICTD). PACE Suburban Bus Company. MA Boston Area ...... Massachusetts Bay Transportation Authority (MBTA).

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State Urban area Systems

NY/NJ/CT New York City/Northern New Jer- Connecticut Department of Transportation (CDOT). sey Area (New York City and Connecticut Transit (Hartford Division and New Haven Divisions of CTTransit). Jersey City/Newark urban Areas). Metropolitan Transportation Authority (All Agencies). New Jersey Transit Corp. (NJT). New York City Department of Transportation. Port Authority Trans-Hudson Corporation (Port Authority of New York and New Jersey) (PANYNJ) (excluding ferry). Westchester County Department of Transportation Bee-Line System (The Bee-Line Sys- tem). PA/NJ Philadelphia Area ...... Delaware River Port Authority (DRPA)—Port Authority Transit Corporation (PATCO). Delaware Transit Corporation (DTC). New Jersey Transit Corp. (NJT) (covered under NY). Pennsylvania Department of Transportation. Southeastern Pennsylvania Transportation Authority (SEPTA).

Appendix B to Part 1582—Security- regulated under this part. All employees Sensitive Job Functions For Public performing security-sensitive functions Transportation and Passenger are ‘‘security-sensitive employees’’ for Railroads purposes of this rule and must be This table identifies security-sensitive trained. job functions for owner/operators

Security-sensitive job functions for public transportation and passenger Categories railroads (PTPR)

A. Operating a vehicle 1. Employees who— a. Operate or control the movements of trains, other rail vehicles, or transit buses. b. Act as train conductor, trainman, brakeman, or utility employee or performs acceptance inspections, couples and uncouples rail cars, applies handbrakes, or similar functions. 2. Employees covered under the Federal hours of service laws as ‘‘train employees.’’ See 49 U.S.C. 21101(5) and 21103. B. Inspecting and maintaining vehicles Employees who— 1. Perform activities related to the diagnosis, inspection, maintenance, adjustment, repair, or overhaul of electrical or mechanical equipment relating to vehicles, including functions performed by mechanics and automotive technicians. 2. Provide cleaning services to vehicles owned, operated, or controlled by an owner/operator regulated under this subchapter. C. Inspecting or maintaining building or transportation infrastructure ..... Employees who— 1. Maintain, install, or inspect communication systems and signal equipment related to the delivery of transportation services. 2. Maintain, install, or inspect track and structures, including, but not limited to, bridges, trestles, and tunnels. 3. Provide cleaning services to stations and terminals owned, operated, or controlled by an owner/operator regulated under this subchapter that are accessible to the general public or passengers. 4. Provide maintenance services to stations, terminals, yards, tunnels, bridges, and operation control centers owned, operated, or controlled by an owner/operator regulated under this subchapter. 5. Employees covered under the Federal hours of service laws as ‘‘signal employees.’’ See 49 U.S.C. 21101(4) and 21104. D. Controlling dispatch or movement of a vehicle ...... Employees who— 1. Dispatch, report, transport, receive or deliver orders pertaining to specific vehicles, coordination of transportation schedules, tracking of vehicles and equipment. 2. Manage day-to-day management delivery of transportation services and the prevention of, response to, and redress of service disrup- tions. 3. Supervise the activities of train crews, car movements, and switch- ing operations in a yard or terminal. 4. Dispatch, direct, or control the movement of trains or buses. 5. Operate or supervise the operations of moveable bridges. 6. Employees covered under the Federal hours of service laws as ‘‘dispatching service employees.’’ See 49 U.S.C. 21101(2) and 21105. E. Providing security of the owner/operator’s equipment and property ... Employees who— 1. Provide for the security of PTPR equipment and property, including acting as a police officer.

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Security-sensitive job functions for public transportation and passenger Categories railroads (PTPR)

2. Patrol and inspect property of an owner/operator regulated under this subchapter to protect the property, personnel, passengers and/or cargo. F. Loading or unloading cargo or baggage Employees who load, or oversee loading of, property tendered by or on behalf of a passenger on or off of a portion of a train that will be in- accessible to the passenger while the train is in operation. G. Interacting with travelling public (on board a vehicle or within a Employees who provide services to passengers on-board a train or transportation facility). bus, including collecting tickets or cash for fares, providing informa- tion, and other similar services. Including: 1. On-board food or beverage employees. 2. Functions on behalf of an owner/operator regulated under this sub- chapter that require regular interaction with travelling public within a transportation facility, such as ticket agents. H. Complying with security programs or measures, including those re- 1. Employees who serve as security coordinators designated in quired by Federal law. § 1570.201 of this subchapter, as well as any designated alternates or secondary security coordinators. 2. Employees who— a. Conduct training and testing of employees when the training or test- ing is required by TSA’s security regulations. b. Manage or direct implementation of security plan requirements.

■ 13. Add part 1584 to read as follows: Security-sensitive employee means an to review of the security training employee whose responsibilities for the program. PART 1584—HIGHWAY AND MOTOR owner/operator include one or more of (3) Number, by specific job function CARRIER SECURITY the security-sensitive job functions category identified in Appendix B to Subpart A—General identified in Appendix B to this part this part, of security-sensitive where the security-sensitive function is employees trained or to be trained. Sec. performed in the United States or in (4) Implementation schedule that 1584.1 Scope. 1584.3 Terms used in this part. direct support of the common carriage identifies a specific date by which of persons or property between a place initial and recurrent security training Subpart B—Security Programs in the United States and any place required by § 1570.111 of this 1584.101 Applicability. outside of the United States. subchapter will be completed. 1584.103 [Reserved] (5) Location where training program 1584.105 [Reserved] Subpart B—Security Programs records will be maintained. 1584.107 [Reserved] § 1584.101 Applicability. (6) Curriculum or lesson plan, 1584.109 [Reserved] including learning objectives and 1584.111 [Reserved] The requirements of this subpart 1584.113 Security training program general method of delivery (such as instructor- apply to each OTRB owner/operator led or computer-based training) for each requirements. providing fixed-route service that 1584.115 Security training and knowledge course used to meet the requirements of for security-sensitive employees. originates, travels through, or ends in a § 1584.115 of this part. TSA may request geographic location identified in additional information regarding the Appendix A to Part 1584—Urban Area appendix A to this part. curriculum during the review and Determinations for Over-the-Road Buses § 1584.103 [Reserved] approval process. If recurrent training Appendix B to Part 1584—Security- under § 1570.111 of this subchapter is Sensitive Job Functions For Over-the- § 1584.105 [Reserved] not the same as initial training, a Road Buses curriculum or lesson plan for the § 1584.107 [Reserved] recurrent training will need to be Authority: 49 U.S.C. 114; Pub. L. 110–53 § 1584.109 [Reserved] submitted and approved by TSA. (121 Stat. 266, Aug. 3, 2007) secs. 1501 (6 (7) Plan for ensuring supervision of U.S.C. 1151), 1531 (6 U.S.C. 1181), and 1534 § 1584.111 [Reserved] untrained security-sensitive employees (6 U.S.C. 1184). § 1584.113 Security training program performing functions identified in Subpart A—General general requirements. Appendix B to this part. (8) Plan for notifying employees of § 1584.1 Scope. (a) Security training program changes to security measures that could required. Each owner/operator This part includes requirements for change information provided in identified in § 1584.101 of this part is previously provided training. persons providing transportation by an required to adopt and carry out a over-the-road bus (OTRB). Specific (9) Method(s) for evaluating the security training program under this effectiveness of the security training sections in this part provide detailed subpart. requirements. program in each area required by (b) General requirements. The security § 1584.115 of this part. § 1584.3 Terms used in this part. training program must include the (c) Relation to other training. (1) In addition to the terms in §§ 1500.3, following information: Training conducted by owner/operators 1500.5, and 1503.202 of subchapter A (1) Name of owner/operator. to comply other requirements or and § 1570.3 of subchapter D of this (2) Name, title, telephone number, standards may be combined with and chapter, the following term applies to and email address of the primary used to satisfy elements of the training this part. individual to be contacted with regard requirements in this subpart.

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(2) If the owner/operator submits a (c) Prepare. Each owner/operator sensitive information or take advantage security training program that relies on must ensure that each of its security- of vulnerabilities. pre-existing or previous training sensitive employees with position- or (e) Assess. Each owner/operator must materials to meet the requirements of function-specific responsibilities under ensure that each of its security-sensitive subpart B, the program submitted for the owner/operator’s security program employees has knowledge necessary approval must include an index, have knowledge of how to fulfill those to— organized in the same sequence as the responsibilities in the event of a security (1) Determine whether the item, requirements in this subpart. threat, breach, or incident to ensure— individual, behavior, or situation (d) Submission and Implementation. (1) Employees with responsibility for requires a response as a potential The owner/operator must submit and transportation security equipment and terrorist threat based on the respective implement the security training program systems are aware of their transportation environment; and in accordance with the schedules responsibilities and can verify the (2) Identify appropriate responses identified in §§ 1570.109 and 1570.111 equipment and systems are operating based on observations and context. of this subchapter. and properly maintained; and (f) Respond. Each owner/operator § 1584.115 Security training and (2) Employees with other duties and must ensure that each of its security- knowledge for security-sensitive responsibilities under the company’s sensitive employees has knowledge of employees. security plans and/or programs, how to— (a) Training required for security- including those required by Federal law, (1) Appropriately report a security sensitive employees. No owner/operator know their assignments and the steps or threat, including knowing how and required to have a security training resources needed to fulfill them. when to report internally to other program under § 1584.101 of this part (d) Observe. Each owner/operator employees, supervisors, or management, may use a security-sensitive employee must ensure that each of its security- and externally to local, state, or Federal to perform a function identified in sensitive employees has knowledge of agencies according to the owner/ Appendix B to this part unless that the observational skills necessary to operator’s security procedures or other individual has received training as part recognize— relevant plans; of a security training program approved (1) Suspicious and/or dangerous items (2) Interact with the public and first by TSA under 49 CFR part 1570, subpart (such as substances, packages, or responders at the scene of the threat or B, or is under the direct supervision of conditions (for example, characteristics incident, including communication an employee who has received the of an IED and signs of equipment with passengers on evacuation and any training required by this section as tampering or sabotage); specific procedures for individuals with applicable to that security-sensitive (2) Combinations of actions and disabilities and the elderly; and individual behaviors that appear function. (3) Use any applicable self-defense (b) Limits on use of untrained suspicious and/or dangerous, devices or other protective equipment employees. Notwithstanding paragraph inappropriate, inconsistent, or out of the provided to employees by the owner/ (a) of this section, a security-sensitive ordinary for the employee’s work operator. employee may not perform a security- environment, which could indicate a sensitive function for more than sixty threat to transportation security; and Appendix A to Part 1584—Urban Area (60) calendar days without receiving (3) How a terrorist or someone with Determinations for Over-the-Road security training. malicious intent may attempt to gain Buses

State Urban area Geographic areas

CA Anaheim/Los Angeles/Long Beach/ Los Angeles and Orange Counties. Santa Ana Areas. San Diego Area ...... San Diego County. San Francisco Bay Area ...... Alameda, Contra Costa, Marin, San Francisco, and San Mateo Counties. DC (VA, MD, National Capital Region ...... District of Columbia; Counties of Calvert, Charles, Frederick, Montgomery, and Prince and WV). George’s, MD; Counties of Arlington, Clarke, Fairfax, Fauquier, Loudoun, Prince Wil- liam, Spotsylvania, Stafford, and Warren County, VA; Cities of Alexandria, Fairfax, Falls Church, Fredericksburg, Manassas, and Manassas Park City, VA; Jefferson County, WV. IL/IN Chicago Area ...... Counties of Cook, DeKalb, DuPage, Grundy, Kane, Kendall, Lake, McHenry, and Will, IL; Counties of Jasper, Lake, Newton, and Porter, IN; Kenosha County, WI. MA Boston Area ...... Counties of Essex, Norfolk, Plymouth, Suffolk, Middlesex, MA; Counties of Rockingham and Strafford, NH. NY (NJ and New York City/Jersey City/Newark Counties of Bronx, Kings, Nassau, New York, Putnam, Queens, Richmond, Rockland, PA). Area. Suffolk, and Westchester, NY; Counties of Bergen, Essex, Hudson, Hunterdon, Ocean, Middlesex, Monmouth, Morris, Passaic, Somerset, Sussex, and Union, NJ; Pike Coun- ty, PA. PA (DE and Philadelphia Area/Southern New Counties of Burlington, Camden, and Gloucester, NJ; Counties of Bucks, Chester, Dela- NJ). Jersey Area. ware, Montgomery, and Philadelphia, PA; New Castle County, DE; Cecil County, MD; Salem County, NJ. TX Dallas Fort Worth/Arlington Area .... Collin, Dallas, Delta, Denton, Ellis, Hunt, Kaufman, Rockwall, Johnson, Parker, Tarrant, and Wise Counties, TX. Houston Area ...... Austin, Brazoria, Chambers, Fort Bend, Galveston, Harris, Liberty, Montgomery, San Jacinto, and Waller Counties, TX.

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Appendix B to Part 1584—Security- regulated under this part. All employees Sensitive Job Functions for Over-the- performing security-sensitive functions Road Buses are ‘‘security-sensitive employees’’ for This table identifies security-sensitive purposes of this rule and must be job functions for owner/operators trained.

Categories Security-sensitive job functions for over-the-road buses

A. Operating a vehicle Employees who have a CDL and operate an OTRB. B. Inspecting and maintaining vehicles ...... Employees who— 1. Perform activities related to the diagnosis, inspection, maintenance, adjustment, repair, or overhaul of electrical or mechanical equipment relating to vehicles, including functions per- formed by mechanics and automotive technicians. 2. Does not include cleaning or janitorial activities. C. Inspecting or maintaining building or trans- Employees who— portation infrastructure. 1. Provide cleaning services to areas of facilities owned, operated, or controlled by an owner/ operator regulated under this subchapter that are accessible to the general public or pas- sengers. 2. Provide cleaning services to vehicles owned, operated, or controlled by an owner/operator regulated under this part (does not include vehicle maintenance). 3. Provide general building maintenance services to buildings owned, operated, or controlled by an owner/operator regulated under this part. D. Controlling dispatch or movement of a vehi- Employees who— cle. 1. Dispatch, report, transport, receive or deliver orders pertaining to specific vehicles, coordi- nation of transportation schedules, tracking of vehicles and equipment. 2. Manage day-to-day delivery of transportation services and the prevention of, response to, and redress of disruptions to these services. 3. Perform tasks requiring access to or knowledge of specific route information. E. Providing security of the owner/operator’s Employees who patrol and inspect property of an owner/operator regulated under this part to equipment and property. protect the property, personnel, passengers and/or cargo. F. Loading or unloading cargo or baggage ...... Employees who load, or oversee loading of, property tendered by or on behalf of a passenger on or off of a portion of a bus that will be inaccessible to the passenger while the vehicle is in operation. G. Interacting with travelling public (on board a Employees who— vehicle or within a transportation facility). 1. Provide services to passengers on-board a bus, including collecting tickets or cash for fares, providing information, and other similar services. 2. Includes food or beverage employees, tour guides, and functions on behalf of an owner/op- erator regulated under this part that require regular interaction with travelling public within a transportation facility, such as ticket agents. H. Complying with security programs or meas- 1. Employees who serve as security coordinators designated in § 1570.201 of this subchapter, ures, including those required by Federal law. as well as any designated alternates or secondary security coordinators. 2. Employees who— a. Conduct training and testing of employees when the training or testing is required by TSA’s security regulations. b. Manage or direct implementation of security plan requirements.

Dated: February 28, 2020. David P. Pekoske, Administrator. [FR Doc. 2020–05126 Filed 3–20–20; 8:45 am] BILLING CODE 9110–05–P

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Reader Aids Federal Register Vol. 85, No. 56 Monday, March 23, 2020

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING MARCH

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. 210...... 16273 Presidential Documents 3 CFR 215...... 16273 Proclamations: Executive orders and proclamations 741–6000 220...... 16273 9988...... 12715 The United States Government Manual 741–6000 226...... 16273 9989...... 12717 235...... 16273 Other Services 9990...... 12719 271...... 15304 9991...... 12721 Electronic and on-line services (voice) 741–6020 273...... 15304 Privacy Act Compilation 741–6050 9992...... 12855 9993...... 15045 319...... 12441 9994...... 15337 331...... 15078 ELECTRONIC RESEARCH 9995...... 15339 930...... 16273 9996...... 15341 932...... 12757 World Wide Web 9997...... 15345 959...... 15743 Full text of the daily Federal Register, CFR and other publications Executive Orders: 9 CFR 13907...... 12977 is located at: www.govinfo.gov. Proposed Rules: 13908...... 12983 121...... 15078 Federal Register information and research tools, including Public 13909...... 16227 Inspection List and electronic text are located at: Administrative Orders: 10 CFR www.federalregister.gov. Memorandums: 34...... 15347 E-mail Memorandum of 36...... 15347 February 21, 2020 ...... 13717 39...... 15347 FEDREGTOC (Daily Federal Register Table of Contents Electronic Memorandum of March 50...... 14736 Mailing List) is an open e-mail service that provides subscribers 3, 2020 ...... 13469 72...... 12861 with a digital form of the Federal Register Table of Contents. The Memorandum of March 1004...... 14756 digital form of the Federal Register Table of Contents includes 11, 2020 ...... 15049 HTML and PDF links to the full text of each document. Memorandum of March Proposed Rules: 13, 2020 ...... 15335 Ch. I...... 13076, 16278 To join or leave, go to https://public.govdelivery.com/accounts/ 34...... 15395 USGPOOFR/subscriber/new, enter your email address, then Notices: Notice of March 4, 36...... 15395 follow the instructions to join, leave, or manage your 39...... 15395 subscription. 2020 ...... 12981 Notice of March 5, 50...... 12442 PENS (Public Law Electronic Notification Service) is an e-mail 2020 ...... 13473 12 CFR service that notifies subscribers of recently enacted laws. Order of March 6, Ch. X...... 15917 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 2020 ...... 13719 3...... 15909, 16232 and select Join or leave the list (or change settings); then follow 5 CFR 201...... 13723 the instructions. 1201...... 12723 204...... 13724 FEDREGTOC and PENS are mailing lists only. We cannot 1630...... 12431 225...... 12398, 14772 respond to specific inquiries. 1632...... 12431 217 ...... 15576, 15909, 16232 Reference questions. Send questions and comments about the 1650...... 12431 225...... 15576 Federal Register system to: [email protected] 8301...... 12859 238...... 12398, 14772 252...... 15576 The Federal Register staff cannot interpret specific documents or Proposed Rules: 2429...... 15742 324...... 15909, 16232 regulations. 360...... 12724 6 CFR 365...... 15916 FEDERAL REGISTER PAGES AND DATE, MARCH 5...... 14733, 14734 Proposed Rules: Proposed Rules: 701...... 13982 12207–12430...... 2 5 ...... 13831, 14174, 14176, 702...... 13982 12431–12714...... 3 14805 709...... 13982 12715–12858...... 4 741...... 13982 12859–12982...... 5 7 CFR 1006...... 12672 12983–13474...... 6 357...... 12207 13 CFR 13475–13718...... 9 920...... 12860 13719–14142...... 10 944...... 12985 107...... 13725 14143–14392...... 11 980...... 12985 120...... 13725, 14772 14393–14558...... 12 999...... 12985 123...... 12862 1216...... 16229 134...... 14772 14559–14732...... 13 1412...... 16231 142...... 13725 14733–15050...... 16 1437...... 12213, 16231 146...... 13725 15051–15334...... 17 1464...... 15051 Proposed Rules: 15335–15712...... 18 1738...... 14393 109...... 12875 15713–15908...... 19 1739...... 14393 15909–16226...... 20 Proposed Rules: 14 CFR 16227–16518...... 23 51...... 13833 25...... 12864, 14559

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39 ...... 13475, 13477, 13727, 1107...... 13840 1979...... 13086 3025...... 13054 14143, 14409, 14411, 14413, 1114...... 13840 1980...... 13086 Proposed Rules: 14559, 14562, 14784,14786, 1301...... 14810, 16292 1981...... 13086 3050...... 13601 14789, 14792, 15052, 15054, 1318...... 16292 1982...... 13086 15056, 15919, 15922, 15924, 1983...... 13086 40 CFR 22 CFR 15926, 15930, 15933, 15936, 1984...... 13086 9...... 15952 15938, 15940, 15943, 15946, 171...... 13482 1985...... 13086 31...... 12224 16237 Proposed Rules: 1986...... 13086 49...... 15729 71 ...... 12432, 12434, 12435, 171...... 13104 1987...... 13086 52 ...... 12874, 13055, 13057, 12437, 12865, 12997, 12998, 1988...... 13086 13748, 13755, 14145, 14147, 12999, 13001, 13479, 13481, 24 CFR 14418, 14420, 14578, 15071, 30 CFR 13731, 13732 28...... 13041 15074, 15076, 15959 95...... 13003 30...... 13041 250...... 12733 62...... 16270 97 ...... 12865, 12867, 16240, 87...... 13041 913...... 12735 63 ...... 13524, 14526, 15608, 16243 180...... 13041 948...... 12739 15960 1241...... 15352 3282...... 13041 82...... 14150, 15258 31 CFR Proposed Rules: Proposed Rules: 180 ...... 13059, 13546, 13548, 25...... 12227, 12230 100...... 14605 150...... 15378 15387 39 ...... 13578, 13581, 13583, 210...... 15715 710...... 13062 14178, 14180, 14423, 14807, 26 CFR 591...... 14572 721...... 15952 15079, 16008, 16011, 16014, 1 ...... 13045, 13483, 15060, 595...... 13746 725...... 13760 16016, 16019, 16279, 16281, 15061, 15949, 16245 Proposed Rules: Proposed Rules: 16284 300...... 14567 800...... 13586, 14837 30...... 15396 71 ...... 12449, 13079, 13080, 802...... 13586, 14837 Proposed Rules: 52 ...... 12232, 12241, 12876, 14427, 14809, 16287, 16289 12877, 12882, 13602, 14442, 1...... 13118 32 CFR 15 CFR 14605, 14606, 14608, 14843, 28 CFR 199...... 15061 14844, 14847, 16021, 16027, 740...... 13009 233...... 13045 28...... 13483 16029, 16038, 16309 744...... 14416, 14794 269...... 13047 62...... 14621 762...... 14416 29 CFR 329...... 15066 81...... 14608, 16038 902...... 15948 141...... 14098 2...... 13024 Proposed Rules: 33 CFR 171...... 12244 7...... 13024 744...... 14428 100...... 13747, 15382 180...... 12454 8...... 13024 105...... 13493 228...... 14622 16 CFR 10...... 13024 117 ...... 13517, 15066, 15067 257...... 12456 13...... 13024 Proposed Rules: 165 ...... 12439, 13049, 13520, 721...... 12479, 15406 18...... 13024 314...... 13082 14574, 14576, 14799, 15069, 725...... 15406 24...... 13024 15384, 15721, 15724, 15727, 17 CFR 29...... 13024, 14294 16267 41 CFR 30...... 15359 38...... 13024 401...... 15949 50-203...... 13024 200...... 12221 96...... 13024 402...... 15951 60-30...... 13024 275...... 13734 403...... 13414 417...... 13024 Proposed Rules: Proposed Rules: 18 CFR 471...... 13024 100 ...... 13595, 13598, 14837, 50-203...... 13086 15745 35...... 13009, 13012 501...... 13024 60-30...... 13086 127...... 12451 157...... 15713 580...... 13024 102-81...... 12489 1601...... 15734 165 ...... 12452, 13598, 13841, 42 CFR 19 CFR 1978...... 13024 14840, 15082, 15749 12...... 15363 1979...... 13024 209...... 16307 Proposed Rules: 73...... 15087 Ch. I...... 12731, 15059, 15714 1980...... 13024 34 CFR 1981...... 13024 20 CFR 1982...... 13024 300...... 13523 44 CFR 641...... 13024 1983...... 13024 361...... 13523 67...... 16270 655...... 13024 1984...... 13024 363...... 13523 656...... 13024 1985...... 13024 367...... 13523 47 CFR 658...... 13024 1986...... 13024 370...... 13523 0...... 12747 667...... 13024 1987...... 13024 381...... 13523 1...... 12747 683...... 13024 1988...... 13024 Proposed Rules: 4...... 15733 702...... 13024 4022...... 15376 Ch. III ...... 16307 20...... 12747 4044...... 15376 36...... 12747 Proposed Rules: 37 CFR 641...... 13086 Proposed Rules: 51...... 12747 655...... 13086 2...... 13086 1...... 12222 54 ...... 12747, 13773, 15741, 656...... 13086 7...... 13086 380...... 12745 15982 658...... 13086 8...... 13086 Proposed Rules: 61...... 12747 667...... 13086 10...... 13086 201...... 12704, 16021 64...... 12747 683...... 13086 13...... 13086 202...... 12704, 16021 69...... 12747 702...... 13086 18...... 13086 74...... 15999 38 CFR 24...... 13086 76...... 13069, 15999 21 CFR 29...... 13086 9...... 14800 Proposed Rules: 573...... 14565 38...... 13086 17...... 13052 Ch. I ...... 14869 882...... 13312 96...... 13086 Proposed Rules: 1...... 15092 895...... 13312 417...... 13086 17...... 14429 2...... 13119 1141...... 15638, 15710 471...... 13086 71...... 13356 9...... 13843 1308...... 13741 501...... 13086 20...... 13119 Proposed Rules: 580...... 13086 39 CFR 54...... 15092 1100...... 13840 1978...... 13086 501...... 12870 68...... 13119

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49 CFR 1582...... 16456 300...... 14586 15076, 15392, 15393, 16271, 270...... 12826 1584...... 16456 600...... 15391 16272 271...... 12826 Ch. XII .....12731, 15059, 15714 622 ...... 13070, 14171, 14602, Proposed Rules: 1039...... 12749 Proposed Rules: 16006 17...... 13844 1500...... 16456 299...... 14036, 14449 635...... 14802 20...... 15870 1520...... 16456 648 ...... 13071, 13074, 13552 648...... 13603 50 CFR 1570...... 16456 679 ...... 13553, 13576, 13577, 679...... 13618, 16310 1580...... 16456 216...... 15948 13802, 14172, 14603, 14803,

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in ‘‘slip law’’ (individual H.R. 6201/P.L. 116–127 subscribe, go to https:// pamphlet) form from the Families First Coronavirus listserv.gsa.gov/cgi-bin/ LIST OF PUBLIC LAWS Superintendent of Documents, Response Act (Mar. 18, 2020; wa.exe?SUBED1=PUBLAWS- U.S. Government Publishing This is a continuing list of 134 Stat. 178) L&A=1 Office, Washington, DC 20402 public bills from the current Last List March 16, 2020 (phone, 202–512–1808). The session of Congress which Note: This service is strictly have become Federal laws. text will also be made available at https:// Public Laws Electronic for email notification of new This list is also available laws. The text of laws is not online at https:// www.govinfo.gov. Some laws Notification Service www.archives.gov/federal- may not yet be available. (PENS) available through this service. register/laws. PENS cannot respond to H.R. 5214/P.L. 116–126 specific inquiries sent to this The text of laws is not Representative Payee Fraud PENS is a free email address. published in the Federal Prevention Act of 2019 (Mar. notification service of newly Register but may be ordered 18, 2020; 134 Stat. 174) enacted public laws. To

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