Vol. 83 Tuesday, No. 205 October 23, 2018

Pages 53363–53562

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 83, No. 205

Tuesday, October 23, 2018

Agricultural Marketing Service See Industry and Security Bureau RULES See International Trade Administration Soybean Promotion and Research: See National Oceanic and Atmospheric Administration Adjustment of Representation on the United Soybean Board, 53365–53366 PROPOSED RULES Commodity Futures Trading Commission Raisins Produced from Grapes Grown in California: NOTICES Increased Assessment Rate, 53402–53404 Meetings; Sunshine Act, 53455

Agriculture Department Consumer Product Safety Commission See Agricultural Marketing Service RULES See Forest Service Revisions to Safety Standard for Infant Bath Tubs, 53371– NOTICES 53375 Agency Information Collection Activities; Proposals, Submissions, and Approvals, 53442–53443 Defense Department Antitrust Division See Army Department NOTICES See Navy Department Changes under the National Cooperative Research and PROPOSED RULES Production Act: Federal Acquisition Regulations: Information Warfare Research Project Consortium, 53499– Evaluation Factors for Multiple-Award Contracts; 53500 Correction, 53421–53422

Army Department Employee Benefits Security Administration PROPOSED RULES PROPOSED RULES Army Cemeteries, 53412–53420 Definition of ‘‘Employer’’ under Employee Retirement NOTICES Income Security Act—Association Retirement Plans Meetings: and Other Multiple-Employer Plans, 53458–53485 Army Education Advisory Committee, 53456 NOTICES Agency Information Collection Activities; Proposals, Census Bureau Submissions, and Approvals, 53500–53506 NOTICES Meetings: Census Scientific Advisory Committee, 53446–53447 Energy Department See Federal Energy Regulatory Commission Centers for Medicare & Medicaid Services NOTICES NOTICES Energy Conservation Program: Agency Information Collection Activities; Proposals, Decision and Order Granting Waiver to HH Technologies Submissions, and Approvals, 53474–53476 from Department of Energy Walk-in Cooler and Walk–in Freezer Doors Test Procedure, 53457–53460 Civil Rights Commission Decision and Order Granting Waiver to Jamison Door Co. NOTICES from Department of Energy Walk-in Cooler and Meetings: Walk-in Freezer Doors Test Procedure, 53460–53462 Alaska Advisory Committee, 53446 Connecticut Advisory Committee; Correction, 53446 Environmental Protection Agency Delaware Advisory Committee, 53445–53446 NOTICES New Jersey Advisory Committee, 53445 Integrated Science Assessment for Particulate Matter (External Review Draft), 53471–53472 Coast Guard Meetings: RULES Webinar Workshop to Review Initial Draft Materials for Drawbridge Operations: Ozone Integrated Science Assessment for Health and Bonfouca Bayou, Slidell, LA, 53376 Welfare Effects, 53472–53473 Hood Canal, Port Gamble, WA, 53376–53377 Steamboat Slough (Snohomish River), Marysville, WA, 53375–53376 Federal Accounting Standards Advisory Board NOTICES NOTICES Meetings: Exposure Drafts: Commercial Fishing Safety Advisory Committee, 53494– Interpretation, Guidance on Recognizing Liabilities 53495 Involving Multiple Component Reporting Entities, 53473–53474 Commerce Department Proposed Statement of Federal Financial Accounting See Census Bureau Concepts, Materiality, 53473

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Federal Aviation Administration Registration and Product Listing for Owners and RULES Operators of Domestic Tobacco Product Airworthiness Directives: Establishments and Listing of Ingredients in Tobacco Bell Helicopter Textron Canada Limited Helicopters, Products, 53478–53481 53366–53368 Determinations of Regulatory Review Periods for Purposes Honda Aircraft Company LLC, 53368–53371 of Patent Extensions: PROPOSED RULES NUPLAZID, 53481–53483 Airworthiness Directives: Fostering Medical Innovation: Pacific Aerospace Limited Airplanes, 53407–53411 Voluntary Pilot Program to Streamline Review of The Boeing Company Airplanes, 53404–53407 Premarket Notification Submissions for Ophthalmic Optical Coherence Tomography Devices, 53483– Federal Communications Commission 53485 RULES Investigations; Determinations, Modifications, and Rulings, Toll Free Assignment Modernization; Toll Free Service etc.: Access Codes, 53377–53396 SILIQ, 53476–53478 PROPOSED RULES Pleading Cycle Established for Petitions for Reconsideration Forest Service of Performance Measures Order, 53420–53421 NOTICES Environmental Impact Statements; Availability, etc.: Big Rock Project: Monongahela National Forest, WV; Federal Energy Regulatory Commission Withdrawal, 53444–53445 NOTICES Mid-Swan Landscape Restoration and Wildland Urban Agency Information Collection Activities; Proposals, Interface Fuels Project: Flathead National Forest, MT, Submissions, and Approvals, 53464 53443–53444 Applications: Northern Natural Gas Co., 53469–53470 General Services Administration PacifiCorp, 53462–53463 PROPOSED RULES Combined Filings, 53470–53471 Federal Acquisition Regulations: Complaints: Evaluation Factors for Multiple-Award Contracts; Phillips 66 Co. v. Colonial Pipeline Co., 53467 Correction, 53421–53422 Environmental Assessments; Availability, etc.: Columbia Gas Transmission, LLC; Line KA1 North Health and Human Services Department Launcher/Receiver Project, 53468 See Centers for Medicare & Medicaid Services Environmental Reviews: See Food and Drug Administration Sendero Carlsbad Gateway, LLC; Gateway Project, 53467– See Health Resources and Services Administration 53468 See National Institutes of Health Exemption Transfers: See Substance Abuse and Mental Health Services Harrisburg Authority; Capital Region Water, 53470 Administration Initial Market-Based Rate Filings Including Requests for Blanket Section 204 Authorizations: Health Resources and Services Administration Innovative Solar 54, LLC, 53465 NOTICES Innovative Solar 67, LLC, 53468–53469 Agency Information Collection Activities; Proposals, Techren Solar I, LLC, 53466 Submissions, and Approvals: License Applications: Children’s Graduate Medical Education Quality Bonus Pyrites Hydroelectric Project, 53465–53466 System Initiative Response Form, 53487–53488 Petitions for Declaratory Orders: EnLink Delaware Crude Pipeline, LLC, 53466–53467 Homeland Security Department EPIC Crude Pipeline, LP, 53464–53465 See Coast Guard Industry and Security Bureau Federal Reserve System PROPOSED RULES NOTICES Foreign Disposition of Certain Commodities, 53411–53412 Formations of, Acquisitions by, and Mergers of Bank NOTICES Holding Companies, 53474 Meetings: Materials Technical Advisory Committee, 53447 Fish and Wildlife Service Regulations and Procedures Technical Advisory NOTICES Committee, 53447–53448 Endangered and Threatened Species: Interior Department Initiation of 5-Year Status Review of Wood Bison, 53495– See Fish and Wildlife Service 53496 See Land Management Bureau Receipt of Recovery Permit Application, 53496–53497 Internal Revenue Service Food and Drug Administration NOTICES NOTICES Agency Information Collection Activities; Proposals, Agency Information Collection Activities; Proposals, Submissions, and Approvals, 53530–53532 Submissions, and Approvals: Agency Information Collection Activities; Proposals, National Panel of Tobacco Consumer Studies, 53485– Submissions, and Approvals: 53487 Revenue Procedure 2015–13, 53530–53531

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Meetings: National Institutes of Health Taxpayer Advocacy Panel Notices and Correspondence NOTICES Project Committee; Correction, 53532 Government-Owned Inventions; Availability for Licensing, 53489–53490 International Trade Administration Meetings: NOTICES Center for Scientific Review, 53490–53491 Antidumping or Countervailing Duty Investigations, Orders, National Cancer Institute, 53491–53492 or Reviews: National Eye Institute, 53489 Carbon and Alloy Steel Cut-to-Length Plate from National Institute of Diabetes and Digestive and Kidney Germany, 53451 Diseases, 53491 Certain Circular Welded Non-Alloy Steel Pipe from National Institute of Neurological Disorders and Stroke, Mexico, 53451–53452 53488–53489 Certain Circular Welded Non-Alloy Steel Pipe from National Institute on Aging, 53489–53490 Mexico; North American Free Trade Agreement National Oceanic and Atmospheric Administration Binational Panel Review, 53453 RULES Glycine from the People’s Republic of China, 53448– Fisheries of the Northeastern United States: 53449 Summer Flounder Fishery; Quota Transfer, 53399 Steel Wire Garment Hangers from the People’s Republic Pacific Island Pelagic Fisheries: of China, 53449–53450 2018 U.S. Territorial Longline Bigeye Tuna Catch Limits, Determinations of Sales at Less than Fair Value: 53399–53401 Laminated Woven Sacks from Socialist Republic of PROPOSED RULES Vietnam, 53452–53453 List of Fisheries for 2019, 53422–53440 Small-Mesh Multispecies Fishery: International Trade Commission Northeast Multispecies Fishery Management Plan; NOTICES Amendment 22, 53440–53441 Investigations; Determinations, Modifications, and Rulings, NOTICES etc.: Agency Information Collection Activities; Proposals, Certain Semiconductor Lithography Systems and Submissions, and Approvals, 53453–53454 Components Thereof, 53498–53499 Meetings: New England Fishery Management Council, 53454 Justice Department Permits: See Antitrust Division Marine Mammals and Endangered Species, 53454–53455 NOTICES Agency Information Collection Activities; Proposals, National Science Foundation Submissions, and Approvals: NOTICES COPS Extension Request Form, 53500 Meetings: Proposal Review Panel for International Science and Engineering, 53507–53509 Labor Department See Employee Benefits Security Administration Navy Department See Occupational Safety and Health Administration NOTICES NOTICES Performance Review Board Membership, 53456–53457 Senior Executive Service; Appointment of Members to Performance Review Board, 53506 Nuclear Regulatory Commission NOTICES Land Management Bureau Facility Operating and Combined Licenses: NOTICES Applications and Amendments Involving No Significant Meetings: Hazards Considerations; Biweekly Notice, 53509– Southwest Resource Advisory Council, Colorado, 53497– 53520 53498 Hearings: Atomic Safety and Licensing Board Panel; Crow Butte Resources, Inc., 53521–53522 National Aeronautics and Space Administration Meetings: PROPOSED RULES Advisory Committee on Reactor Safeguards, 53520–53521 Federal Acquisition Regulations: Meetings; Sunshine Act, 53521 Evaluation Factors for Multiple-Award Contracts; Correction, 53421–53422 Occupational Safety and Health Administration NOTICES National Highway Traffic Safety Administration Requests for Nominations: RULES National Advisory Committee on Occupational Safety Federal Motor Vehicle Theft Prevention Standard: and Health, 53506–53507 Final Listing of 2017 Light Duty Truck Lines Subject to Requirements of This Standard and Exempted Presidential Documents Vehicle Lines for Model Year 2017, 53396–53399 ADMINISTRATIVE ORDERS NOTICES Child Soldiers Prevention Act of 2008; Presidential Agency Information Collection Activities; Proposals, Determination (Presidential Determination No. 2018–13 Submissions, and Approvals, 53529–53530 of September 28, 2018), 53363

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Securities and Exchange Commission Transportation Department NOTICES See Federal Aviation Administration Meetings; Sunshine Act, 53522, 53524 See National Highway Traffic Safety Administration Self-Regulatory Organizations; Proposed Rule Changes: Cboe EDGX Exchange, Inc., 53522–53524 Treasury Department New York Stock Exchange, LLC, 53524–53527 See Internal Revenue Service

Substance Abuse and Mental Health Services Administration Separate Parts In This Issue

NOTICES Part II Agency Information Collection Activities; Proposals, Submissions, and Approvals, 53492–53494 Labor Department, Employee Benefits Security Administration, 53458–53485 Tennessee Valley Authority NOTICES Meetings: Reader Aids Regional Resource Stewardship Council, 53527 Consult the Reader Aids section at the end of this issue for phone numbers, online resources, finding aids, and notice Trade Representative, Office of United States of recently enacted public laws. NOTICES To subscribe to the Federal Register Table of Contents World Trade Organization Dispute Settlement Proceeding electronic mailing list, go to https://public.govdelivery.com/ Regarding United States: accounts/USGPOOFR/subscriber/new, enter your e-mail Safeguard Measure on Imports of Large Residential address, then follow the instructions to join, leave, or Washers, 53527–53528 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 Administrative Orders: Presidential Determinations: No. 2018–13 of September 28, 2018 ...... 53363 7 CFR 1220...... 53365 Proposed Rules: 989...... 53402 14 CFR 39 (2 documents) ...... 53366, 53368 Proposed Rules: 39 (3 documents) ...... 53404, 53407, 53409 15 CFR Proposed Rules: 740...... 53411 758...... 53411 16 CFR 1234...... 53371 29 CFR Proposed Rules: 2510...... 53534 32 CFR Proposed Rules: 553...... 53412 33 CFR 117 (3 documents) ...... 53375, 53376 47 CFR 52...... 53377 Proposed Rules: 54...... 53420 48 CFR Proposed Rules: 13...... 53421 15...... 53421 16...... 53421 49 CFR 541...... 53396 50 CFR 648...... 53399 655...... 53399 Proposed Rules: 229...... 53422 648...... 53440

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Federal Register Presidential Documents Vol. 83, No. 205

Tuesday, October 23, 2018

Title 3— Presidential Determination No. 2018–13 of September 28, 2018

The President Presidential Determination With Respect to the Child Sol- diers Prevention Act of 2008

Memorandum for the Secretary of State

Pursuant to section 404 of the Child Soldiers Prevention Act of 2008 (22 U.S.C. 2370c–1) (CSPA), I hereby determine as follows: It is in the national interest of the United States to waive the application of the prohibition in section 404(a) of the CSPA with respect to Iraq, Mali, Niger, and Nigeria; to waive the application of the prohibition in section 404(a) of the CSPA with respect to Somalia to allow for the provision of International Military Education and Training assistance, Peacekeeping Operations (PKO) assistance, and support provided pursuant to 10 U.S.C. 333, to the extent the CSPA would restrict such assistance or support; to waive the application of the prohibition in section 404(a) of the CSPA with respect to South Sudan to allow for PKO assistance, to the extent the CSPA would restrict such assistance or support; and to waive the applica- tion of the prohibition in section 404(a) of the CSPA with respect to Yemen to allow for PKO assistance, to the extent the CSPA would restrict such assistance or support. Accordingly, I hereby waive such applications of section 404(a) of the CSPA. You are authorized and directed to submit this determination to the Congress, along with the Memorandum of Justification, and to publish the determina- tion in the Federal Register.

THE WHITE HOUSE, Washington, September 28, 2018

[FR Doc. 2018–23245 Filed 10–22–18; 8:45 am] Billing code 4710–10–P

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Rules and Regulations Federal Register Vol. 83, No. 205

Tuesday, October 23, 2018

This section of the FEDERAL REGISTER policies unless they present an 7 CFR part 1220 were previously contains regulatory documents having general irreconcilable conflict with this rule. approved by OMB and were assigned applicability and legal effect, most of which The Act provides that administrative control number 0581–0093. are keyed to and codified in the Code of proceedings must be exhausted before Federal Regulations, which is published under parties may file suit in court. Under Background and Proposed Changes 50 titles pursuant to 44 U.S.C. 1510. section 1971 of the Act (7 U.S.C. 6306), The Act (7 U.S.C. 6301–6311) The Code of Federal Regulations is sold by a person subject to the Soybean provides for the establishment of a the Superintendent of Documents. Promotion and Research Order (7 CFR coordinated program of promotion and part 1220, subpart A (hereinafter research designed to strengthen the referred to as the Order)) may file a soybean industry’s position in the DEPARTMENT OF AGRICULTURE petition with USDA stating that the marketplace, and to maintain and Order, any provision of the Order, or expand domestic and foreign markets Agricultural Marketing Service any obligation imposed in connection and uses for soybeans and soybean with the Order is not in accordance with products. The program is financed by an 7 CFR Part 1220 the law and request a modification of assessment of 0.5 percent of the net [Doc. No. AMS–LPS–18–0015] the Order or an exemption from the market price of soybeans sold by Order. The petitioner is afforded the producers. Pursuant to the Act, the Soybean Promotion and Research: opportunity for a hearing on the Order, which established an initial Amend the Order To Adjust petition. After a hearing, USDA would Board with 60 members, became Representation on the United Soybean rule on the petition. The Act provides effective July 9, 1991. For purposes of Board that district courts of the United States establishing the Board, the United States in any district in which such person is AGENCY: was divided into 31 States and Agricultural Marketing Service, an inhabitant, or has his or her principal USDA. geographical units. Representation on place of business, have jurisdiction to the Board from each unit was ACTION: Final rule. review USDA’s ruling on the petition if determined by the level of production in SUMMARY: This final rule will adjust the a complaint for this purpose is filed each unit. The initial Board was number of members on the United within 20 days after the date of the entry appointed on July 11, 1991. The Board Soybean Board (Board) to reflect of the ruling. is comprised of soybean producers. changes in production levels that have Regulatory Flexibility Act Section 1220.201(c) of the Order provides that at the end of each 3-year occurred since the Board was last Pursuant to the requirements set forth period, the Board shall review soybean reapportioned in 2015. As required by in the Regulatory Flexibility Act (RFA) production levels in the geographic the Soybean Promotion, Research, and (5 U.S.C. 601–612 et seq.), AMS has units throughout the United States. The Consumer Information Act (Act), considered the economic effect of this Board may recommend to the Secretary membership on the Board is reviewed final rule on small entities and has of Agriculture modifications in the every 3 years and adjustments are made determined that this action does not levels of production necessary to accordingly. This change will result in have a significant economic impact on an increase in Board membership for a substantial number of small determine Board membership for each five States, increasing the total number businesses entities because it only unit. of Board members from 73 to 78. These adjusts representation on the Board to Section 1220.201(d) of the Order changes will be reflected in the Soybean reflect changes in production levels that provides that at the end of each 3-year Promotion and Research Order (Order) have occurred since the Board was last period, the Secretary must review the and would be effective for the 2019 reapportioned in 2015. The purposed of volume of production of each unit and appointment process. RFA is to fit regulatory actions to the adjust the boundaries of any unit and DATES: This rule is effective as of scale of businesses subject to such the number of Board members from November 23, 2018. actions in order that small business will each such unit as necessary to conform FOR FURTHER INFORMATION CONTACT: not be unduly burdened. with the criteria set forth in Mike Dinkel, (202) 720–0633, There are an estimated 515,008 § 1220.201(e): (1) To the extent [email protected]. soybean producers and an estimated practicable, States with annual average SUPPLEMENTARY INFORMATION: 10,000 first purchasers who collect the soybean production of less than 3 assessment, most of whom would be million bushels shall be grouped into Executive Order 12866 considered small businesses under the geographically contiguous units, each of The Office of Management and Budget criteria established by the Small which has a combined production level (OMB) has waived the review process Business Administration (SBA) [13 CFR equal to or greater than 3 million required by Executive Order (E.O.) 121.201]. SBA defines small agricultural bushels, and each such group shall be 12866 for this action. producers as those having annual entitled to at least one member on the receipts of less than $750,000. Board; (2) units with at least 3 million Executive Order 12988 bushels, but fewer than 15 million This final rule was reviewed under Paperwork Reduction Act bushels shall be entitled to one board E.O. 12988, Civil Justice Reform. It is In accordance with the Paperwork member; (3) units with 15 million not intended to have a retroactive effect. Reduction Act of 1995 (44 U.S.C. bushels or more but fewer than 70 This action would not preempt any Chapter 35), the reporting and million bushels shall be entitled to two State or local laws, regulations, or recordkeeping requirements included in Board members; (4) units with 70

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million bushels or more but fewer than each gaining one additional member. in which production was the highest 200 million bushels shall be entitled to The final rule was published in the and in which production was the three Board members; and (5) units with Federal Register (80 FR 63909) on lowest) as reported by USDA’s National 200 million bushels or more shall be October 22, 2015. This change was Agricultural Statistics Service. This entitled to four Board members. effective with the 2016 appointments. change will not affect the number of The Board was last reapportioned in This final rule will increase total geographical units. 2015. The total Board membership membership on the Board from 73 to 78, increased from 70 to 73 members, with based on production data for years This final rule will adjust Missouri, New Jersey, and Wisconsin 2013–2017 (excluding the crops in years representation on the Board as follows:

Current Proposed State representation representation

Alabama ...... 1 2 Kentucky ...... 2 3 North Dakota ...... 3 4 South Dakota ...... 3 4 Tennessee ...... 2 3

Board adjustments will become Number DEPARTMENT OF TRANSPORTATION effective with the 2019 appointment Unit of process. members Federal Aviation Administration

Comments Kentucky ...... 3 14 CFR Part 39 A proposed rule was published in the Kansas ...... 3 [Docket No. FAA–2018–0254; Product Federal Register (83 FR 31477) on July Arkansas ...... 3 Virginia ...... 2 Identifier 2017–SW–116–AD; Amendment 6, 2018, with a 60-day comment period. 39–19473; AD 2018–21–15] USDA received no comments. Pennsylvania ...... 2 North Carolina ...... 2 RIN 2120–AA64 List of Subjects in 7 CFR Part 1220 Maryland ...... 2 Administrative practice and Louisiana ...... 2 Airworthiness Directives; Bell procedure, Advertising, Agricultural Alabama ...... 2 Helicopter Textron Canada Limited research, Reporting and recordkeeping Texas ...... 1 Helicopters requirements, Soybeans. South Carolina ...... 1 Oklahoma ...... 1 AGENCY: Federal Aviation For the reasons set forth in the New York ...... 1 Administration (FAA), DOT. preamble, 7 CFR part 1220 is amended New Jersey ...... 1 ACTION: Final rule. as follows: Georgia ...... 1 SUMMARY: We are superseding Delaware ...... 1 Airworthiness Directive (AD) 2017–13– PART 1220—SOYBEAN PROMOTION, Eastern Region (Connecticut, RESEARCH, AND CONSUMER Florida, Maine, Massachusetts, 03 for Bell Helicopter Textron Canada INFORMATION New Hampshire, Rhode Island, Limited (Bell) Model 429 helicopters. Vermont, West Virginia, District AD 2017–13–03 required adding an ■ 1. The authority citation for 7 CFR of Columbia, and Puerto Rico) 1 identification number to life-limited rod part 1220 continues to read as follows: Western Region (Alaska, Arizona, ends that do not have a serial number Authority: 7 U.S.C. 6301–6311 and 7 California, Colorado, Hawaii, (S/N). Since we issued AD 2017–13–03, U.S.C. 7401. Idaho, Montana, Nevada, New an additional life-limited rod end was Mexico, Oregon, Utah, Wash- identified that is affected by the same ■ 2. In § 1220.201, the table in ington, and Wyoming ...... 1 paragraph (a) is revised to read as unsafe condition. This new AD retains follows: the requirements of AD 2017–13–03 and * * * * * revises the Applicability paragraph by § 1220.201 Membership of board. Dated: October 17, 2018. adding that rod end. The actions of this (a) * * * Bruce Summers, AD are intended to address an unsafe condition on these products. Administrator. Number DATES: [FR Doc. 2018–23090 Filed 10–22–18; 8:45 am] This AD is effective November Unit of 27, 2018. members BILLING CODE 3410–02–P The Director of the Federal Register South Dakota ...... 4 approved the incorporation by reference Ohio ...... 4 of a certain publication listed in this AD North Dakota ...... 4 as of July 27, 2017 (82 FR 28397, June Nebraska ...... 4 22, 2017). Missouri ...... 4 ADDRESSES: For service information Minnesota ...... 4 identified in this final rule, contact Bell Iowa ...... 4 Indiana ...... 4 Helicopter Textron Canada Limited, Illinois ...... 4 12,800 Rue de l’Avenir, Mirabel, Quebec Wisconsin ...... 3 J7J1R4; telephone (450) 437–2862 or Tennessee ...... 3 (800) 363–8023; fax (450) 433–0272; or Mississippi ...... 3 at http://www.bellcustomer.com/files/. Michigan ...... 3 You may review this referenced service

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information at the FAA, Office of the Transport Canada further states that course of business or by the means Regional Counsel, Southwest Region, spring assembly rod end P/Ns 427–010– identified in the ADDRESSES section. 10101 Hillwood Pkwy., Room 6N–321, 210–105 and –109 have a life limit of Other Related Service Information Fort Worth, TX 76177. It is also 5,000 hours; however, they are not available on the internet at http:// serialized, causing difficulties in We also reviewed Bell Helicopter www.regulations.gov by searching for tracking accumulated air time. Maintenance Manual BHT–429–MM–1, and locating Docket No. FAA–2018– According to Transport Canada, this Chapter 4, Airworthiness Limitations 0254. condition could result in a rod end Schedule, Revision 26, approved remaining in service beyond its life September 9, 2016, which specifies Examining the AD Docket limit. Therefore, the Transport Canada airworthiness life limits and inspection You may examine the AD docket on AD requires adding identification intervals for parts installed on Model the internet at http:// markings on each spring assembly rod 429 helicopters. www.regulations.gov in Docket No. end. Costs of Compliance FAA–2018–0254; or in person at Docket Accordingly, the NPRM proposed to Operations between 9 a.m. and 5 p.m., continue to retain the requirements of We estimate that this AD affects 75 Monday through Friday, except Federal AD 2017–13–03 and revise the helicopters of U.S. Registry. We estimate holidays. The AD docket contains this Applicability paragraph by adding aft that operators may incur the following AD, the Transport Canada AD, any rod end P/N 427–010–210–109 since it costs in order to comply with this AD. incorporated-by-reference service is also affected by the same unsafe Marking the rod ends takes about 0.5 information, the economic evaluation, condition. The proposed requirements work-hour for an estimated cost of $43 any comments received, and other were intended to prevent a rod end from per helicopter and $3,225 for the U.S. information. The address for Docket remaining in service after reaching its fleet. Replacing a rod end that has Operations (phone: 800–647–5527) is life limit, which could result in failure exceeded its life limit takes about 3 Docket Operations, U.S. Department of of the rod end and subsequent loss of work-hours and required parts cost Transportation, Docket Operations, M– control of a helicopter. about $4,100 for an estimated cost of 30, West Building Ground Floor, Room $4,355 per rod end. Comments W12–140, 1200 New Jersey Avenue SE, Authority for This Rulemaking Washington, DC 20590. After our NPRM was published, we Title 49 of the United States Code FOR FURTHER INFORMATION CONTACT: Matt received a comment from one commenter. specifies the FAA’s authority to issue Fuller, Senior Aviation Safety Engineer, rules on aviation safety. Subtitle I, Safety Management Section, Rotorcraft Request Section 106, describes the authority of Standards Branch, FAA, 10101 Bell noted a typographical error in the the FAA Administrator. Subtitle VII, Hillwood Pkwy., Fort Worth, TX 76177; ‘‘Actions Since AD 2017–13–03 Was Aviation Programs, describes in more telephone (817) 222–5110; email Issued’’ section of the preamble, which detail the scope of the Agency’s [email protected]. incorrectly referred to rod end P/N 427– authority. SUPPLEMENTARY INFORMATION: 010–210–105 instead of P/N 427–010– We are issuing this rulemaking under Discussion 210–109. the authority described in Subtitle VII, We agree with the comment. Part A, Subpart III, Section 44701, We issued a notice of proposed However, since the text with the error ‘‘General requirements.’’ Under that rulemaking (NPRM) to amend 14 CFR is not restated in the preamble of this section, Congress charges the FAA with part 39 to remove AD 2017–13–03, Final Rule, no change is necessary. promoting safe flight of civil aircraft in Amendment 39–18933 (82 FR 28397, air commerce by prescribing regulations June 22, 2017) (AD 2017–13–03) and FAA’s Determination for practices, methods, and procedures add a new AD. AD 2017–13–03 applied We have reviewed the relevant the Administrator finds necessary for to Bell Model 429 helicopters, S/N information and determined that an safety in air commerce. This regulation 57001 through 57260, with a pylon unsafe condition exists and is likely to is within the scope of that authority restraint spring assembly (spring exist or develop on other helicopters of because it addresses an unsafe condition assembly) forward rod end assembly the same type design and that air safety that is likely to exist or develop on (rod end) part number (P/N) 427–010– and the public interest require adopting products identified in this rulemaking 210–105 installed. AD 2017–13–03 the AD requirements as proposed. action. required cleaning and marking each forward rod end with the S/N of the Related Service Information Under 1 Regulatory Findings spring assembly. AD 2017–13–03 also CFR Part 51 We have determined that this AD will prohibited the installation of forward We reviewed Bell Helicopter Alert not have federalism implications under rod end P/N 427–010–210–105 on any Service Bulletin 429–15–19, dated Executive Order 13132. This AD will helicopter unless it had been marked. February 26, 2015, for Model 429 not have a substantial direct effect on The NPRM published in the Federal helicopters. This service information the States, on the relationship between Register on April 5, 2018 (83 FR 14606). specifies procedures for permanently the national government and the States, The NPRM was prompted by AD No. marking each forward and aft rod end or on the distribution of power and CF–2015–15R1, Revision 1, dated July with the S/N of the spring assembly. responsibilities among the various 28, 2017, issued by Transport Canada, This service information applies to levels of government. which is the Technical Agent for the certain serial-numbered helicopters, as For the reasons discussed above, I Member States of Canada, to correct an subsequent helicopters will have these certify that this AD: unsafe condition for Bell Model 429 actions performed during the (1) Is not a ‘‘significant regulatory helicopters, S/Ns 57001 through 57260. manufacturing process. action’’ under Executive Order 12866, Transport Canada advises that, per its This service information is reasonably (2) Is not a ‘‘significant rule’’ under regulations, life-limited parts must be available because the interested parties DOT Regulatory Policies and Procedures marked with their P/N and S/N. have access to it through their normal (44 FR 11034, February 26, 1979),

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(3) Will not affect intrastate aviation the Accomplishment Instructions, paragraphs 433–0272; or at http:// in Alaska to the extent that a regulatory 3. through 8., of Bell Helicopter Alert Service www.bellcustomer.com/files/. distinction is required, and Bulletin 429–15–19, dated February 26, 2015. (5) You may view this service information (4) Will not have a significant (2) Do not install a forward rod end P/N at FAA, Office of the Regional Counsel, 427–010–210–105 or an aft rod end P/N 427– Southwest Region, 10101 Hillwood Pkwy., economic impact, positive or negative, 010–210–109 on any helicopter unless it has Room 6N–321, Fort Worth, TX 76177. For on a substantial number of small entities been marked with a serial number in information on the availability of this under the criteria of the Regulatory accordance with paragraph (f)(1) of this AD. material at the FAA, call (817) 222–5110. Flexibility Act. (6) You may view this service information (g) Alternative Methods of Compliance that is incorporated by reference at the List of Subjects in 14 CFR Part 39 (AMOCs) National Archives and Records Air transportation, Aircraft, Aviation (1) The Manager, Safety Management Administration (NARA). For information on safety, Incorporation by reference, Section, Rotorcraft Standards Branch, FAA, the availability of this material at NARA, call Safety. may approve AMOCs for this AD. Send your (202) 741–6030, or go to: http:// proposal to: Matt Fuller, Senior Aviation www.archives.gov/federal-register/cfr/ibr- Adoption of the Amendment Safety Engineer, Safety Management Section, locations.html. Rotorcraft Standards Branch, FAA, 10101 Accordingly, under the authority Hillwood Pkwy., Fort Worth, TX 76177; Issued in Fort Worth, Texas, on October 15, delegated to me by the Administrator, telephone (817) 222–5110; email 9-ASW- 2018. the FAA amends 14 CFR part 39 as [email protected]. Lance T. Gant, follows: (2) For operations conducted under a 14 Director, Compliance & Airworthiness CFR part 119 operating certificate or under Division, Aircraft Certification Service. PART 39—AIRWORTHINESS 14 CFR part 91, subpart K, we suggest that [FR Doc. 2018–23037 Filed 10–22–18; 8:45 am] DIRECTIVES you notify your principal inspector, or lacking a principal inspector, the manager of BILLING CODE 4910–13–P ■ 1. The authority citation for part 39 the local flight standards district office or continues to read as follows: certificate holding district office, before operating any aircraft complying with this DEPARTMENT OF TRANSPORTATION Authority: 49 U.S.C. 106(g), 40113, 44701. AD through an AMOC. Federal Aviation Administration § 39.13 [Amended] (h) Additional Information ■ 2. The FAA amends § 39.13 by (1) Bell Helicopter Maintenance Manual 14 CFR Part 39 removing Airworthiness Directive (AD) BHT–429–MM–1, Chapter 4, Airworthiness Limitations Schedule, Revision 26, approved [Docket No. FAA–2018–0513; Product 2017–13–03, Amendment 39–18933 (82 Identifier 2018–CE–013–AD; Amendment FR 28397, June 22, 2017), and adding September 9, 2016, which is not incorporated by reference, contains additional information 39–19471; AD 2018–21–13] the following new AD: about the subject of this AD. For service RIN 2120–AA64 2018–21–15 Bell Helicopter Textron information identified in this AD, contact Canada Limited: Amendment 39–19473; Bell Helicopter Textron Canada Limited, Airworthiness Directives; Honda 12,800 Rue de l’Avenir, Mirabel, Quebec Docket No. FAA–2018–0254; Product Aircraft Company LLC Identifier 2017–SW–116–AD. J7J1R4; telephone (450) 437–2862 or (800) 363–8023; fax (450) 433–0272; or at http:// (a) Applicability AGENCY: Federal Aviation www.bellcustomer.com/files/. You may Administration (FAA), DOT. This AD applies to Model 429 helicopters, review a copy of the service information at serial number 57001 through 57260, with a the FAA, Office of the Regional Counsel, ACTION: Final rule. pylon restraint spring assembly (spring Southwest Region, 10101 Hillwood Pkwy., SUMMARY: We are superseding assembly) forward rod end assembly (rod Room 6N–321, Fort Worth, TX 76177. end) part number (P/N) 427–010–210–105 or (2) The subject of this AD is addressed in Airworthiness Directive (AD) 2018–11– aft rod end P/N 427–010–210–109 installed, Transport Canada AD No. CF–2015–15R1, 05 for certain Honda Aircraft Company certificated in any category. Revision 1, dated July 28, 2017. You may LLC (Honda) Model HA–420 airplanes. view the Transport Canada AD on the AD 2018–11–05 required incorporating (b) Unsafe Condition internet at http://www.regulations.gov in a temporary revision into the airplane This AD defines the unsafe condition as a Docket No. FAA–2018–0254. flight manual (AFM) and replacing the rod end remaining in service after reaching (i) Subject faulty power brake valve (PBV) upon its life limit. This condition could result in condition. We issued AD 2018–11–05 as failure of a rod end and subsequent loss of Joint Aircraft Service Component (JASC) control of a helicopter. Code: 5101, Standard Practices/Structures. a short-term action to address the immediate need to detect and replace a (c) Affected ADs (j) Material Incorporated by Reference faulty PBV. This AD retains the actions This AD replaces AD 2017–13–03, (1) The Director of the Federal Register required in AD 2018–11–05 and Amendment 39–18933 (82 FR 28397, June approved the incorporation by reference requires replacing the faulty PBV with 22, 2017). (IBR) of the service information listed in this the improved part. We are issuing this paragraph under 5 U.S.C. 552(a) and 1 CFR (d) Effective Date part 51. AD to address the long-term corrective This AD becomes effective November 27, (2) You must use this service information action and address the unsafe condition 2018. as applicable to do the actions required by on these products. this AD, unless the AD specifies otherwise. DATES: This AD is effective November (e) Compliance (3) The following service information was 27, 2018. You are responsible for performing each approved for IBR on July 27, 2017. The Director of the Federal Register action required by this AD within the (i) Bell Helicopter Alert Service Bulletin approved the incorporation by reference specified compliance time unless it has 429–15–19, dated February 26, 2015. of a certain publication listed in this AD already been accomplished prior to that time. (ii) Reserved. (4) For Bell Helicopter service information as of May 29, 2018 (83 FR 24016, May (f) Required Actions identified in this AD, contact Bell Helicopter 24, 2018). (1) Within 140 hours time-in-service, clean Textron Canada Limited, 12,800 Rue de The Director of the Federal Register and identify each rod end with the spring l’Avenir, Mirabel, Quebec J7J1R4; telephone approved the incorporation by reference assembly serial number in accordance with (450) 437–2862 or (800) 363–8023; fax (450) of certain other publications listed in

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this AD as of April 13, 2018 (83 FR 420 airplanes. We issued AD 2018–11– requirement to replace the PBV within 13401, March 29, 2018). 05 as a short-term immediate action to 12 months of the effective date of this ADDRESSES: For service information detect a faulty PBV. AD 2018–11–05 AD provides operators with that same identified in this final rule, contact required inserting a temporary revision option. We have determined that these Honda Aircraft Company LLC, 6430 into the AFM and replacing the minor changes: Ballinger Road, Greensboro, North installed PBV, part number (P/N) HJ1– • Are consistent with the intent that Carolina 27410; telephone (336) 662– 13243–101–005 or P/N HJ1–13243–101– was proposed in the NPRM for 0246; internet: http:// 007, with an improved PBV, P/N HJ1– addressing the unsafe condition; and www.hondajet.com. You may view this 13243–101–009, if any of the procedures • Do not add any additional burden service information at the FAA, Policy listed in the AFM temporary revision upon the public than was already and Innovation Division, 901 Locust, revealed a leaking PBV. In addition, AD proposed in the NPRM. Kansas City, Missouri 64106. For 2018–11–05 allowed replacing the information on the availability of this installed P/N HJ1–13243–101–005 or Related Service Information Under 1 material at the FAA, call (816) 329– P/N HJ1–13243–101–007 with the CFR Part 51 4148. It is also available on the internet improved P/N HJ1–13243–101–009 as We reviewed Honda AFM Temporary at http://www.regulations.gov by an optional terminating action for the Revision TR 01.1, dated February 16, searching for and locating Docket No. temporary revision procedures in the 2018 (temporary revision), Honda FAA–2018–0513. AFM. AD 2018–11–05 resulted from Service Bulletin SB–420–32–001, dated reports of unannunciated asymmetric Examining the AD Docket January 8, 2018 (SB–420–32–001), and braking during ground operations and Honda Service Bulletin SB–420–32–001, You may examine the AD docket on landing deceleration. Revision B, dated April 16, 2018 (SB– the internet at http:// The NPRM published in the Federal 420–32–001, Revision B). The www.regulations.gov by searching for Register on June 7, 2018 (83 FR 26381). temporary revision contains procedures and locating Docket No. FAA–2018– The NPRM was issued as follow-on for pilot checks of the braking system 0513; or in person at Docket Operations rulemaking to propose the long-term before every flight during ground between 9 a.m. and 5 p.m., Monday actions necessary to address the faulty operations and before every landing, through Friday, except Federal holidays. PBV. The NPRM proposed to retain the procedures for landing with a leaking The AD docket contains this final rule, requirements of AD 2018–11–05 and PBV, and procedures for rechecking the the regulatory evaluation, any require replacing the installed PBV, PBV for leaking after landing. The comments received, and other P/N HJ1–13243–101–005 or temporary revision also includes information. The address for Docket P/N HJ1–13243–101–007, with the instructions for corrective actions if any Operations (phone: 800–647–5527) is improved PBV, indication of a leaking PBV is found U.S. Department of Transportation, P/N HJ1–13243–101–009, within 12 after landing. SB–420–32–001 and SB– Docket Operations, M–30, West months. We are issuing this AD to 420–32–001, Revision B both contain Building Ground Floor, Room W12–140, address the long-term corrective action. procedures for replacing a faulty PBV 1200 New Jersey Avenue SE, with an improved PBV. This service Comments Washington, DC 20590. information is reasonably available FOR FURTHER INFORMATION CONTACT: We gave the public the opportunity to because the interested parties have Samuel Kovitch, Aerospace Engineer, participate in developing this AD. We access to it through their normal course Atlanta ACO Branch, FAA, 1701 received no comments on the NPRM or of business or by the means identified Columbia Avenue, College Park, Georgia on the determination of the cost to the in the ADDRESSES section. 30337; phone: (404) 474–5570; fax: (404) public. 474–5605; email: samuel.kovitch@ Differences Between This Proposed AD faa.gov. Conclusion and the Service Information SUPPLEMENTARY INFORMATION: We reviewed the relevant data and SB–420–32–001 and SB–420–32–001, determined that air safety and the Revision B specify submitting certain Discussion public interest require adopting this AD information to the manufacturer. This We issued a notice of proposed as proposed except for minor editorial AD does not require that action. rulemaking (NPRM) to amend 14 CFR changes. We also removed the optional Costs of Compliance part 39 to remove AD 2018–11–05, terminating action provision, which Amendment 39–19293 (83 FR 24016, allowed operators to replace the PBV at We estimate that this AD affects 72 May 24, 2018) (‘‘AD 2018–11–05’’), and any time to terminate the pre-flight airplanes of U.S. registry. add a new AD to correct an unsafe checks in the AFM, because that We estimate the following costs to condition on certain Honda Model HA– provision was unnecessary. The comply with this AD:

ESTIMATED COSTS

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

Insert temporary revision into the AFM ...... 1 work-hour × $85 per hour = $85 ...... Not applicable ...... $85 $6,120 Replace the power brake valve (PBV) ...... 20 work-hours × $85 per hour = $1,700 .... $21,878 ...... 23,578 1,697,616

We provided the cost of replacing the action in AD 2018–11–05. We have no Therefore, we have included a total cost PBV as an on-condition cost based on way of determining how many owner/ for all affected airplanes. the procedures in the temporary operators of the affected airplanes may The difference in the Cost of revision and as an optional terminating have already done this replacement. Compliance between AD 2018–11–05

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and this AD is the requirement to List of Subjects in 14 CFR Part 39 in the temporary revision are required while replace the power brake valve. operating with PBV P/N HJ1–13243–101–005 Air transportation, Aircraft, Aviation or P/N HJ1–13243–101–007 installed. This Authority for This Rulemaking safety, Incorporation by reference, insertion and the steps therein may be Safety. performed by the owner/operator (pilot) Title 49 of the United States Code holding at least a private pilot certificate and specifies the FAA’s authority to issue Adoption of the Amendment must be entered into the airplane records rules on aviation safety. Subtitle I, Accordingly, under the authority showing compliance with this AD in Section 106, describes the authority of delegated to me by the Administrator, accordance with 14 CFR 43.9 (a)(1) through the FAA Administrator. Subtitle VII, the FAA amends 14 CFR part 39 as (4) and 14 CFR 91.417(a)(2)(v). The record Aviation Programs, describes in more follows: must be maintained as required by 14 CFR detail the scope of the Agency’s 91.417, 121.380, or 135.439. authority. PART 39—AIRWORTHINESS (h) Replace the Power Brake Valve We are issuing this rulemaking under DIRECTIVES As of and at any time after May 29, 2018 the authority described in Subtitle VII, ■ (the effective date retained from AD 2018– 1. The authority citation for part 39 11–05), if any of the procedures listed in the Part A, Subpart III, Section 44701, continues to read as follows: ‘‘General requirements.’’ Under that temporary revision referenced in paragraph section, Congress charges the FAA with Authority: 49 U.S.C. 106(g), 40113, 44701. (g) of this AD reveal a leaking PBV, before further flight, replace the installed PBV, P/N promoting safe flight of civil aircraft in § 39.13 [Amended] HJ1–13243–101–005 or P/N HJ1–13243–101– air commerce by prescribing regulations ■ 2. The FAA amends § 39.13 by 007, with the improved PBV, P/N HJ1– for practices, methods, and procedures 13243–101–009. The replacement must be the Administrator finds necessary for removing Airworthiness Directive (AD) done using the Accomplishment Instructions safety in air commerce. This regulation 2018–11–05, Amendment 39–19293 (83 in either Honda Service Bulletin SB–420–32– is within the scope of that authority FR 24016, May 24, 2018), and adding 001, dated January 8, 2018 (SB–420–32–001), because it addresses an unsafe condition the following new AD: or Honda Service Bulletin SB–420–32–001, that is likely to exist or develop on 2018–21–13 Honda Aircraft Company LLC: Revision B, dated April 16, 2018 (SB–420– Amendment 39–19471; Docket No. 32–001, Revision B). Before further flight products identified in this rulemaking after installing P/N HJ1–13243–101–009, action. FAA–2018–0513; Product Identifier 2018–CE–013–AD. remove the temporary revision from the This AD is issued in accordance with Honda HA–420 AFM. (a) Effective Date authority delegated by the Executive (i) No Reporting Requirement Director, Aircraft Certification Service, This AD is effective November 27, 2018. as authorized by FAA Order 8000.51C. Although SB–420–32–001 and SB–420–32– (b) Affected ADs 001, Revision B specify submitting certain In accordance with that order, issuance information to the manufacturer, this AD of ADs is normally a function of the This AD replaces AD 2018–11–05, Amendment 39–19293 (83 FR 24016, May 24, does not require that action. Compliance and Airworthiness 2018) (‘‘AD 2018–11–05’’). Division, but during this transition (j) Mandatory Replacement period, the Executive Director has (c) Applicability Within the next 12 months after November delegated the authority to issue ADs This AD applies to Honda Aircraft 27, 2018 (the effective date of this AD), if not applicable to small airplanes, gliders, Company LLC (Honda) Model HA–420 previously done as a result of paragraph (h) airplanes, all serial numbers, that: of this AD, replace the installed PBV, P/N balloons, airships, domestic business jet HJ1–13243–101–005 or P/N HJ1–13243–101– transport airplanes, and associated (1) Have power brake valve (PBV), part number (P/N) HJ1–13243–101–005 or HJ1– 007, with the improved PBV, P/N HJ1– appliances to the Director of the Policy 13243–101–007, installed; and 13243–101–009. The replacement must be and Innovation Division. (2) are certificated in any category. done using the Accomplishment Instructions in either SB–420–32–001 or SB–420–32–001, Regulatory Findings (d) Subject Revision B. Before further flight after We have determined that this AD will Joint Aircraft System Component (JASC)/ installing P/N HJ1–13243–101–009, remove not have federalism implications under Air Transport Association (ATA) of America the temporary revision from the Honda HA– 420 AFM. Executive Order 13132. This AD will Code 32, Landing Gear. not have a substantial direct effect on (e) Unsafe Condition (k) Special Flight Permit the States, on the relationship between This AD was prompted by reports of Special flight permits for the AFM the national government and the States, unannunciated asymmetric braking during Limitations portion of this AD are prohibited. or on the distribution of power and ground operations and landing deceleration. Special flight permits for the PBV responsibilities among the various We are issuing this AD to detect failure of the replacement required in this AD are levels of government. PBV. The unsafe condition, if not addressed, permitted with the following limitations: One could result in degraded braking performance ferry flight, including fuel stops, to a service For the reasons discussed above, I and reduced directional control during center with the temporary revision certify that this AD: ground operations and landing deceleration. incorporated into the Honda HA–420 AFM. (1) Is not a ‘‘significant regulatory (f) Compliance (l) Alternative Methods of Compliance action’’ under Executive Order 12866, (AMOCs) Comply with this AD within the (2) Is not a ‘‘significant rule’’ under compliance times specified, unless already (1) The Manager, Atlanta ACO Branch, DOT Regulatory Policies and Procedures done. FAA, has the authority to approve AMOCs (44 FR 11034, February 26, 1979), for this AD, if requested using the procedures (3) Will not affect intrastate aviation (g) Insert Temporary Revision Into the found in 14 CFR 39.19. In accordance with Airplane Flight Manual (AFM) in Alaska, and 14 CFR 39.19, send your request to your Before further flight after May 29, 2018 (the principal inspector or local Flight Standards (4) Will not have a significant effective date retained from AD 2018–11–05) District Office, as appropriate. If sending economic impact, positive or negative, insert Honda Temporary Revision TR 01.1, information directly to the manager of the on a substantial number of small entities dated February 16, 2018 (temporary certification office, send it to the attention of under the criteria of the Regulatory revision), into the Honda HA–420 Airplane the person identified in paragraph (m) of this Flexibility Act. Flight Manual (AFM). The procedures listed AD.

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(2) Before using any approved AMOC, 202–741–6030, or go to: http:// electronic mail (email), except through notify your appropriate principal inspector, www.archives.gov/federal-register/cfr/ibr- www.regulations.gov. or lacking a principal inspector, the manager locations.html. Submit written submissions as of the local flight standards district office/ Issued in Kansas City, Missouri, on follows: certificate holding district office. October 10, 2018. Mail/Hand delivery/Courier (for (3) For service information that contains paper, disk, or CD–ROM submissions) steps that are labeled as Required for Melvin J. Johnson, Compliance (RC), the provisions of Aircraft Certification Service, Deputy to: Division of the Secretariat, Consumer paragraphs (l)(3)(i) and (ii) of this AD apply. Director, Policy & Innovation Division. Product Safety Commission, Room 820, (i) The steps labeled as RC, including [FR Doc. 2018–22750 Filed 10–22–18; 8:45 am] 4330 East West Highway, Bethesda, MD substeps under an RC step and any figures BILLING CODE 4910–13–P 20814; telephone (301) 504–7923. identified in an RC step, must be done to Instructions: All submissions received comply with the AD. An AMOC is required must include the agency name and for any deviations to RC steps, including docket number for this notice. All substeps and identified figures. CONSUMER PRODUCT SAFETY comments received may be posted (ii) Steps not labeled as RC may be COMMISSION without change, including any personal deviated from using accepted methods in identifiers, contact information, or other accordance with the operator’s maintenance 16 CFR Part 1234 or inspection program without obtaining personal information provided, to http://www.regulations.gov. Do not approval of an AMOC, provided the RC steps, [Docket No. CPSC–2015–0019] including substeps and identified figures, can submit confidential business still be done as specified, and the airplane Revisions to Safety Standard for Infant information, trade secret information, or can be put back in an airworthy condition. Bath Tubs other sensitive or protected information (m) Related Information electronically. Such information should AGENCY: Consumer Product Safety be submitted in writing. For more information about this AD, Commission. contact Samuel Kovitch, Aerospace Engineer, FOR FURTHER INFORMATION CONTACT: Atlanta ACO Branch, FAA, 1701 Columbia ACTION: Direct final rule. Keysha Walker, Compliance Officer, Avenue, College Park, Georgia 30337; phone: U.S. Consumer Product Safety (404) 474–5570; fax: (404) 474–5605; email: SUMMARY: In accordance with section Commission, 4330 East West Highway, [email protected]. 104(b) of the Consumer Product Safety Bethesda, MD 20814; telephone: 301– Improvement Act of 2008 (CPSIA), the (n) Material Incorporated by Reference 504–6820; email: [email protected]. U.S. Consumer Product Safety SUPPLEMENTARY INFORMATION: (1) The Director of the Federal Register Commission (CPSC), in March 2017, approved the incorporation by reference published a consumer product safety I. Background and Authority (IBR) of the service information listed in this standard for infant bath tubs. The paragraph under 5 U.S.C. 552(a) and 1 CFR A. Authority To Update Rules Issued part 51. standard incorporated by reference the Under Section 104(b) of the CPSIA applicable ASTM voluntary standard. (2) You must use this service information Section 104(b)(1)(B) of the CPSIA, as applicable to do the actions required by The CPSIA sets forth a process for this AD, unless the AD specifies otherwise. updating standards that the Commission also known as the Danny Keysar Child (3) The following service information was has issued under the authority of Product Safety Notification Act, requires approved for IBR on April 13, 2018 (83 FR section 104(b) of the CPSIA. In the Commission to promulgate 13401, March 29, 2018). accordance with that process, we are consumer product safety standards for (i) Honda Aircraft Company Temporary publishing this direct final rule, revising durable infant or toddler products. The Revision TR 01.1, dated February 16, 2018. the CPSC’s standard for infant bath tubs law requires that these standards are to (ii) Honda Aircraft Company Service be ‘‘substantially the same as’’ Bulletin SB–420–32–001, dated January 8, to incorporate by reference a more recent version of the applicable ASTM applicable voluntary standards or more 2018. stringent than the voluntary standards if (4) The following service information was standard. the Commission concludes that more approved for IBR on May 29, 2018 (83 FR DATES: The rule is effective on January stringent requirements would further 24016, May 24, 2018). 15, 2019, unless we receive significant reduce the risk of injury associated with (i) Honda Aircraft Company Service adverse comment by November 23, the product. Bulletin SB–420–32–001, Revision B, dated 2018. If we receive timely significant April 16, 2018. Section 104(b) of the CPSIA also sets (ii) [Reserved] adverse comments, we will publish forth a process for updating CPSC’s (5) For Honda Aircraft Company LLC notification in the Federal Register, mandatory durable infant or toddler service information identified in this AD, withdrawing this direct final rule before standards when the voluntary standard contact Honda Aircraft Company LLC, 6430 its effective date. The incorporation by upon which such standards are based Ballinger Road, Greensboro, North Carolina reference of the publication listed in are modified. Section 104(b)(4)(B) of the 27410; telephone (336) 662–0246; internet: this rule is approved by the Director of http://www.hondajet.com. CPSIA provides that if an organization the Federal Register as of January 15, revises a standard that has been (6) You may view this service information 2019. at FAA, Policy and Innovation Division, 901 adopted, in whole or in part, as a Locust, Kansas City, Missouri 64106. For ADDRESSES: You may submit comments, consumer product safety standard under information on the availability of this identified by Docket No. CPSC–2015– this subsection, it shall notify the material at the FAA, call 816–329–4148. In 0019, by any of the following methods: Commission. By statute, the revised addition, you can access this service Submit electronic comments in the voluntary standard shall be considered information on the internet at http:// following way: to be a consumer product safety www.regulations.gov by searching for and Federal eRulemaking Portal: http:// standard issued by the Commission locating Docket No. FAA–2018–0513. (7) You may view this service information www.regulations.gov. Follow the under section 9 of the Consumer that is incorporated by reference at the instructions for submitting comments. Product Safety Act (15 U.S.C. 2058), National Archives and Records To ensure timely processing of effective 180 days after the date on Administration (NARA). For information on comments, the Commission is no longer which the organization notifies the the availability of this material at NARA, call accepting comments submitted by Commission (or such later date

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specified by the Commission in the C. Notification of Recent Revision standard improves the safety of infant Federal Register) unless, within 90 days On July 19, 2018, ASTM officially bath tubs because the revision is after receiving that notice, the notified the CPSC that ASTM published intended to address product failure Commission notifies the organization a revised 2018 version of ASTM F2670, incidents involving accessories, which that it has determined that the proposed approved on March 1, 2018. The revised are now included with the sale of some revision does not improve the safety of ASTM F2670 includes bath tub infant bath tubs. the consumer product covered by the accessories and specifies other minor B. Terminology standard and that the Commission is changes, as discussed below in section The revised standard includes six retaining the existing consumer product II of this preamble. By statute, the new definitions to address the addition safety standard. revised ASTM F2670–18 shall be of infant bath tub accessories and other considered a consumer product safety changes recommended by the ASTM B. Safety Standard for Infant Bath Tubs standard issued by the Commission, subcommittee for consistency across effective 180 days after July 19, 2018 The Commission issued a safety juvenile product safety standards. New (January 15, 2019), unless the standard for infant bath tubs on March terms include ‘‘double action release Commission specifies a later effective 30, 2017, codified at 16 CFR part 1234. system,’’ ‘‘fabric,’’ ‘‘infant bath tub date in the Federal Register, or notifies 82 FR 15615. The bath tub standard accessory,’’ ‘‘product,’’ ‘‘protective ASTM within 90 days of July 19, 2018 incorporated by reference the then- component,’’ and ‘‘seam.’’ Paragraph (October 17, 2018) that the Commission current voluntary standard for infant 3.1.5 of ASTM F2670–18 defines ‘‘infant has determined that the proposed bath tubs, ASTM F2670–17, Standard bath tub accessory’’ as a ‘‘component or revision does not improve the safety of Consumer Safety Specification for product sold with an infant bath tub or infant bath tubs and that the Infant Bath Tubs. Paragraph 3.1.2 of sold separately and that is intended to Commission will retain ASTM F2670– be attached or placed on or in an infant ASTM F2670–17 defines an ‘‘infant bath 17 as the mandatory standard. tub’’ as a ‘‘tub, enclosure, or other bath tub for the purpose of supporting similar product intended to hold water D. Updating the Incorporation by an infant during bathing by an adult and be placed into an adult bath tub, Reference caregiver.’’ 3 Revisions in ASTM F2670– sink, or on top of other surfaces to As reviewed in sections II and VI of 18 use this definition to expand the provide support or containment, or this preamble, the Commission scope of the voluntary standard and both, for an infant in a reclining, sitting, determines that the proposed revision in apply new testing and labeling or standing position during bathing by ASTM F2670–18 improves the safety of requirements to such products to reduce a caregiver.’’ Paragraph 1.1 of ASTM infant bath tubs, and therefore, will the risk of injury associated with the use F2670–17 specifically excludes allow the revision to become a of infant bath tub accessories used with ‘‘products commonly known as bath consumer product safety standard an infant bath tub. slings, typically made of fabric or mesh’’ effective January 15, 2019. Accordingly, C. General Requirements the Commission is revising the from the scope of the standard. ASTM F2670–18 contains revised incorporation by reference in 16 CFR However, the preambles to proposed general requirements that now include 1234.2 to reference ASTM F2670–18. and final rules for infant bath tubs infant bath tub accessories, such as the discuss that ASTM was working to II. Revisions to ASTM F2670 general requirement for Resistance to include accessories in the standard.1 In The 2018 revision to ASTM F2670 Collapse. Paragraph 5.4.1 requires that 2017, CPSC staff recommended infant bath tub accessories must contain proceeding with the final rule intending expands the scope of the voluntary standard to include accessories used latching and locking mechanisms to to update the mandatory rule after with an infant bath tub, includes new prevent the unintentional collapse of updating the voluntary standard to performance tests for accessories used the product with the infant in the include infant bath tub accessories. See with infant bath tubs, and makes product, using either a single or double March 15, 2017, Briefing Package corresponding changes to product action release system as described in regarding Staff’s Final Rule for Infant labeling and instructions. ASTM F2670– paragraphs 5.4.1.1 and 5.4.1.2, and that Bath Tubs Under the Danny Keysar 18 also includes several non-substantive meet the new testing requirements in Child Product Safety Notification Act, at changes that do not affect safety, such section 7 of the standard. The majority 2 13–14. as spacing, formatting, and language of incidents noted in the proposed and stating that ASTM developed the final rules for infant bath tubs involved 1 See Proposed Rule for Infant Bath Tubs: 80 FR standard in accordance with principles bath tub accessories that collapsed 48769, 48770, 84772 (August 14, 2015) (noting that recognized by the World Trade during use. Accordingly, revising infant slings are excluded from the voluntary general requirements to address this risk standard and that CPSC staff was working with two Organization. None of these changes ASTM task groups created to address injuries affects the safety of infant bath tubs. of injury improves the safety of infant associated with the use of infant bath slings); Final Accordingly, below we summarize the bath tubs when used with infant bath Rule for Infant Bath Tubs: 82 FR 15615, 15619 major revisions made in ASTM F2670– tub accessories. (March 30, 2017). Section IV.F of the final rule 18. Changes in paragraphs 5.7 and 5.8 of describes that the Commission is moving forward ASTM F2670–18 improve the safety of with a final rule while CPSC staff continues to work with two ASTM task groups to address the risk of A. Introduction and Scope infant bath tub accessories by extending injury associated with the use of infant bath slings. ASTM F2670–17 specifically excludes The final rule states that if the ASTM standard is infant bath tub accessories from the bath 3 Paragraph 3.1.5.1 further explains that an infant revised to address infant bath slings, Commission bath tub accessory may also be used as a standalone staff will evaluate the revised standard and advise tub standard. The revised ASTM F2670– product, but that mode is not covered by ASTM the Commission whether to update the mandatory 18 now explicitly states that included F2670–18. ASTM is currently working on a new standard to incorporate by reference any revised within the scope of the standard are voluntary standard to cover standalone infant standard at that time. ‘‘slings, pads, inserts and similar bathers. Moreover, other bath tub accessories that 2 Available at: https://www.cpsc.gov/s3fs-public/ are not intended to support an infant while bathing, Final%20Rule%20-%20Safety accessories when such accessories are such as soap, towel holder, water pump, or a %20Standard%20for%20Infant%20Bath%20 used with the infant bath tub.’’ Adding shower handle, are also not included within the Tubs%20-%20March%2015%202017.pdf. bath tub accessories to the scope of the definition of ‘‘infant bath tub accessory.’’

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the existing requirements for protective accessory for a shorter length of time III. Incorporation by Reference components and toys to include infant (while the infant cannot sit up The Office of the Federal Register bath tub accessories. Paragraph 5.10 of unassisted) than the bath tub. The (OFR) has regulations concerning the revised standard, Compliance with addition of paragraphs 7.6 Structural incorporation by reference. 1 CFR part Multi-use Products, is a new provision Integrity—Infant Bath Tub Accessory 51. Under these regulations, agencies aimed at addressing infant bath tub and 7.7 Mesh/Fabric Attachment must discuss, in the preamble to the accessories that can be used alone or Strength Test Method, provide new final rule, ways that the materials the with an infant bath tub. ASTM F2670– testing requirements that correspond to agency incorporates by reference are 18 only applies to infant bath tub the performance requirements in reasonably available to interested accessories when used with an infant paragraph 6. For example, the test persons, and how interested parties can bath tub. Paragraph 5.10 states that if an method for the dynamic load test obtain the materials. In addition, the infant bath tub accessory can be used as acknowledges that infants are not preamble to the final rule must a standalone product that is subject to stationary and move around on the summarize the material. 1 CFR 51.5(b). a different standard, the product must accessories. The new test methods for In accordance with the OFR’s be tested and comply with the requirements, section II of this preamble requirements of that standard as well. infant bath tub accessories in paragraph summarizes the substantive revisions in Paragraph 5.10 ensures that infant bath 7 of ASTM F2670–18 adequately ASTM F2670–18 that the Commission tub accessories are tested to every determine compliance with the incorporates by reference into 16 CFR applicable standard. This revision performance requirements in paragraph part 1234. The standard is reasonably improves safety by ensuring that 6 of the standard, and therefore improve available to interested parties, and existing requirements apply to infant safety. interested parties may purchase a copy bath tub accessories, and by ensuring F. Marking and Labeling of the standard from ASTM that all use modes of infant bath tub International, 100 Barr Harbor Drive, PO accessories are required to be in Revisions to the marking and labeling compliance with applicable standards. Box C700, West Conshohocken, PA section in paragraph 8 of the 2018 19428–2959 USA; phone: 610–832– D. Performance Requirements revised standard include requiring the 9585; http://www.astm.org/. A copy of same drowning and fall hazard the standard can also be inspected at Paragraph 6.4 of ASTM F2670–18 warnings on infant bath tub accessories includes new performance testing for CPSC’s Division of the Secretariat, U.S. as are on the bath tub, except ‘‘infant infant bath tub accessories, Structural Consumer Product Safety Commission, bath tub accessories’’ replaces ‘‘infant Integrity/Attachment of Infant Bath Tub Room 820, 4330 East West Highway, bath tub.’’ ASTM F2670–18 provides Accessories. The new requirements Bethesda, MD 20814, telephone 301– include: Static and dynamic load testing that manufacturers can use one set of 504–7923. labels, solely on the bath tub, if the to ensure that accessories stay attached IV. Certification to the bath tub during use; integrity and warnings on the bath tub are visible strength testing for fabric and mesh while the accessory is in place, and the Section 14(a) of the CPSA requires accessories to ensure no material accessory can only be used while on the that products subject to a consumer breakage, disengagement, detachment, bath tub. This requirement prevents product safety rule under the CPSA, or or change in the ability to support an over-labeling, which can lead to to a similar rule, ban, standard, or infant; and seam strength testing of warning saturation and consumers regulation under any other act enforced fabric and mesh accessories to ensure a disregarding warnings. To allow the by the Commission, be certified as breakage strength of 30 lbf or greater. single label on the bath tub to include complying with all applicable CPSC The addition of performance the accessories, the hazard statements in requirements. 15 U.S.C. 2063(a). Such requirements for infant bath tub paragraphs 8.5.1.1 and 8.5.2.1 were certification must be based on a test of accessories improves safety because the changed from ‘‘exactly as stated’’ to each product, or on a reasonable testing requirements are intended to address ‘‘shall address.’’ Use of the phrase ‘‘shall program, or, for children’s products, on the incident data reports involving address’’ allows manufacturers to tests of a sufficient number of samples infant bath tub accessories, as described combine the infant bath tub and infant by a third party conformity assessment in the proposed and final rules for bath tub accessory hazard statements to body accredited by the Commission to infant bath tubs, that previously were be merged to read: ‘‘Drowning Hazard: test according to the applicable not covered by the voluntary or Babies have drowned while using infant requirements. Standards for durable mandatory standard. bath tubs and infant bath tub infant or toddler products that are accessories.’’ When infant bath tub issued under section 104(b)(1)(B) of the E. Test Methods CPSIA are ‘‘consumer product safety accessories are sold separately, ASTM Paragraph 7 of ASTM F2670–18 standards.’’ Thus, the revised standard F2670–18 requires that the drowning contains the test methods to determine for infant bath tubs is subject to the and fall hazard warnings appear on the whether the product complies with the testing and certification requirements of retail packaging, unless such warnings performance requirements in paragraph section 14 of the CPSA. on the product are not concealed by the 6, including the new testing Because infant bath tubs are requirements for bath tub accessories. packaging. children’s products, samples of these Revisions to paragraph 7.1, Latching G. Instructional Literature products must be tested by a third party and Locking Mechanism(s), add 730 conformity assessment body whose cycles of testing on latching and locking The requirements for instructional accreditation has been accepted by the mechanisms for an infant bath tub literature in paragraph 9 of ASTM Commission. These products also must accessory while maintaining 2000 F2670–18 have been broadened to comply with all other applicable CPSC cycles of testing on the bath tub. The include infant bath tub accessories, requirements, such as the lead content number of cycles for testing accessories similar to the marking and labeling requirements in section 101 of the is lower than bath tubs, with the section of the revised standard CPSIA, the phthalates prohibitions in assumption that consumers will use the (paragraph 8). section 108 of the CPSIA, the tracking

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label requirement in section 14(a)(5) of VI. Direct Final Rule Process January 15, 2019. In accordance with the CPSA, and the consumer registration The Commission is issuing this rule ACUS’s recommendation, the form requirements in section 104(b) of as a direct final rule. Although the Commission considers a significant the CPSIA. Administrative Procedure Act (APA) adverse comment to be one where the commenter explains why the rule would V. Notice of Requirements generally requires notice and comment rulemaking, section 553 of the APA be inappropriate, including an assertion In accordance with section provides an exception when the agency, challenging the rule’s underlying 14(a)(3)(B)(iv) of the CPSA, the for good cause, finds that notice and premise or approach, or a claim that the rule would be ineffective or Commission has previously published a public procedure are ‘‘impracticable, unacceptable without change. notice of requirements (NOR) for unnecessary, or contrary to the public accreditation of third party conformity interest.’’ 5 U.S.C. 553(b)(B). The Should the Commission receive a assessment bodies for testing infant bath Commission concludes that when the significant adverse comment, the Commission will withdraw this direct tubs (78 FR 15836 (March 12, 2013) Commission updates a reference to an final rule. Depending on the comments (final rule for 16 CFR part 1112); 82 FR ASTM standard that the Commission and other circumstances, the 15626 (final rule for infant bath tubs has incorporated by reference under Commission may then incorporate the updating part 1112)). The NOR provided section 104(b) of the CPSIA, notice and comment are not necessary. adverse comment into a subsequent the criteria and process for our direct final rule or publish a notice of acceptance of accreditation of third The process set forth in section 104(b)(4)(B) of the CPSIA specifies that proposed rulemaking, providing an party conformity assessment bodies for when ASTM revises a standard opportunity for public comment. testing infant bath tubs to 16 CFR part previously incorporated by reference by 1234 (which incorporated ASTM VII. Regulatory Flexibility Act the Commission as a durable infant or F2670–17). The NOR is listed in the toddler product under section The Regulatory Flexibility Act (RFA) Commission’s rule, ‘‘Requirements 104(b)(1)(b) of the CPSIA, the revision generally requires that agencies review Pertaining to Third Party Conformity will become the new CPSC standard, proposed and final rules for their Assessment Bodies.’’ 16 CFR part 1112. unless the Commission determines that potential economic impact on small Staff’s analysis of the new testing ASTM’s revision does not improve the entities, including small businesses, and requirements in ASTM F2670–18 for safety of the product. Thus, unless the prepare regulatory flexibility analyses. 5 infant bath tub accessories concludes Commission makes such a U.S.C. 603 and 604. The RFA applies to that such testing does not require use of determination, the ASTM revision any rule that is subject to notice and new or specialized equipment that is becomes CPSC’s standard by operation comment procedures under section 553 different than testing equipment for of law. The Commission is allowing of the APA. Id. As explained above, the ASTM F2670–17. Staff states that testing ASTM F2670–18 to become CPSC’s new Commission has determined that notice accessories pursuant to ASTM F2670– standard. The purpose of this direct and comment are not necessary for this 18 requires use of existing testing final rule is merely to update the direct final rule. Thus, the RFA does not equipment and similar testing protocols reference in the Code of Federal apply. We also note the limited nature that are used to test infant bath tubs, Regulations (CFR), so that the CFR of this document, which updates the with minor adjustments. For example, accurately reflects the version of the incorporation by reference to reflect the mandatory CPSC standard that takes the new dynamic test for accessories standard that takes effect by statute. effect under section 104 of the CPSIA. uses the same testing equipment as the Public comment will not impact the static load test already in the standard. substantive changes to the standard or VIII. Paperwork Reduction Act Moreover, staff states that the revised the effect of the revised standard as a The infant bath tub standard contains standard provides clear instructions and consumer product safety standard under section 104(b) of the CPSIA. Under information collection requirements figures to describe the load placement these circumstances, notice and under the Paperwork Reduction Act of for accessory testing. Testing comment are not necessary. 1995 (44 U.S.C. 3501–3520). The current laboratories that have previously The Commission also highlights that revision to incorporate by reference a demonstrated competence for testing in in Recommendation 95–4, the new version of ASTM F2670 makes no accordance with ASTM F2670–17 will Administrative Conference of the changes to the information collection have the competence to test in United States (ACUS) endorsed direct previously established for infant bath accordance with the revised standard. final rulemaking as an appropriate tubs. Thus, the revision will not have Therefore, the Commission will procedure to expedite promulgating any effect on the information collection consider the existing accreditations that rules that are noncontroversial and that requirements related to the standard. CPSC has accepted for testing to ASTM are not expected to generate significant IX. Environmental Considerations F2670–17 to also cover testing to adverse comment. See 60 FR 43108 F2670–18. In this case, the existing NOR (August 18, 1995). ACUS recommends The Commission’s regulations for this standard will remain in place, that agencies use the direct final rule provide a categorical exclusion for the and CPSC-accepted third party process when they act under the Commission’s rules from any conformity assessment bodies are ‘‘unnecessary’’ prong of the good cause requirement to prepare an expected to update the scope of the exemption in 5 U.S.C. 553(b)(B). environmental assessment or an testing laboratories’ accreditation to Consistent with the ACUS environmental impact statement reflect the revised standard in the recommendation, the Commission is because they ‘‘have little or no potential normal course of renewing their publishing this rule as a direct final rule for affecting the human environment.’’ accreditation. CPSC staff will notify all because we do not expect any 16 CFR 1021.5(c)(2). This direct final CPSC-accepted labs by direct email and significant adverse comments. rule falls within the categorical will provide links to the Federal Unless the Commission receives a exclusion, so no environmental Register notice to explain the changes to significant adverse comment within 30 assessment or environmental impact the standard and the effective date. days, the rule becomes effective on statement is required.

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X. Preemption For the reasons stated above, the ACTION: Notice of temporary deviation Commission amends Title 16 CFR from regulations. Section 26(a) of the CPSA, 15 U.S.C. chapter II as follows: 2075(a), provides that where a SUMMARY: The Coast Guard has issued a ‘‘consumer product safety standard PART 1234—SAFETY STANDARD FOR temporary deviation from the operating under [the Consumer Product Safety Act INFANT BATH TUBS schedule that governs the Burlington (CPSA)]’’ is in effect and applies to a Northern Santa Fe Railway Company product, no state or political ■ 1. The authority citation for part 1234 (BNSF) Railroad Bridge (BNSF Bridge subdivision of a state may either continues to read as follows: 37.0) across Steamboat Slough establish or continue in effect a Authority: The Consumer Product Safety (Snohomish River), mile 1.0 near requirement dealing with the same risk Improvement Act of 2008, Pub. L. 110–314, Marysville, WA. The deviation is of injury, unless the state requirement is § 104, 122 Stat. 3016 (August 14, 2008); Pub. necessary to accommodate scheduled identical to the federal standard. Section L. 112–28, 125 Stat. 273 (August 12, 2011). replacement of bridge ties across the 26(c) of the CPSA also provides that ■ 2. Revise § 1234.2 to read as follows: swing span replacement. The deviation states or political subdivisions of states allows the bridge to remain in the § 1234.2 Requirements for infant bath may apply to the Commission for an tubs. closed-to-navigation position during the exemption from this preemption under maintenance to allow safe movement of Each infant bath tub must comply certain circumstances. work crews. with all applicable provisions of ASTM Section 104(b)(1)(B) of the CPSIA F2670–18, Standard Consumer Safety DATES: This deviation is effective from refers to the rules to be issued under Specification for Infant Bath Tubs, 11 a.m. on November 26, 2018 to 3 p.m. that section as ‘‘consumer product approved on March 1, 2018. The on December 14, 2018. safety standards,’’ thus, implying that Director of the Federal Register ADDRESSES: The docket for this the preemptive effect of section 26(a) of approves this incorporation by reference deviation, USCG–2018–0940 is available the CPSA would apply. Therefore, a rule in accordance with 5 U.S.C. 552(a) and at http://www.regulations.gov. Type the issued under section 104 of the CPSIA 1 CFR part 51. You may obtain a copy docket number in the ‘‘SEARCH’’ box will invoke the preemptive effect of from ASTM International, 100 Bar and click ‘‘SEARCH.’’ Click on Open section 26(a) of the CPSA when it Harbor Drive, P.O. Box 0700, West Docket Folder on the line associated becomes effective. Conshohocken, PA 19428; http:// with this deviation. XI. Effective Date www.astm.org/. You may inspect a copy FOR FURTHER INFORMATION CONTACT: If at the Division of the Secretariat, U.S. you have questions on this temporary Under the procedure set forth in Consumer Product Safety Commission, deviation, call or email Steven M. section 104(b)(4)(B) of the CPSIA, when Room 820, 4330 East West Highway, Fischer, the Bridge Administrator, Coast a voluntary standard organization Bethesda, MD 20814, telephone 301– Guard Thirteenth District; telephone revises a standard upon which a 504–7923, or at the National Archives 206–220–7282 email d13-pf- consumer product safety standard and Records Administration (NARA). [email protected]. issued under section 104(b) of the For information on the availability of SUPPLEMENTARY INFORMATION: BNSF has CPSIA was based, the revision becomes this material at NARA, call 202–741– requested a temporary deviation from the CPSC standard within 180 days of 6030, or go to: http://www.archives.gov/ _ _ the operating schedule for the BNSF notification to the Commission, unless federal register/cfr/ibr locations.html. Bridge 37.0, mile 1.0, crossing the Commission determines that the Alberta E. Mills, Steamboat Slough (Snohomish River), revision does not improve the safety of near Marysville, WA. BNSF requested the product, or the Commission sets a Secretary, Consumer Product Safety Commission. for BNSF Bridge 37.0 be allowed to later date in the Federal Register. The remain in the closed-to-navigation Commission has not set a different [FR Doc. 2018–23071 Filed 10–22–18; 8:45 am] BILLING CODE 6355–01–P position for swing span maintenance. effective date. Thus, in accordance with This maintenance will improve the this provision, this rule takes effect 180 reliability of the bridge for marine days after we received notification from openings. The normal operating ASTM of revisions to these standards. DEPARTMENT OF HOMELAND SECURITY schedule for the subject bridge is in 33 As discussed in the preceding section, CFR 117.1059. BNSF Bridge 37.0 is a this is a direct final rule. Unless we Coast Guard swing bridge and provides 8 feet of receive a significant adverse comment vertical clearance above mean high within 30 days, the rule will become 33 CFR Part 117 water elevation while in the closed-to- effective on January 15, 2019. navigation position. [Docket No. USCG–2018–0940] List of Subjects in 16 CFR Part 1234 This deviation allows the BNSF Drawbridge Operation Regulation; Bridge 37.0 to remain in the closed-to- Consumer protection, Imports, Steamboat Slough (Snohomish River), navigation position, and need not open Incorporation by reference, Infants and Marysville, WA for maritime traffic from 11 a.m. on children, Labeling, Law enforcement, November 26, 2018 to 3 p.m. on bath tub, and Toys. AGENCY: Coast Guard, DHS. December 14, 2018 per the table below:

From time/date To time/date Span position

11 a.m./Nov 26, 2018 ...... 3 p.m./Nov 30, 2018 ...... Closed. 11 a.m./Dec 3, 2018 ...... 3 p.m./Dec 7, 2018 ...... Closed. 11 a.m./Dec 10, 2018 ...... 3 p.m./Dec 14, 2018 ...... Closed.

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The bridge shall operate in DATES: This deviation is effective from end of the effective period of this accordance to 33 CFR 117.1059 at all 6 p.m. on October 27, 2018, through 6 temporary deviation. This deviation other times. Vessels able to pass through a.m. on December 7, 2018. from the operating regulations is the subject bridge in the closed-to- ADDRESSES: The docket for this authorized under 33 CFR 117.35. navigation position may do so at any deviation, USCG–2018–0906 is available Dated: October 16, 2018. time. The bridge will be required to at http://www.regulations.gov. Type the Douglas A. Blakemore, open, if needed, for vessels engaged in docket number in the ‘‘SEARCH’’ box Bridge Administrator, U.S. Coast Guard emergency response operations during and click ‘‘SEARCH.’’ Click on Open Eighth District. this closure period. Docket Folder on the line associated [FR Doc. 2018–23029 Filed 10–22–18; 8:45 am] Waterway usage on this part of the with this deviation. BILLING CODE 9110–04–P Snohomish River and Steamboat Slough FOR FURTHER INFORMATION CONTACT: If includes tug and barge to small pleasure you have questions on this temporary craft. The BNSF Bridge 37.0 receives an deviation, call or email Ms. Giselle T. DEPARTMENT OF HOMELAND average number of three opening request MacDonald, Bridge Administration SECURITY during this time of year. BNSF has Branch, Coast Guard, telephone (504) coordinated with Steamboat Slough 671–2128, email Giselle.T.MacDonald@ Coast Guard users that frequently request bridge uscg.mil. openings during this time of year. No 33 CFR Part 117 SUPPLEMENTARY INFORMATION: The immediate alternate route for vessels to Louisiana Department of Transportation [Docket No. USCG–2018–0950] pass is available on this part of the river. and Development (LADOTD) requested The Coast Guard will also inform the a temporary deviation from the Drawbridge Operation Regulation; users of the waterways through our operating schedule of the State Route Hood Canal, Port Gamble, WA Local and Broadcast Notices to Mariners 433 Bridge across Bonfouca Bayou, mile AGENCY: Coast Guard, DHS. of the change in operating schedule for 7.0, at Slidell, St. Tammany Parish, ACTION: Notice of deviation from the bridge so that vessels can arrange Louisiana. This deviation is necessary to drawbridge regulation. their transits to minimize any impact accommodate the removal and caused by the temporary deviation. replacement of the open grid steel deck SUMMARY: The Coast Guard has issued a In accordance with 33 CFR 117.35(e), on the movable section of the swing temporary deviation from the operating the drawbridges must return to their bridge, which will take place seven days schedule that governs the Washington regular operating schedule immediately a week during nighttime hours. The State pontoon highway bridge (Hood at the end of the effective period of this vertical clearance of the bridge is 8 feet Canal Bridge) across Hood Canal, mile temporary deviation. This deviation above mean high water (MHW) in the 5.0, near Port Gamble, WA. The from the operating regulations is closed-to-navigation position and deviation is necessary to accommodate authorized under 33 CFR 117.35. unlimited in the open-to-navigation replacement newly discovered draw Dated: October 16, 2018. position. There is 125 feet of fender to span operating equipment while Steven M. Fischer, fender horizontal clearance. The bridge installing upgrades. This deviation Bridge Administrator, Thirteenth Coast Guard currently operates under 33 CFR allows the bridge to open the half the District. 117.433. draw, 300 feet, after receiving at least a [FR Doc. 2018–23028 Filed 10–22–18; 8:45 am] This deviation is effective from 6 p.m. four hour notice. BILLING CODE 9110–04–P on Saturday, October 27, 2018, through DATES: This deviation is effective 6 a.m. on Friday, December 7, 2018. without actual notice from October 23, During the deviation period, the bridge 2018 to 11:59 p.m. on November 16, DEPARTMENT OF HOMELAND will be closed-to-navigation from 6 p.m. 2019. For purposes of enforcement, SECURITY to 6 a.m., Monday through Friday, and actual notice will be used from 6 p.m. from 6 p.m. to 9 a.m. on Saturday and on October 13, 2018, to October 23, Coast Guard Sunday, including holidays. At all other 2018. times, the bridge will operate in 33 CFR Part 117 accordance with 33 CFR 117.433. ADDRESSES: The docket for this During the nighttime repair periods deviation, USCG–2018- 0950 is [Docket No. USCG–2018–0906] when the bridge is in the closed-to- available at http://www.regulations.gov. navigation position, vessels will not be Type the docket number in the Drawbridge Operation Regulation; ‘‘SEARCH’’ box and click ‘‘SEARCH.’’ Bonfouca Bayou, Slidell, LA allowed to pass through the bridge and the bridge will not be able to open for Click on Open Docket Folder on the line AGENCY: Coast Guard, DHS. emergencies. Navigation on the associated with this deviation. FOR FURTHER INFORMATION CONTACT: ACTION: Notice of deviation from waterway consists mainly of If drawbridge regulation. recreational craft, with some tugs with you have questions on this temporary tows. There is no alternative route. The deviation, call or email Mr. Steven SUMMARY: The Coast Guard has issued a Coast Guard will inform the users of the Fischer, Bridge Administrator, temporary deviation from the operating waterways through our Local and Thirteenth Coast Guard District; schedule that governs the State Route Broadcast Notices to Mariners of the telephone 206–220–7282, email d13-pf- 433 Bridge across Bonfouca Bayou, mile change in operating schedule for the [email protected]. 7.0, at Slidell, St. Tammany Parish, bridge so that vessel operators can SUPPLEMENTARY INFORMATION: The Louisiana. This deviation is necessary to arrange their transits to minimize any Washington Department of perform maintenance. This deviation impact caused by the temporary Transportation (WSDOT), the bridge allows the bridge to remain in the deviation. owner, has requested a temporary closed-to-navigation position during In accordance with 33 CFR 117.35, deviation from the operating schedule of nighttime hours for approximately 42 the drawbridge must return to its regular the Hood Canal Bridge. This deviation days. operating schedule immediately at the will allow the subject bridge to open

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half of the draw span, east half only, to FEDERAL COMMUNICATIONS Synopsis facilitate replacement of worn COMMISSION I. Introduction equipment discovered after installation of upgrades. The Hood Canal Bridge 47 CFR Part 52 1. Today, we demonstrate our crosses Hood Canal, mile 5.0, near Port continued commitment to modernize Gamble, WA. The bridge has two fixed the way we assign toll free numbers by [WC Docket No. 17–192, CC Docket No. 95– adopting an additional assignment spans (east and west), and one draw 155; FCC 18–137] span (center). The east span provides 50 methodology that is both market-based feet of vertical clearance, the west span Toll Free Assignment Modernization; and equitable. Based on the Federal Communications Commission’s success provides 35 feet of vertical clearance, Toll Free Service Access Codes and the center span provides zero feet using competitive bidding to assign spectrum licenses and award universal of vertical clearance in the closed-to- AGENCY: Federal Communications service support, we adopt new measures navigation position. The center span Commission. provides unlimited vertical clearance in to explore the use of competitive the open-to-navigation position. Vertical ACTION: Final rule. bidding for the assignment of toll free clearances are referenced to mean high- numbers. To further evaluate this water elevation. SUMMARY: In this document, the Federal approach, as an experiment we establish This deviation allows the center span Communications Commission the framework in this Report and Order of the Hood Canal Bridge to open half- (Commission) revises its rules to allow for an auction of the rights to use certain way (300 feet vice 600 feet) on signal the Commission to assign numbers by numbers in the recently-opened 833 toll after receiving at least a four hour notice competitive bidding, on a first-come, free code. After the release of this from 6 a.m. on October 13, 2018 to 11:59 first-served basis, by an alternative Report and Order, we will initiate the p.m. on November 16, 2019. During the assignment methodology, or by a pre-auction phase of this proceeding to period of this deviation, the drawbridge combination of methodologies. The seek input on the procedures for the will not be able to operate according to Commission further establishes a single auction. This experiment will help us the normal operating schedule. The round, sealed-bid Vickrey auction for determine how best to use competitive normal operating schedule for the Hood roughly 17,000 mutually exclusive bidding to most effectively assign toll free numbers, as well as provide Canal Bridge is in accordance with 33 numbers in the 833 code, set aside in experience in applying auction CFR 117.1045. The bridge shall operate the process of opening that code. procedures to the toll-free numbering in accordance to 33 CFR 117.1045 at all Government and non-profit entities may assignment process. other times. Waterway usage on this file a petition seeking that a number be part of Hood Canal (Admiralty Inlet) set aside from the auction for use for II. Background includes commercial tugs and barges, public health and safety purposes, and 2. Toll free calling and texting U.S. Navy and U.S. Coast Guard vessels, net proceeds from the auction will offset remains an important part of our and small pleasure craft. Coordination the costs of toll free numbering communications system. Even as has been completed with known administration. Full auction procedures websites and smartphone apps have waterway users, and a no objections to will be established in subsequent public provided new avenues for public the deviation have been received. notices. The Commission also revises its engagement, businesses, government Vessels able to pass through the east toll free rules to allow for the entities, and non-profit organizations and west spans may do so at any time. development of a secondary market for alike continue to make use of toll free The center span does not provide toll free numbers assigned in an auction, services to keep an open line to the passage in the closed-to-navigation and to modernize its toll free rules to public, and enterprising subscribers put position. The subject bridge will be able make them consistent with the other toll free numbers to use in creative new to open half the center span for Navy revisions adopted in this document and ways. Toll free services rely on toll free and Coast Guard vessels during with industry terminology and practice. numbers—a limited resource the emergencies, when at least a one hour Commission is charged by statute with notice has been given by the Navy or DATES: Effective November 23, 2018. making available ‘‘on an equitable Coast Guard. The Coast Guard will also FOR FURTHER INFORMATION CONTACT: basis.’’ inform the users of the waterways 3. Toll free calling began in 1967, through our Local and Broadcast Wireline Competition Bureau, Competition Policy Division, Matthew with the introduction of the 800 toll free Notices to Mariners of the change in code. The 800 code was established by operating schedule for the bridge so that Collins, at (202) 418–7141, [email protected]. AT&T, and the Commission’s role in the vessels can arrange their transits to toll free service market increased over minimize any impact caused by this SUPPLEMENTARY INFORMATION: This is a the following 30 years. In 1997, faced temporary deviation. summary of the Commission’s Report with the possibility of exhaust of the In accordance with 33 CFR 117.35(e), and Order in WC Docket No. 17–192, 800 code, the Commission concluded the drawbridge must return to its regular CC Docket No. 95–155, FCC 18–137, that the Communications Act of 1934, as operating schedule immediately at the adopted September 26, 2018, and amended, ‘‘require[s] the Commission to end of the effective period of this released September 27, 2018. The full ensure the efficient, fair, and orderly temporary deviation. This deviation text of this document is available for allocation of toll free numbers.’’ Thirty from the operating regulations is public inspection during regular years later, when the Commission authorized under 33 CFR 117.35. business hours in the FCC Reference opened the second toll free code—888— Dated: October 17, 2018. Information Center, Portals II, 445 12th it addressed an age-old question for the Steven Fischer, Street SW, Room CY–A257, first time in the context of toll free Chief, Bridge Program, Thirteenth Coast Washington, DC 20554. It is available on numbers: How can limited resources be Guard District. the Commission’s website at https:// most fairly and efficiently allocated [FR Doc. 2018–23073 Filed 10–22–18; 8:45 am] docs.fcc.gov/public/attachments/FCC- when some of those resources are more BILLING CODE 9110–04–P 18-137A1.pdf. desirable than others? Whether they

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were desirable because they were easy 7. During this same period, the first- (833–DENTIST, 833–DOCTORS, 833– to remember, because they could spell come, first-served approach to toll free FLOWERS . . . etc.)’’—and placed those a name or common word, or because a number assignment—which was used numbers in unavailable status. Ten or subscriber had built up good will in that with some modification for the 877, 866, more RespOrgs requested over 1,800 number in the 800 code, some 888 855, and 844 code openings—has been mutually exclusive numbers, and 65 or numbers were likely to be highly subject to scrutiny by the Wireline more RespOrgs requested the ten most desirable while others might draw no Competition Bureau (Bureau) for falling popular numbers. interest at all. short of expectations in several ways. 10. Notice of Proposed Rulemaking. In 4. Congress has given the Commission For example, first-come, first-served September 2017, the Commission only one guideline regarding the assignment has rewarded actors that released the Toll Free Assignment allocation of toll-free numbers: Do so have invested in systems to increase the NPRM, which proposed and sought ‘‘on an equitable basis.’’ Interpreting chances that their choices are received comment on steps to better promote the this guideline after opening the 888 first in the Service Management System equitable and efficient assignment and code, the Commission understood Database (the Toll Free Database, the use of toll free numbers. Specifically, ‘‘equitable’’ to include two prongs: ‘‘database system for toll free numbers,’’ the Commission proposed expanding ‘‘orderly and efficient’’ and ‘‘fair.’’ After in which entities reserve numbers and the existing toll free number assignment considering multiple methodologies to ‘‘enter and amend the data about toll rule to include assignment by auction or assign toll free numbers, the free numbers within their control’’); other equitable assignment Commission settled on a first-come, and, by assigning numbers at no cost, it methodologies, and assigning the over first-served approach. The Commission has allowed accumulation of numbers 17,000 mutually exclusive numbers in also offered a limited right of first without ensuring those numbers are the 833 toll free code through refusal to subscribers of 800 numbers being put to their most efficient use. The competitive bidding. (The Commission that expressed an interest in subscribing Bureau addressed this latter issue, and also proposed and sought comment on to that number in the 888 code. Inspired the issue of some registrants having various specific auction rules and by its low cost and simplicity, the enhanced connectivity to the toll free mechanisms.) The Commission also Commission found such an approach to database, by limiting registrants to 100 sought comment on eliminating the be ‘‘orderly and efficient’’; it also numbers per day for a month after the brokering (under our rules, the selling of concluded that it was ‘‘fair’’ because it opening of the last two codes, 844 and numbers by a subscriber for a fee), did not discriminate on its face against 855. warehousing (the reservation of any potential subscribers. 8. 833 Code Opening. In April 2017, numbers by a RespOrg without an actual the Bureau authorized Somos, Inc. subscriber for whom the numbers are 5. Among the alternate methodologies (Somos), the Toll Free Numbering being reserved), and hoarding (the the Commission considered when it Administrator, to open the 833 toll free acquisition of more numbers by a opened the 888 code was competitive code. To facilitate the exploration of subscriber than it intends to use) bidding. The Commission observed the alternative assignment methodologies, prohibitions; setting aside numbers for fairness of this approach, stating that it the Bureau took steps in the pre-code use for public interest purposes; options ‘‘would offer all participants an equal opening process to identify numbers to address abuse of toll free numbers; opportunity to obtain a particular . . . that could be part of an experiment and changes to overall toll free number’’; it also described auctions as regarding the use of an alternative numbering administration. The ‘‘generally efficient.’’ Although the assignment process, such as an auction. Commission received comments from Commission had conducted spectrum Specifically, the Bureau authorized various stakeholders including auctions prior to the 888 code opening, Responsible Organizations (RespOrgs, RespOrgs, service providers, and the Commission concluded that an which are ‘‘entit[ies] chosen by a toll companies that have built their auction of toll free numbers presented free subscriber to manage and businesses around toll free calling. ‘‘practical difficulties’’—not only could administer the appropriate records in III. Discussion it cost more than a first-come, first- the toll free Service Management served approach, but it could also System for the toll free subscriber’’) to 11. Given the passage of time since require oversight to ensure that bidders identify up to 2,000 desired numbers in adopting the first-come, first-served met requirements and followed auction the 833 code and submit a request for methodology, and experience gained in procedures. those numbers to Somos. The Bureau opening five toll free codes, we modify 6. When the Commission decided directed Somos to review these requests, our toll free number assignment rule to how to assign certain 888 toll free identify numbers subject to multiple give the Commission flexibility to numbers, the Commission’s auctions requests, and place these ‘‘mutually implement alternative approaches to program was still in its relatively early exclusive’’ numbers in unavailable assigning numbers. As an experiment in stages. The Commission’s first spectrum status (which means ‘‘[t]he toll free using such an alternative approach, we auction was held in July 1994. The number is not available for assignment establish an auction to assign the over Notice of Proposed Rulemaking for the due to an unusual condition’’) pending 17,000 identified mutually exclusive 888 toll free code was adopted in the outcome of this proceeding. numbers in the 833 code (the 833 October 1995, and the 1998 Toll Free Numbers that were not requested by Auction). We also designate Somos as Order was adopted in March 1998. In multiple RespOrgs were made available the auctioneer. While this Report and the 20 years since that decision, the on a first-come, first-served basis. Order provides Somos with the general Commission has conducted over 70 9. Nearly 150 RespOrgs participated framework for the 833 Auction, we also spectrum auctions, including those for in the 833 pre-code opening process, provide for a pre-auction process to commercial wireless licenses and requesting over 72,000 numbers. Somos establish detailed auction procedures broadcast construction permits, using identified over 17,000 mutually after additional notice and comment, as various auction formats. More recently, exclusive numbers—including is typical in all Commission auctions. the Commission has begun using ‘‘ ‘repeaters’ (833–333–3333, 833–888– We require Somos to implement the auctions as a mechanism for distributing 8888, 833–800–0000, etc.) and numbers established procedures to conduct the universal service high-cost support. that spell memorable words or phrases auction and, after the bidding has

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ended, to provide the Commission with are ‘‘upending’’ the toll free market to found that ‘‘the use of a first-come, first- all data and information gained from the address demand for a ‘‘statistically served assignment method is a more auction. Moreover, consistent with our insignificant’’ amount of toll free equitable method of allocating these goal of assigning numbers via a market numbers. But the demand for those numbers.’’ With the benefit of some mechanism, we create an exception to specific numbers is not insignificant twenty years’ of additional experience our brokering, warehousing, and and, in fact, demonstrates the need to in toll free number allocation, in hoarding prohibitions for numbers reconcile the demand with the addition to extensive use of the auction acquired through competitive bidding. assignment mechanism. Our rule does mechanism in various contexts, we now not mandate the use of a new reassess this conclusion. A. The Toll Free Assignment Rule assignment mechanism, instead 16. Section 251(e)(1) Test for 1. Adopting a Revised Toll Free allowing for targeted modifications to Assigning Toll Free Numbers. We Assignment Rule the assignment process going forward as reapply the 251(e)(1) two-part test and conclude that the use of competitive 12. We adopt the toll free assignment circumstances require. bidding, like the other assignment revision of section 52.111 of our rules 2. Considerations of Assignment methodologies in revised rule section that the Commission proposed in the Methodologies 52.111, will result in an orderly, Toll Free Assignment NPRM. (We adopt 14. We find that revising our rules to efficient, and fair assignment of toll free the proposed rule revision with two allow alternative means of toll free resources. The Commission has minor changes. First, we make our rule number assignment is consistent with explained that an orderly toll free consistent with the rules governing our statutory obligation to distribute number assignment mechanism ‘‘will spectrum and universal service support numbers on an equitable basis. Section simplify the administrative competitive bidding, by using the 251(e)(1) of the Communications Act of requirements necessary to assign toll phrase ‘‘competitive bidding’’ rather 1934, as amended (the Act), directs the free numbers and avoid the need to than ‘‘auction.’’ Second, we improve the Commission to make numbers available resolve competing claims among clarity of our rule by removing proposed on an equitable basis. We find that the subscribers to particular numbers.’’ language providing that the Commission revised rule adopted today facilitates Additionally, an efficient toll free will assign numbers through an assignment of numbers equitably, per number assignment mechanism will assignment methodology ‘‘as the standards of our precedent. The minimize exhaust of the toll free circumstances require.’’ We further flexibility of our rule, including the numbering resource. make administrative revisions to our toll option to use competitive bidding to 17. After reevaluating the criteria in free rules, consistent with the assign toll free numbers, increases the the 1998 Toll Free Order, we conclude recommendations of the North likelihood that, as limited resources, toll that assigning toll free numbers through American Numbering Council (NANC) free numbers will be assigned to parties the use of competitive bidding is Toll Free Assignment Modernization that value the numbers most. orderly; any entity interested in a toll Working Group Report.) Our revised 15. In considering whether number free number can, through an auction, rule allows the Commission to direct the distribution means are equitable under express the value it places on a assignment of toll free telephone section 251(e)(1), we consider the particular number, in a clear, numbers to RespOrgs and subscribers on principles of order, efficiency, and transparent, and relatively simple an equitable basis by competitive fairness. In so doing, the Commission manner. Moreover, assigning a number bidding, on a first-come, first-served has allowed exceptions to the to the entity that places the highest bid basis, by using an alternative assignment of numbers by the first- is easy to understand and avoids the assignment methodology, or by a come, first-served approach, with the need to resolve competing claims among combination of these approaches. We intent to serve the broader public potential subscribers to particular find that our experience assigning toll interest of equitably distributing the numbers. Further, the first-come, first- free numbers since the original rule’s finite resource of toll free numbers. (For served approach has not always resulted adoption 20 years ago—in which time example, the Wireline Competition in an orderly and efficient distribution certain entities have undertaken efforts Bureau allowed a right of first refusal in of highly-valued—i.e., mutually to increase their chances that desirable 1997 for 800 number subscribers exclusive—numbers. Since the numbers are assigned to them through seeking corresponding 888 code Commission’s adoption of this approach the first-come, first-served system— numbers. The Bureau has also rationed in the 1998 Toll Free Order, the Bureau supports the revised rule’s flexible the release of disconnected 800 code has intervened to withhold or ration approach to number assignment and is numbers, and the release of 844 and 855 highly desired numbers in subsequent supported by the record. numbers upon opening of those codes. code openings due to concerns with the 13. With our revised rule, we increase Aside from modifications of first-come, first-come, first-served assignment our options to assign toll free numbers first-served, assignment, the Bureau has process. The Bureau, expressing in a way that accounts for valuable also assigned numbers upon request for concern that RespOrgs were social use. The revised rule provides us reasons of national defense and public inefficiently warehousing numbers, greater flexibility to explore alternative safety.) When it established the first- implemented conservation plans for assignment mechanisms in addition to come, first-served assignment method in four out of the seven presently available the current first-come, first-served the 1998 Toll Free Order, the toll free number codes. methodology. By revising our rule to Commission opined that pursuant to 18. Given the Commission’s permit—but not obligate—the section 251(e)(1), the Commission must considerable experience with auctions Commission to assign toll free numbers apply a two-part test to determine if any since 1998 and the ability of an entity by auction, we add a valuable tool to given assignment methods were ‘‘1) to bid the value it places on a particular our tool chest while maintaining the orderly and efficient, and 2) fair.’’ When number in a clear, transparent, and flexibility to craft assignment it first applied this test over twenty relatively simple manner, we believe mechanisms suited to the nature of years ago, based on certain limitations any administrative costs and ‘‘practical different inventories of numbers. One and unknown factors with respect to difficulties’’ in holding an auction commenter argues that, in so doing we number auctions, the Commission would be significantly lower than

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previously believed, making it more fairness in the toll free number appropriate assignment methodology in likely that the efficiencies of assignment methodology. some circumstances, however. For competitive bidding will outweigh such 21. Since the 1998 Toll Free Order instance, first-come, first-served costs. Therefore, we conclude that was adopted, the Commission has assignment may be appropriate for less adding competitive bidding as one observed that the underlying numbering desirable numbers, or in instances possible assignment method meets the access technology has evolved: Certain where numbers made available via an first prong of our established test, automated systems now used to access auction are not assigned thereby. We namely, that an assignment mechanism the Toll Free Database have placed expect that our experience with the 833 be orderly and efficient. smaller RespOrgs at a competitive Auction will provide us with insight we 19. We also find that the market-based disadvantage because they do not have can use when determining the best assignment methodologies in revised the capacity to quickly reserve sought- mechanism for assignment of a given set rule 52.111 are fair, meeting the second after vanity numbers. Enhanced of numbers. part of the section 251(e)(1) test. The connectivity gives larger, more 23. Effective Assignment of Toll Free Commission has explained that a fair sophisticated entities the incentive to Resources. Our revised assignment rule toll free number assignment mechanism invest in these systems to increase the gives us a new option for the assignment is one that gives ‘‘[a]ll subscribers . . . chances that their number requests are of numbers, without removing currently an equal opportunity to reserve processed. This situation undermines a available options. The Commission has desirable toll free numbers as new codes key rationale for the first-come, first- extensive experience in public outreach are opened.’’ Using a competitive served approach: That all interested and education about the auction parties have an equal chance of getting bidding process to assign mutually process, including online tutorials for a number. And while it advances the exclusive toll free numbers can provide the auction application and bidding separate goal of ensuring a number is interested parties with a level playing processes. Based on this experience, we quickly allocated to the party that field, on which everyone has the same disagree with the argument that values it most highly—a differential ability to express their valuation for providing adequate notice to the public willingness to invest indicates an specific numbers in a clear, transparent about auction procedures will be underlying differential in the value the manner, using an equally accessible unreasonably costly. Nor do we agree investing party sees in numbers—it does method. Based on our experience with with commenters who argue that so only loosely, since there is no direct auctions in other contexts, we find that preparing for and participating in the mechanism that allows potential we are more likely to achieve our stated subscribers to bid in their valuation. In auction will be unduly burdensome to objective of assigning mutually the absence of conservation controls, the participants. We recognize that exclusive toll-free numbers on an Bureau has seen evidence of unfair individual subscribers or RespOrgs equitable basis by allowing all qualified access following new toll free code acquiring toll free numbers through an bidders the same opportunity to express openings. For example, following the auction may incur some costs relating to their value for a number and assigning 877 and 866 code openings, the the participation in the auction that they the numbers to the party that values it Commission received reports from did not incur through the first-come, the most, than if we use a method by RespOrgs suggesting that during first-served process, but we believe which a number is assigned to the party database ‘‘timeouts,’’ only RespOrgs those costs are outweighed by the that employs the most advanced access with more advanced access systems benefits to the toll free system at large system. (We expect that the were able to reserve numbers, while when toll free numbers are put to their experimental use of an auction for RespOrgs not using those advanced highest-valued use. Many toll free mutually exclusive 833 toll free systems were ‘‘locked out’’ and unable numbers have a much greater value for numbers (as adopted in this item) will to reserve their desired numbers. For the certain subscribers. Some 150 RespOrgs yield additional insight into whether 855 and 844 toll free code openings, the participated in the 833 pre-code auctions are the best methodology for Bureau directed the toll free database opening process, requesting over 72,000 assigning toll free numbers and, if so, administrator to limit the quantity of numbers. This fact undermines the basic how best to use competitive bidding in toll free numbers a RespOrg may reserve rationales on the effectiveness of first- the future.) Moreover, the current to 100 per day for the first 30 days— come, first-served for mutually method leads to unnecessary ‘‘larger RespOrgs with enhanced exclusive numbers—that first-come, expenditure on equipment to gain a connectivity to the [toll free] database’’ first-served allocation requires less timing advantage, whereas the proceeds would otherwise be able to more oversight, and avoids ‘‘the need to from a toll free number auction will go quickly to reserve sought-after numbers resolve competing claims among towards the administration of the toll than smaller RespOrgs without subscribers to assignment of particular free system. enhanced connectivity. numbers.’’ On the contrary, the 20. While in its 1998 application of 22. We reject commenters’ arguments Commission has been compelled to this test, the Commission stated that that an auction is unfair because it provide increased oversight by auctions ‘‘offer all participants an equal favors parties with deep pockets. An intervening multiple times to ensure opportunity to obtain a particular . . . auction allocates the number to the new code openings are ‘‘orderly and number,’’ it also concluded that a first- bidder willing to pay the most, but that efficient’’ and ‘‘fair,’’ and adjudicated come, first-served assignment willingness may derive from expected numbering conflicts in at least two mechanism was also fair and selected future revenues from a profitable notable cases. Our practice of resolving that approach due to its then perceived business case, rather than from the competing claims has previously been benefits of order and efficiency. We find bidders’ current finances. Moreover, resolved inefficiently in favor of the that the Commission’s prior conclusion auctions should reflect the value of the party most privileged with access to the has not borne out for highly desired toll toll free number in the marketplace and faster reservation system. Instead of the free numbers; indeed, the Bureau has a bidder may be able to obtain financing number going to whichever entity intervened in the last four toll free code based on anticipated profitability. We happens to be first in the door (thereby openings, altering the first-come, first- anticipate that a first-come, first-served preventing others, who may value it served methodology precisely to ensure approach will continue to be an more, from getting it), use of

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competitive bidding will give all entities 26. After completion of the 833 pre-auction process will give interested an equal opportunity to express the Auction, and subsequent number participants sufficient time and value they place on any particular assignments, the Bureau will issue a opportunity both to comment on the number. By increasing the likelihood report outlining the outcomes of the 833 final procedures and to develop that mutually exclusive toll free Auction, lessons learned, and future business plans in advance of the numbers are assigned to parties that will recommendations for toll free number auction. assignment methodologies. use the resource in the most productive a. Auction Design way, we in turn increase the efficiency 27. We intend to use this experiment and equity of our number assignment as an opportunity to evaluate the 30. We adopt the proposal in the Toll process. contours of using competitive bidding Free Assignment NPRM to conduct the for toll free assignments and to 833 Auction as a Vickrey single round, 24. Revising the Commission’s rules determine how to best use a market- sealed-bid auction. In this type of to allow us to assign numbers by based assignment to effectively assign auction, a qualified bidder can submit a auction, on a first-come, first-served toll free numbers. We also underscore sealed-bid for each available toll free basis, an alternative assignment the need to reform the current method number that the bidder wants. The 833 methodology, or by a combination of the of assigning highly desired toll free Auction will consist of only a single forgoing as circumstances require, gives numbers. We envision that the round of bidding, and the highest bidder the Commission the flexibility to adapt experiment, as designed in this Report for each toll free number will win the our assignment procedures to the and Order and forthcoming Auction rights to that number, but will generally circumstances and characteristics of the Procedures Public Notice, will meet our only pay the second highest bid for specific toll free numbers to be assigned. goals of equitable distribution and be them. In the case of tied bids, a winning In any future toll free code release, the used, as designed, for certain future toll bidder may end up paying the tied bid revised rule will not require the free number assignments or be used for amount. For the 833 Auction, we defer Commission to use competitive bidding future assignments with refinements. to the pre-auction process, the detailed and, if it decides to use competitive procedures for bid processing and bidding, the Commission will not be 2. General Framework for the 833 payment determination, including, confined to a specific auction design, or Auction among other things, how winners and the designation of a particular 28. In the Toll Free Assignment payments will be determined in the case auctioneer. Instead, for new toll free NPRM, the Commission ‘‘invite[d] of tied bids and what to do if a toll free code openings, the Commission can parties to . . . offer further economic, number receives only one bid in the determine the best method to proceed legal, or logistical insights about . . . single round of bidding. for assigning numbers, armed with the auction designs and procedures.’’ Given 31. A Vickrey auction can yield an data collected in the 833 Auction. the experimental nature of using equitable and efficient assignment of competitive bidding as a mechanism for mutually exclusive toll free numbers as B. The 833 Auction assigning toll free numbers, we outline it incentivizes bidders to bid their true 1. The 833 Auction Established as an here a general framework for the 833 valuation. In particular, the amount Experiment Auction and require a pre-auction paid by the winner (i.e., the bidder with proceeding in which we will seek the highest bid) is determined by the 25. We establish the 833 Auction as public input on the procedures for the second highest bid and does not depend an experiment to analyze the most auction after the release of this Report on the exact amount of the winning efficient way to use competitive bidding and Order. We expect that our approach bidder’s own bid. This payment rule as a toll free number assignment to the 833 Auction will be modeled on results in the winning bidder essentially method. We agree with one commenter the rules and procedures governing receiving what it might view as a who argues that, as a first step, the auctions for wireless spectrum licenses, ‘‘surplus,’’ i.e., the difference between Commission should assign toll free broadcast permits, and universal service its own bid and the second highest bid. numbers by auction on a ‘‘limited, trial support, where appropriate, given the A Vickrey auction thus encourages basis,’’ which will allow us to ‘‘study success and familiar nature of those bidders to bid the true maximum they the impact of this new allocation auctions. are willing to pay, while at the same method and make any necessary 29. Specifically, we will issue an time efficiently assigns the numbers to changes to serve the public interest.’’ Auction Comment Public Notice after the bidders who have the highest (By adopting the 833 Auction as an the release of this Report and Order and valuations for the numbers. (As a first experiment, the actions we take today will solicit public input on proposed approximation, it is likely that are also consistent with the application and bidding procedures, individual valuations for toll free recommendation of the Administrative including specific proposals for numbers are not dependent on another’s Conference of the United States (ACUS) application requirements and bidding valuation, at least beyond a broker’s that agencies adopt pilot programs and mechanisms, such as bid processing and desire to purchase for resale. Moreover, learn from regulatory experience.) Thus, determining payments. Thereafter, we to the extent that this is not the case, we will offer in this auction only the will release an Auction Procedures auction theory does not provide rights to use the 17,000 mutually Public Notice, and will specify final unambiguous direction as to optimal exclusive numbers in the 833 toll free auction procedures, including dates, auction design. Thus, for our opening code that were identified pursuant to deadlines, and other final details of the experiment in assigning toll free the 833 Code Opening Order. Once the application and bidding processes. We numbers via competitive bidding, we auction is complete, we direct Somos to require the auctioneer to implement the adopt the simple and transparent assign those numbers to winning auction pursuant to the procedures Vickrey auction.) bidders based on the auction’s results. specified in the Auction Procedures 32. We conclude that the 833 Auction We will continue to assign 833 numbers Public Notice. We conclude that, in should use a single round rather than that are not part of the 833 Auction addition to the general framework we multiple rounds to keep the auction using our first-come, first-served provide here, the Commission’s practice process for this experiment as simple approach. of finalizing auction procedures in the and cost-effective as possible. As the

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Commission observed in the Toll Free employ any such methodologies for the conducted, such as auctions for Assignment NPRM, a single round, 833 Auction. (For example, the Toll Free spectrum and Universal Service Fund sealed-bid auction is relatively easy for Assignment NPRM sought comment on support, where some items may be both the auctioneer (to implement) and a pay-your-bid auction, whereby the substitutable, this auction allocates participants (to participate in). In highest bidder wins and pays its bid, items for which managing bids across addition, a single round auction will be and an open auction, such as a substitutes is less important. Similarly, completed more quickly than a multi- simultaneous multi-round auction used there are important complementarities round auction, and comes at a lower by the Commission for our spectrum in bids for spectrum and Universal cost to the auctioneer and the auctions.) One commenter suggested Service Fund support which we have no participants. In fact, we do not believe that we use what it calls an ‘‘open’’ reason to believe apply to the toll free that auction participants will be auction, specifically ‘‘a simultaneous number market. required to incur substantial time or ascending clock auction with multiple 36. More specifically, the Commission expense to prepare for the auction. They independent clocks.’’ While this type of has historically used multiple round have already determined which 833 auction has certain advantages over a bidding as the primary auction numbers to reserve, thus spending some single round, sealed-bid, Vickrey methodology in spectrum auctions. time and expense in reaching those auction, we conclude that these When implementing its spectrum determinations; the incremental effort advantages do not justify the additional auction authority, the Commission on their part to participate in the complexity and expense of a multiple found that multiple round auctions auction is unlikely to impose an round auction at this time. (Power provide needed information about the additional time or cost burden on them. Auctions enumerates several advantages value of substitutable and And because of the lower cost of a of an ‘‘open’’ auction, including (1) complementary licenses and allows single round Vickrey auction, we reject permitting bidders the opportunity of participants the flexibility to pursue commenters’ concerns that the costs to price discovery; (2) permitting bidders back-up strategies during an auction, implement and run the auction will be more control over the money spent on allowing the spectrum to go to its excessive. winning bids; (3) permitting bidders highest value use. The Commission 33. We also reject the notion that a some ability to handle bids for numbers recognized, however, that while Vickrey single round, sealed-bid auction that may be viewed as substitutes; (4) multiple round auctions are preferable, will result in a scenario where maintaining privacy of auction if the value of the licenses or the inexperienced bidders will overbid and participants’ bids; and (5) potentially number of bidders would be so low that be unwilling or unable to pay the resulting in higher auction revenues and the administrative costs of a multiple winning bid. A second-price auction more efficient results.) While the round auction may exceed its benefits, encourages bidders to bid the true Commission uses multiple round other auction methods are available. maximum that they are willing to pay, auctions and will continue to do so, the Our spectrum auctions, generally, knowing they will not actually pay more 833 Auction will be the Commission’s involve many entities pursuing complex than needed to outbid the second first auction of the rights to use toll free strategies weighing the cost of various highest bidder. Also, we note that each numbers, and our intent for this quantities of spectrum within and bid is a binding commitment, so bidders experiment is to gather data to help between markets. Similarly, in know in advance that they should only inform future toll free assignment competitive bidding for Universal Service Fund support, many submit bids that they are willing to pay. decisions while minimizing the (This is true even in a Vickery auction, participants are contemplating multiple complexity and cost to the Commission, where the winning bidder will only pay markets that they are willing to serve auctioneer, and participants during the the second highest bid, because the based on the price of the subsidy. In the experiment. We also have limited second highest bid price may be equal case of toll free numbers, there is information on which to base any to (in case of a tie) or just slightly less limited information in the record that estimate of the dollar amounts potential than the winning bidder’s submitted one number is a substitute for another subscribers are willing to bid. Also, the bid. As Power Auction notes, ‘‘[i]t is or on how bidders will view the relative relatively modest nature of the items to important for bids to be binding values of the available numbers. The be auctioned—the rights to use toll free commitments, because the lack of Commission hopes to obtain such numbers, as opposed to spectrum binding commitments could cause the information through this auction. auction process to be manipulated or to licenses or Universal Service Fund 37. In sum, because the Vickrey single unravel.’’) In addition, as discussed support—seems at this juncture to round, sealed-bid auction should further below, entities interested in warrant a less complex and costly type demand fewer resources from the participating in an auction generally of auction. Thus, we do not want to Commission, the auctioneer, and the have to submit some form of financial create a more complex and costly auction participants while still yielding security in order to participate. Further, auction than necessary at this early an efficient allocation of toll free consistent with the Commission’s stage. numbers, we believe it will help achieve standard practice, we will ensure that 35. One commenter argues that a our objectives for this experiment. We prospective auction participants have an single round, sealed-bid Vickrey auction note, however, that we are not intending opportunity to become fully informed limits the ability of a bidder to develop to foreclose the use of an ‘‘open’’ about the auction through public a bidding strategy involving substitute auction—or another auction outreach and education, including numbers vis-a`-vis an ‘‘open’’ auction. methodology—in any future toll free online tutorials about the application That commenter does not, however, number auctions. (To the contrary, we and bidding processes. provide a basis for its position that recognize that there are cases where an 34. Alternative Auction bidders in the 833 Auction will have a open auction may perform better than a Methodologies. Although the need for such a complex auction, or sealed-bid auction.) We expect that the Commission sought comment on how such a need outweighs the impact Bureau’s report will address the success alternative auction methodologies to to cost and complexity for this of the Vickrey single round, sealed-bid consider for assigning the mutually experimental auction. Further, unlike auction methodology, and compare it to exclusive 833 numbers, we decline to other auctions the Commission has alternative methodologies.

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b. Auction Eligibility subscribers. We agree with 800 subscribers who may be unable to 38. Deciding which parties can Response, who argues that allowing coordinate themselves’’), but find that participate in an auction is an integral potential subscribers to participate will allowing potential subscribers to part of the process. Although we minimize opportunities for participants participate in the auction will likely generally require applicants for our to engage in undesirable and/or increase the efficiency of the auction, by auctions to demonstrate certain anticompetitive strategic behavior that increasing competition and reducing the qualifications consistent with the could occur if a RespOrg and one or likelihood of tacit collusion and other regulatory objectives of a particular more of its subscribers were interested undesirable strategic behavior that can auction, it is also true that the broader in the same 833 numbers. (If a RespOrg occur when there are very few auction the participation, the more likely it is and one or more of its subscribers do participants. Although we recognize that 833 numbers will be assigned to the not have an interest in the same 833 there may be additional cost in auction highest-valuing bidders. For the 833 numbers, permitting RespOrgs to overhead by allowing more participants, Auction, we will allow any party participate in the auction gives we believe that the benefits to auction interested in obtaining an 833 number subscribers to option to have their efficiency created by expanding the pool (potential subscriber) to participate RespOrgs bid on their behalf.) of potential participants identified directly in the auction or indirectly Therefore, we find it appropriate to above are worth the minimal expense in through a RespOrg. We also will not allow potential subscribers to act on determining whether the additional their own behalf and represent their participants are qualified to bid in the limit the 833 Auction to only those own interests in the auction. (Potential auction. And by allowing potential RespOrgs that participated in the 833 subscribers also have the option to subscribers to bid on their own, we pre-code opening; any RespOrg may become a RespOrg by meeting various lower administrative costs for participate. We believe allowing all requirements for certification. By participants who choose not to place a interested parties to participate directly formally allowing potential subscribers bid through a RespOrg. in the auction will provide them with the option to participate directly, non- 42. Maximizing Auction Participation. greater flexibility and control to RespOrg participants will not need to We will not otherwise limit the number accurately express their level of interest spend resources to become a RespOrg if of participants in the auction, such as by and will allow the Commission to glean they are concerned that current limiting RespOrg eligibility to as much information from the RespOrgs would not fully represent participate in the 833 Auction only to experiment as possible to better inform their interests.) We stress that if a those RespOrgs that participated in the future toll free code opening potential subscriber directly participates 833 pre-code opening process. assignments. in and is assigned a number via the 833 Permitting the maximum number of 39. 833 Auction Not Limited to Auction, it must still work with a eligible participants to bid in the 833 RespOrgs. We will permit any potential RespOrg after the auction to reserve the Auction ensures a robust auction and subscriber to participate directly in the number in the Toll Free Database in results in the bidders with the highest 833 Auction or indirectly through a accordance with our rules. willingness to pay being assigned a RespOrg. (A toll free ‘‘subscriber,’’ per 40. We do not go so far as to remove number, which is in the public interest. the rule revision we adopt today, is RespOrgs from the process of acquiring The inclusion of all RespOrgs and ‘‘The entity that has been assigned a toll toll free numbers in the 833 Auction, as potential subscribers in the pool of free number.’’ Because we do not intend one commenter suggests. Because eligible participants will also provide to limit auction participation to entities subscribers are familiar with working the Commission with greater that already have been assigned with RespOrgs to acquire toll free information about the value of toll free numbers, we establish that ‘‘potential numbers and may prefer to continue to numbers, increasing the value of the subscribers’’—any parties interested in take advantage of RespOrg expertise experiment. In furtherance of this goal, subscribing to a toll free number—may here, we conclude that we should allow the Commission, along with Somos in participate in the 833 Auction. As subscribers the choice of working with its role as auctioneer, will undertake auction participants, these parties will a RespOrg in the 833 Auction. outreach efforts to promote maximum be obligated to comply with the 41. Some commenters oppose participation among RespOrgs and Auctions Procedures Public Notice in permitting potential subscribers to potential subscribers. this proceeding.) In the Toll Free participate in the auction. For example, Assignment NRPM, the Commission Somos claims that allowing subscribers c. Application Process proposed to permit only RespOrgs to to participate ‘‘would introduce 43. In Commission auctions, participate in the proposed auction, unnecessary and potentially costly interested parties must disclose certain based on RespOrgs’ role as manager and administrative problems’’ and Power information and make certain administrator of toll free records in the Auctions advocates allowing only certifications in an application or series Toll Free Database. (The Commission RespOrgs to participate since they can of applications. In the Commission also recognized ‘‘the importance of maximize valuations of certain numbers auctions, we typically have a two-stage RespOrgs as market makers’’ and noted and including subscribers would application filing process. In the pre- that RespOrgs ‘‘may have strengths in increase the costs of running the auction ‘‘short-form’’ application, a maximizing the valuation of certain auction. On the other hand, one potential bidder will need to establish numbers, for example, by piecing commenter advocates excluding its eligibility to participate, providing, together geographic coalitions of RespOrgs completely, and allowing only among other things, basic ownership subscribers who may be unable to end-user customers to participate. We information. After the auction, the coordinate themselves.’’) After recognize the value added by RespOrgs Commission conducts a more extensive reviewing the record, we conclude that as ‘‘market makers’’ (as the Commission review of the winning bidders’ allowing potential subscribers to recognized in the Toll Free Assignment qualifications to receive support directly participate will likely increase NPRM, RespOrgs ‘‘may have strengths through ‘‘long-form’’ applications. This the efficiency of the auction while also in maximizing the valuation of certain information helps promote auction addressing possible conflicts of interest numbers, for example, by piecing transparency and integrity and assists us between RespOrgs and potential together geographic coalitions of in monitoring compliance with our

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auction rules and procedures, including, restriction is warranted in the 833 it selects. To enforce the prohibition, for example, the prohibition against Auction and will address concerns and to allow entities to comply with the certain communications. We find it is raised in the record regarding the prohibition on certain communications necessary to qualify entities to potential for undesirable strategic discussed below, we also expect that participate in the auction, and therefore bidding behavior, which could harm any entity wishing to participate in the require interested entities to submit a other bidders. 833 Auction will have to fully disclose short-form application to participate in 47. A RespOrg Can Apply on Behalf information regarding the real party- or the auction. The information and of Only a Single Potential Subscriber parties-in-interest in the applicant or certification required in the short-form (Including Itself) per Number. We application and the ownership structure application, along with an upfront recognize that allowing RespOrgs to of the applicant, including both direct payment, will help determine if an serve as bidders for potential and indirect ownership interests of 10 applicant is qualified to bid in the 833 subscribers of toll free numbers may percent or more. We also will also Auction. We will not require applicants present the opportunity for certain require applicants to provide additional auction participants to have more to submit a long-form application after information and make additional information about the competition for the conclusion of this auction, given the certifications in the application, as may certain numbers. Such asymmetric lack of need to verify winning bidders’ be found in the pre-auction process to qualifications in this context and to information could be used in ways that be necessary to implement our decisions limit the administrative burden on adversely affect some potential in this Report and Order. By requiring bidders, the auctioneer, and the subscribers. To mitigate the potential these certifications and disclosures, we Commission. anticompetitive effects of RespOrgs bidding for potential subscribers, we guard against potential conflicts of (i) Short-Form Application will limit a RespOrg to representing a interest between a RespOrg and its Requirements single potential subscriber (including customer subscriber(s), between a 44. We establish here some basic itself) for the rights to use a particular RespOrg’s customer subscribers, and requirements and limitations regarding number. We note that, under a different between RespOrgs with overlapping applications to participate. We expect auction design (e.g., in a multiple round controlling interests seeking the rights that each entity interested in bidding in auction) or with different eligibility to use the same toll free numbers. the 833 Auction will be required to requirements, a different limitation may Moreover, such actions will help disclose certain information and make be appropriate to help ensure that implement our overriding principle that certain certifications to promote RespOrgs fully represent subscriber each entity should participate through compliance with the framework we interests, but, for the 833 Auction, we only one bidder, thus encouraging outline here and protect auction find this limitation to be appropriate. sincere bidding and enhancing the integrity. These submissions will 48. Disclosures and Certifications. To integrity of the auction. promote the transparency and efficiency promote transparency as well as of the auction and reduce the instances compliance with the limitations (ii) Procedures for Processing Pre- of conflicts of interest and the discussed above, we establish certain Auction Applications likelihood of undesirable and/or general requirements for applicant 49. For the 833 Auction, we expect anticompetitive strategic behavior by disclosures and certifications. that applications to participate in the participants. Specifically, we expect that each auction will be processed in a manner 45. A Potential Subscriber May auction participant—whether a similar to applications to participate in Participate Through Only a Single potential subscriber or a RespOrg spectrum license auctions. Specifically, Auction Applicant and Submit a Single serving as a bidding agent—will be no application will be accepted if, by Application. Potential subscribers can required to certify, as applicable, that it the initial deadline, the applicant has participate in the 833 Auction through is not bidding on behalf of multiple failed to make the required only a single auction applicant. In interested parties (including itself) for certifications, e.g., no additional particular, a potential subscriber may the same toll free numbers or that it is not engage multiple applicants to bid for only bidding through one entity for a applications will be accepted after the a particular number in which it is given number. A RespOrg can bid on initial deadline. Put differently, no interested. This prohibition assures a behalf of multiple subscribers, as long additional applications will be accepted level playing field for all bidders and the subscribers it represents, as well as after the deadline. Moreover, applicants prevents distortions in the information itself, are not bidding on the rights to will be afforded an opportunity to cure on bidder interests, by assuring that use the same number(s). We will also any identified minor defects after an each auction participant has at most one require the applicants that have initial review of the application. bid per number in the single round. overlapping non-controlling interests to Applications to which major 46. We likewise prohibit a single certify, during the application process, modifications are made after the party, or multiple parties with a that they have established internal deadline for submitting applications controlling interest in common, from control procedures to preclude any shall be denied. Major modifications becoming qualified to bid based on person acting on behalf of an applicant include, but are not limited to, any multiple applications. While we will from possessing information about the changes in the ownership of the seek comment and decide how to define bids or bidding strategies of more than applicant that constitute an assignment parties with common controlling one applicant or communicating such or change of control of the applicant interests in our pre-auction process, we information with respect to either (pro forma transfers and assignments anticipate utilizing the Commission’s applicant to another person acting on have not generally been considered to definitions adopted for similar purposes behalf of and possessing such be major modifications), or the in our spectrum auctions. We employ information regarding another certifications required in the this same prohibition in spectrum applicant. To enforce this prohibition, application. If an applicant fails to make auctions to ensure that auction we expect that applicants will need to necessary corrections before a participants bid in a straightforward disclose the party on whose behalf it is resubmission deadline, the applicant manner. We believe that this type of bidding, for each toll free number that would be found not qualified to bid.

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d. Other Competitive Bidding to the pre-auction process what the 56. Similarly, we find it is Considerations for the 833 Auction upfront payments and default payments unnecessary to permit package bidding 50. Prohibition on Certain for the 833 Auction should be, but we (i.e., single bids for the rights to groups Communications. For spectrum and generally expect the approach to be of numbers) in the experiment. As the universal service auctions, the modeled on those used in the Commission stated in the Toll Free Commission has adopted rules Commission’s spectrum auctions. Assignment NPRM, though it is likely prohibiting an applicant from 53. Bidding Credits. We will not adopt some bidders will demand the rights to communicating certain auction-related bidding credits for the 833 Auction. We multiple numbers, we do not believe information to another applicant from recognize that bidding credits can valuation synergies warrant the the auction application filing deadline provide economic opportunity for a additional complexity that package until the post-auction deadline for wide range of participants. Given the bidding brings. We desire to minimize the auctioneer’s development costs for winning bidders to file long-form experimental nature of this auction, the auction interface and to simplify the applications. In these rules, ‘‘applicant’’ however, we conclude bidding credits bidding process for the auction is defined broadly to include ‘‘all are not appropriate at this time. No participants. We expect the Bureau’s controlling interest in the entity commenters who advocate we post-auction report to address the submitting a short-form application to incorporate bidding credits in the 833 auction’s effectiveness, and to participate in an auction . . . as well as Auction provide specifics about the size recommend whether any of the all holders of partnership and other standards or size of the bidding credits measures we have declined to adopt in ownership interests and any stock that might be employed, and we have no the Report and Order—including interest amounting to 10 percent or prior basis for determining the package bidding—could be useful in more of the entity, or outstanding stock, appropriate amount of any such bidding credit. We further do not wish to deciding on future toll free assignment or outstanding voting stock of the entity methods. submitting a short-form application, and confuse the lessons we take away from this experiment by including bidding 57. Post-Auction Winning Bidder all officers and directors of that entity.’’ Public Notice. Once the auction has This prohibition on certain credits, which would influence bidder behavior. Instead, we will consider all been completed, we will release a communications is intended to reinforce public notice identifying the winning existing antitrust laws, facilitate of the data collected from the 833 Auction to determine if bidding credits bidders and establishing the deadline detection of collusive conduct, and for making final payment for winning deter anticompetitive behavior. While should be offered in any possible toll free number auctions in the future. bids. This public notice will also we believe the 833 Auction should have explain how unsold inventory— 54. Reserve Prices. We also decline to a similar prohibition on certain numbers that received no bids—will be establish reserve prices for the 833 communications, we defer until the pre- assigned after the 833 Auction. As we Auction. (By ‘‘reserve price,’’ we refer to auction process the details of the have explained, any potential subscriber prohibition on certain communications, a minimum amount that must be that participates directly in the auction but absent unique factors that may be reached in order for a number to be and wins the rights to a number must applicable to the 833 Auction we expect assigned after the auction closes.) Most still work through a RespOrg after the the prohibition to be generally commenters oppose establishing reserve auction to reserve the number in the consistent with our rule in spectrum prices, arguing that reserves may Toll Free Database in accordance with auctions. Regardless of the procedures discourage entities from bidding. Our our rules. ultimately decided upon for the 833 goal for this auction is to gain as much Auction, participants will be subject to information as possible about the 3. Somos as Auctioneer for the 833 antitrust laws, which are designed to effectiveness of a market-based Auction prevent anticompetitive behavior in the approach to toll free number 58. We establish Somos, the Toll Free marketplace. assignment, and we are convinced by Numbering Administrator, as the 51. Availability of Auction-Related the record that a reserve price may auctioneer for the 833 Auction. We Information During and After the discourage auction participation and, believe this role is commensurate with Auction Process. It is our objective that thereby, decrease the amount of its present statutory and regulatory the 833 Auction be transparent and information we gain from the auction. duties and its responsibilities. The objective. Consistent with that objective, And because this is our first time using Commission established Somos as the we conclude that the procedures to be competitive bidding to assign toll free Toll Free Numbering Administrator in established in the pre-auction process numbers, we have a limited basis on the 2013 Toll Free Governance Order. should address what auction-related which to establish a reasonable and There, we determined that Somos met information will be available to bidders efficient reserve price. the impartiality requirement of section and to the public during the auction 55. Bidding on Multiple Numbers. 251(e)(1) of the Act—codified in section process, and when any information Consistent with our proposal in the Toll 52.12 of our rules—and was ‘‘eligible to withheld during the auction will be Free Assignment NPRM, we will not serve as neutral SMS administrator.’’ As made publicly available. limit the overall quantity of toll free the auctioneer for the 833 Auction, 52. Upfront Payments and Default numbers the rights to which can be Somos shall continue to implement Payments. Entities that are interested in acquired by an auction participant. impartially toll free number participating in the 833 Auction will be Establishing such a limit could hamper assignments, consistent with the Act required to demonstrate an ability to the efficiency of the auction by and our implementing rules. pay for the rights to use the numbers for constraining bidders who hold the 59. In its role as auctioneer, we which they intend to bid by submitting highest valuations. Moreover, we wish require Somos to provide the an upfront payment. Moreover, since to obtain as much information as infrastructure and software for online bids are binding commitments, if a possible from this experiment and bidding and carry out other activities bidder fails to make full payment on its believe any such constraint would limit necessary to implement the auction. bid, or otherwise defaults, it should be the information derived from this These activities include performing subject to a default payment. We defer experiment. bidder education and other outreach;

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accepting and reviewing applications to experience in conducting auctions in secondary market is limited to numbers participate in the auction; accepting other contexts. We will oversee Somos’s assigned via competitive bidding. The upfront payments; announcing qualified implementation of the 833 Auction, mutually exclusive numbers in the 833 bidders and those not qualified to bid; along with our general oversight of code assigned in the 833 Auction will accepting bids during a single round of numbering, to alleviate any concerns therefore be eligible for secondary bidding; accepting final payments for about auction execution. Moreover, a market transfers.) We also require winning bids and distributing refunds single-round, sealed-bid auction should Somos to make available to the for any upfront payments not applied to not require complex software or Commission information on 833 winning bids; activating in the toll free administration. numbers not included in the auction for database the numbers won at auction 63. For these reasons, we direct comparison purposes. This data will and for which final payment has been Somos to serve as the auctioneer of the enable us to get a complete picture of made; and undertaking any other tasks 833 Auction. In the event Somos seeks the viability of the 833 Auction and on in furtherance of the 833 Auction that to add outside personnel to assist with competitive bidding as an assignment the Commission deems appropriate and the auction in any way, it may do so method for future toll free code as elaborated in the Auction Procedures provided that it retains the overall openings. Public Notice. The Commission will administrative responsibility and maintain oversight of Somos’s neutrality. (Section 251(e) requires the 4. 833 Auction Proceeds implementation of the 833 Auction and Commission to ‘‘create or designate one 66. We will use any net positive will re-direct it as necessary to most or more impartial entities to administer proceeds from the 833 Auction to defray effectively execute the 833 Auction. To telecommunications numbering and to the costs of administering toll free maintain oversight, the Commission make such numbers available on an numbering incurred by the Toll Free will review tariff filings, issue specific equitable basis.’’) We further direct Numbering Administrator 1 (i.e., costs instruction in the Auction Procedures Somos to obtain an independent audit beyond conducting the auction) and, Public Notice, and direct Somos under of the 833 Auction, including Somos’s potentially, the North American our broad authority over the Toll Free performance as auctioneer, after Numbering Plan Administrator Numbering Administrator. completion of the auction. In the event (NANPA). (The NANPA is currently 60. One commenter posits that the that the Bureau determines, and Neustar, Inc. The Toll Free Numbering present Toll Free Numbering announces in a Public Notice, that the Administrator is Somos, a not-for-profit Administrator should not serve as the costs of conducting such an audit are corporation that provides the Toll Free toll free number auctioneer because unlikely to exceed the benefits—for Numbering Administrator function Somos ‘‘has no experience in example, because of low auction pursuant to FCC tariff, subject to section conducting auctions’’ and it ‘‘would be revenue—Somos need not obtain an 61.38 of the Commission’s rules.) By called upon to develop entirely new audit. ‘‘net positive proceeds,’’ we mean any [auction] processes.’’ We disagree. 64. In designating Somos as the amount by which revenues from the Somos has asserted that it is fully auctioneer of the 833 Auction, we do auction exceed the costs of conducting capable of executing the Commission’s not foreclose the Commission’s ability the auction. (Because Somos will also be proposed auction, and we have no basis to assign this role to a different entity, developing and conducting the auction, on which to question its assertion. or through a different method, such as the administrator’s costs for the auction Moreover, given the considerable a competitive process, in a future toll will be paid first from auction expertise in number assignment and free number auction. In its report on the revenues.) Applying net positive administration that Somos has gained outcomes of the 833 Auction, we direct proceeds in this manner is consistent the Bureau to evaluate Somos’ since the Commission formally with our authority in section 251(e) to performance as the auctioneer, designated it as the Toll Free administer numbering, and its including its technical execution and Numbering Administrator, we are requirement that the costs of cost-effectiveness in conducting the confident that Somos will perform its administration be borne by carriers on a auction. The results of the 833 Auction, auctioneer duties in accordance with competitively neutral basis. As including its costs and the degree of its the procedures established by the discussed in the Toll Free Assignment financial success, ought to inform the Auction Procedures Public Notice. NPRM, it will benefit all toll free 61. We also agree with Somos that it Commission’s method for assigning the is critical ‘‘to maintain continuity and role of auctioneer in future toll free 1 Somos is a not-for-profit corporation that stability in TFN [toll free number] number auctions. provides the Toll Free Numbering Administrator administration.’’ In contrast, were we to 65. Auction Information. To allow the function pursuant to FCC tariff, subject to section establish an independent auctioneer, the Commission to make a fair and accurate 61.38 of the Commission’s rules. 47 CFR 61.38. independent auctioneer would have to assessment of the results and Somos must file annual tariff revisions pursuant to the applicable part 61 rules for a dominant carrier, first coordinate with Somos to verify consequences of the 833 Auction, we subject to the tariff requirements and enforcement that the numbers available in the 833 require Somos to retain and make of the Commission pursuant to the Act and the Auction are indeed available. The available to the Commission all data and Commission’s rules. SMS/800 Order, 28 FCC Rcd at independent auctioneer would then information about the auction and its 15342, paragraphs. 37 through38; see also generally Somos, Inc., Tariff F.C.C. No. 1 (2018), https:// have to direct Somos to assign the administration, gathered before, during, s3.amazonaws.com/files-prod.somos.com/ number to the winning bidder. We find and after the auction. Such information documents/SMS800FunctionsTariff.pdf (Toll Free this step in the process unnecessary as includes, but is not limited to, Tariff). Previous tariff information is available at Somos is capable to serve as auctioneer information on the following: Winning https://apps.fcc.gov/etfs/public/ tariff.action?idTariff=787. Tariff modifications must in accord with the specific and direct and losing bids, bidders, administrative be filed each January 31 (following the close of its instruction to be set forth in the Auction costs (including detailed costs to design fiscal year, which is the calendar year) updating the Procedures Public Notice. the auction user interface, auction rates for its services, effective during the next tariff 62. While we appreciate the novelty platform, and software to evaluate the year that begins in February. Each such filing must contain an updated cost of service study pursuant of our experiment in using competitive auction results), and post-auction to section 61.38. Id. Based upon that cost study, bidding in the toll free context, the secondary market transfers. (Per the Somos’s rates and charges are adjusted to recover Commission itself has a vast amount of exception we establish today, the those forecasted costs over the ensuing tariff year.

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subscribers and RespOrgs, as well as that auction, inclusive of such further NANPA costs over five years would potentially all stakeholders in the 20 auction proceeds. Auction proceeds result in a greater than 25 percent countries that are members of the amounting to five percent or less of the decrease in the revenue requirement for NANP. (The NANP member countries current annual revenue requirement the NANPA over the five-year period, are Anguilla, Antigua and Barbuda, applied to that single tariff year would then the excess of net positive proceeds Bahamas, Barbados, Bermuda, British likely have a de minimis effect on beyond that amount will be distributed Virgin Islands, Canada, Cayman Islands, administrative rates and charges.) In the evenly by the B&C Agent across the next Dominica, Dominican Republic, event that net positive proceeds exceed ten fiscal years of the NANPA. Grenada, Jamaica, Montserrat, Sint five percent of Somos’s costs, then the 69. Recovery of 833 Auction Costs Maarten, St. Kitts and Nevis, St. Lucia, net positive proceeds should be That Exceed Auction Revenues. In the St. Vincent and the Grenadines, distributed evenly across five years for event the costs of the 833 Auction Trinidad and Tobago, Turks and Caicos cost recovery under the tariff to exceed its revenues, Somos may recover Islands, and the United States minimize the impact on the the resulting deficit in the same manner (including American Samoa, Puerto administrative rates and charges. This as other costs of toll free number Rico, U.S. Virgin Islands, Guam, and the approach avoids substantial year-over- administration: By incorporating them Commonwealth of the Northern Mariana year changes in administrative rates and into the cost recovery mechanism in its Islands). NANP toll free numbers are charges, and allows RespOrgs and toll tariff. These auction costs would be allotted to all member countries. The free subscribers to receive the cost recovered along with all other allowable Toll Free Numbering Administrator reduction over an extended period if net costs as part of the Toll Free Numbering administers the pool of toll free number positive proceeds are large enough to Administrator’s revenue requirement for resources allotted to Canada, Sint warrant. (The Commission has long the ensuing tariff year(s). This means Maarten, and the United States. Other sought to ‘‘smooth’’ the impact of its that all RespOrgs and their underlying NANP member countries administer toll actions on telephony rates and charges.) toll free subscribers will bear the auction’s costs, just as they would share free numbering outside of the Toll Free 68. If net positive proceeds from the the benefit of any net auction proceeds. Numbering Administrator and its Toll 833 Auction are large enough that This approach is consistent with the Free Database.) applying them to defray toll free cost-recovery system whereby all numbering administration costs over 67. Disbursement of 833 Auction RespOrgs, and ultimately all toll free Revenues That Exceed Somos’s Auction five years would result in a greater than subscribers, bear the costs of numbering Costs. We conclude that net positive 25 percent decrease in the revenue administration collectively. (Toll free proceeds from the 833 Auction should requirement for the Toll Free numbering administration costs are be used to defray toll free numbering Numbering Administrator over the five- recovered via the Toll Free Numbering administration costs. We establish a year period, then the excess of net Administrator’s rates and charges, in the methodology that will benefit Toll Free positive proceeds beyond that amount form of both transaction-specific fees, Numbering Administrator users while will be remitted to the Billing and and monthly and other charges that are tempering resulting year-over-year Collection (B&C) Agent for the NANP to not tied to any specific transaction of change of administrative rates and be applied to defray the costs of NANP number acquisition or change.) charges. We therefore tie our administration on behalf of its 20 70. We anticipate that the 833 disbursement to the ratio between net member countries. (The present B&C Auction will benefit the entire toll-free positive proceeds and Somos’s revenue Agent is Welch LLP. The B&C Agent industry by potentially lowering the requirements. In the present tariff year, will apply such funds prior to monthly fees associated with toll free Somos’s revenue requirement for toll application of the various contribution reservations. Accordingly, we reject the free numbering administration services factors and billing and collections suggestion that equitable and efficient is $56.9 million. (The revenue processes.) We find that directing funds distribution of numbers requires that requirement to cover forecasted costs for in excess of 25 percent for the benefit of any costs of the 833 Auction exceeding toll free numbering administration the NANP strikes an appropriate auction revenues should be imposed (referenced in the Tariff as ‘‘SMS/800’’) balance, avoiding excessive fluctuations only upon auction winners, or auction services in the current tariff period, in the toll free tariff structure and participants, under ‘‘competitively covering February 15, 2018—February benefitting both numbering neutral’’ and ‘‘cost-causer’’ approaches. 14, 2019, is $56,933,855.) If net positive administrations upon which toll free The 833 Auction is open to all RespOrgs proceeds are less than five percent of calling is dependent. The toll free and all potential subscribers. Moreover, Somos’s then-current annual revenue numbers administered by the Toll Free the sharing of any net auction requirement, then the net positive Numbering Administrator are numbers proceeds—or any auction deficit—does proceeds should be used only to defray within the NANP; it is therefore not of itself distort the toll free market toll free numbering administration costs appropriate that such funds potentially in any fashion or favor one competitor for the tariff period immediately go to defray the costs of the in that marketplace over any other. As following the close of the 833 Auction. administering the NANP, which are one commenter notes, consumers (Somos would make this determination borne by the countries served by the benefit directly from the use of toll free based on its cost study for the ensuing Toll Free Numbering Administrator and numbers, and ‘‘reducing the input costs tariff year, with and without cost the other NANP member countries. In proportionally across RespOrgs will reduction by offset of auction proceeds. the event proceeds remitted to the B&C benefit all participants at their level of Should there be any further auction Agent exceed five percent of NANPA participation, thereby not distorting the proceeds received after such costs, then the net positive proceeds toll-free market. The method proposed determination (e.g., delayed payments should be distributed evenly by the B&C by the FCC is an efficient and effective accepted by the Commission), those Agent across five fiscal years of the mechanism for achieving that goal.’’ proceeds will be applied/remitted in NANPA, to minimize the impact on the 71. Finally, for the reasons discussed accordance with the manner set forth NANPA rates and charges. If proceeds above, if the deficit exceeds five percent herein based on the then-cumulative remitted to the B&C Agent are large of the forecasted cost of the Toll Free amount of all auction proceeds from enough that applying them to defray Numbering Administrator’s services for

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the next tariff year, we will require the costs that exceed revenues from the existing standard for public health and recovery of any deficit over the ensuing auction, will be recovered via the tariff’s safety use to limit set-asides to those five years of cost recovery under the cost recovery mechanism along with legitimate public interest organizations tariff. Such a deficit will be divided any other costs associated with that truly promote public health and equally among each of those five years, administering the database. Inclusion of safety. This process is consistent with and incorporated into the auction-related costs in the tariff’s cost the way the Commission has considered administrator’s cost studies and revenue justification is necessary to show the petitions for reassignment of toll free requirements for each of those years. By impact of the 833 Auction on the numbers in the past. this approach, we seek to avoid or tariffed charges to RespOrgs for use of 76. We disagree with the arguments in reduce any substantial increases or the Toll Free Database. the record that offering any public fluctuations in the Toll Free Number 5. Toll Free Numbers Used for Public interest-related number set aside for Administrator’s rates and charges due to Purposes governmental or non-profit entities is any deficit. inherently not ‘‘equitable’’ under 74. To ensure that the public interest 72. International Considerations. One section 251(e)(1) of the Act. To the is protected in the 833 Auction, we will commenter notes the international contrary, this set aside works to assuage set aside numbers in the 833 code that nature of the NANP and asks ‘‘what concerns that some bidders— have been identified as mutually right does US, or its agencies, have to government and non-profit entities— exclusive upon reasonable request by unilaterally benefit from an auction?’’ may be precluded from obtaining government entities and non-profit This concern is misplaced. The United desired numbers by our auction States will not unilaterally benefit from health and safety organizations. experiment. However, we are the 833 Auction’s proceeds. Rather, as (Government entities include federal, sympathetic to the argument that the explained, net positive proceeds will be state, local, and Tribal governments, and public should have an opportunity to used to defray the costs of toll free includes any such entities in all object to requests that numbers be set number administration, benefitting all countries served by the Toll Free aside. For this reason, while we will RespOrgs (and ultimately toll free Numbering Administrator. Non-profit consider requests from government and subscribers) in those countries served by health and safety organizations must be non-profit entities to set aside numbers the Toll Free Numbering Administrator 26 U.S.C. 501(c)(3) organizations.) In the in the 833 code that are already (Canada, Sint Maarten and the United Toll Free Assignment NPRM, the considered mutually exclusive, in order States), and may also be used to defray Commission sought comment on the cost of NANP administration, whether certain desirable toll free for a request to be considered, the benefitting all of its member countries. numbers should be set aside for use, government or non-profit entity must Even if the 833 Auction does not meet without cost, by government agencies or file a ‘‘Petition for an 833 Toll Free the 25 percent threshold, RespOrgs from by non-profit health, safety, education, Number’’ with the Bureau in accordance these countries will benefit from or other non-profit public interest with the Auction Procedures Public lowered charges from the Toll Free organizations. After reviewing the Notice. The Bureau will then solicit Numbering Administrator. We note that record, we find that ‘‘[c]ertain desirable public comment prior to making its a coalition of 10 Canadian RespOrgs, toll free numbers that promote health decision on the number request based including major Canadian and safety should be set aside for use by on the public interest. (Petitions must be telecommunications service providers, government, without cost,’’ as well as filed in ECFS in Docket No. WC 17–192 supports our proposal to apply net for use by non-profit health and safety and CC Docket No. 95–155. Filing the auction proceeds to the Toll Free organizations that meet the standard of petition does not guarantee the request Numbering Administrator’s our precedent. will be granted.) We intend to maintain administration costs. Applying net 75. Government (federal, state, local our standard for review consistent with auction proceeds as set forth herein is and Tribal) entities as well non-profit the unusual and compelling public consistent with the way Somos applies health and safety organizations have a health and safety standards in RespOrg fee proceeds, and the NANPA unique relationship with toll free Commission precedent and direct the collects fees, through the B&C Agent, numbers. Not only do they use numbers Bureau to consider each application from member countries and service to provide service to the public, but they individually, on a case-by-case basis, as providers. also face unique budgeting challenges it is filed with the Commission. We note 73. Somos Tariff Implications. We that may place toll free numbers that while being a government entity or direct Somos to reflect any net positive assigned at auction out of reach. We a 501(c)(3) organization is a necessary proceeds or deficit related to the 833 disagree with commenters who argue condition for a set aside, it is not in and Auction in the section 61.38 cost that the public interest nature of non- of itself a sufficient condition and the support filed with the Toll Free Tariff. profit organizations can be practically Bureau must apply the unusual and We have previously said that Somos difficult to identify, and that setting compelling public health and safety must support the costs of its Toll Free aside numbers for non-profits presents a standards discussed above. If, however, Database administration as part of its greater possibility of fraud and abuse. multiple government or non-profit tariff filing with the Commission. The We further disagree with the suggestion entities file petitions requesting the present Toll Free Tariff ‘‘contains that allowing private non-profit same number for public health and regulations, rates and charges’’ organizations to petition for numbers to safety purposes which meet the applicable to administration of the Toll be set aside is an act of ‘‘eminent standard of our precedent, we direct Free Database. As explained above, any domain.’’ This claim is fundamentally at Somos to conduct a lottery for the auction proceeds will be applied to odds with the toll free numbering number among the requesting decrease Toll Free Database scheme, which vests the Commission applicants. We believe a lottery is both administration costs. This will allow with authority to assign numbers an equitable and expedient way to Somos to lower certain of its charges, ‘‘equitabl[y].’’ Further, subscribers have resolve competing requests for the same such as the monthly customer record no property interest in toll free number. The Commission will use the administration charge. On the other numbers. The Commission will use the information obtained from this number hand, any auction deficit, i.e., auction 501(c)(3) designation as well our set aside process to determine whether

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we should continue to use it in future comment on revising our rules to of assignment, but also allows the rights code openings. promote development of a secondary to numbers to be reassigned when market for toll free numbers. We have valuations change. 6. Treatment of Trademark Holders reviewed the record, and agree with 82. We disagree with commenters 77. We decline to adopt proposals in commenters who argue that our current who claim that permitting a robust the record to provide special treatment rules may have a ‘‘chilling impact . . . secondary market will lead to for trademark-holders. Specifically, on private enterprise.’’ Consistent with undesirable conduct and extortion. With commenters have suggested that we our goal of making the rights to use an auction and secondary market, the provide trademark-holders a right of numbers available on an equitable basis rights to numbers will be assigned to first refusal or adopt new ‘‘procedures’’ by assigning them to those who can put those entities who value them most; to address instances of abuse of a the numbers to their best use, and with differences in valuation do not reflect number desired by a trademark-holder. the record, we now allow for the undesirable conduct or extortion. To the We find that, as under the first-come, development of a secondary market for extent there is genuine misconduct, first-served methodology, ‘‘concerns numbers assigned via competitive trademark and competition law serves regarding trademark infringement and bidding. to protect parties from bad actors. unfair competition . . . should be 80. The Commission’s current rules Further, the argument that allowing a addressed by the courts under the prevent three types of conduct that limit secondary market will ‘‘lead to trademark protection and unfair or preclude the development of a premature exhaust’’ is minimized by our competition laws, rather than by the secondary market. First, the rules decision to allow a secondary market Commission.’’ prevent brokering—‘‘the selling of a toll only for those numbers assigned by 78. We disagree with commenters free number by a private entity for a auction. In the present experiment, the who argue that failing to provide special fee.’’ Second, the rules prevent 833 Auction includes approximately treatment for trademark-holders is hoarding, which is the ‘‘acquisition by 17,000 numbers—under one percent of contrary to the public interest. As 1– a toll free subscriber . . . of more toll all 833 numbers. To the extent our rules 800–CONTACTS admits, the Lanham free numbers than the toll free preventing a secondary market were Act already serves to ‘‘protect subscriber intends to use for the adopted to limit exhaust, we do not consumers by preventing confusion and provision of toll free service.’’ Third, the believe this limited exception will unfair competition,’’ and 1–800– rules prevent warehousing, a practice in significantly affect the exhaust of the FLOWERS has acknowledged its which a RespOrg reserves toll free entire pool of 833 numbers. Because success policing use that infringes on its numbers ‘‘without having an actual toll creating this limited secondary market trademarks under the first-come, first- free subscriber for whom the numbers will not lead to premature exhaust, we served methodology. Some commenters are being reserved.’’ These rules not see no need to adopt the proposal in the argue that a market-based approach to only preclude the sale of the rights to record that we ‘‘assess[ ] a fixed monthly number assignment will encourage use toll free numbers—central to a direct contribution from all toll-free ‘‘extortion’’ of trademark-holders by bad secondary market—but also frustrate number holders [to] discourage actors, but we see no reason to diverge number sales by placing obligations on hoarding and warehousing’’ in order to from our position that number potential sellers. combat exhaust. Further, we disagree assignment should be trademark- 81. As the Commission explained in with CenturyLink’s argument that we agnostic. An auction mechanism assigns the Toll Free Assignment NPRM, a should not combine a secondary market numbers to those who value them most secondary market appears to be ‘‘an with the 833 Auction experiment so that highly, and a secondary market—which efficient and productive use of an auction ‘‘may be adequately we adopt on a limited basis below— numbers’’ because it ‘‘permit[s] evaluated without the influence of other only facilitates this assignment. subscribers to legally obtain numbers variables.’’ As we have explained, a Subscribers remain bound by trademark which they value.’’ It also promotes the secondary market is an important law once a number has been assigned. efficient operation of an auction: component to a successful auction, We also disagree with the argument of Permitting the free acquisition and because it allows auction participants to 1–800–CONTACTS that auctioning transfer of the rights to use numbers later transfer numbers in response to numbers without special protection for allows subscribers to purchase or sell information learned at the auction. And trademark holders ‘‘would conflict with numbers in response to the outcome of exploring these two changes the statutory requirements of the the auction, and limits pre-auction costs simultaneously will allow us to see how Lanham Act.’’ 1–800–CONTACTS does associated with estimating which—and they work in conjunction with one not identify with specificity which how many—numbers a bidder may win. another. requirements the Commission would It further encourages value-creating 83. We also disagree with the violate, or provide support for its entities to promote efficiency by argument that ‘‘abandoning the argument. The United States Court of procuring rights to numbers with an brokering rule . . . violates the statutory Appeals for the Sixth Circuit has found, intent to sell those rights to other mandate of equitable distribution of in the context of an internet domain interested subscribers. The secondary numbers.’’ The secondary market is both name registrar, that assigning an item to market thus ensures that numbers are ‘‘orderly and efficient’’ and ‘‘fair.’’ The a third party is not ‘‘use’’ for purposes assigned to those parties who can most secondary market is ‘‘orderly’’ because of a trademark infringement claim. efficiently use them. Under our current it is simple: Competing claims are system, by contrast, a party that desires resolved by assigning rights to a number C. Secondary Markets for Toll Free a number most cannot ensure that it is to the party who values it most. The Numbers assigned that number; and if it fails to secondary market is ‘‘efficient,’’ as that 79. To fully realize the effectiveness be assigned that number, it has no term is interpreted under our precedent of assigning numbers via competitive mechanism to procure it after the initial in this context, in that it will minimize bidding, we allow for a secondary assignment. An auction mechanism number exhaust by allowing rights to market of toll free numbers won at with a robust secondary market not only numbers to be obtained without auction. In the Toll Free Assignment ensures that numbers are assigned to the requiring the opening of a new code. NPRM, the Commission sought bidder that values them most at the time Finally, the secondary market is ‘‘fair’’

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because no potential subscribers are potential targets for revision. After the create a ‘‘Transitional Status’’ category discriminated against; there is equal release of the NPRM, the Bureau for numbers that have been opportunity to participate in the directed the NANC to recommend disconnected for less than four months, secondary market. possible rule changes to promote a but for which no service provider 84. To allow for a secondary market market-based approach to the intercept recording (also known as to develop, we adopt exceptions to the assignment of toll free numbers. In Exchange Carrier Intercept Recording) is Commission’s rules prohibiting the response to this direction, the NANC being provided. (Transitional Status is brokering, hoarding, and warehousing of Toll Free Number Assignment thus distinct from Disconnect Status, toll free numbers for numbers acquired Modernization Working Group where a service provider intercept in an auction. (We also modify our rule recommended revisions to sections recording (i.e., a recording explaining limiting how long a number may remain 52.101 and 52.103 of our rules regarding that a number has been disconnected) is in ‘‘reserved’’ status in order to general definitions and lag times. being provided.) The NANC comments, harmonize that rule with the exceptions 88. General Definitions. We revise and we agree, that adding this we adopt today.) Because, as explained, section 52.101(a) to replace the term Transitional Status will better align the a secondary market can promote the ‘‘Number Administration and Service Commission’s rules with current efficiency of an auction, we find that it Center’’ (NASC) with the term ‘‘Toll industry practice. is appropriate that we apply our Free Numbering Administrator.’’ 91. Second, we modify section exceptions to numbers assigned via (Section 52.101(a) currently defines 52.103(d) to make the existing competitive bidding. Numbers which ‘‘Number Administration and Service Disconnect Status rule compatible with are eligible for this exception by virtue Center’’ as ‘‘The entity that provides a market-based number assignment of having been assigned via competitive user support for the Service approach. Section 52.103(d) requires bidding do not lose their eligibility if Management System and administers disconnected numbers to stay in they are sold or otherwise transferred to the Service Management System Disconnect Status for a period of up to another subscriber. Numbers which are database on a day-to-day basis.’’) four months, and then go to Spare returned to the spare pool, however, do Despite the fact that the Commission Status at the end of that period. The not retain eligibility for the exception has used the term Toll Free Numbering NANC Report recommends amending simply because they were once assigned Administrator for several years, our the rule to allow numbers that have in an auction. rules have not reflected that been in Disconnect Status for up to four 85. We decline, at this time, to terminology. Our rules’ reference to the months to go directly to Unavailable or mandate that fees associated with the NASC is now outdated, and this Spare Status. (We note that numbers set- sale of numbers on the secondary revision will update the Commission’s aside for a market-based assignment are market go to the cost of toll free rules to reflect current industry placed in unavailable status.) We numbering administration borne by terminology. We further modify our conclude, and the NANC agrees, that Somos. We are convinced by the record definition, consistent with the NANC’s allowing numbers to go from Disconnect that our rules should not ‘‘increase the recommendation, to reflect that the Toll Status to Unavailable—rather than costs to subscribers.’’ However, as we Free Numbering Administrator role is directly to Spare Status—will ensure have explained previously, in order to filled by an entity appointed under our that any number can be assigned by a evaluate the operation of the secondary authority pursuant to section 251(e)(1) market-based mechanism. This change market, we direct Somos to maintain of the Act. Because the Toll Free will allow the Toll Free Numbering data on secondary market transactions Numbering Administrator serves the Administrator to send numbers that and make that data available to the same purpose as the former NASC, have been selected for market-based Commission. To facilitate the collection however, we otherwise retain the same assignment directly into Unavailable of data, RespOrgs will be required to definition as to the role of the toll free rather than into Spare Status. We thus provide subscriber information to administrator. adopt this change, which will allow Somos, including the new subscriber’s 89. We further revise section 52.101(e) greater flexibility and further modernize name and contact information, and to expand the definition of ‘‘Toll Free the toll free assignment process. other limited information Somos deems Subscriber.’’ The Commission’s rules 92. Finally, we also adopt a change to necessary. currently define a Toll Free Subscriber section 52.103(f), ‘‘Unavailable Status.’’ as ‘‘[T]he entity that requests a The description of ‘‘Unavailable Status’’ D. Other Toll Free Rule Revisions Responsible Organization to reserve a in that section references DSMI, which 86. To further modernize our decades- toll free number from the SMS has since been replaced by Somos as the old toll free numbering rules, we adopt database.’’ Our revised rule establishes Toll Free Numbering Administrator. several definitional and technical that a Toll Free Subscriber is ‘‘The The definition should be updated to updates to improve clarity and entity that has been assigned a toll free refer to the Toll Free Numbering flexibility in toll free number number.’’ This change will make our Administrator. This revision will ensure assignment. We also incorporate definition consistent with our revised that the Commission’s rules reflect recommendations of the North rule section 52.111, which allows for current industry terminology. We also American Numbering Council (NANC, assignment via a market-based revise rule section 52.109(c) to change the Commission’s Federal Advisory methodology, by making clear that a spare ‘‘poll’’ to spare ‘‘pool,’’ thus Committee on numbering matters) to subscriber is not limited to requesting a correcting a typographical error in this revise our definitions and lag time rules toll free number be reserved in the toll rule. to be consistent with our new market- free database. For example, a subscriber 93. The ministerial revisions we adopt based toll free assignment rule. can be assigned a number through the today are a logical outgrowth of the 87. NANC Report. In the Toll Free competitive bidding process. proposals in the Toll Free Assignment Assignment NPRM, the Commission 90. Lag Times. We make multiple NPRM. As the Commission has sought comment on whether to revisions to section 52.103, which sets previously explained, ‘‘[a]n NPRM ‘‘eliminate or revise any other toll free forth the various statuses of toll free satisfies the logical outgrowth test if it rules’’ and specifically suggested numbers in the Toll Free Database. First, ‘expressly ask[s] for comment on a sections 52.101(d) and 52.103 as we adopt a new section 52.103(a)(10) to particular issue or otherwise ma[kes]

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clear that the agency [is] contemplating numbering and to make such numbers 3. Pursuant to the objectives set forth a particular change.’’’ That test is available on an equitable basis.’’ And in the Toll Free Assignment NPRM, this satisfied here. The Toll Free Assignment section 201(b) authorizes the Report and Order (Order) adopts NPRM expressly proposed a revision to Commission to ‘‘prescribe such rules changes to Commission rules regarding the rules governing toll free number and regulations as may be necessary in toll free number assignment. assignment to allow for assignment via the public interest to carry out the Specifically, the Order (1) revises the competitive bidding. It further sought provisions of this [Act].’’ Commission’s toll free assignment rule comment on whether to ‘‘eliminate or 95. CenturyLink argues that we do not to allow for the use of competitive revise any other toll free rules,’’ with have authority to assign toll free bidding for toll free numbers; (2) specific reference to sections 52.101(d) numbers through competitive bidding establishes the use of competitive and 52.103 of the rules. Our ministerial because, unlike in the context of bidding to assign the over 17,000 revisions, with one minor exception, spectrum auctions, Congress did not mutually exclusive numbers in the 833 apply to sections 52.101 and 52.103. specifically task the Commission with toll free code, identified pursuant to the (The exception is our revision to section using competitive bidding for toll free 833 Code Opening Order; (3) exempts 52.109(c), correcting a typographical numbers. Since the Act was adopted in numbers assigned via competitive error in that rule.) Further, the revisions 1934, however, Congress has stated with bidding from the rules preventing the operate to harmonize those rules with particularity the various means for development of a secondary market; and the competitive bidding assignment assignment of spectrum licenses; the (4) makes ministerial changes to our toll methodology expressly noticed in the specific addition of an assignment via free number assignment rules. These Toll Free Assignment NPRM. We find competitive bidding supplemented the modifications to our toll free number that ‘‘parties should have anticipated previous Congressional direction to assignment rules will create a more that the rule [revisions] ultimately make licenses available via an efficient method of toll free number adopted [were] possible.’’ We also find application process or random assignment, consistent with our good cause, to the extent necessary, to assignment. By contrast, Congress has statutory mandate. Ultimately, these adopt these ministerial changes. These used much more general language in reforms will ensure the equitable and revisions are insignificant and section 251 and thus given us broad efficient assignment of toll free inconsequential to the industry and the discretion to administer numbering. In numbers. public. Our revisions to sections Congress’s grant of ‘‘exclusive B. Summary of Significant Issues Raised 52.101(a), 52.103(a)(10), 52.103(f), and jurisdiction over those portions of the 52.109(c) either correct typographical by Public Comments in Response to the North American Numbering Plan that IRFA errors or bring our rules into line with pertain to the United States’’ in section 4. The Commission did not receive contemporary practice and do not 251(e)(1), we find authority to employ increase or otherwise modify any comments addressing the rules and any number assignment mechanisms entities’ regulatory burden. Our policies proposed in the IRFAs in the which meet the statute’s ‘‘equitable revisions to sections 52.101(e) and Toll Free Assignment NPRM. basis’’ requirement, including 52.103(d) similarly do not impact any competitive bidding. C. Response to Comments by the Chief entities’ regulatory burden, and only Counsel for Advocacy of the SBA harmonize our rules to allow for the IV. Final Regulatory Flexibility successful operation of the competitive Analysis 5. Pursuant to the Small Business Jobs bidding assignment methodology we Act of 2010, which amended the RFA, adopt today. 1. As required by the Regulatory the Commission is required to respond Flexibility Act of 1980, as amended to any comments filed by the Chief E. Legal Authority (RFA), an Initial Regulatory Flexibility Counsel for Advocacy of the Small 94. The Commission has found Analysis (IRFA) was incorporated into Business Administration (SBA), and to section 251(e)(1) of the Act ‘‘to empower the Notice of Proposed Rulemaking (Toll provide a detailed statement of any the Commission to ensure that toll free Free Assignment NPRM) for the Toll change made to the proposed rules as a numbers, which are a scarce and Free Assignment Modernization result of those comments. valuable national public resource, are proceeding. The Commission sought 6. The Chief Counsel did not file any allocated in an equitable and orderly written public comment on the comments in response to this manner that serves the public interest.’’ proposals in the Toll Free Assignment proceeding. Pursuant to these statutory mandates, NPRM, including comment on the IRFA. D. Description and Estimate of the the Commission has the ‘‘authority to The Commission received no comments set policy with respect to all facets of on the IRFA. Because the Commission Number of Small Entities to Which the numbering administration in the United amends its rules in this Order, the Rules Will Apply States,’’ and a ‘‘require[ment] . . . to Commission has included this Final 7. The RFA directs agencies to ensure the efficient, fair, and orderly Regulatory Flexibility Analysis (FRFA). provide a description and, where allocation of toll free numbers.’’ The This present FRFA conforms to the feasible, an estimate of the number of actions we take today meet the statutory RFA. small entities that may be affected by the final rules adopted pursuant to the requirement that numbers be made A. Need for, and Objectives of, the Rules ‘‘available on an equitable basis’’—an Order. The RFA generally defines the auction and secondary market are both 2. In the Toll Free Assignment NPRM, term ‘‘small entity’’ as having the same efficient and orderly, and fair. We also the Commission reconsidered how to meaning as the terms ‘‘small business,’’ have clear authority to require Somos to best meet the statutory mandate that it ‘‘small organization,’’ and ‘‘small serve as the auctioneer for 833 numbers make toll free numbers ‘‘available on an governmental jurisdiction.’’ In addition, and to comply with requirements equitable basis.’’ To this end, the the term ‘‘small business’’ has the same adopted in this order. Section 251(e)(1) Commission proposed and sought meaning as the term ‘‘small-business obligates the Commission to ensure its comment on numerous regulatory concern’’ under the Small Business Act. Toll Free Numbering Administrator reforms to existing rules regarding toll (Pursuant to 5 U.S.C. 601(3), the administers ‘‘telecommunications free number assignment. statutory definition of a small business

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applies ‘‘unless an agency, after local government organizations were exchange services. The closest consultation with the Office of small, we note that there were a total of applicable NAICS Code category is Advocacy of the Small Business 715 cities and towns (incorporated Wired Telecommunications Carriers as Administration and after opportunity places and minor civil divisions) with defined above. Under that size standard, for public comment, establishes one or populations over 50,000 in 2011. If we such a business is small if it has 1,500 more definitions of such term which are subtract the 715 cities and towns that or fewer employees. According to appropriate to the activities of the meet or exceed the 50,000 population Commission data, 3,117 firms operated agency and publishes such definition(s) threshold, we conclude that in that year. Of this total, 3,083 operated in the Federal Register.’’) A ‘‘small- approximately 88,761 are small.) Thus, with fewer than 1,000 employees. business concern’’ is one which: (1) Is we estimate that most governmental Consequently, the Commission independently owned and operated; (2) jurisdictions are small. estimates that most providers of is not dominant in its field of operation; 10. Wired Telecommunications incumbent local exchange service are and (3) satisfies any additional criteria Carriers. The U.S. Census Bureau small businesses that may be affected by established by the SBA. defines this industry as ‘‘establishments the rules and policies adopted. Three 8. The changes to our toll free number primarily engaged in operating and/or hundred and seven (307) Incumbent assignment rules affect obligations on providing access to transmission Local Exchange Carriers reported that wired and wireless telecommunications facilities and infrastructure that they they were incumbent local exchange carriers, local exchange and own and/or lease for the transmission of service providers. Of this total, an interexchange carriers, local and toll voice, data, text, sound, and video using estimated 1,006 have 1,500 or fewer resellers, prepaid calling card providers, wired communications networks. employees. and cable operators. Transmission facilities may be based on 13. Competitive Local Exchange 9. Small Businesses, Small a single technology or a combination of Carriers (Competitive LECs), Organizations, Small Governmental technologies. Establishments in this Competitive Access Providers (CAPs), Jurisdictions. Our actions, over time, industry use the wired Shared-Tenant Service Providers, and may affect small entities that are not telecommunications network facilities Other Local Service Providers. Neither easily categorized at present. We that they operate to provide a variety of the Commission nor the SBA has therefore describe here, at the outset, services, such as wired telephony developed a small business size three comprehensive small entity size services, including VoIP services, wired standard specifically for these service standards that could be directly affected (cable) audio and video programming providers. The appropriate NAICS Code herein. First, while there are industry distribution, and wired broadband category is Wired Telecommunications specific size standards for small internet services. By exception, Carriers, as defined above. Under that businesses that are used in the establishments providing satellite size standard, such a business is small regulatory flexibility analysis, according television distribution services using if it has 1,500 or fewer employees. U.S. to data from the SBA’s Office of facilities and infrastructure that they Census data for 2012 indicate that 3,117 Advocacy, in general a small business is operate are included in this industry.’’ firms operated during that year. Of that an independent business having fewer The SBA has developed a small number, 3,083 operated with fewer than than 500 employees. These types of business size standard for Wired 1,000 employees. Based on this data, the small businesses represent 99.9% of all Telecommunications Carriers, which Commission concludes that the majority businesses in the United States which consists of all such companies having of Competitive LECS, CAPs, Shared- translates to 28.8 million businesses. 1,500 or fewer employees. Census data Tenant Service Providers, and Other Next, the type of small entity described for 2012 show that there were 3,117 Local Service Providers, are small as a ‘‘small organization’’ is generally firms that operated that year. Of this entities. According to Commission data, ‘‘any not-for-profit enterprise which is total, 3,083 operated with fewer than 1,442 carriers reported that they were independently owned and operated and 1,000 employees. Thus, under this size engaged in the provision of either is not dominant in its field.’’ standard, the majority of firms in this competitive local exchange services or Nationwide, as of 2007, there were industry can be considered small. competitive access provider services. Of approximately 1,621,215 small 11. Local Exchange Carriers (LECs). these 1,442 carriers, an estimated 1,256 organizations. Finally, the small entity Neither the Commission nor the SBA have 1,500 or fewer employees. In described as a ‘‘small governmental has developed a size standard for small addition, 17 carriers have reported that jurisdiction’’ is defined generally as businesses specifically applicable to they are Shared-Tenant Service ‘‘governments of cities, towns, local exchange services. The closest Providers, and all 17 are estimated to townships, villages, school districts, or applicable NAICS Code category is have 1,500 or fewer employees. Also, 72 special districts, with a population of Wired Telecommunications Carriers as carriers have reported that they are less than fifty thousand.’’ U.S. Census defined above. Under the applicable Other Local Service Providers. Of this Bureau data published in 2012 indicate SBA size standard, such a business is total, 70 have 1,500 or fewer employees. that there were 89,476 local small if it has 1,500 or fewer employees. Consequently, based on internally governmental jurisdictions in the According to Commission data, census researched FCC data, the Commission United States. We estimate that, of this data for 2012 shows that there were estimates that most providers of total, as many as 88,761 entities may 3,117 firms that operated that year. Of competitive local exchange service, qualify as ‘‘small governmental this total, 3,083 operated with fewer competitive access providers, Shared- jurisdictions.’’ (The 2012 U.S. Census than 1,000 employees. The Commission Tenant Service Providers, and Other Bureau data for small governmental therefore estimates that most providers Local Service Providers are small organizations are not presented based of local exchange carrier service are entities. on the size of the population in each small entities that may be affected by 14. We have included small organization. There were 89,476 local the rules adopted. incumbent LECs in this present RFA governmental organizations in the 12. Incumbent LECs. Neither the analysis. As noted above, a ‘‘small Census Bureau data for 2012, which is Commission nor the SBA has developed business’’ under the RFA is one that, based on 2007 data. As a basis of a small business size standard inter alia, meets the pertinent small estimating how many of these 89,476 specifically for incumbent local business size standard (e.g., a telephone

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communications business having 1,500 category and the associated small the provision of other toll carriage. Of or fewer employees), and ‘‘is not business size standard, the majority of these, an estimated 279 have 1,500 or dominant in its field of operation.’’ The these prepaid calling card providers can fewer employees. Consequently, the SBA’s Office of Advocacy contends that, be considered small entities. Commission estimates that most Other for RFA purposes, small incumbent 17. Toll Resellers. The Commission Toll Carriers are small entities that may LECs are not dominant in their field of has not developed a definition for Toll be affected by rules adopted pursuant to operation because any such dominance Resellers. The closest NAICS Code the Report and Order. is not ‘‘national’’ in scope. (The Small Category is Telecommunications 19. Prepaid Calling Card Providers. Business Act contains a definition of Resellers. The Telecommunications The SBA has developed a definition for ‘‘small business concern,’’ which the Resellers industry comprises small businesses within the category of RFA incorporates into its own definition establishments engaged in purchasing Telecommunications Resellers. Under of ‘‘small business.’’ SBA regulations access and network capacity from that SBA definition, such a business is interpret ‘‘small business concern’’ to owners and operators of small if it has 1,500 or fewer employees. include the concept of dominance on a telecommunications networks and According to the Commission’s Form national basis.) We have therefore reselling wired and wireless 499 Filer Database, 500 companies included small incumbent LECs in this telecommunications services (except reported that they were engaged in the RFA analysis, although we emphasize satellite) to businesses and households. provision of prepaid calling cards. The that this RFA action has no effect on Establishments in this industry resell Commission does not have data Commission analyses and telecommunications; they do not regarding how many of these 500 determinations in other, non-RFA operate transmission facilities and companies have 1,500 or fewer contexts. infrastructure. Mobile virtual network employees. Consequently, the 15. Interexchange Carriers (IXCs). operators (MVNOs) are included in this Commission estimates that there are 500 Neither the Commission nor the SBA industry. The SBA has developed a or fewer prepaid calling card providers has developed a definition for small business size standard for the that may be affected by the rules. Interexchange Carriers. The closest category of Telecommunications 20. Wireless Telecommunications NAICS Code category is Wired Resellers. Under that size standard, such Carriers (except Satellite). This industry Telecommunications Carriers as defined a business is small if it has 1,500 or comprises establishments engaged in above. The applicable size standard fewer employees. Census data for 2012 operating and maintaining switching under SBA rules is that such a business show that 1,341 firms provided resale and transmission facilities to provide is small if it has 1,500 or fewer services during that year. Of that communications via the airwaves. employees. U.S. Census data for 2012 number, 1,341 operated with fewer than Establishments in this industry have indicates that 3,117 firms operated 1,000 employees. Thus, under this spectrum licenses and provide services during that year. Of that number, 3,083 category and the associated small using that spectrum, such as cellular operated with fewer than 1,000 business size standard, the majority of services, paging services, wireless employees. According to internally these resellers can be considered small internet access, and wireless video developed Commission data, 359 entities. According to Commission data, services. The appropriate size standard companies reported that their primary 881 carriers have reported that they are under SBA rules is that such a business telecommunications service activity was engaged in the provision of toll resale is small if it has 1,500 or fewer the provision of interexchange services. services. Of this total, an estimated 857 employees. For this industry, U.S. Of this total, an estimated 317 have have 1,500 or fewer employees. Census data for 2012 show that there 1,500 or fewer employees. Consequently, the Commission were 967 firms that operated for the Consequently, the Commission estimates that the majority of toll entire year. Of this total, 955 firms had estimates that the majority of IXCs are resellers are small entities. employment of 999 or fewer employees small entities that may be affected by 18. Other Toll Carriers. Neither the and 12 had employment of 1000 our proposed rules. Commission nor the SBA has developed employees or more. (Available census 16. Local Resellers. The SBA has a definition for small businesses data do not provide a more precise developed a small business size specifically applicable to Other Toll estimate of the number of firms that standard for the category of Carriers. This category includes toll have employment of 1,500 or fewer Telecommunications Resellers. The carriers that do not fall within the employees; the largest category Telecommunications Resellers industry categories of interexchange carriers, provided is for firms with ‘‘1000 comprises establishments engaged in operator service providers, prepaid employees or more.’’) Thus under this purchasing access and network capacity calling card providers, satellite service category and the associated size from owners and operators of carriers, or toll resellers. The closest standard, the Commission estimates that telecommunications networks and applicable NAICS Code category is for the majority of wireless reselling wired and wireless Wired Telecommunications Carriers as telecommunications carriers (except telecommunications services (except defined above. Under the applicable satellite) are small entities. satellite) to businesses and households. SBA size standard, such a business is 21. The Commission’s own data— Establishments in this industry resell small if it has 1,500 or fewer employees. available in its Universal Licensing telecommunications; they do not Census data for 2012 shows that there System—indicate that, as of October 25, operate transmission facilities and were 3,117 firms that operated that year. 2016, there are 280 Cellular licensees infrastructure. Mobile virtual network Of this total, 3,083 operated with fewer that will be affected by our actions operators (MVNOs) are included in this than 1,000 employees. Thus, under this today. (For the purposes of this FRFA, industry. Under that size standard, such category and the associated small consistent with Commission practice for a business is small if it has 1,500 or business size standard, the majority of wireless services, the Commission fewer employees. Census data for 2012 Other Toll Carriers can be considered estimates the number of licensees based show that 1,341 firms provided resale small. According to internally on the number of unique FCC services during that year. Of that developed Commission data, 284 Registration Numbers.) The Commission number, all operated with fewer than companies reported that their primary does not know how many of these 1,000 employees. Thus, under this telecommunications service activity was licensees are small, as the Commission

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does not collect that information for year. Of this total, 357 operated with these cable system operators are these types of entities. Similarly, less than 1,000 employees. Accordingly affiliated with entities whose gross according to internally developed we conclude that a substantial majority annual revenues exceed $250 million, Commission data, 413 carriers reported of firms in this industry are small under we are unable at this time to estimate that they were engaged in the provision the applicable SBA size standard. with greater precision the number of of wireless telephony, including cellular 25. Cable Companies and Systems cable system operators that would service, Personal Communications (Rate Regulation). The Commission has qualify as small cable operators under Service, and Specialized Mobile Radio developed its own small business size the definition in the Communications Telephony services. Of this total, an standards for the purpose of cable rate Act. estimated 261 have 1,500 or fewer regulation. Under the Commission’s 27. All Other Telecommunications. employees, and 152 have more than rules, a ‘‘small cable company’’ is one The ‘‘All Other Telecommunications’’ 1,500 employees. Thus, using available serving 400,000 or fewer subscribers industry is comprised of establishments data, we estimate that the majority of nationwide. Industry data indicate that that are primarily engaged in providing wireless firms can be considered small. there are currently 4,600 active cable specialized telecommunications 22. Wireless Communications systems in the United States. (This services, such as satellite tracking, Services. This service can be used for figure was derived from a August 15, communications telemetry, and radar fixed, mobile, radiolocation, and digital 2015 report from the FCC Media Bureau, station operation. This industry also audio broadcasting satellite uses. The based on data contained in the includes establishments primarily Commission defined ‘‘small business’’ Commission’s Cable Operations and engaged in providing satellite terminal for the wireless communications Licensing System (COALS).) Of this stations and associated facilities services (WCS) auction as an entity with total, all but eleven cable operators connected with one or more terrestrial average gross revenues of $40 million nationwide are small under the 400,000- systems and capable of transmitting for each of the three preceding years, subscriber size standard. In addition, telecommunications to, and receiving and a ‘‘very small business’’ as an entity under the Commission’s rate regulation telecommunications from, satellite with average gross revenues of $15 rules, a ‘‘small system’’ is a cable system systems. Establishments providing million for each of the three preceding serving 15,000 or fewer subscribers. internet services or voice over internet years. The SBA has approved these Current Commission records show 4,600 protocol (VoIP) services via client- definitions. cable systems nationwide. Of this total, supplied telecommunications 23. Wireless Telephony. Wireless 3,900 cable systems have fewer than connections are also included in this telephony includes cellular, personal 15,000 subscribers, and 700 systems industry. The SBA has developed a communications services, and have 15,000 or more subscribers, based small business size standard for ‘‘All specialized mobile radio telephony on the same records. Thus, under this Other Telecommunications,’’ which carriers. As noted, the SBA has standard as well, we estimate that most consists of all such firms with gross developed a small business size cable systems are small entities. annual receipts of $32.5 million or less. standard for Wireless 26. Cable System Operators (Telecom For this category, U.S. Census data for Telecommunications Carriers (except Act Standard). The Communications 2012 show that there were 1,442 firms Satellite). Under the SBA small business Act also contains a size standard for that operated for the entire year. Of size standard, a business is small if it small cable system operators, which is these firms, a total of 1,400 had gross has 1,500 or fewer employees. ‘‘a cable operator that, directly or annual receipts of less than $25 million. According to Commission data, 413 through an affiliate, serves in the Thus a majority of ‘‘All Other carriers reported that they were engaged aggregate fewer than 1 percent of all Telecommunications’’ firms potentially in wireless telephony. Of these, an subscribers in the United States and is affected by our action can be considered estimated 261 have 1,500 or fewer not affiliated with any entity or entities small. employees and 152 have more than whose gross annual revenues in the 1,500 employees. Therefore, a little less aggregate exceed $250,000,000.’’ There E. Description of Projected Reporting, than one third of these entities can be are approximately 52,403,705 cable Recordkeeping, and Other Compliance considered small. video subscribers in the United States Requirements for Small Entities 24. Cable and Other Subscription today. Accordingly, an operator serving 28. Auction Applications and Programming. This industry comprises fewer than 524,037 subscribers shall be Certifications. The Order establishes the establishments primarily engaged in deemed a small operator if its annual use competitive bidding to assign the operating studios and facilities for the revenues, when combined with the total over 17,000 mutually exclusive numbers broadcasting of programs on a annual revenues of all its affiliates, do in the 833 toll free code, identified subscription or fee basis. The broadcast not exceed $250 million in the pursuant to the 833 Code Opening programming is typically narrowcast in aggregate. Based on available data, we Order. In order to participate in the nature (e.g., limited format, such as find that all but nine incumbent cable competitive bidding process, a potential news, sports, education, or youth- operators are small entities under this participant will be obligated to submit oriented). These establishments produce size standard. We note that the an application including information programming in their own facilities or Commission neither requests nor regarding, but not limited to, ownership acquire programming from external collects information on whether cable information. Potential participants will sources. The programming material is system operators are affiliated with also be required to submit certifications usually delivered to a third party, such entities whose gross annual revenues stating that they will follow certain as cable systems or direct-to-home exceed $250 million. (The Commission auction rules and requirements, satellite systems, for transmission to does receive such information on a case- including the limitation that each viewers. The SBA has established a size by-case basis if a cable operator appeals auction participant bid on behalf of only standard for this industry stating that a a local franchise authority’s finding that one interested party (including itself) for business in this industry is small if it the operator does not qualify as a small the same toll free numbers. has 1,500 or fewer employees. The 2012 cable operator pursuant to section 29. Secondary Market Transfers. The Economic Census indicates that 367 76.901(f) of the Commission’s rules.) Order exempts numbers assigned via firms were operational for that entire Although it seems certain that some of competitive bidding from the rules

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preventing the development of a Report and Order, to Congress and the free numbers to governmental and non- secondary market. We require Somos, Government Accountability Office profit entities where such grant is Inc., the Toll Free Numbering pursuant to the Congressional Review consistent with the public health and Administrator, to maintain information Act, see 5 U.S.C. 801(a)(1)(A). safety standards in Commission regarding post-auction secondary 35. Paperwork Reduction Act of 1995 precedent. market transfers. Entities will be Analysis. This Order contains new or 41. It is further ordered that the required to provide transaction modified information collection Commission’s Consumer & information to Somos, including the requirements subject to the Paperwork Governmental Affairs Bureau, Reference new subscriber’s name and contact Reduction Act of 1995 (PRA), Public Information Center, shall send a copy of information and other limited Law 104–13. It will be submitted to the this Report and Order to Congress and information as necessary. Office of Management and Budget the Government Accountability Office (OMB) for review under section 3507(d) pursuant to the Congressional Review F. Steps Taken To Minimize the of the PRA, 44 U.S.C. 3507. OMB, the Act, see 5 U.S.C. 801(a)(1)(A). Significant Economic Impact on Small general public, and other Federal Entities, and Significant Alternatives agencies will be invited to comment on List of Subjects in 47 CFR Part 52 Considered the revised information collection Communications common carriers, 30. In this Order, the Commission requirements contained in this Telecommunications, Telephone. modifies its toll free number assignment proceeding. In addition, we note that Federal Communications Commission. pursuant to the Small Business rules to promote the efficient and Marlene H. Dortch, equitable assignment of toll free Paperwork Relief Act of 2002, Public Secretary. numbers. Overall, we believe the actions Law 107–198, see 44 U.S.C. 3506(c)(4), in this document will reduce burdens we previously sought specific comment Final Rules on toll free number subscribers, on how the Commission might further For the reasons set forth above, part potential subscribers, and Responsible reduce the information collection 52 of Title 47 of the Code of Federal Organizations, including any small burden for small business concerns with Regulations is amended as follows: entities. fewer than 25 employees. 31. In the Order, we find that revising 36. Final Regulatory Flexibility PART 52—NUMBERING our rule to allow for an auction-based Analysis. As required by the Regulatory assignment methodology will benefit Flexibility Act of 1980, see 5 U.S.C. 604, ■ 1. The authority citation for part 52 smaller entities. Our first-come, first- the Commission has prepared a Final continues to read as follows: served assignment methodology has Regulatory Flexibility Analysis (FRFA) Authority: 47 U.S.C. 151, 152, 153, 154, allowed larger, more sophisticated of the possible significant economic 155, 201–205, 207–209, 218, 225–227, 251– entities to invest in systems that impact on small entities of the policies 252, 271, 332, unless otherwise noted. provided enhanced connectivity to the and rules, as proposed, addressed in Toll Free Database, allowing these this Order. The FRFA is contained in Subpart D—Toll Free Numbers entities to be assigned desirable Section IV above. ■ 2. Amend § 52.101 by revising numbers before smaller competitors. An VI. Ordering Clauses auction-based assignment methodology, paragraphs (a) and (e) to read as follows: 37. Accordingly, it is ordered that, by contrast, does not allow § 52.101 General definitions. pursuant to sections 1, 4(i), 201(b), and sophisticated entities this advantage. * * * * * 32. In the Order, we also establish the 251(e)(1) of the Communications Act of (a) Toll Free Numbering use of a Vickrey single round, sealed-bid 1934, as amended, 47 U.S.C. 151, 154(i), Administrator (TFNA). The entity auction to assign the over 17,000 201(b), and 251(e)(1), this Order is appointed by the Commission under its mutually exclusive numbers in the 833 adopted. authority pursuant to 47 U.S.C. 251(e)(1) toll free code, identified pursuant to the 38. It is further ordered that Part 52 that provides user support for the 833 Code Opening Order. We conclude of the Commission’s rules are amended Service Management System database that the use of this type of auction is as set forth in Appendix A, and such and administers the Service appropriate because it is simple to rule amendments shall be effective Management System database on a day- participate in, addressing concerns that thirty (30) days after publication of the to-day basis. an auction-based assignment rule amendments in the Federal methodology is more complicated than Register. * * * * * the first-come, first-served approach. 39. It is further ordered that, pursuant (e) Toll Free Subscriber. The entity to sections 1, 4(i), 5(c), and 251(e)(1) of that has been assigned a toll free G. Report to Congress the Communications Act of 1934, as number. 33. The Commission will send a copy amended, 47 U.S.C. 151, 154(i), 155(c), * * * * * of the Report and Order, including this 251(e)(1), Somos, Inc., the Toll Free ■ 3. Amend § 52.103 by adding FRFA, in a report to be sent to Congress Numbering Administrator, is directed to paragraphs (a)(10) and (b)(1); adding pursuant to the Congressional Review retain and make available to the and reserving paragraph (b)(2); and Act. In addition, the Commission will Commission all data and information revising paragraphs (d) and (f) to read as send a copy of the Report and Order, about the auction and its administration follows: including this FRFA, to the Chief gathered before, during, and after the Counsel for Advocacy of the SBA. A auction. § 52.103 Lag times. copy of the Order and FRFA (or 40. It is further ordered that, pursuant (a) * * * summaries thereof) will also be to section 251(e)(1) of the (10) Transitional Status. Toll free published in the Federal Register. Communications Act of 1934, as numbers that have been disconnected amended, the Wireline Competition for less than four months, but for which V. Procedural Matters Bureau is directed to review specific no Exchange Carrier Intercept Recording 34. Congressional Review Act. The petitions and, as necessary and after a is being provided. Commission will send a copy of this notice and comment period, grant toll (b) * * *

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(1) Toll free numbers assigned via (c) Toll Free Numbers Assigned via this final rule announces that there were competitive bidding may remain in Competitive Bidding. The provisions of no new light-duty truck (LDT) lines reserved status for a period of unlimited this section shall not apply to toll free added because none became subject to duration. numbers assigned via competitive the theft prevention standard for MY (2) [Reserved] bidding or to numbers transferred under 2017. This final rule also identifies * * * * * the exception to § 52.105 contained in those vehicle lines exempted from parts (d) Disconnect Status. Toll free paragraph (f) of that section. marking requirements and removes the numbers must remain in disconnect or ■ 6. Amend § 52.109 by revising names of vehicle lines whose a combination of disconnect and paragraph (c) to read as follows: production has been discontinued more transitional status for up to 4 months. than 5 years. No requests for extension of the 4- § 52.109 Permanent cap on number DATES: This final rule is effective reservations. month disconnect or transitional October 23, 2018. interval will be granted. All toll free * * * * * FOR FURTHER INFORMATION CONTACT: numbers in disconnect status must go (c) The Wireline Competition Bureau Hisham Mohamed, Consumer Standards directly into the spare or unavailable shall modify the quantity of numbers a Division, Office of International Policy, category upon expiration of the Responsible Organization may have in Fuel Economy and Consumer Programs, 4-month disconnect interval. A reserve status or the percentage of NHTSA, West Building, 1200 New Responsible Organization may not numbers in the spare pool that a Jersey Avenue SE, (NRM–310, Room retrieve a toll free number from Responsible Organization may reserve W43–437) Washington, DC 20590. Mr. disconnect or transitional status and when exigent circumstances make such Mohamed’s telephone number is 202– return that number directly to working action necessary. The Wireline 366–0307. His fax number is 202–493– status at the expiration of the 4-month Competition Bureau shall establish, 2990. disconnect interval. modify, and monitor toll free number SUPPLEMENTARY INFORMATION: The theft conservation plans when exigent * * * * * prevention standard (49 CFR part 541) circumstances necessitate such action. (f) Unavailable Status. (1) Written applies to (1) all passenger car lines; (2) requests to make a specific toll free ■ 7. Revise § 52.111 to read as follows: all multipurpose passenger vehicle number unavailable must be submitted (MPV) lines with a gross vehicle weight to the Toll Free Numbering § 52.111 Toll free number assignment. rating (GVWR) of 6,000 pounds or less; Administrator (TFNA) by the Toll free telephone numbers must be (3) low-theft light-duty truck (LDT) lines Responsible Organization managing the made available to Responsible with a GVWR of 6,000 pounds or less records of the toll free number. The Organizations and subscribers on an that have major parts that are request shall include the appropriate equitable basis. The Commission will interchangeable with a majority of the documentation of the reason for the assign toll free numbers by competitive covered major parts of passenger car or request. The Toll Free Numbering bidding, on a first-come, first-served MPV lines; and (4) high-theft LDT lines Administrator (TFNA) is the only entity basis, by an alternative assignment with a GVWR of 6,000 pounds or less. that can assign this status to or remove methodology, or by a combination of the The purpose of the theft prevention this status from a number. Responsible foregoing options. standard is to reduce the incidence of Organizations that have a Toll Free [FR Doc. 2018–22674 Filed 10–22–18; 8:45 am] motor vehicle theft by facilitating the Subscriber with special circumstances BILLING CODE 6712–01–P tracing and recovery of parts from stolen requiring that a toll free number be vehicles. The standard seeks to facilitate designated for that particular subscriber such tracing by requiring that vehicle far in advance of its actual usage may DEPARTMENT OF TRANSPORTATION identification numbers (VINs), VIN request that the Toll Free Numbering derivative numbers, or other symbols be Administrator (TFNA) place such a National Highway Traffic Safety placed on major component vehicle number in unavailable status. Administration (2) Seasonal numbers shall be placed parts. The theft prevention standard requires motor vehicle manufacturers to in unavailable status. The Responsible 49 CFR Part 541 Organization for a Toll Free Subscriber inscribe or affix VINs onto covered who does not have a year round need [Docket No. NHTSA–2016–0046] original equipment major component parts, and to inscribe or affix a symbol for a toll free number shall follow the RIN 2127–AL72 procedures outlined in § 52.103(f)(1) of identifying the manufacturer and a these rules if it wants the Toll Free Federal Motor Vehicle Theft Prevention common symbol identifying the Numbering Administrator (TFNA) to Standard; Final Listing of 2017 Light replacement component parts for those place a particular toll free number in Duty Truck Lines Subject to the original equipment parts, on all vehicle unavailable status. Requirements of This Standard and lines subject to the requirements of the ■ 4. Amend § 52.105 by adding Exempted Vehicle Lines for Model Year standard. Section 33104(d) provides that once a paragraph (f) to read as follows: 2017 line has become subject to the theft § 52.105 Warehousing. AGENCY: National Highway Traffic prevention standard, the line remains * * * * * Safety Administration (NHTSA), U.S. subject to the requirements of the (f) The provisions of this section shall Department of Transportation. standard unless it is exempted under not apply to toll free numbers assigned ACTION: Final rule. section 33106. Section 33106 provides via competitive bidding or to numbers that a manufacturer may petition transferred under this exception. SUMMARY: This final rule announces the annually to have one vehicle line ■ 5. Amend § 52.107 by adding annual update to the listings of light exempted from the requirements of paragraph (c) to read as follows: duty truck lines subject to the section 33104, if the line is equipped requirements and vehicle lines with an antitheft device meeting certain § 52.107 Hoarding. exempted from the requirements in the conditions as standard equipment. The * * * * * theft prevention standard. Specifically, exemption is granted if NHTSA

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determines that the antitheft device is accordance with the procedures of 49 comment or otherwise promulgates a likely to be as effective as compliance CFR part 543 and 49 U.S.C. 33106. new regulation, it shall identify at least with the theft prevention standard in Therefore, NHTSA finds good cause two existing regulations to be repealed. reducing and deterring motor vehicle under 5 U.S.C. 553(b)(3)(B) that notice In addition, any new incremental costs thefts. and opportunity for comment on these associated with new regulations shall, to The agency annually publishes the listings are unnecessary. Further, public the extent permitted by law, be offset by names of those LDT lines that have been comment on the listing of selections and the elimination of existing costs. Only determined to be high theft pursuant to exemptions is not contemplated by 49 those rules deemed significant under 49 CFR part 541, LDT lines that have U.S.C. chapter 331. For the same section 3(f) of Executive Order 12866, been determined to have major parts reasons, since this revised listing only ‘‘Regulatory Planning and Review,’’ are that are interchangeable with a majority informs the public of previous agency subject to these requirements. As of the covered major parts of passenger actions and does not impose additional discussed above, this rule is not a car or MPV lines, and vehicle lines that obligations on any party, NHTSA finds significant rule under Executive Order are exempted from the theft prevention good cause under 5 U.S.C. 553(d)(3) that 12866 and, accordingly, is not subject to standard under section 33104. the amendment made by this document the offset requirements of Executive Appendix A to part 541 identifies those should be effective as soon as it is Order 13771. LDT lines that are or will be subject to published in the Federal Register. C. National Environmental Policy Act the theft prevention standard beginning Regulatory Impacts NHTSA has analyzed this final rule in a given model year. Appendix A–I to for the purposes of the National part 541 lists those vehicle lines that are A. Executive Order 12866, Executive Environmental Policy Act. The agency or have been exempted from the theft Order 13563 and the Department of has determined that implementation of prevention standard. Transportation’s regulatory policies this action will not have any significant For MY 2017, there are no new LDT provide for making determinations on impact on the quality of the human lines that will be subject to the theft whether a regulatory action is environment as it merely informs the prevention standard in accordance with ‘‘significant’’ and therefore subject to public about previous agency actions. the procedures published in 49 CFR part Office of Management and Budget Accordingly, no environmental 542. However, appendix A to part 541 (OMB) review and to the requirements assessment is required. is amended to remove two vehicle lines of the Executive Orders. The Order D. Executive Order 13132 that have been discontinued more than defines a ‘‘significant regulatory action’’ (Federalism) 5 years ago: The Chevrolet S–10 and the as one that is likely to result in a rule The agency has analyzed this GMC Sonoma. that may: rulemaking in accordance with the For MY 2017, appendix A–1 identifies (1) Have an annual effect on the those vehicle lines that have been principles and criteria contained in economy of $100 million or more or Executive Order 13132 and has exempted by the agency from the parts- adversely affect in a material way the marking requirements of part 541 and is determined that it does not have economy, a sector of the economy, sufficient Federal implications to amended to include eleven vehicle lines productivity, competition, jobs, the newly exempted in full. The eleven warrant consultation with State and environment, public health or safety, or local officials or the preparation of a exempted vehicle lines are the BMW State, local, or Tribal governments or MINI Countryman (MPV), Chevrolet federalism summary impact statement. communities; As discussed above, this final rule only Bolt, Fiat 124 Spyder, Honda Pilot, (2) Create a serious inconsistency or provides better information to the Hyundai IONIQ, Jaguar XE, Jeep otherwise interfere with an action taken public about previous agency actions. Compass, Lexus RX, Lincoln MKC, or planned by another agency; Maserati Levante (MPV) and the Tesla (3) Materially alter the budgetary E. Unfunded Mandates Act Model 3. impact of entitlements, grants, user fees, The Unfunded Mandates Reform Act The agency is removing the Lincoln or loan programs or the rights and of 1995 requires agencies to prepare a Town Car, Mercury Mariner, Mercury obligations of recipients thereof; or written assessment of the costs, benefits Grand Marquis, Buick Lucerne, Pontiac (4) Raise novel legal or policy issues and other effects of proposed or final G6, Saturn Aura, Mazda Tribute and arising out of legal mandates, the rules that include a Federal mandate Nissan Versa (2008–2011), vehicle lines President’s priorities, or the principles likely to result in the expenditure by from the appendix A–I listing because set forth in the Executive Order. State, local or tribal governments, in the they have been discontinued more than This final rule was not reviewed aggregate, or by the private sector, of 5 years ago. The agency is also removing under Executive Order 12866. It is not more than $100 million annually the Cadillac Eldorado, Cadillac significant within the meaning of the ($120.7 million as adjusted annually for Concours, Oldsmobile Ninety-Eight, DOT Regulatory Policies and inflation with base year of 1995). The Pontiac Firebird, Chevrolet Camaro Procedures. It will not impose any new assessment may be combined with other (1990–2002) and Oldsmobile Eighty- burdens on vehicle manufacturers. This assessments, as it is here. Eight vehicle lines from the appendix document informs the public of This final rule will not result in A–II listing because they have also been previously granted exemptions. Since expenditures by State, local or tribal discontinued more than 5 years ago. The the only purpose of this final rule is to governments or automobile agency will continue to maintain a inform the public of previous actions manufacturers and/or their suppliers of comprehensive database of all taken by the agency no new costs or more than $120.7 million annually. This exemptions on our website. However, burdens will result. document informs the public of we believe that re-publishing a list B. Executive Order 13771 previously granted exemptions. Since containing vehicle lines that have not Executive Order 13771 titled the only purpose of this final rule is to been in production for a considerable ‘‘Reducing Regulation and Controlling inform the public of previous actions period of time is unnecessary. Regulatory Costs,’’ directs that, unless taken by the agency, no new costs or The vehicle lines listed as being prohibited by law, whenever an burdens will result. exempt from the standard have executive department or agency F. Executive Order 12988 (Civil previously been exempted in publicly proposes for notice and Justice Reform)

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Pursuant to Executive Order 12988, G. Paperwork Reduction Act PART 541—[AMENDED] 1 ‘‘Civil Justice Reform,’’ the agency has The Department of Transportation has ■ 1. The authority citation for part 541 considered whether this final rule has not submitted an information collection is revised to read as follows: any retroactive effect. We conclude that request to OMB for review and it would not have such an effect as it clearance under the Paperwork Authority: 49 U.S.C. 33101, 33102, 33103, only informs the public of previous Reduction Act of 1995 (Pub. L. 104–13, 33104, 33105 and 33106; delegation of agency actions. In accordance with authority at 49 CFR 1.95. 44 U.S.C. chapter 35). This rule does not section 33118 when the Theft Prevention Standard is in effect, a State impose any new information collection Appendix A to Part 541—[Removed or political subdivision of a State may requirements on manufacturers. and Reserved] not have a different motor vehicle theft List of Subjects in 49 CFR Part 541 ■ 2. Appendix A to part 541 is removed prevention standard for a motor vehicle and reserved. or major replacement part. Title 49 Administrative practice and ■ 3. Appendix A–I to part 541 is revised U.S.C. 33117 provides that judicial procedure, Labeling, Motor vehicles, to read as follows: review of this rule may be obtained Reporting and recordkeeping pursuant to 49 U.S.C. 32909. Section requirements. Appendix A–I to Part 541—Lines With 32909 does not require submission of a Antitheft Devices Which Are Exempted petition for reconsideration or other In consideration of the foregoing, 49 From the Parts-Marking Requirements administrative proceedings before CFR part 541 is amended as follows: of This Standard Pursuant to 49 CFR parties may file suit in court. Part 543

Manufacturer Subject lines

BMW ...... MINI, MINI Countryman (MPV),1 X1 (MPV), X1 Car Line (2012–2015), X3, X4, X5, Z4, 1 Car Line, 3 Car Line, 4 Car Line, 5 Car Line, 6 Car Line, 7 Car Line. CHRYSLER ...... 200, 300C, Dodge Charger, Dodge Challenger, Dodge Dart, Dodge Journey, Fiat 500, Jeep Cherokee, Jeep Com- pass,1 Jeep Grand Cherokee, Jeep Patriot, Jeep Wrangler, Town and Country MPV. FORD MOTOR CO ...... C-Max, Edge, Escape, Explorer, Fiesta, Focus, Fusion, Lincoln MKC,1 Lincoln MKX, Mustang, Taurus. GENERAL MOTORS ..... Buick LaCrosse/Regal, Buick Verano, Cadillac ATS, Cadillac CTS, Cadillac DTS, Cadillac SRX, Cadillac XTS, Chev- rolet Bolt,1 Chevrolet Camaro, Chevrolet Corvette, Chevrolet Cruze, Chevrolet Equinox, Chevrolet Impala/Monte Carlo, Chevrolet Malibu, Chevrolet Sonic, Chevrolet Spark, GMC Terrain. HONDA ...... Accord, Acura TL, Civic, CRV, Pilot.1 HYUNDAI ...... Azera, Equus, Genesis, IONIQ.1 JAGUAR ...... F-Type, XE,1 XF, XJ, XK, Land Rover Discovery Sport, Land Rover LR2, Land Rover Range Rover Evoque. MASERATI ...... Ghibli, Levante (SUV),1 Quattroporte. MAZDA ...... 2, 3, 5, 6, CX–3, CX–5, CX–7, CX–9, Fiat 124 Spyder,1 MX–5 Miata. MERCEDES-BENZ ...... smart USA fortwo, smart Line Chassis. SL-Line Chassis (SL-Class) (the models within this line are): SL400, SL550, SL 63/AMG, SL 65/AMG. SLK-Line Chassis (SLK-Class) (the models within this line are): SLK 250, SLK 300, SLK 350, SLK 55 AMG. S-Line Chassis (S/CL/S-Coupe Class) (the models within this line are): S450, S500, S550, S600, S55, S63 AMG, S65 AMG, CL55, CL65, CL500, CL550, CL600. NGCC Chassis Line (CLA/GLA/B-Class) (the models within this line are): B250e, CLA250, CLA250 4MATIC, CLA45 4MATIC AMG, GLA250, GLA45 AMG. C-Line Chassis (C-Class/CLK/GLK-Class) (the models within this line are): C63 AMG, C240, C250, C300, C350, CLK 350, CLK 550, CLK 63AMG, GLK250, GLK350. E-Line Chassis (E-Class/CLS Class) (the models within this line are): E55, E63 AMG, E320 BLUETEC, E350 BLUETEC, E320/E320DT CDi, E350/E500/E550, E400 HYBRID, CLS400, CLS500, CLS55 AMG, CLS63 AMG. MITSUBISHI ...... Eclipse, Endeavor, Galant, iMiEV, Lancer, Outlander, Outlander Sport, Mirage. NISSAN ...... Altima, Cube, Juke, Leaf, Maxima, Murano, NV200 Taxi, Pathfinder, Quest, Rogue, Sentra, Versa Hatchback, Infiniti G (2003–2013), Infiniti M (2004–2013), Infiniti Q70, Infiniti Q50/60, Infiniti QX60. PORSCHE ...... 911, Boxster/Cayman, Macan, Panamera. SAAB ...... 9–3, 9–5. SUBARU ...... Forester, Impreza, Legacy, B9 Tribeca, Outback, WRX, XV Crosstrek. SUZUKI ...... Kizashi. TESLA ...... Model 3,1 Model S, Model X. TOYOTA ...... Camry, Corolla, Highlander, Lexus ES, Lexus GS, Lexus LS, Lexus RX,1 Prius, RAV4, Sienna. VOLKSWAGEN ...... Audi A3, Audi A4, A4 Allroad MPV, Audi A6, Audi A8, Audi Q3, Audi Q5, Audi TT, Beetle, Eos, Golf/Rabbit/GTI/R32, Jetta, Beetle, Passat, Tiguan. VOLVO ...... S60. 1 Granted an exemption from the parts marking requirements beginning with MY 2017.

1 See 61 FR 4729, February 7, 1996.

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Appendix A–II to Part 541—[Removed 1993 (58 FR 65936), provided a accountability measure, NMFS will and Reserved] mechanism for transferring summer monitor, attribute, and restrict (if flounder commercial quota from one necessary), catches of longline-caught ■ 4. Appendix A–II to part 541 is state to another. Two or more states, bigeye tuna, including catches made removed and reserved. under mutual agreement and with the under a specified fishing agreement. Issued in Washington, DC, under authority concurrence of the NMFS Greater These catch limits and accountability delegated in 49 CFR 1.95 and 501.5. Atlantic Regional Administrator, can measures support the long-term Heidi R. King, transfer or combine summer flounder sustainability of fishery resources of the Deputy Administrator. commercial quota under § 648.102(c)(2). U.S. Pacific Islands. [FR Doc. 2018–23045 Filed 10–22–18; 8:45 am] The Regional Administrator is required DATES: The final specifications are BILLING CODE 4910–59–P to consider the criteria in effective October 22, 2018, through § 648.102(c)(2)(i)(A) through (C) in the December 31, 2018. The deadline to evaluation of requests for quota transfers submit a specified fishing agreement DEPARTMENT OF COMMERCE or combinations. pursuant to 50 CFR 665.819(b)(3) for Maine is transferring 2,500 lb (1,134 review is November 21, 2018. National Oceanic and Atmospheric kg) of summer flounder commercial ADDRESSES: Copies of the Fishery Administration quota to Connecticut through mutual agreement of the states. Based on the Ecosystem Plan for Pelagic Fisheries of the Western Pacific (Pelagic FEP) are 50 CFR Part 648 initial quotas published in the 2018 Summer Flounder, Scup, and Black Sea available from the Western Pacific [Docket No. 170828822–70999–03] Bass Specifications and subsequent Fishery Management Council (Council), 1164 Bishop St., Suite 1400, Honolulu, RIN 0648–XG552 adjustments, the revised summer flounder quotas for calendar year 2018 HI 96813, tel 808–522–8220, fax 808– 522–8226, or www.wpcouncil.org. Fisheries of the Northeastern United are now: Maine, 561 lb (254 kg); and States; Summer Flounder Fishery; Connecticut, 147,768 lb (67,026 kg). NMFS prepared environmental Quota Transfer analyses that describe the potential Classification impacts on the human environment that AGENCY: National Marine Fisheries This action is taken under 50 CFR would result from the action. Copies of Service (NMFS), National Oceanic and part 648 and is exempt from review those analyses, which include a 2018 Atmospheric Administration (NOAA), under Executive Order 12866. environmental assessment (EA) and a Commerce. Authority: 16 U.S.C. 1801 et seq. finding of no significant impact ACTION: Temporary rule; quota transfer. (FONSI), are available from Dated: October 18, 2018. www.regulations.gov/ SUMMARY: NMFS announces that the Karen H. Abrams, #!docketDetail;D=NOAA-NMFS-2018- State of Maine is transferring a portion Acting Director, Office of Sustainable 0026, or from Michael D. Tosatto, of its 2018 commercial summer flounder Fisheries, National Marine Fisheries Service. Regional Administrator, NMFS Pacific quota to the State of Connecticut. This [FR Doc. 2018–23137 Filed 10–22–18; 8:45 am] Islands Region (PIR), 1845 Wasp Blvd., quota adjustment is necessary to comply BILLING CODE 3510–22–P Bldg. 176, Honolulu, HI 96818. with the Summer Flounder, Scup, and FOR FURTHER INFORMATION CONTACT: Black Sea Bass Fishery Management Rebecca Walker, NMFS PIRO DEPARTMENT OF COMMERCE Plan quota transfer provisions. This Sustainable Fisheries, 808–725–5184. announcement informs the public of the revised commercial quotas for Maine National Oceanic and Atmospheric SUPPLEMENTARY INFORMATION: NMFS is and Connecticut. Administration specifying a catch limit of 2,000 t of longline-caught bigeye tuna for each DATES: Effective October 22, 2018, 50 CFR Part 665 U.S. territory in 2018. NMFS is also through December 31, 2018. authorizing each territory to allocate up [Docket No. 180208146–8946–01] FOR FURTHER INFORMATION CONTACT: to 1,000 t of its 2,000 t bigeye tuna limit Cynthia Ferrio, Fishery Management RIN 0648–XG025 to U.S. longline fishing vessels Specialist, (978) 281–9180. permitted to fish under the Pelagic FEP. SUPPLEMENTARY INFORMATION: Pacific Island Pelagic Fisheries; 2018 NMFS will monitor catches of longline- Regulations governing the summer U.S. Territorial Longline Bigeye Tuna caught bigeye tuna by the longline flounder fishery are found in 50 CFR Catch Limits fisheries of each territory, including 648.100 through 648.110. These AGENCY: National Marine Fisheries catches made by U.S. longline vessels regulations require annual specification Service (NMFS), National Oceanic and operating under specified fishing of a commercial quota that is Atmospheric Administration (NOAA), agreements. The criteria that a specified apportioned among the coastal states Commerce. fishing agreement must meet, and the from Maine through North Carolina. The ACTION: Final specifications. process for attributing longline-caught process to set the annual commercial bigeye tuna, will follow the procedures quota and the percent allocated to each SUMMARY: In this final rule, NMFS in 50 CFR 665.819. When NMFS state is described in § 648.102, and the specifies a 2018 limit of 2,000 metric projects that a territorial catch or initial 2018 allocations were published tons (t) of longline-caught bigeye tuna allocation limit will be reached, NMFS on December 22, 2017 (82 FR 60682), for each U.S. Pacific territory (American will, as an accountability measure, and corrected January 30, 2018 (83 FR Samoa, Guam, and the Commonwealth prohibit the catch and retention of 4165). of the Northern Mariana Islands longline-caught bigeye tuna by vessels The final rule implementing (CNMI)). NMFS will allow each territory in the applicable territory (territorial Amendment 5 to the Summer Flounder to allocate up to 1,000 t each year to catch limit), and/or vessels in a Fishery Management Plan, as published U.S. longline fishing vessels in a valid specified fishing agreement (allocation in the Federal Register on December 17, specified fishing agreement. As an limit).

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You may find additional background bigeye tuna in the western and central Response: The conclusion that the information on this action in the Pacific Ocean, and considers the needs Hawaii deep-set longline fishery is preamble to the proposed specifications of fishing communities of the U.S. likely to adversely affect the main published on August 8, 2018 (83 FR Pacific Islands, and the impacts to Hawaiian Islands insular false killer 39037). protected species. whale stock is based on NMFS Comment 3: Transferred effects determinations made in the most recent Comments and Responses caused by closing Hawaii-based longline (2014 as supplemented in 2017) On August 8, 2018, NMFS published fisheries have detrimental impacts on biological opinion for the fishery, which the proposed specifications and request local Hawaii seafood markets and on we reference in the EA. While we agree for public comments (83 FR 39037); the protected species that are caught more that observers have not recently comment period closed on August 23, frequently by foreign fisheries. HLA documented interactions in the area 2018. In light of the decision in provided copies of scientific papers on where fishing effort and the designated Territory of American Samoa v. NMFS, transferred effects, and requested that range of the insular stock currently et al. (16–cv–95, D. Haw), NMFS NMFS include these papers, along with overlap, based on historical data and specifically invited public comments its comment letter, in the administrative fishing gear employed, NMFS that would address the impact of the record for this rulemaking. anticipates that low levels of fishery proposed action on cultural fishing in Response: NMFS acknowledges the interactions are still likely to occur on American Samoa. NMFS received no concept of transferred effects during a trips within that overlap zone. NMFS comments addressing cultural fishing. closure of the U.S. longline fleet, and we applies a proration method described in NMFS received comments only from have posted HLA’s comment letter and the 2014 biological opinion that uses the Hawaii Longline Association (HLA) enclosures at www.regulations.gov. fishing effort inside and outside the U.S. on the proposed specifications and the Comment 4: The issuance of the EEZ around the MHI to attribute draft EA. NMFS considered the public proposed rule will have no significant mortality and serious injury, a subset of comments, and responds to comments impacts on the WCPO bigeye tuna stock. total take, of false killer whales and below. Response: NMFS agrees, and is unidentified black fish to the pelagic Comment 1: NMFS should act satisfied that this action is consistent false killer whale stock, the thoughtfully and quickly in completing with the conservation and management northwestern Hawaiian Islands killer this rulemaking process. In past years, needs of bigeye tuna in the WCPO. whale stock or the MHI insular false the deep-set fishery in the Western and Comment 5: HLA notes that the killer whale stock. The proration Central Pacific Ocean (WCPO) and the proposed limits are substantially more method also accounts for effort within Eastern Pacific Ocean (EPO) attained the stringent than conservation measures the small area fishing effort and the U.S. bigeye tuna catch limits in each adopted by WCPFC, which do not insular stock overlap. Because this area. As a result, many U.S. deep-set establish any bigeye limits for the proration method results in attribution vessels were unable to fish because they Territories, and questions whether there of take to the MHI insular false killer were not able to allocate catch pursuant is a factual basis to limit each territory whale stock, NMFS, in the 2014 to already-executed specified fishing to a 1,000 t allocation. biological opinion, determined the agreements. Such delays in rulemaking Response: This action implements the fishery is likely to adversely affect this impede the achievement of the goals of recommendation from the Council’s stock, but is not likely to jeopardize its the Pelagic FEP. 172nd meeting, in March 2018, that Response: NMFS reviews the NMFS specify for each U.S. continued existence. proposed catch and allocation limits for participating territory, a 2,000 t longline Comment 7: Reference to the recent consistency with the provisions of the bigeye catch limit and specify that each settlement in the shallow-set fishery Magnuson-Stevens Act, the Pelagic FEP, territory can each allocate up to 1,000 t litigation should clarify that the hard decisions of the Western and Central of their bigeye catch limit. Utilizing the cap limit of 17 loggerhead sea turtles Pacific Fisheries Commission (WCPFC), best scientific information available, will be effective January 1, 2019, unless and other applicable laws. This review NMFS has determined that these catch or until superseded by a new hard cap requires preparation of comprehensive and allocation limits are consistent with limit. supporting environmental analyses to WCPFC objectives to conserve the Response: NMFS has made this ensure the conservation of affected fish bigeye stock. NMFS agrees that the suggested change in section 3.3.1.2 of stocks and protected species. While WCPFC has not adopted bigeye limits the EA. NMFS is committed to preparing for the U.S. Territories, and notes that Comment 8: The EA should clarify analyses before the fishery could reach the Council has recommended that the Southern Exclusion Zone the WCPO bigeye tuna limit, we also amending the Pelagic FEP and Federal closure is temporary, lasting only to the encourage HLA to consider industry-led regulations to remove the requirement end of 2018. that NMFS must first specify catch actions in both the WCPO and the EPO Response: NMFS revised the text in limits for the territories before that might reduce the likelihood of EA sections 3.2.3.1, 3.3.2.1, and 4.3.1.1 specifying allocation limits, but the reaching a catch limit, or otherwise to reflect the temporary nature of the Council has not yet developed the alleviate the impact of a closure. closure. Comment 2: The proposed rule will recommended amendment. provide substantial benefits for the Comment 6: HLA disagrees with the Comment 9: As to protected species Hawaii-based longline fisheries, the conclusions of the draft EA that the more broadly, it is more accurate to say Hawaii seafood market, the territories, deep-set fishery may have some (albeit that the proposed rule will not result in and protected species. very limited) adverse effect on the significant adverse effects to protected Response: NMFS agrees. We are insular false killer whale stock, because species (as opposed to ‘‘large adverse satisfied that this action (which is NMFS observers have never recorded an effects.’’ identical to the catch and allocation interaction in the very small area in Response: NMFS agrees that the limits implemented in 2017 (82 FR which fishing effort and the designated action implemented by this final rule 47642, Oct. 13, 2017)) addresses the range of the insular stock currently will not result in significant impacts to conservation and management needs of overlap. protected species.

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Classification This rule allows U.S. vessels identified this final rule is delayed past the date The Regional Administrator, NMFS in a valid specified fishing agreement to the WCPO bigeye tuna limit is reached, Pacific Islands Region, determined that resume fishing in the western and NMFS would be required to publish a this action is necessary for the central Pacific Ocean (WCPO) if and temporary rule that restricts the Hawaii- conservation and management of Pacific when NMFS closes the longline fishery based longline fishery for WCPO bigeye Island fishery resources, and that it is for bigeye tuna. On July 18, 2018, tuna until this final rule is effective. consistent with the Magnuson-Stevens through a separate action, NMFS After the effective date, NMFS would Act and other applicable laws. established the 2018 limit of 3,554 t of remove the restrictions for U.S. vessels The Chief Counsel for Regulation of bigeye tuna caught by U.S. longline identified in a valid specified fishing the Department of Commerce certified fisheries in the WCPO (83 FR 33851). agreement with a U.S. territory. By to the Chief Counsel for Advocacy of the When NMFS projects that the fishery implementing this rule immediately, it Small Business Administration during will reach the limit, NMFS must close allows the Hawaii longline fishery to the proposed rule stage that this action the fishery for bigeye tuna in the WCPO. continue fishing without the uncertainty would not have a significant economic Regulations at 50 CFR 665.819 require or disruption of a potential closure. impact on a substantial number of small NMFS to begin attributing longline This action is exempt from review entities. NMFS published the factual caught bigeye tuna to the U.S. territory under E.O. 12866 because it contains no basis for the certification in the to which a fishing agreement applies implementing regulations. seven days before the date NMFS proposed rule, and we do not repeat it Authority: 16 U.S.C. 1801 et seq. here. NMFS received no comments on projects the fishery will reach the this certification; as a result, a WCPO U.S bigeye tuna limit, or upon Dated: October 17, 2018. regulatory flexibility analysis is not the effective date of the agreement, Samuel D. Rauch, III, required, and none has been prepared. whichever is later. Based on longline Deputy Assistant Administrator for Because this rule relieves a catch records to date, NMFS projects the Regulatory Programs, National Marine restriction, it is not subject to the 30-day fishery will reach the current 3,554 t Fisheries Service. delayed effectiveness provision of the limit of WCPO bigeye tuna in early [FR Doc. 2018–23080 Filed 10–22–18; 8:45 am] APA pursuant to 5 U.S.C. 553(d)(1). November 2018. If the effectiveness of BILLING CODE 3510–22–P

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Proposed Rules Federal Register Vol. 83, No. 205

Tuesday, October 23, 2018

This section of the FEDERAL REGISTER Terry Vawter, Acting Regional Director, assessment rate would be applicable to contains notices to the public of the proposed California Marketing Field Office, all assessable raisins for the 2018–19 issuance of rules and regulations. The Marketing Order and Agreement crop year, and continue until amended, purpose of these notices is to give interested Division, Specialty Crops Program, suspended, or terminated. persons an opportunity to participate in the AMS, USDA; Telephone: (559) 487– The Act provides that administrative rule making prior to the adoption of the final rules. 5901, Fax: (559) 487–5906; or Email: proceedings must be exhausted before [email protected] or parties may file suit in court. Under [email protected]. section 608c(15)(A) of the Act, any DEPARTMENT OF AGRICULTURE Small businesses may request handler subject to an order may file information on complying with this with USDA a petition stating that the Agricultural Marketing Service regulation by contacting Richard Lower, order, any provision of the order, or any Marketing Order and Agreement obligation imposed in connection with 7 CFR Part 989 Division, Specialty Crops Program, the order is not in accordance with law AMS, USDA, 1400 Independence [Doc. No. AMS–SC–18–0069; SC18–989–1 and request a modification of the order PR] Avenue SW, STOP 0237, Washington, or to be exempted therefrom. Such DC 20250–0237; Telephone: (202) 720– handler is afforded the opportunity for Raisins Produced From Grapes Grown 2491, Fax: (202) 720–8938, or Email: a hearing on the petition. After the in California; Increased Assessment [email protected]. hearing, USDA would rule on the Rate SUPPLEMENTARY INFORMATION: This petition. The Act provides that the action, pursuant to 5 U.S.C. 553, district court of the United States in any AGENCY: Agricultural Marketing Service, proposes an amendment to regulations district in which the handler is an USDA. issued to carry out a marketing order as inhabitant, or has his or her principal ACTION: Proposed rule. defined in 7 CFR 900.2(j). This proposed place of business, has jurisdiction to review USDA’s ruling on the petition, SUMMARY: This proposed rule would rule is issued under Marketing Order implement a recommendation from the No. 989, as amended (7 CFR part 989), provided an action is filed not later than Raisin Administrative Committee regulating the handling of raisins 20 days after the date of the entry of the (Committee) to increase the assessment produced from grapes grown in ruling. rate established for the 2018–19 and California. Part 989 (referred to as the The Order provides authority for the subsequent crop years. The assessment ‘‘Order’’) is effective under the Committee, with the approval of USDA, rate would remain in effect indefinitely Agricultural Marketing Agreement Act to formulate an annual budget of unless modified, suspended, or of 1937, as amended (7 U.S.C. 601–674), expenses and collect assessments from terminated. hereinafter referred to as the ‘‘Act.’’ The handlers to administer the program. The Committee locally administers the members are familiar with the DATES: Comments must be received by Order and is comprised of producers Committee’s needs and with the costs of November 23, 2018. and handlers of raisins operating within goods and services in their local area, ADDRESSES: Interested persons are the area of production, and a public and are, in a position to formulate an invited to submit written comments member. appropriate budget and assessment rate. concerning this proposed rule. The Department of Agriculture The assessment rate is formulated and Comments must be sent to the Docket (USDA) is issuing this proposed rule in discussed in a public meeting. Clerk, Marketing Order and Agreement conformance with Executive Orders Therefore, all directly affected persons Division, Specialty Crops Program, 13563 and 13175. This proposed rule have an opportunity to participate and AMS, USDA, 1400 Independence falls within a category of regulatory provide input. Avenue SW, STOP 0237, Washington, actions that the Office of Management This proposed rule would increase DC 20250–0237; Fax: (202) 720–8938; or and Budget (OMB) exempted from the assessment rate from $17.00 to internet: http://www.regulations.gov. Executive Order 12866 review. $22.00 per ton for the 2018–19 and Comments should reference the Additionally, because this proposed subsequent crop years. The current rate document number and the date and rule does not meet the definition of a was published in the Federal Register page number of this issue of the Federal significant regulatory action, it does not during the 2015–16 crop year to reduce Register and will be available for public trigger the requirements contained in the Committee’s monetary reserve to a inspection in the Office of the Docket Executive Order 13771. See OMB’s level that it determined to be Clerk during regular business hours, or Memorandum titled ‘‘Interim Guidance appropriate under the Order. The can be viewed at: http:// Implementing Section 2 of the Executive proposed higher rate is a result of a www.regulations.gov. All comments Order of January 30, 2017, titled smaller crop forecast due to early spring submitted in response to this rule will ‘Reducing Regulation and Controlling rain damage to the vines. The 2018–19 be included in the record and will be Regulatory Costs’’’ (February 2, 2017). crop is anticipated to be 275,000 tons, made available to the public. Please be This proposed rule has been reviewed down from the 300,000 tons recorded advised that the identity of the under Executive Order 12988, Civil the previous crop year. individuals or entities submitting the Justice Reform. Under the Order now in The Committee met on June 27, 2018 comments will be made public on the effect, California raisin handlers are to consider the Committee’s projected internet at the address provided above. subject to assessments. Funds to 2018–19 budget and the Order’s FOR FURTHER INFORMATION CONTACT: administer the Order are derived from continuing assessment rate. The Kathie Notoro, Marketing Specialist, or such assessments. It is intended that the Committee unanimously recommended

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an assessment rate of $22.00 per ton of express their views at these meetings. This proposed rule would increase raisins for the 2018–19 crop year. The USDA would evaluate Committee the assessment rate collected from proposed assessment rate of $22.00 is recommendations and other available handlers for the 2018–19 and $5.00 higher than the rate currently in information to determine whether subsequent crop years from $17.00 to effect. Without the proposed increase, modification of the assessment rate is $22.00 per ton of assessable raisins anticipated assessment revenue would needed. Further rulemaking would be acquired by handlers. not be sufficient to fund the undertaken as necessary. The The Committee reviewed and Committee’s ongoing administrative Committee’s budget for subsequent crop identified the expenses that would be functions. The assessment rate increase years would be reviewed and, as reasonable and necessary to continue is necessary to maintain the appropriate, approved by USDA. program operations during the 2018–19 Committee’s activities at current levels crop year. The resulting recommended and avoid a reduction in the program’s Initial Regulatory Flexibility Analysis budget totals $5,189,600 for the 2018–19 effectiveness. Pursuant to requirements set forth in crop year, which is an overall decrease For the 2018–19 crop year, the the Regulatory Flexibility Act (RFA) (5 from the 2017–18 crop year budget, Committee recommended a budget of U.S.C. 601–612), the Agricultural which totaled $5,296,928. expenses totaling $5,189,600. The Marketing Service (AMS) has The quantity of assessable raisins for proposed assessment rate of $22.00 per considered the economic impact of this 2018–19 crop year is estimated to be ton is expected to generate assessment proposed rule on small entities. 275,000 tons. At the recommended income of approximately $6,050,000, Accordingly, AMS has prepared this assessment rate of $22.00 per ton, the which would be sufficient to fund the initial regulatory flexibility analysis. anticipated assessment income would recommended 2018–19 expenses. The purpose of the RFA is to fit be $6,050,000. Sufficient income should The major expenditures regulatory actions to the scale of be generated at the higher assessment recommended by the Committee for the businesses subject to such actions in rate for the Committee to meet its 2018–19 crop year include: Salaries and order that small businesses will not be anticipated expenses. The major expenditures employee-related costs of $1,187,200; unduly or disproportionately burdened. recommended by the Committee for the administration costs of $440,400; Marketing orders issued pursuant to the compliance activities of $60,000; 2018–19 crop year include: Salaries and Act, and the rules issued thereunder, are research and study costs of $40,000; and employee-related costs of $1,187,200; unique in that they are brought about promotion related costs of $3,637,000. administration costs of $440,400; through group action of essentially Subtracted from these expenses is compliance activities of $60,000; small entities acting on their own $175,000, which represents research and study costs of $40,000; and behalf. reimbursable costs for the shared promotion related costs of $3,637,000. management of the State marketing There are approximately 2,600 In comparison, last year’s approved raisin program. In comparison, last producers of California raisins and budgeted expenditures included: year’s approved budgeted expenditures approximately 16 handlers subject to Salaries and employee-related costs of included: Salaries and employee-related regulation under the marketing order. $1,306,150; administration costs of costs of $1,306,150; administration costs Small agricultural producers are defined $505,600; compliance activities of of $505,600; compliance activities of by the Small Business Administration $48,000; research and study costs of $48,000; research and study costs of (SBA) as those having annual receipts $35,000; and promotion related costs of $35,000; and promotion related costs of less than $750,000, and small $3,577,178. The total budget approved $3,577,178. agricultural service firms are defined as for the 2017–18 crop year was The increased assessment rate is those whose annual receipts are less $5,296,928. necessary to cover the decrease in than $7,500,000. (13 CFR 121.201.) Prior to arriving at this budget and estimated crop size tonnage from According to the National assessment rate, the Committee 300,000 tons in 2017–18 to 275,000 tons Agricultural Statistics Service (NASS), considered information from the Audit in 2018–19. At the recommended data for the most-recently completed Subcommittee which met on June 13, assessment rate of $22.00 per ton, the crop year (2017) shows that about 8.03 2018, and discussed alternative anticipated assessment income would tons of raisins were produced per acre. spending levels. The recommendation be $6,050,000. The remaining $860,400 The 2017 producer price published by was discussed by the Committee on would be added to the authorized NASS was $1,670 per ton. Thus, the June 27, 2018, and the Committee reserve. value of raisin production per acre ultimately decided that the The proposed assessment rate would averaged about $13,410.10 (8.03 tons recommended budget and assessment continue in effect indefinitely unless times $1,670 per ton). At that average rate were reasonable and necessary to modified, suspended, or terminated by price, a producer would have to farm properly administer the Order. USDA upon recommendation and nearly 56 acres to receive an annual A review of historical and preliminary information submitted by the income from raisins of $750,000 information pertaining to the upcoming Committee or other available ($750,000 divided by $13,410.10 per crop year indicates that the producer information. acre equals 55.93 acres). According to price for the 2017–18 crop year was Although this assessment rate would Committee staff, the majority of approximately $1,670.00 per ton of be in effect for an indefinite period, the California raisin producers farm less raisins. Utilizing that price, the Committee would continue to meet than 56 acres. In addition, according to estimated crop size of 275,000 tons, and prior to or during each crop year to data from the Committee staff, six of the the proposed assessment rate of $22.00 recommend a budget of expenses and sixteen California raisin handlers have per ton, the estimated assessment consider recommendations for receipts of less than $7,500,000 and may revenue for the 2018–19 crop year as a modification of the assessment rate. The also be considered small entities. Thus, percentage of total producer revenue is dates and times of Committee meetings the majority of producers of California approximately 0.013 percent are available from the Committee or raisins may be classified as small (assessment revenue of $6,050,000 USDA. Committee meetings are open to entities, while the majority of handlers divided by total producer revenue the public and interested persons may may be classified as large entities. $459,250,000).

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This proposed action would increase List of Subjects in 7 CFR Part 989 DATES: We must receive comments on the assessment obligation imposed on Grapes, Marketing agreements, this proposed AD by December 7, 2018. handlers. While assessments impose Raisins, Reporting and recordkeeping ADDRESSES: You may send comments, some additional costs on handlers, the requirements. using the procedures found in 14 CFR costs are minimal and uniform on all 11.43 and 11.45, by any of the following For the reasons set forth in the handlers, and some of the additional methods: preamble, 7 CFR part 989 is proposed to costs may be passed on to producers. • Federal eRulemaking Portal: Go to be amended as follows: However, these costs would be offset by http://www.regulations.gov. Follow the the benefits derived from the operation PART 989—RAISINS PRODUCED instructions for submitting comments. of the Order. • FROM GRAPES GROWN IN Fax: 202–493–2251. The meetings of the Audit • CALIFORNIA Mail: U.S. Department of Subcommittee and the Committee were Transportation, Docket Operations, widely publicized throughout the ■ 1. The authority citation for 7 CFR M–30, West Building Ground Floor, California raisin industry. All interested part 989 continues to read as follows: Room W12–140, 1200 New Jersey persons were invited to attend the Authority: 7 U.S.C. 601–674. Avenue SE, Washington, DC 20590. meetings and encouraged to participate • Hand Delivery: Deliver to Mail in Committee deliberations on all ■ 2. Section 989.347 is revised to read address above between 9 a.m. and 5 issues. Like all subcommittee and as follows: p.m., Monday through Friday, except Committee meetings, the June 13, 2018, § 989.347 Assessment rate. Federal holidays. and June 27, 2018, meetings, For service information identified in respectively, were public meetings, and On and after August 1, 2018, an this NPRM, contact Boeing Commercial all entities, both large and small, were assessment rate of $22.00 per ton is Airplanes, Attention: Contractual & Data able to express views on this issue. established for assessable raisins Services (C&DS), 2600 Westminster Interested persons are invited to submit produced from grapes grown in Blvd., MC 110–SK57, Seal Beach, CA comments on this proposed rule, California. 90740–5600; telephone 562–797–1717; including the regulatory and Dated: October 17, 2018. internet https:// information collection impacts of this Bruce Summers, www.myboeingfleet.com. You may view action on small businesses. this referenced service information at In accordance with the Paperwork Administrator, Agricultural Marketing Service. the FAA, Transport Standards Branch, Reduction Act of 1995 (44 U.S.C. 2200 South 216th St., Des Moines, WA. Chapter 35), the Order’s information [FR Doc. 2018–23091 Filed 10–22–18; 8:45 am] For information on the availability of collection requirements have been BILLING CODE 3410–02–P this material at the FAA, call 206–231– previously approved by the OMB and 3195. It is also available on the internet assigned OMB No. 0581–0178 Vegetable and Specialty Crops. No changes in DEPARTMENT OF TRANSPORTATION at http://www.regulations.gov by those requirements would be necessary searching for and locating Docket No. as a result of this action. Should any Federal Aviation Administration FAA–2018–0902. changes become necessary, they would Examining the AD Docket 14 CFR Part 39 be submitted to OMB for approval. You may examine the AD docket on This proposed rule would not impose [Docket No. FAA–2018–0902; Product the internet at http:// any additional reporting or Identifier 2018–NM–047–AD] www.regulations.gov by searching for recordkeeping requirements on either RIN 2120–AA64 and locating Docket No. FAA–2018– small or large California raisin handlers. 0902; or in person at Docket Operations As with all Federal marketing order Airworthiness Directives; The Boeing between 9 a.m. and 5 p.m., Monday programs, reports and forms are Company Airplanes through Friday, except Federal holidays. periodically reviewed to reduce The AD docket contains this NPRM, the information requirements and AGENCY: Federal Aviation regulatory evaluation, any comments duplication by industry and public Administration (FAA), DOT. received, and other information. The sector agencies. ACTION: Notice of proposed rulemaking street address for Docket Operations AMS is committed to complying with (NPRM). the E-Government Act, to promote the (phone: 800–647–5527) is in the use of the internet and other SUMMARY: We propose to adopt a new ADDRESSES section. Comments will be information technologies to provide airworthiness directive (AD) for all The available in the AD docket shortly after increased opportunities for citizen Boeing Company Model 787 series receipt. access to Government information and airplanes. This proposed AD was FOR FURTHER INFORMATION CONTACT: services, and for other purposes. prompted by a report of an Nelson Sanchez, Aerospace Engineer, USDA has not identified any relevant uncommanded descent and turn that Systems and Equipment Section, FAA, Federal rules that duplicate, overlap, or occurred after an inflight switch to the Seattle ACO Branch, 2200 South 216th conflict with this proposed rule. spare flight management function St., Des Moines, WA 98198; phone and A small business guide on complying (FMF). This proposed AD would require fax: 206–231–3543; email: with fruit, vegetable, and specialty crop an inspection of the flight management [email protected]. marketing agreements and orders may system (FMS) to determine if certain SUPPLEMENTARY INFORMATION: be viewed at: http://www.ams.usda.gov/ operational program software (OPS) is rules-regulations/moa/small-businesses. installed and installation of new FMS Comments Invited Any questions about the compliance OPS and a software check if necessary. We invite you to send any written guide should be sent to Richard Lower For certain airplanes, this proposed AD relevant data, views, or arguments about at the previously mentioned address in would also require concurrent actions. this proposal. Send your comments to the FOR FURTHER INFORMATION CONTACT We are proposing this AD to address the an address listed under the ADDRESSES section. unsafe condition on these products. section. Include ‘‘Docket No. FAA–

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2018–0902; Product Identifier 2018– (BP3B) and performing a software enhancement is a process for annotating NM–047–AD’’ at the beginning of your check. which steps in the service information comments. We specifically invite We also reviewed Boeing Service are ‘‘required for compliance’’ (RC) with comments on the overall regulatory, Bulletin B787–81205–SB340013–00, an AD. Boeing has implemented this RC economic, environmental, and energy Issue 002, dated May 6, 2016. The concept into Boeing service bulletins. aspects of this NPRM. We will consider service information describes In an effort to further improve the all comments received by the closing procedures for installing FMS OPS quality of ADs and AD-related Boeing date and may amend this NPRM Block Point 3 (BP3) and performing a service information, a joint process because of those comments. software check. This service information improvement initiative was worked We will post all comments we is reasonably available because the between the FAA and Boeing. The receive, without change, to http:// interested parties have access to it initiative resulted in the development of www.regulations.gov, including any through their normal course of business a new process in which the service personal information you provide. We or by the means identified in the information more clearly identifies the will also post a report summarizing each ADDRESSES section. actions needed to address the unsafe substantive verbal contact we receive FAA’s Determination condition in the ‘‘Accomplishment about this proposed AD. Instructions.’’ The new process results We are proposing this AD because we in a Boeing Requirements Bulletin, Discussion evaluated all the relevant information which contains only the actions needed and determined the unsafe condition We have received a report of an to address the unsafe condition (i.e., described previously is likely to exist or uncommanded descent and turn that only the RC actions). occurred when the spare FMF became develop in other products of the same type design. Differences Between This Proposed AD the master FMF in flight. When the and the Service Information master FMF and spare FMF are Proposed AD Requirements operating normally, the FMF This proposed AD would require The effectivity of Boeing Alert synchronization function sends data accomplishment of the actions Requirements Bulletin B787–81205– from the master to the spare so they will identified in the service information SB340038–00 RB, Issue 001, dated have the same flight data. It was found described previously, except as November 16, 2017, is limited to certain that an anomaly had prevented this discussed under ‘‘Differences Between Model 787–8 and 787–9 airplanes. communication for several flights, this Proposed AD and the Service However, the applicability of this causing stale flight data to be retained Information,’’ and except for any proposed AD includes all Boeing Model in the spare FMF. In addition, no differences identified as exceptions in 787 series airplanes. Because the mechanism is currently in place to the regulatory text of this proposed AD. affected software versions are rotable detect, remove, and replace stale flight For information on the procedures parts, we have determined that these data. This condition, if not addressed, and compliance times, see this service parts could later be installed on could result in controlled flight into information at http:// airplanes that were initially delivered terrain or a mid-air collision. www.regulations.gov by searching for with acceptable software versions, thereby subjecting those airplanes to the Related Service Information Under 1 and locating Docket No. FAA–2018– unsafe condition. This difference has CFR Part 51 0902. been coordinated with Boeing. We reviewed Boeing Alert Explanation of Requirements Bulletin Costs of Compliance Requirements Bulletin B787–81205– The FAA worked in conjunction with SB340038–00 RB, Issue 001, dated industry, under the Airworthiness We estimate that this proposed AD November 16, 2017. The service Directive Implementation Aviation affects 144 airplanes of U.S. registry. We information describes procedures for Rulemaking Committee (AD ARC), to estimate the following costs to comply installing FMS OPS Block Point 3B enhance the AD system. One with this proposed AD:

ESTIMATED COSTS FOR REQUIRED ACTIONS

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

Records check or inspection ...... 1 work-hour × $85 per hour = $85 ...... $0 $85 $12,240. Software installation ...... 4 work-hours × $85 per hour = $340 ...... 0 340 Up to $48,960. Concurrent actions ...... 4 work-hours × $85 per hour = $340 ...... 0 340 Up to $48,960.

Authority for This Rulemaking ‘‘General requirements.’’ Under that This proposed AD is issued in section, Congress charges the FAA with accordance with authority delegated by Title 49 of the United States Code promoting safe flight of civil aircraft in the Executive Director, Aircraft specifies the FAA’s authority to issue air commerce by prescribing regulations Certification Service, as authorized by rules on aviation safety. Subtitle I, for practices, methods, and procedures FAA Order 8000.51C. In accordance section 106, describes the authority of the Administrator finds necessary for with that order, issuance of ADs is the FAA Administrator. Subtitle VII: Aviation Programs, describes in more safety in air commerce. This regulation normally a function of the Compliance detail the scope of the Agency’s is within the scope of that authority and Airworthiness Division, but during authority. because it addresses an unsafe condition this transition period, the Executive that is likely to exist or develop on Director has delegated the authority to We are issuing this rulemaking under products identified in this rulemaking issue ADs applicable to transport the authority described in Subtitle VII, action. category airplanes and associated Part A, Subpart III, Section 44701:

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appliances to the Director of the System (e) Unsafe Condition (CMF) software identified in Boeing Service Oversight Division. This AD was prompted by a report of an Bulletin B787–81205–SB340013–00, Issue uncommanded descent and turn that 002, dated May 6, 2016, and do a software Regulatory Findings occurred after an inflight switch to the spare check, in accordance with the We determined that this proposed AD flight management function (FMF), due to the Accomplishment Instructions of Boeing would not have federalism implications retention of stale flight data in the spare Service Bulletin B787–81205–SB340013–00, FMF. We are issuing this AD to address the Issue 002, dated May 6, 2016; except where under Executive Order 13132. This Boeing Service Bulletin B787–81205– proposed AD would not have a retention of stale flight data in the spare FMF, which, if not addressed, could result in SB340013–00, Issue 002, dated May 6, 2016, substantial direct effect on the States, on controlled flight into terrain or a mid-air specifies installing software, this AD requires the relationship between the national collision. installing that software or later-approved Government and the States, or on the software versions. Later-approved software distribution of power and (f) Compliance versions are only those Boeing software responsibilities among the various Comply with this AD within the versions that are approved as a replacement levels of government. compliance times specified, unless already for the applicable software, and are approved For the reasons discussed above, I done. as part of the type design by the FAA or the Boeing Commercial Airplanes ODA after certify this proposed regulation: (g) Required Actions (1) Is not a ‘‘significant regulatory issuance of Boeing Service Bulletin B787– (1) For Boeing Model 787 series airplanes 81205–SB340013–00, Issue 002, dated May 6, action’’ under Executive Order 12866, that have an original certificate of 2016. If the software check fails, before (2) Is not a ‘‘significant rule’’ under airworthiness or export certificate of further flight, accomplish corrective actions the DOT Regulatory Policies and airworthiness issued on or before the and repeat the software check and applicable Procedures (44 FR 11034, February 26, effective date of this AD: Within 12 months corrective actions until the software check is 1979), after the effective date of this AD, inspect the passed. (3) Will not affect intrastate aviation flight management system (FMS) to determine if operational program software (i) Parts Installation Prohibition in Alaska, and (OPS) part number (P/N) HNP5F–AL11–5010 As of the effective date of this AD, (4) Will not have a significant or HNP58–AL11–5006 is installed. A review economic impact, positive or negative, installation on any airplane of FMS OPS of airplane maintenance records is acceptable version HNP5F–AL11–5010 or HNP58– on a substantial number of small entities in lieu of this inspection if the part number AL11–5006 is prohibited, except as required under the criteria of the Regulatory of the FMS OPS can be conclusively by paragraph (h) of this AD. Flexibility Act. determined from that review. (2) If, during any inspection or records (j) Credit for Previous Actions List of Subjects in 14 CFR Part 39 review required by paragraph (g)(1) of this This paragraph provides credit for the Air transportation, Aircraft, Aviation AD, FMS OPS P/N HNP5F–AL11–5010 or actions specified in paragraph (h) of this AD, safety, Incorporation by reference, HNP58–AL11–5006 is found: Within 12 if those actions were performed before the months after the effective date of this AD, do Safety. effective date of this AD using Boeing Service all applicable actions identified in, and in Bulletin B787–81205–SB340013–00, Issue The Proposed Amendment accordance with, the Accomplishment 001, dated December 23, 2015. Instructions of Boeing Alert Requirements Accordingly, under the authority Bulletin B787–81205–SB340038–00 RB, Issue (k) Alternative Methods of Compliance delegated to me by the Administrator, 001, dated November 16, 2017; except where (AMOCs) the FAA proposes to amend 14 CFR part Boeing Alert Requirements Bulletin B787– (1) The Manager, Seattle ACO Branch, 39 as follows: 81205–SB340038–00 RB, Issue 001, dated FAA, has the authority to approve AMOCs November 16, 2017, specifies installing 34 for this AD, if requested using the procedures PART 39—AIRWORTHINESS FMS OPS Block Point 3B, P/N HNP5E– found in 14 CFR 39.19. In accordance with DIRECTIVES AL11–5011, this AD requires installing P/N 14 CFR 39.19, send your request to your HNP5E–AL11–5011 or later-approved principal inspector or local Flight Standards ■ 1. The authority citation for part 39 software versions. Later-approved software District Office, as appropriate. If sending continues to read as follows: versions are only those Boeing software information directly to the manager of the versions that are approved as a replacement certification office, send it to the attention of Authority: 49 U.S.C. 106(g), 40113, 44701. for the applicable software, and are approved the person identified in paragraph (l)(1) of as part of the type design by the FAA or the § 39.13 [Amended] this AD. Information may be emailed to: 9- Boeing Commercial Airplanes Organization [email protected]. ■ 2. The FAA amends § 39.13 by adding Designation Authorization (ODA) after (2) Before using any approved AMOC, the following new airworthiness issuance of Boeing Alert Requirements notify your appropriate principal inspector, directive (AD): Bulletin B787–81205–SB340038–00 RB, Issue or lacking a principal inspector, the manager 001, dated November 16, 2017. The Boeing Company: Docket No. FAA– of the local flight standards district office/ Note 1 to paragraph (g) of this AD: 2018–0902; Product Identifier 2018– certificate holding district office. Guidance for accomplishing the actions NM–047–AD. (3) An AMOC that provides an acceptable required by paragraph (g) of this AD can be level of safety may be used for any repair, (a) Comments Due Date found in Boeing Alert Service Bulletin B787– modification, or alteration required by this 81205–SB340038–00, Issue 001, dated We must receive comments by December 7, AD if it is approved by the Boeing November 16, 2017, which is referred to in 2018. Commercial Airplanes ODA that has been Boeing Alert Requirements Bulletin B787– authorized by the Manager, Seattle ACO (b) Affected ADs 81205–SB340038–00 RB, Issue 001, dated Branch, FAA, to make those findings. To be None. November 16, 2017. approved, the repair method, modification deviation, or alteration deviation must meet (c) Applicability (h) Concurrent Requirements the certification basis of the airplane, and the This AD applies to all The Boeing For airplanes identified in Boeing Service approval must specifically refer to this AD. Company Model 787 series airplanes, Bulletin B787–81205–SB340013–00, Issue (l) Related Information certificated in any category. 002, dated May 6, 2016: Prior to or concurrently with the action required by (1) For more information about this AD, (d) Subject paragraph (g) of this AD, install FMS, Thrust contact Nelson Sanchez, Aerospace Engineer, Air Transport Association (ATA) of Management System (TMS), and Systems and Equipment Section, FAA, America Code 34, Navigation. Communication Management Function Seattle ACO Branch, 2200 South 216th St.,

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Des Moines, WA 98198; phone and fax: 206– Room W12–140, 1200 New Jersey information you provide. We will also 231–3543; email: [email protected]. Avenue SE, Washington, DC 20590. post a report summarizing each (2) For service information identified in • Hand Delivery: U.S. Department of substantive verbal contact we receive this AD, contact Boeing Commercial Transportation, Docket Operations, about this proposed AD. Airplanes, Attention: Contractual & Data M–30, West Building Ground Floor, Services (C&DS), 2600 Westminster Blvd., Discussion MC 110–SK57, Seal Beach, CA 90740–5600; Room W12–140, 1200 New Jersey telephone 562–797–1717; internet https:// Avenue SE, Washington, DC 20590, The Civil Aviation Authority (CAA), www.myboeingfleet.com. You may view this between 9 a.m. and 5 p.m., Monday which is the aviation authority for New referenced service information at the FAA, through Friday, except Federal holidays. Zealand, has issued AD DCA/750XL/29, Transport Standards Branch, 2200 South For service information identified in dated July 5, 2018 (referred to after this 216th St., Des Moines, WA. For information this proposed AD, contact Pacific as ‘‘the MCAI’’), to correct an unsafe on the availability of this material at the Aerospace Limited, Airport Road, condition for Pacific Aerospace Limited FAA, call 206–231–3195. Hamilton, Private Bag 3027, Hamilton Model 750XL airplanes. The MCAI Issued in Des Moines, Washington, on 3240, New Zealand; phone: +64 7843 states: October 10, 2018. 6144; fax: +64 843 6134; email: pacific@ The insulation lagging provided by the air- Michael Kaszycki, aerospace.co.nz; internet: conditioning supplier has been found to be non-compliant and may cause large amounts Acting Director, System Oversight Division, www.aerospace.co.nz. You may review of smoke in the cabin in the event of a fire. Aircraft Certification Service. this referenced service information at the FAA, Policy and Innovation DCA/750XL/29 issued to mandate the [FR Doc. 2018–22827 Filed 10–22–18; 8:45 am] Division, 901 Locust, Kansas City, instructions in Pacific Aerospace Mandatory BILLING CODE 4910–13–P Missouri 64106. For information on the Service Bulletin (MSB) PACSB/XL/086 issue 2, dated 6 April 2018, or later approved availability of this material at the FAA, revision to correct non-compliant insulation DEPARTMENT OF TRANSPORTATION call (816) 329–4148. lagging on the refrigerant hoses of the air- Examining the AD Docket conditioning system. Federal Aviation Administration You may examine the AD docket on You may examine the MCAI on the internet at http://www.regulations.gov 14 CFR Part 39 the internet at http:// www.regulations.gov by searching for by searching for and locating Docket No. [Docket No. FAA–2018–0895; Product and locating Docket No. FAA–2018– FAA–2018–0895. Identifier 2018–CE–037–AD] 0895; or in person at Docket Operations Related Service Information Under 1 RIN 2120–AA64 between 9 a.m. and 5 p.m., Monday CFR Part 51 through Friday, except Federal holidays. Pacific Aerospace Limited has issued The AD docket contains this proposed Airworthiness Directives; Pacific Pacific Aerospace Service Bulletin AD, the regulatory evaluation, any Aerospace Limited Airplanes PACSB/XL/086, Issue 2, dated April 6, comments received, and other 2018. The service information provides AGENCY: Federal Aviation information. The street address for instructions for replacing the Administration (FAA), Department of Docket Operations (telephone (800) noncompliant insulation lagging with Transportation (DOT). 647–5527) is in the ADDRESSES section. compliant materials. This service ACTION: Notice of proposed rulemaking Comments will be available in the AD information is reasonably available (NPRM). docket shortly after receipt. because the interested parties have FOR FURTHER INFORMATION CONTACT: SUMMARY: We propose to adopt a new access to it through their normal course Mike Kiesov, Aerospace Engineer, FAA, airworthiness directive (AD) for Pacific of business or by the means identified Small Airplane Standards Branch, 901 Aerospace Limited Model 750XL in the ADDRESSES section. Locust, Room 301, Kansas City, airplanes. This proposed AD results Missouri 64106; telephone: (816) 329– FAA’s Determination and Requirements from mandatory continuing 4144; fax: (816) 329–4090; email: of This Proposed AD airworthiness information (MCAI) [email protected]. originated by an aviation authority of This product has been approved by another country to identify and correct SUPPLEMENTARY INFORMATION: the aviation authority of another country, and is approved for operation an unsafe condition on an aviation Comments Invited product. The MCAI describes the unsafe in the United States. Pursuant to our condition as non-compliant insulation We invite you to send any written bilateral agreement with this State of lagging on the refrigerant hoses of the relevant data, views, or arguments about Design Authority, they have notified us air-conditioning system. We are issuing this proposed AD. Send your comments of the unsafe condition described in the this proposed AD to require actions to to an address listed under the MCAI and service information address the unsafe condition on these ADDRESSES section. Include ‘‘Docket No. referenced above. We are proposing this products. FAA–2018–0895; Product Identifier AD because we evaluated all 2018–CE–037–AD’’ at the beginning of information and determined the unsafe DATES: We must receive comments on your comments. We specifically invite condition exists and is likely to exist or this proposed AD by December 7, 2018. comments on the overall regulatory, develop on other products of the same ADDRESSES: You may send comments by economic, environmental, and energy type design. any of the following methods: aspects of this proposed AD. We will • Federal eRulemaking Portal: Go to consider all comments received by the Costs of Compliance http://www.regulations.gov. Follow the closing date and may amend this We estimate that this proposed AD instructions for submitting comments. proposed AD because of those will affect 22 products of U.S. registry. • Fax: (202) 493–2251. comments. We also estimate that it would take • Mail: U.S. Department of We will post all comments we about 32 work-hours per product to Transportation, Docket Operations, receive, without change, to http:// comply with the basic requirements of M–30, West Building Ground Floor, regulations.gov, including any personal this proposed AD. The average labor

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rate is $85 per work-hour. Required For the reasons discussed above, I system. We are issuing this AD to replace parts would cost about $500 per certify this proposed regulation: non-compliant insulation lagging on the product. (1) Is not a ‘‘significant regulatory refrigerant hoses of the air-conditioning Based on these figures, we estimate action’’ under Executive Order 12866, system, which could lead to smoke in the the cost of this proposed AD on U.S. (2) Is not a ‘‘significant rule’’ under cabin if a fire occurred. operators to be $70,840, or $3,220 per the DOT Regulatory Policies and (f) Actions and Compliance Procedures (44 FR 11034, February 26, product. Unless already done, within 150 hours According to the manufacturer, some 1979), time-in-service after the effective date of this of the costs of this proposed AD may be (3) Will not affect intrastate aviation AD, remove existing refrigeration hose covered under warranty, thereby in Alaska, and lagging, install fire sleeve lagging, and install reducing the cost impact on affected (4) Will not have a significant aluminum tape at the wing spar by following individuals. We do not control warranty economic impact, positive or negative, the Accomplishment Instructions in Pacific coverage for affected individuals. As a on a substantial number of small entities Aerospace Service Bulletin PACSB/XL/086, result, we have included all costs in our under the criteria of the Regulatory Issue 2, dated April 6, 2018. Flexibility Act. cost estimate. (g) Other FAA AD Provisions Authority for This Rulemaking List of Subjects in 14 CFR Part 39 The following provisions also apply to this Title 49 of the United States Code Air transportation, Aircraft, Aviation AD: (1) Alternative Methods of Compliance specifies the FAA’s authority to issue safety, Incorporation by reference, (AMOCs): The Manager, Small Airplane rules on aviation safety. Subtitle I, Safety. Standards Branch, FAA, has the authority to section 106, describes the authority of The Proposed Amendment approve AMOCs for this AD, if requested the FAA Administrator. ‘‘Subtitle VII: using the procedures found in 14 CFR 39.19. Aviation Programs,’’ describes in more Accordingly, under the authority delegated to me by the Administrator, Send information to ATTN: Mike Kiesov, detail the scope of the Agency’s Aerospace Engineer, FAA, Small Airplane authority. the FAA proposes to amend 14 CFR part 39 as follows: Standards Branch, 901 Locust, Room 301, We are issuing this rulemaking under Kansas City, Missouri 64106; telephone: the authority described in ‘‘Subtitle VII, PART 39—AIRWORTHINESS (816) 329–4144; fax: (816) 329–4090; email: Part A, Subpart III, Section 44701: DIRECTIVES [email protected]. Before using any General requirements.’’ Under that approved AMOC on any airplane to which section, Congress charges the FAA with ■ 1. The authority citation for part 39 the AMOC applies, notify your appropriate promoting safe flight of civil aircraft in continues to read as follows: principal inspector (PI) in the FAA Flight air commerce by prescribing regulations Standards District Office (FSDO), or lacking Authority: 49 U.S.C. 106(g), 40113, 44701. for practices, methods, and procedures a PI, your local FSDO. the Administrator finds necessary for § 39.13 [Amended] (2) Contacting the Manufacturer: For any requirement in this AD to obtain corrective safety in air commerce. This regulation ■ 2. The FAA amends § 39.13 by adding is within the scope of that authority actions from a manufacturer, the action must the following new airworthiness instead be accomplished using a method because it addresses an unsafe condition directive (AD): that is likely to exist or develop on approved by the Manager, Small Airplane products identified in this rulemaking Pacific Aerospace Limited: Docket No. FAA– Standards Branch, FAA; or the Civil Aviation 2018–0895; Product Identifier 2018–CE– Authority of New Zealand (CAA). action. 037–AD. This AD is issued in accordance with (h) Related Information (a) Comments Due Date authority delegated by the Executive Refer to MCAI Civil Aviation Authority Director, Aircraft Certification Service, We must receive comments by December 7, (CAA) AD DCA/750XL/29, dated July 5, as authorized by FAA Order 8000.51C. 2018. 2018, for related information. You may In accordance with that order, issuance (b) Affected ADs examine the MCAI on the internet at http:// of ADs is normally a function of the www.regulations.gov by searching for and None. Compliance and Airworthiness locating Docket No. FAA–2018–0895. For Division, but during this transition (c) Applicability service information related to this AD, period, the Executive Director has This AD applies to Pacific Aerospace contact Pacific Aerospace Limited, Airport delegated the authority to issue ADs Limited Model 750XL airplanes, serial Road, Hamilton, Private Bag 3027, Hamilton applicable to small airplanes, gliders, numbers (S/N) up to and including S/N 205, 3240, New Zealand; phone: +64 7843 6144; balloons, airships, domestic business jet S/N 207, and S/N 208, certificated in any fax: +64 843 6134; email: pacific@ transport airplanes, and associated category, with an air-conditioning aerospace.co.nz; internet: appliances to the Director of the Policy modification PAC/XL/0409 or PAC/XL/0618 www.aerospace.co.nz. You may review this installed. and Innovation Division. referenced service information at the FAA, (d) Subject Policy and Innovation Division, 901 Locust, Regulatory Findings Kansas City, Missouri 64106. For information Air Transport Association of America on the availability of this material at the We determined that this proposed AD (ATA) Code 21: Air Conditioning. FAA, call (816) 329–4148. would not have federalism implications (e) Reason under Executive Order 13132. This Issued in Kansas City, Missouri, on proposed AD would not have a This AD was prompted by mandatory October 5, 2018. substantial direct effect on the States, on continuing airworthiness information (MCAI) Melvin J. Johnson, originated by an aviation authority of another Aircraft Certification Service, Deputy the relationship between the national country to identify and correct an unsafe Director, Policy and Innovation Division, Government and the States, or on the condition on an aviation product. The MCAI AIR–601. distribution of power and describes the unsafe condition as non- responsibilities among the various compliant insulation lagging on the [FR Doc. 2018–22464 Filed 10–22–18; 8:45 am] levels of government. refrigerant hoses of the air-conditioning BILLING CODE 4910–13–P

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DEPARTMENT OF TRANSPORTATION Examining the AD Docket MCAI’’), to mandate the AFM revisions You may examine the AD docket on and also to include an option to modify Federal Aviation Administration the internet at http:// the oil pressure/temperature indicator. www.regulations.gov by searching for The MCAI states: 14 CFR Part 39 and locating Docket No. FAA–2018– DCA/750XL/19A revised to introduce [Docket No. FAA–2018–0842; Product 0842; or in person at Docket Operations revision 30 March 2018 for PAL 750XL POH Identifier 2018–CE–025–AD] between 9 a.m. and 5 p.m., Monday AIR3237, and clarify the AD requirements. RIN 2120–AA64 through Friday, except Federal holidays. We are proposing this AD to retain the The AD docket contains this proposed replacement of the pressure switch for Airworthiness Directives; Pacific AD, the regulatory evaluation, any the low oil pressure light and the oil Aerospace Limited Airplanes comments received, and other pressure/temperature indicator. We are information. The street address for AGENCY: Federal Aviation also proposing to require the revised Docket Operations (telephone (800) AFM provisions and to clarify that you Administration (FAA), Department of 647–5527) is in the ADDRESSES section. Transportation (DOT). may modify the oil pressure/ Comments will be available in the AD temperature indicator instead of ACTION: Notice of proposed rulemaking docket shortly after receipt. replacing the indicator. (NPRM). FOR FURTHER INFORMATION CONTACT: You may examine the MCAI on the Mike Kiesov, Aerospace Engineer, FAA, SUMMARY: We propose to supersede internet at http://www.regulations.gov Small Airplane Standards Branch, 901 Airworthiness Directive (AD) AD 2018– by searching for and locating Docket No. Locust, Room 301, Kansas City, 04–09 for Pacific Aerospace Limited FAA–2018–0842. Missouri 64106; telephone: (816) 329– Model 750XL airplanes. This proposed 4144; fax: (816) 329–4090; email: Related Service Information Under 1 AD results from mandatory continuing [email protected]. CFR Part 51 airworthiness information (MCAI) originated by an aviation authority of SUPPLEMENTARY INFORMATION: We reviewed Pacific Aerospace another country to identify and correct Comments Invited Temporary Revision Instruction Letter, an unsafe condition on an aviation dated October 2017, which includes We invite you to send any written product. The MCAI describes the unsafe Pacific Aerospace Temporary Revisions relevant data, views, or arguments about condition as incorrectly marked and XL/POH/00/001, XL/POH/02/001, and this proposed AD. Send your comments annunciated low oil-pressure indication XL/POH/03/001; and Pacific Aerospace to an address listed under the warnings. We are issuing this proposed Revision Instruction Letter, dated March ADDRESSES section. Include ‘‘Docket No. AD to require actions to address the 2018, which includes Pacific Aerospace FAA–2018–0842; Product Identifier unsafe condition on these products. POH AIR 3237 Revision, dated March 2018–CE–025–AD’’ at the beginning of 30, 2018, for 750XL airplanes. For the DATES: We must receive comments on your comments. We specifically invite applicable configurations, the service this proposed AD by December 7, 2018. comments on the overall regulatory, information includes revisions to the ADDRESSES: You may send comments by economic, environmental, and energy AFM that corrects the incorrect any of the following methods: aspects of this proposed AD. We will instrument markings. • Federal eRulemaking Portal: Go to consider all comments received by the http://www.regulations.gov. Follow the closing date and may amend this We also reviewed Pacific Aerospace instructions for submitting comments. proposed AD because of those Mandatory Service Bulletin PACSB/XL/ • Fax: (202) 493–2251. comments. 088, dated August 11, 2017, which was • Mail: U.S. Department of We will post all comments we previously approved for incorporation Transportation, Docket Operations, receive, without change, to http:// by reference on April 12, 2018 (83 FR M–30, West Building Ground Floor, regulations.gov, including any personal 9793, March 8, 2018), and describes Room W12–140, 1200 New Jersey information you provide. We will also procedures for replacement or Avenue SE, Washington, DC 20590. post a report summarizing each modification of the low oil-pressure • Hand Delivery: U.S. Department of substantive verbal contact we receive light, pressure switch, and indicator. Transportation, Docket Operations, about this proposed AD. This service information is reasonably M–30, West Building Ground Floor, available because the interested parties Room W12–140, 1200 New Jersey Discussion have access to it through their normal Avenue SE, Washington, DC 20590, We issued AD 2018–04–09, course of business or by the means between 9 a.m. and 5 p.m., Monday Amendment 39–19205 (83 FR 9793, identified in the ADDRESSES section of through Friday, except Federal holidays. March 8, 2018) (‘‘AD 2018–04–09’’) to the AD. For service information identified in address an unsafe condition on Pacific FAA’s Determination and Requirements this proposed AD, contact Pacific Aerospace Limited Model 750XL of the Proposed AD Aerospace Limited, Airport Road, airplanes. AD 2018–04–09 was based on Hamilton, Private Bag 3027, Hamilton mandatory continuing airworthiness This product has been approved by 3240, New Zealand; telephone: +64 7 information (MCAI) originated by the the aviation authority of another 843 6144; facsimile: +64 7 843 6134; Civil Aviation Authority (CAA), which country, and is approved for operation email: [email protected]; is the aviation authority for New in the United States. Pursuant to our internet: www.aerospace.co.nz. You Zealand. bilateral agreement with this State of may review copies of the referenced Since we issued AD 2018–04–09, Design Authority, they have notified us service information at the FAA, Policy Pacific Aerospace Limited has revised of the unsafe condition described in the and Innovation Division, 901 Locust, the airplane flight manual (AFM) MCAI and service information Kansas City, Missouri 64106. For (pilot’s operating handbook). The CAA referenced above. We are proposing this information on the availability of this revised its previous MCAI and issued AD because we evaluated all material at the FAA, call (816) 329– CAA AD DCA/750XL/19A, dated April information and determined the unsafe 4148. 26, 2018 (referred to after this as ‘‘the condition exists and is likely to exist or

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develop on other products of the same the relationship between the national country to identify and correct an unsafe type design. Government and the States, or on the condition on an aviation product. The MCAI distribution of power and describes the unsafe condition as incorrectly Costs of Compliance responsibilities among the various marked and annunciated low oil-pressure indication warnings. We are issuing this AD We estimate that this proposed AD levels of government. will affect 22 products of U.S. registry. to prevent engine oil pressure from dropping For the reasons discussed above, I below safe limits, which could cause possible We also estimate that it would take certify this proposed regulation: engine damage or failure. about 2 work-hours per product to (1) Is not a ‘‘significant regulatory comply with the basic requirements of action’’ under Executive Order 12866, (f) Actions and Compliance this proposed AD. The average labor (2) Is not a ‘‘significant rule’’ under Unless already done, do the following rate is $85 per work-hour. Required the DOT Regulatory Policies and actions in paragraphs (f)(1) through (4) of this parts would cost about $500 per Procedures (44 FR 11034, February 26, AD, as applicable: product. 1979), (1) For airplanes with Pacific Aerospace Based on these figures, we estimate (3) Will not affect intrastate aviation Pilot’s Operating Handbook and Civil the cost of the proposed AD on U.S. in Alaska, and Aviation Authority of New Zealand Approved Flight Manual AIR 2825 (AIR operators to be $14,740, or $670 per (4) Will not have a significant 2825): Within the next 30 days after the product. economic impact, positive or negative, effective date of this AD, insert Pacific Since the proposed AD requires the on a substantial number of small entities Aerospace Temporary Revisions XL/POH/00/ same actions as AD 2018–04–09, the under the criteria of the Regulatory 001, XL/POH/02/001 and XL/POH/03/001 costs of compliance remains the same Flexibility Act. into AIR 2825 following the Accomplishment and does not impose any additional Instructions in Pacific Aerospace Temporary List of Subjects in 14 CFR Part 39 costs on U.S. operators. Revision Instruction Letter, dated October Air transportation, Aircraft, Aviation 2017. Authority for This Rulemaking safety, Incorporation by reference, (2) For airplanes with Pacific Aerospace Title 49 of the United States Code Safety. Pilot’s Operating Handbook and Civil specifies the FAA’s authority to issue Aviation Authority of New Zealand The Proposed Amendment Approved Flight Manual AIR 3237, Issue 2 rules on aviation safety. Subtitle I, (AIR 3237): Within the next 30 days after the section 106, describes the authority of Accordingly, under the authority effective date of this AD, remove the affected the FAA Administrator. ‘‘Subtitle VII: delegated to me by the Administrator, pages and insert the revised pages, into AIR Aviation Programs,’’ describes in more the FAA proposes to amend 14 CFR part 3237 following the Accomplishment detail the scope of the Agency’s 39 as follows: Instructions in Pacific Aerospace Revision authority. Instruction Letter, dated March 30, 2018. We are issuing this rulemaking under PART 39—AIRWORTHINESS (3) For Pacific Aerospace 750XL airplanes the authority described in ‘‘Subtitle VII, DIRECTIVES up to serial number 217: Within the next 100 Part A, Subpart III, Section 44701: hours time-in-service (TIS) after April 12, ■ 1. The authority citation for part 39 General requirements.’’ Under that 2018 (the effective date of AD 2018–04–09) continues to read as follows: or within the next 12 months after April 12, section, Congress charges the FAA with 2018 (the effective date of AD 2018–04–09), Authority: 49 U.S.C. 106(g), 40113, 44701. promoting safe flight of civil aircraft in whichever occurs first, replace or modify the air commerce by prescribing regulations § 39.13 [Amended] pressure switch for the low oil pressure light for practices, methods, and procedures by following Part A—Accomplishment ■ 2. The FAA amends § 39.13 by the Administrator finds necessary for Instructions in Pacific Aerospace Mandatory safety in air commerce. This regulation removing Amendment 39–19205 (83 FR Service Bulletin PACSB/XL/088, dated is within the scope of that authority 9793, March 8, 2018), and adding the August 11, 2017 (PACSB/XL/088). because it addresses an unsafe condition following new airworthiness directive (4) For Pacific Aerospace 750XL airplanes that is likely to exist or develop on (AD): up to serial number 217 with a part number Pacific Aerospace Limited: Docket No. FAA– (P/N) INS 60–8 oil pressure/temperature products identified in this rulemaking indicator installed: Within the next 100 action. 2018–0842; Product Identifier 2018–CE– 025–AD. hours TIS after April 12, 2018 (the effective This AD is issued in accordance with date of AD 2018–04–09) or within the next authority delegated by the Executive (a) Comments Due Date 12 months after April 12, 2018 (the effective Director, Aircraft Certification Service, We must receive comments by December 7, date of AD 2018–04–09), whichever occurs as authorized by FAA Order 8000.51C. 2018. first, replace the oil pressure/temperature In accordance with that order, issuance indicator with P/N INS 60–15 by following of ADs is normally a function of the (b) Affected ADs Part B—Accomplishment Instructions in Compliance and Airworthiness This AD replaces AD 2018–04–09, PACSB/XL/088, dated August 11, 2017, Division, but during this transition Amendment 39–19205 (83 FR 9793, March 8, except you are not required to return parts to the manufacturer. period, the Executive Director has 2018) (‘‘AD 2018–04–09’’). delegated the authority to issue ADs (c) Applicability (g) Other FAA AD Provisions applicable to small airplanes, gliders, This AD applies to Pacific Aerospace The following provisions also apply to this balloons, airships, domestic business jet Limited Model 750XL airplanes, all serial AD: transport airplanes, and associated numbers up to 217, certificated in any (1) Alternative Methods of Compliance appliances to the Director of the Policy category. (AMOCs): The Manager, Standards Office, and Innovation Division. FAA, has the authority to approve AMOCs (d) Subject for this AD, if requested using the procedures Regulatory Findings Air Transport Association of America found in 14 CFR 39.19. Send information to (ATA) Code 79: Engine Oil. ATTN: Mike Kiesov, Aerospace Engineer, We determined that this proposed AD FAA, Small Airplane Standards Branch, 901 would not have federalism implications (e) Reason Locust, Room 301, Kansas City, Missouri under Executive Order 13132. This This AD was prompted by mandatory 64106; telephone: (816) 329–4144; fax: (816) proposed AD would not have a continuing airworthiness information (MCAI) 329–4090; email: [email protected]. substantial direct effect on the States, on originated by an aviation authority of another Before using any approved AMOC on any

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airplane to which the AMOC applies, notify determine the feasibility and cost of recordkeeping and tracking your appropriate principal inspector (PI) in implementing a mechanism for tracking requirements. the FAA Flight Standards District Office and controlling electronic waste BIS is seeking public comments on a (FSDO), or lacking a PI, your local FSDO. exports. contemplated new definition of (2) Contacting the Manufacturer: For any electronic waste, on this potential requirement in this AD to obtain corrective DATES: Comments must be received by prohibition on electronic waste exports, actions from a manufacturer, the action must BIS no later than December 24, 2018. instead be accomplished using a method and on the basis for an exemption from ADDRESSES: approved by the Manager, Small Airplane Comments on this rule may that prohibition (through criteria for Standards Branch, FAA; or the Civil Aviation be submitted to the Federal rulemaking electronic waste exemptions). BIS is Authority of New Zealand (CAA). portal (www.regulations.gov). The also seeking comments on potential regulations.gov ID for this rule is: BIS– (i) Related Information regulatory changes, in the form of two 2018–0022. All relevant comments reporting approaches identified by BIS Refer to CAA MCAI AD No. DCA/750XL/ (including any personally identifying 19A, dated April 26, 2018, for related that could be used to track the export of information) will be made available for electronic waste that is exempt from the information. You may examine the MCAI on public inspection and copying. the internet at http://www.regulations.gov by prohibition as well as new searching for and locating Docket No. FAA– FOR FURTHER INFORMATION CONTACT: recordkeeping requirements. In 2018–0842. Pacific Aerospace Limited, Eileen Albanese, Director, Office of addition, BIS is seeking comments on Airport Road, Hamilton, Private Bag 3027, National Security and Technology the potential cost of the regulatory and Hamilton 3240, New Zealand; telephone: +64 Transfer Controls, Bureau of Industry policy changes associated with a 7 843 6144; facsimile: +64 7 843 6134; email: and Security, Department of Commerce, prohibition on the export of electronic [email protected]; internet: by phone at (202) 482–0092, or by email waste and the expected effectiveness, if www.aerospace.co.nz. You may review at [email protected]. any, of a prohibition to address the issue copies of the referenced service information at the FAA, Policy and Innovation Division, SUPPLEMENTARY INFORMATION: of counterfeit goods. BIS is also 901 Locust, Kansas City, Missouri 64106. For interested in observations from information on the availability of this Background members of the public regarding material at the FAA, call (816) 329–4148. In recent years, a number of counterfeit goods and electronic waste Congressional studies and actions, exports in the electronics supply chain. Issued in Kansas City, Missouri, on including the ‘‘Inquiry into Counterfeit Relevant comments from all interested October 5, 2018. Electronic Parts in the Department of persons are welcome and may help BIS Melvin J. Johnson, Defense Supply Chain’’ published by assess the prevalence of counterfeit Aircraft Certification Service, Deputy the Committee on Armed Services in the goods in military and civilian electronic Director, Policy and Innovation Division, United States Senate (Armed Services supply chains, the estimated cost to AIR–601. Report), as well as the ‘‘Secure E-Waste industry to implement these potential [FR Doc. 2018–22467 Filed 10–22–18; 8:45 am] Export and Recycling Act’’ (H.R. 917), regulatory changes, and the BILLING CODE 4910–13–P have raised concerns regarding effectiveness of the potential strategy to counterfeit goods that may enter the reduce counterfeit goods that enter the United States’ military and civilian military and civilian electronics supply DEPARTMENT OF COMMERCE electronics supply chain. One of the chains. potential sources for these counterfeit Bureau of Industry and Security Potential Criteria Regarding Prohibition goods identified in the Armed Services and Exemption of Electronic Waste Report is the unregulated recycling of Exports 15 CFR Parts 740 and 758 discarded electronic equipment that has [Docket No. 180831812–8812–01] typically been shipped overseas from (1) Definition of ‘‘Electronic Waste’’ the United States for disposal. The definition for electronic waste RIN 0694–XC047 Although no specific legislation has being considered by BIS would include Request for Public Comments yet been passed mandating export any of the following used items Regarding Foreign Disposition of controls related to electronic waste, containing electronic components or Certain Commodities prior Congressional studies and actions fragments thereof, including parts or have prompted the Bureau of Industry subcomponents of such items: AGENCY: Bureau of Industry and and Security (BIS) to seek comments on (i) Computers and related equipment; Security, Commerce. potential regulatory changes that would (ii) Data center equipment (including ACTION: Notice of inquiry; request for limit the export of discarded electronic servers, network equipment, firewalls, comments. equipment (electronic waste) by battery backup systems, and power defining the term ‘‘electronic waste’’ distribution units); SUMMARY: The Bureau of Industry and and prohibiting its export from the (iii) Mobile computers (including Security (BIS) is seeking public United States unless certain conditions notebooks, netbooks, tablets, and e-book comments on the effects and costs that are met. If electronic waste does not readers); would result if BIS were to amend its meet these contemplated conditions, (iv) Televisions (including portable regulations to reflect new export persons could be prohibited from televisions and portable DVD players); authorization requirements regarding exporting the electronic waste and (v) Video display devices (including electronic waste, including new would need to identify a means of monitors, digital picture frames, and recordkeeping requirements, reporting disposal within the United States. If portable video devices); requirements, and data elements in the electronic waste meets the contemplated (vi) Digital imaging devices (including Automated Export System, maintained conditions, it would be exempt from the printers, copiers, facsimile machines, by the U.S. Census Bureau, to track prohibition, potentially eligible to image scanners, and multifunction electronic waste that is exported. export under a new license exception or machines); Comments from all interested persons other reporting requirement, and the (vii) Consumer electronics, including are welcome and will help BIS export of these items could require new digital cameras, projectors, digital audio

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players, cellular phones and wireless may arise from the definition used in filing systems to reflect regulatory internet communication devices, audio this notice of inquiry. changes (either in the form of a new equipment, video cassette recorders, license exception or an electronic waste Potential Changes to the Regulations DVD players, video game systems indicator in AES), and costs or effects (including portable systems), video (1) Reporting Requirements for the that may arise from the potential game controllers, signal converter boxes, Export of Exempted Electronic Waste changes described in this notice. In and cable and satellite receivers; and BIS is seeking public comments on addition, BIS seeks comments on the (viii) Portable global positioning two approaches that could be used to prevalence of counterfeit commodities system navigation. track the export of electronic waste that in the electronic supply chains and BIS welcomes comments from the is exempt from the prohibition. The first whether the changes contemplated in public on the definition, or any approach would be to allow electronic this notice of inquiry would alleviate alternative construct for a definition of waste that is exempt from the this problem. electronic waste. prohibition to be exported under a Dated: October 17, 2018. potential new license exception in the 2) Electronic Waste Exemptions Richard E. Ashooh, Export Administration Regulations Assistant Secretary for Export Electronic waste that would be (EAR) (15 CFR, subchapter C, parts 730– Administration. exempted from the prohibition on 774). A second approach would be to [FR Doc. 2018–23044 Filed 10–22–18; 8:45 am] export could include consumer track and record exempted electronic appliances that have electronic features, waste exports through a new data BILLING CODE 3510–33–P electronic parts of a motor vehicle, element in the Automated Export tested working used electronics, and System (AES), maintained by the U.S. recalled electronics. Tested working Census Bureau (Census). BIS recognizes DEPARTMENT OF DEFENSE that Census proposed the introduction used electronics would be determined, Department of the Army through testing methodologies, to be of a similar data element in the Federal Register on March 9, 2016 (81 FR fully functional for the purpose for 32 CFR Part 553 which they were designed or, in the 12423), and ultimately removed the case of multifunction devices, fully proposed requirement in their final rule [Docket No. USA–2018–HQ–0001] functional for at least one of the primary published on April 19, 2017 (82 FR RIN 0702–AA80 purposes for which the items were 18385), because of public comments and designed. This exemption from the concerns. BIS is nevertheless Army Cemeteries potential export prohibition would considering re-introducing an electronic include refurbished items or items waste indicator in AES as an alternate AGENCY: Department of the Army, DoD. exported for reuse for the purpose for means to track the export of electronic ACTION: Proposed rule. which they were designed. Recalled waste that qualifies for an exemption SUMMARY: The Department of the Army electronics include items that have been from the prohibition. BIS welcomes is proposing revisions regarding the recalled by the manufacturer or are comments and suggestions on other development, operation, maintenance, subject to a recall notice issued by the possible approaches and mechanisms and administration of the Army U.S. Consumer Product Safety that would help the public comply with Cemeteries. The revisions include Commission or other pertinent Federal requirements for the export of electronic changes in management and a name authority. waste. change to the Army National Military Also exempt from the prohibition (2) New Recordkeeping Requirements Cemeteries. The rule also adopts would be items that are unusable that BIS is seeking comments on new modifications suggested by the are exported as feedstock, with no recordkeeping requirements that would Department of the Army Inspector additional mechanical or hand apply to exports of exempted electronic General and approved by the Secretary separation required, in a reclamation waste under a potential new license of the Army, as well as implementing process to render the electronic exception and exports of electronic changes in interment eligibility due to components or items recycled waste tracked under a potential new statute. consistent with the laws of the foreign AES data element. Exporters would be country performing the reclamation DATES: Consideration will be given to all required to keep documentation on all process. Feedstock means any raw comments received by December 24, electronic waste that is exported, 2018. material constituting the principal input including how the electronic waste met for an industrial process. the criteria for exemption, and ADDRESSES: You may submit comments, BIS welcomes comments from the including but not limited to the identified by 32 CFR part 553, Docket public on criteria regarding exempted methodology used to test the items and No. USA–2018–HQ–0001 and/or by electronic waste items. Items that do not the test results for each item. Regulatory Information Number (RIN) meet the criteria for exemption could be 0702–AA80 or by any of the following subject to a prohibition on export. Cost to Industry for Potential Changes to methods: Persons would need to determine a the Regulations and the Prevalence of • Federal eRulemaking Portal: http:// means of disposal or destruction of non- Counterfeit Items in Electronic Supply www.regulations.gov. Follow the exempted electronic waste within the Chains instructions for submitting comments. United States. BIS seeks public comments on the • Mail: Department of Defense, Office BIS recognizes that other costs to exporters of determining of the Chief Management Officer, organizations and government agencies eligibility for exemption of items that Directorate for Oversight and may have different criteria or definitions fall under the definition of electronic Compliance, 4800 Mark Center Drive, for electronic waste and other relevant waste (including the workability of the Mailbox #24, Suite 08D09, Alexandria, terms. BIS seeks comment from the testing of used electronics), new VA 22350–1700. public regarding these terms and any recordkeeping requirements for Instructions: All submissions received discrepancies and uncertainties that exempted electronic waste, updates to must include the agency name and

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docket number or RIN for this Federal at the Army National Military spouse whose marriage to the primarily Register document. The general policy Cemeteries. eligible person ended in divorce, to for comments and other submissions Section 553.36, ‘‘Definitions’’, is clarify the termination of a spouse’s from members of the public is to make proposed to provide the definitions of derivative eligibility for interment in a these submissions available for public terms used throughout the proposed cemetery upon the remarriage of the viewing at http://www.regulations.gov rule. primarily eligible spouse, to forbid the as they are received without change, Section 553.37, ‘‘Purpose’’, is interment or inurnment of persons including any personal identifiers or proposed to establish eligibility for convicted of certain crimes, to forbid the contact information. interment and inurnment in the twenty- interment or inurnment of persons who five Army post cemeteries, the U.S. FOR FURTHER INFORMATION CONTACT: Mr. died on active duty under certain Disciplinary Barracks Cemetery at Fort Randall Keel, Army National Military circumstances, and to govern how Leavenworth, KS, and the United States Cemeteries, 703–614–6314. animal remains unintentionally Military Academy Cemetery at West comingled with human remains will be SUPPLEMENTARY INFORMATION: Point, NY. interred or inurned. A. Preamble Section 553.38, ‘‘Statutory Section 553.47, ‘‘Prohibition of authorities’’, is proposed to cite relevant interment, inurnment, or I. Purpose of the Regulatory Action sections of United States Code memorialization in an Army Cemetery a. The Department of the Army (DA) applicable to Army Post Cemeteries of persons who have committed certain is proposing changes governing Army including Public Law 93–43,10 U.S.C. crimes’’, is proposed to be added to Cemeteries. Army Cemeteries consist of 985, 1481, 1482, 3013, and 38 U.S.C. implement 10 U.S.C. 985 and 38 U.S.C. Arlington National Cemetery, the U.S. 2411. 2411, which prohibits the interment, Soldiers’ and Airmen’s Home National Section 553.39, ‘‘Scope and inurnment, or memorialization in any Cemetery, twenty-five Army post applicability’’, is proposed to establish military cemetery of an individual who cemeteries, the West Point Post the applicability of this part and not on has been convicted of a federal or state Cemetery, and the U.S. Disciplinary the applicability of a separate internal capital crime or who committed a Barracks Cemetery at Fort Leavenworth. Army regulation. federal or state capital crime but was not The rule proposes to revise the current Section 553.40, ‘‘Assignment of convicted of such crime because the part as ‘subpart A’(Army National gravesites or niches’’, is proposed to person was not available for trial due to Military Cemeteries), make corrections establish policies regarding the death or flight to avoid prosecution. and additions to subpart A, and add assignment of gravesites or niches. Definitions of the terms federal capital Section 553.41, ‘‘Proof of Eligibility’’, subpart B (Army Post Cemeteries) to crime and state capital crime are in is proposed to establish the § 553.36. further reflect changes in the requirements for family members to Section 553.48, ‘‘Findings concerning management structure of the Army provide necessary documentation the commission of certain crimes where National Military Cemeteries created by needed to verify veterans and their a person has not been convicted due to Army General Orders 2014–74 (https:// family members are eligible for death or flight to avoid prosecution’’, is armypubs.army.mil/ProductMaps/ interment or inurnment in Army post proposed to be added to implement 10 PubForm/Details.aspx?PUBNO= cemeteries. U.S.C. 985 and 38 U.S.C. 2411, which DAGO+2014–74) and provisions of a 17 Section 553.42, ‘‘General rules prohibit the interment, inurnment, or April 2012 Secretary of the Army governing eligibility for interment or memorialization in any military Decision Memorandum. inurnment in Army Post Cemeteries’’, is cemetery of an individual who has been b. The legal authorities for this proposed to establish the general rules convicted of a federal or state capital regulatory action include Public Law that apply to Army post cemeteries. crime, or who committed a federal or 93–43, 10 U.S.C. 3013, and 38 U.S.C. Section 553.43, ‘‘Eligibility for state capital crime but was not 2411. Public Law 93–43, also known as interment and inurnment in Army Post convicted of such crime because the the National Cemeteries Act of 1973, Cemeteries’’, is proposed for the twenty- person was not available for trial due to contains a clause in Section 7(b)(2) that five Army cemeteries on various active death or flight to avoid prosecution. exempts the Secretary of the Army from or former installations which excludes Section 553.49, ‘‘Exceptions to the provisions of the act with respect to the post cemetery at West Point, NY and policies for interment or inurnment at those cemeteries that remained under the U.S. Disciplinary Barracks Cemetery Army Post Cemeteries’’, is proposed to the control of the Army. Title 10 U.S.C. at Fort Leavenworth, KS. establish the authorities for granting 3013 governs the appointment of the Section 553.44, ‘‘Eligibility for exceptions and method by which Secretary of the Army and the interment and inurnment in the West exceptions can be requested. responsibilities of his position to Point Post Cemetery’’, is proposed for III. Expected Impact of the Proposed include the formulation of policies and the post cemetery at West Point, NY. programs, which apply to Army Section 553.45, ‘‘Eligibility for Rule. Cemeteries. Title 38 U.S.C. 2411 interment in U.S. Disciplinary Barracks DOD expects this rule will reduce contains further descriptions of persons Cemetery at Fort Leavenworth’’, is burden to the public by saving time to convicted of capital crimes. proposed for the U.S. Disciplinary the regulated community—primarily legal assistants and veterans—who now II. Summary of the Major Provisions of Barracks Cemetery at Fort Leavenworth, have to currently search for the the Regulatory Action in Question. KS. Section 553.46, ‘‘Ineligibility for appropriate eligibility criteria in the Section 553.12, ‘‘Eligibility for interment, inurnment or current Code of Federal Regulations interment at Arlington National memorialization in an Army Post (CFR), a West Point Regulation, and an Cemtery’’, clarifies certain dependent Cemetery’’, is proposed to clarify those outdated Army Regulation. With these eligibility criteria. individuals who are ineligible for revisions all Army cemetery eligibility Section 553.28, ‘‘Private headstones interments, inurnments and requirements will be contained in one and markers’’, clarifies private memorialization. This language is also regulation which is publicly-accessible headstone and marker approval policies to clarify the ineligibility of a former CFR. DA estimates the consolidation of

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eligibility criteria into a single under the National Environmental J. Executive Order 13771 (Reducing authoritative source will save those Policy Act is required. This new rule Regulation and Controlling Regulatory referring to the CFR for guidance codifies existing policies and does not Costs) approximately 30 minutes of research, significantly alter ongoing activities, nor This proposed rule is expected to be review, and compliance time. DA does this rule constitute a new use of an E.O. 13771 deregulatory action. cemetery eligibility subject matter the property. Details on the estimated cost savings experts estimate that 20% of Army E. Paperwork Reduction Act can be found in the Expected Impact of cemetery eligibility research involves the Proposed Changes section of this The Army has determined that this consultation of the CFR or other Army rule. regulations by legal assistants and 20% proposed rule does not impose reporting consultation by veterans. This results in or recordkeeping requirements under List of Subjects in 32 CFR Part 553 a total of 40% of Army cemetery the Paperwork Reduction Act of 1995. Armed forces, Armed forces reserves, eligibility criteria involving consultation F. Executive Order 12630 (Government Cemeteries, Government property, of the CFR and the other Army Actions and Interference With Military personnel, Monuments and regulations. For purposes of estimating Constitutionally Protected Property memorials, Veterans. opportunity costs, DA subject matter Rights) For the reasons stated in the experts deemed it reasonable to use the preamble, the Department of the Army average of a legal assistant’s mean The Army has determined that E.O. 12630 does not apply because the proposes to amend 32 CFR part 553 to hourly wage ($25.57/hour), as informed read as follows: by the 2016 Bureau of Labor and proposed rule does not impair private Statistics, and the 2016 U.S. Census property rights. PART 553—ARMY CEMETERIES Bureau, American Community Survey G. Executive Order 12866 (Regulatory ■ for 2015 reported annual veteran Planning and Review) and Executive 1. The authority citation for 32 CFR income of $56,978.50. This annum Order 13563 (Improving Regulation part 553 is revised to read as follows: income for veterans divided by 2,080 and Regulatory Review) Authority: 10 U.S.C. 985, 1128, 1481, 1482, annual work hours yields an average 3013, 4721–4726; 24 U.S.C. 295a, 412; 38 veteran hourly wage ($27.39/hour) to Executive Orders 13563 and 12866 U.S.C. 2402 note, 2409– 2411, 2413; 40 approximate an hourly wage for an direct agencies to assess all costs and U.S.C. 9102; and Public Law 93–43, Stat. 87. average eligibility researcher. That rate benefits of available regulatory alternatives and, if regulation is ■ 2. The heading for part 553 is revised is $26.48/hour. to read as set forth above. As there was an average of 7,600 necessary, to select regulatory approaches that maximize net benefits ■ 3. Redesignate §§ 553.1 through burials in Army installations in 2016 for 553.35 as subpart A. which DA cemetery eligibility subject (including potential economic, matter experts estimate that 40% environmental, public health and safety Subpart A—Army National Military involve eligibility research by legal effects, distribute impacts, and equity). Cemeteries assistants or veterans, the impacted Executive Order 13563 emphasizes the population would be 3,040 (7,600 * importance of quantifying both costs ■ 4. Add subpart A heading to read as 0.40). Therefore, 3,040 impacted burials and benefits, of reducing costs, of set forth above. harmonizing rules, and of promoting with an estimated savings of 30 minutes § 553.10 [Amended] per eligibility research at average flexibility. This proposed rule has been ■ researcher hourly rate of $26.48 results designated a ‘‘significant regulatory 5. § 553.10 is amended by removing in a savings to the public of $40,249.60 action,’’ although not economically ‘‘pursuant to § 553.19(i)’’ and adding in (7,600*0.40*30mins*$26.48) annually. significant, under section 3(f) of its place ‘‘pursuant to § 553.19(h)’’ in DOD welcomes comments on the Executive Order 12866. Accordingly, paragraph (c). the proposed rule has been reviewed by ■ 6. § 553.12 is amended by: proposed cost savings associated with ■ this rule. the Office of Management and Budget a. Removing ‘‘; and’’ and adding a (OMB). period in its place in paragraph (b)(4)(v). B. Regulatory Flexibility Act ■ b. Adding new paragraph (b)(5). H. Executive Order 13045 (Protection of The addition reads as follows: The Army has determined that the Children From Environmental Health Regulatory Flexibility Act does not Risk and Safety Risks) § 553.12 Eligibility for interment in apply because the proposed rule does Arlington National Cemetery. The Army has determined that not have a significant economic impact * * * * * on a substantial number of small entities according to the criteria defined in Executive Order 13045, the (b) * * * within the meaning of the Regulatory (5) A minor child or permanently Flexibility Act, 5 U.S.C. 601–612. requirements of that Order do not apply to this proposed rule. dependent child of a primary eligible C. Unfunded Mandates Reform Act person who is or will be interred in I. Executive Order 13132 (Federalism) The Army has determined that the Arlington National Cemetery. Unfunded Mandates Reform Act does The Army has determined that, § 553.28 [Amended] according to the criteria defined in not apply because the proposed rule ■ Executive Order 13132, the 7. Amend § 553.28 by removing ‘‘is’’ does not include a mandate that may and adding in its place ‘‘may be result in estimated costs to State, local, requirements of that Order do not apply to this proposed rule because the rule approved at the discretion of the or tribal governments in the aggregate, Executive Director, and are’’ in or the private sector, of $100 million or will not have a substantial effect on the States, on the relationship between the paragraph (a). more. ■ Federal government and the States, or 8. Add subpart B to read as follows: D. National Environmental Policy Act on the distribution of power and Subpart B—Army Post Cemeteries Neither an environmental analysis nor responsibilities among the various an environmental impact statement levels of government. Sec.

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553.36 Definitions. component members. The active duty (B) Has been judicially determined to 553.37 Purpose. for training category includes annual be the male primarily eligible person’s 553.38 Statutory authorities. training, initial active duty for training, child; 553.39 Scope and applicability. or any other training duty. (C) Whom the male primarily eligible 553.40 Assignment of gravesites or niches. person has been judicially ordered to 553.41 Proof of eligibility. Annual training. The minimum 553.42 General rules governing eligibility period of active duty for training that support; or for interment or inurnment in Army Post Reserve members must perform each (D) Has been otherwise proven, by Cemeteries. year to satisfy the training requirements evidence satisfactory to the Executive 553.43 Eligibility for interment and associated with their Reserve Director, to be the child of the male inurnment in Army Post Cemeteries. component assignment. primarily eligible person; 553.44 Eligibility for interment and (iv) Adopted child of a primarily inurnment in the West Point Post Armed Forces. The U.S. Army, Navy, Marine Corps, Coast Guard, Air Force eligible person; or Cemetery. (v) Stepchild who was part of the and their Reserve components. 553.45 Eligibility for interment in U.S. primarily eligible person’s household at Disciplinary Barracks Cemetery at Fort Army Post Cemeteries. Army Post the time of death of the individual who Leavenworth. Cemeteries consist of the 26 cemeteries is to be interred or inurned. 553.46 Ineligibility for interment, on active Army installations, on Army inurnment or memorialization in an (2) Minor child. A child of the reserve complexes, and on former Army primarily eligible person who Army Post Cemetery. installations or inactive posts. Army 553.47 Prohibition of interment, inurnment (i) Is unmarried; or memorialization in an Army Cemetery National Military Cemeteries are not (ii) Has no dependents; and of persons who have committed certain included in Post Cemeteries. The West (iii) Is under the age of twenty-one crimes. Point Cemetery is considered an Army years, or is under the age of twenty- 553.48 Findings concerning the Post Cemetery but has separate three years and is taking a full-time commission of certain crimes where a eligibility standards due to its unique course of instruction at an educational person has not been convicted due to stature. In addition to the 26 Post institution which the U.S. Department death or flight to avoid prosecution. Cemeteries, there are 3 Apache Native of Education acknowledges as an 553.49 Exceptions to policies for interment American Prisoner of War Cemeteries or inurnment at Army Post Cemeteries. accredited educational institution. on Fort Sill, Oklahoma and 5 World War (3) Permanently dependent child. A Subpart B—Army Post Cemeteries II German and Italian Prisoner of War child of the primarily eligible person Cemeteries on four Army installations who: § 553.36 Definitions. which are closed for interments but for (i) Is unmarried; As used in this part, the following which the Army bears responsibilities. (ii) Has no dependents; and terms have these meanings: Finally, there is the U.S. Army (iii) Is permanently and fully Active duty. Full-time duty in the Disciplinary Barracks Cemetery at Fort dependent on one or both of the child’s active military service of the United Leavenworth used for interring the parents because of a physical or mental States. unclaimed remains of those who die disability incurred before attaining the (1) This includes: while incarcerated by the United States age of twenty-one years or before the age (i) Active Reserve component duty Military. Unlike the other Army of twenty-three years while taking a full- performed pursuant to title 10, United cemeteries which honor the Nation’s time course of instruction at an States Code. veterans, this cemetery has unique educational institution which the U.S. (ii) Service as a cadet or midshipman eligibility standards due to the Department of Education acknowledges currently on the rolls at the U.S. characterization of service of those as an accredited educational institution. Military, U.S. Naval, U.S. Air Force, or criminally incarcerated. (4) Unmarried adult child. A child of U.S. Coast Guard Academies. Cemetery Responsible Official. An the primarily eligible person who (iii) Active duty for operational appointed official who serves as the (i) Is unmarried; support. primary point of contact and (ii) Has no dependents; and (2) This does not include: responsible official for all matters (iii) Has attained the age of twenty- (i) Full-time duty performed under relating to the operation maintenance one years. title 32, United States Code. and administration of an Army Close relative. The spouse, parents, (ii) Active duty for training, initial cemetery. The appointee must be a U.S. adult brothers and sisters, adult natural entry training, annual training duty, or Federal Government Employee, DA children, adult stepchildren, and adult inactive-duty training for members of Civilian or military member and adopted children of a decedent. the Reserve components. appointed on orders by the appropriate Derivatively eligible person. Any Active duty for operational support garrison commander or comparable person who is entitled to interment or (formerly active duty for special work). official. inurnment solely based on his or her A tour of active duty for Reserve relationship to a primarily eligible Child, minor child, permanently personnel authorized from military or person, as set forth in §§ 553.43 through dependent child, unmarried adult Reserve personnel appropriations for 553.45. child.—(1) Child. (i) Natural child of a work on Active component or Reserve Executive Director. The person primarily eligible person, born in component programs. The purpose of charged by the Secretary of the Army to wedlock; active duty for operational support is to serve as the functional proponent for provide the necessary skilled manpower (ii) Natural child of a female primarily policies and procedures pertaining to assets to support existing or emerging eligible person, born out of wedlock; the administration, operation, and requirements and may include training. (iii) Natural child of a male primarily maintenance of all military cemeteries Active duty for training. A category of eligible person, who was born out of under the jurisdiction of the Army. active duty used to provide structured wedlock and: Federal capital crime. An offense individual and/or unit training, (A) Has been acknowledged in a under Federal law for which a sentence including on-the-job training, or writing signed by the male primarily of imprisonment for life or the death educational courses to Reserve eligible person; penalty may be imposed.

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Former spouse. See spouse. kin, the order of precedence for five Army post cemeteries, the West Government. The U.S. government designating a decedent’s primary next of Point Post Cemetery, NY and the U.S. and its agencies and instrumentalities. kin is as follows: Disciplinary Barracks Cemetery at Fort Inactive-duty training. (1) Duty (i) Spouse, even if a minor; Leavenworth, KS. prescribed for members of the Reserve (ii) Children; components by the Secretary concerned (iii) Parents; § 553.38 Statutory authorities. under 37 U.S.C. 206 or any other (iv) Siblings, to include half-blood The statutory authorities for this provision of law. and those acquired through adoption; subpart are Public Law 93–43, 10 U.S.C. (2) Special additional duties (v) Grandparents; 985, 1481, 1482, 3013, and 38 U.S.C. authorized for members of the Reserve (vi) Other next of kin, in order of 2411. relationship to the decedent as components by an authority designated § 553.39 Scope and applicability. by the Secretary concerned and determined by the laws of the (a) Scope. The development, performed by them on a voluntary basis decedent’s state of domicile. (2) Absent a court order or written maintenance, administration, and in connection with the prescribed document from the deceased, the operation of the Army Post Cemeteries training or maintenance activities of the precedence of next of kin with equal are governed by this part, Army units to which they are assigned. relationships to the decedent is Regulation 290–5, and Department of (3) In the case of a member of the governed by seniority (age), older the Army Pamphlet 290–5. The Army National Guard or Air National having higher priority than younger. development, maintenance, Guard of any State, duty (other than Equal relationship situations include administration, and operation of Army full-time duty) under 32 U.S.C. 316, those involving divorced parents of the National Military Cemeteries are not 502, 503, 504 or 505 or the prior decedent, children of the decedent, and covered by this part. corresponding provisions of law. siblings of the decedent. (b) Applicability. This part is (4) This term does not include: Reserve component. The Army applicable to all persons seeking (i) Work or study performed in Reserve, the Navy Reserve, the Marine interment or inurnment in Army Post connection with correspondence Corps Reserve, the Air Force Reserve, Cemeteries. courses, the Coast Guard Reserve, the Army (ii) Attendance at an educational § 553.40 Assignment of gravesites or National Guard of the United States, and institution in an inactive status, or niches. the Air National Guard of the United (iii) Duty performed as a temporary (a) All eligible persons will be member of the Coast Guard Reserve. States. Spouse, former spouse, subsequently assigned gravesites or niches without Interment. The ground burial of remarried spouse.—(1) Spouse. A discrimination as to race, color, sex, casketed or cremated human remains. person who is legally married to another religion, age, or national origin and Inurnment. The placement of without preference to military grade or cremated human remains in a niche. person. (2) Former spouse. A person who was rank. Media. Individuals and agencies that legally married to another person at one (b) Army Cemeteries will enforce a print, broadcast, or gather and transmit time but was not legally married to that one-gravesite-per-family policy. Once news, and their reporters, person at the time of one of their deaths. the initial interment or inurnment is photographers, and employees. (3) Subsequently remarried spouse. A made in a gravesite or niche, each Minor child. See child. derivatively eligible spouse who was additional interment or inurnment of Niche. An above ground space married to the primarily eligible person eligible persons must be made in the constructed specifically for the at the time of the primarily eligible same gravesite or niche, except as noted placement of cremated human remains. person’s death and who subsequently in paragraph (f) of this section. This Parent. A natural parent, a stepparent, includes multiple primarily eligible a parent by adoption, or a person who remarried another person. State capital crime. Under State law, persons if they are married to each for a period of not less than one year the willful, deliberate, or premeditated other. stood in loco parentis, or was granted unlawful killing of another human being (c) A gravesite reservation will be legal custody by a court decree or for which a sentence of imprisonment honored if the gravesite was properly statutory provision. for life or the death penalty may be reserved before May 1, 1975. Permanently dependent child. See imposed. (d) The commander responsible for an child. Subsequently recovered remains. Army cemetery may cancel a gravesite Person authorized to direct Additional remains belonging to the reservation: disposition. The person primarily decedent that are recovered or identified (1) Upon determination that a entitled to direct disposition of human after the decedent’s interment or derivatively eligible spouse has remains and who elects to exercise that inurnment. remarried; entitlement. Determination of such Subsequently remarried spouse. See (2) Upon determination that the entitlement shall be made in accordance spouse. remains of the person having the with applicable law and regulations. Subversive activity. Actions gravesite reservation have been buried Personal representative. A person constituting subversive activity are elsewhere or otherwise disposed of; who has legal authority to act on behalf those defined in applicable provisions (3) Upon determination that the of another through applicable law, of federal law. person having the gravesite reservation order, and regulation. Unmarried adult child. See child. desires to or will be interred in the same Primarily eligible person. Any person Veteran. A person who served in the gravesite with the predeceased, and who is entitled to interment or U.S. Armed Forces and who was doing so is feasible; or inurnment based on his or her service discharged or released under honorable (4) Upon determination that the as specified in §§ 553.39 through conditions. person having the gravesite reservation 553.41. would be 120 years of age and there is Primary next of kin. (1) In the absence § 553.37 Purpose. no record of correspondence with the of a valid written document from the This part specifies the eligibility for person having the gravesite reservation decedent identifying the primary next of interment and inurnment in the twenty- within the last two decades.

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(e) In cases of reservations where (1) DD Form 214 (issued by all (3) A statement from someone with more than one gravesite was reserved military services since January 1, 1950), direct knowledge demonstrating the (on the basis of the veteran’s eligibility Certificate of Release or Discharge from following factors: at the time the reservation was made), Active Duty or any other DD Form that (i) The deceased lived most of his or the gravesite reservations will be shows service or discharge information); her adult life with one or either parents, honored only if the decedents continue (2) WD AGO 53, 55 or 53–55, Enlisted one or both of whom are otherwise to meet the eligibility criteria for Record and Report of Separation eligible for interment; interment in Army Post Cemeteries that Honorable Discharge; (ii) The decedent’s children, siblings, is in effect at the time of need, and the (3) WD AGO 53–98, Military Record or other family members, other than the reserved gravesite is available. and Report of Separation Certificate of eligible parent, waive any derivative (f) Gravesites or niches shall not be Service or any other WD AGO/AGO claim to be interred at the Army Post reserved or assigned prior to the time of Form that shows service or discharge Cemetery in question, in accordance need. information; with DA Form 2386 (Agreement for (g) The selection of gravesites and (4) NGB 22, Report of Separation and Interment). niches is the responsibility of the Record of Service, Departments of the (h) Veterans or primary next of kin of Cemetery Responsible Official. The Army and the Air Force, National Guard deceased veterans may obtain copies of selection of specific gravesites or niches Bureau (must indicate a minimum of 20 their military records by writing to the by the family or other representatives of years total service for pay); National Personnel Records Center, the deceased at any time is prohibited. (5) ADJ 545, Discharge Certificate or Attention: Military Personnel Records, 1 Army DS ODF, Honorable Discharge § 553.41 Proof of eligibility. Archives Drive, St. Louis, Missouri from the United States Army; 63138 or using their website: http:// (a) The personal representative or (6) Bureau of Investigation No. 6, 53 www.archives.gov/veterans/. All others primary next of kin is responsible for or 118, Discharge Certificate or Bureau may request a record by completing and providing appropriate documentation to of Investigation No. 213, Discharge from submitting Standard Form 180. verify the decedent’s eligibility for U.S. Naval Reserve Force; (i) The burden of proving eligibility interment or inurnment. (7) VA Adjudication 545, Summary of lies with the party who requests the (b) The personal representative or Record of Active Service or any other burial. Commanders of these cemeteries primary next of kin must certify in VA/GSA/NAR/NA Form that shows writing that the decedent is not or their Cemetery Responsible Officials service or discharge information; will determine whether the submitted prohibited from interment or inurnment (8) NAVPERS–553, Notice of under § 553.46 because he or she has evidence is sufficient to support a Separation from U.S. Naval Service; finding of eligibility. not committed or has not been (9) NAVMC 70–PD, Honorable convicted of a Federal or State capital Discharge, U.S. Marine Corps or any § 553.42 General rules governing eligibility crime or is not a convicted Tier III sex other NAVPERS/NAVCG/NAVMC/ for interment or inurnment in Army Post offender. NMC/Form No. 6 U.S.N./Navy (no Cemeteries. (c) For service members who die on number) Form that shows service or (a) Only those persons who meet the active duty, a statement of honorable discharge information; or; criteria of § 553.43 or are granted an service from a general court martial (10) DD Form 1300, Report of exception to policy pursuant to § 553.49 convening authority is required. If the Casualty (required in the case of death may be interred in the twenty-five Army certificate of honorable service cannot of an active duty service member). Post Cemeteries. Only those persons be granted, the service member is (f) In addition to the documents who meet the criteria of § 553.44 or are ineligible for interment or inurnment otherwise required by this section, a granted an exception to policy pursuant pursuant to § 553.46(b). request for interment or inurnment of a to § 553.49 may be interred or inurned (d) When applicable, the following subsequently remarried spouse must be in the West Point Cemetery. Only those documents are required: persons who meet the criteria of (1) Death certificate; accompanied by: (2) Proof of eligibility as required by (1) A notarized statement from the § 553.45 may be interred in the U.S. paragraphs (e) through (g) of this new spouse of the subsequently Disciplinary Barracks Cemetery. (b) Derivative eligibility for interment section; remarried spouse agreeing to the (3) Any additional documentation to interment or inurnment and or inurnment may be established only establish the decedent’s eligibility (e.g., relinquishing any claim for interment or through a decedent’s connection to a marriage certificate, birth certificate, inurnment in the same gravesite or primarily eligible person and not to waivers, statements that the decedent niche. another derivatively eligible person. had no children); (2) Notarized statement(s) from all of (c) No veteran is eligible for (4) Burial agreement; the children from the prior marriage interment, inurnment, or (5) A certificate of cremation or agreeing to the interment or inurnment memorialization in an Army Post notarized statement attesting to the of their parents in the same gravesite or Cemetery (except for the U.S. authenticity of the cremated human niche. Disciplinary Cemetery) unless the remains and that 100% of the cremated (g) In addition to the documents veteran’s last period of active duty remains received from the crematorium otherwise required by this section, a ended with an honorable discharge. A are present. The Cemetery Responsible request for interment or inurnment of a general discharge under honorable Official may, however, allow a portion permanently dependent child must be conditions is not sufficient for of the cremated remains to be removed accompanied by: interment, inurnment or by the crematorium for the sole purpose (1) A notarized statement as to the memorialization in an Army Post of producing commemorative items. marital status and degree of dependency Cemetery. (6) Any other document as required of the decedent from an individual with (d) For purposes of determining by the Cemetery Responsible Official. direct knowledge; and whether a service member has received (e) The following documents may be (2) A physician’s statement regarding an honorable discharge, final used to establish the eligibility of a the nature and duration of the physical determinations regarding discharges primarily eligible person: or mental disability; and made in accordance with procedures

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established by chapter 79 of title 10, (1) The spouse of a primarily eligible of honorable service for active duty United States Code, will be considered person who is or will be interred in an deaths. authoritative. Army Post Cemetery in the same grave (a) Primarily eligible persons for (e) The Executive Director has the as the spouse. A former spouse of a interment or inurnment. The following authority to act on requests for primarily eligible person is not eligible are primarily eligible persons for exceptions to the provisions of the for interment in an Army Post Cemetery purposes of interment or inurnment: interment, inurnment, and under this section. (1) A graduate of the USMA, provided memorialization eligibility policies (2) A subsequently remarried spouse the individual was a U.S. citizen, both contained in this part. The Executive of a primarily eligible person who is as a cadet and at the time of death, and Director may delegate this authority on remarried at the time of need, provided whose military service fulfilled one of such terms deemed appropriate. that there are no children from any the following criteria. (f) Individuals who do not qualify as subsequent marriage; that all children (i) The graduate’s service in the a primarily eligible person or a from the prior marriage to the primarily Armed Forces of the United States, if derivatively eligible person, but who are eligible person agree to the interment any, terminated honorably. granted an exception to policy to be and relinquish any claim for interment (ii) The graduate’s service in wartime interred or inurned pursuant to § 553.49 in the same gravesite in a notarized in the Armed Forces of a nation that was in a new gravesite or niche, will be statement(s); and that the new spouse, if allied with the United States during the treated as a primarily eligible person for still living and married to the war terminated honorably. purposes of this part. subsequently remarried spouse, agrees (2) Members of the Armed Forces of (g) Notwithstanding any other section to the interment and relinquishes any the United States, including USMA in this part, memorialization with an claim for interment. The Cemetery cadets, who were on active duty at the individual memorial marker, interment, Responsible Official may cancel the USMA at time of death and their or inurnment in an Army Post Cemetery subsequently remarried spouse’s derivatively eligible person dependents is prohibited if there is a gravesite, gravesite reservation, if any, consistent who may have died while the service niche, or individual memorial marker with § 553.40, and place the member was on active duty at the for the decedent in any other subsequently remarried spouse’s USMA. Government-operated cemetery or the remains in the same gravesite as the (3) Members of the Armed Forces of Government has provided an individual primarily eligible person. the United States who were on active grave marker, individual memorial (3) The spouse of an active duty duty at the USMA at time of retirement. (4) Members of the Armed Forces of marker or niche cover for placement in service member or an eligible veteran, the United States whose last active duty a private cemetery. who was: station prior to retirement for physical (i) Lost or buried at sea, temporarily disability was the USMA. However, § 553.43 Eligibility for interment and interred overseas due to action by the inurnment in Army Post Cemeteries. personnel (not otherwise eligible) who Government, or officially determined to are transferred to the Medical Holding Only those who qualify as a primarily be missing in action; Detachment, Keller Army Hospital, for eligible person or a derivatively eligible (ii) Buried in a U.S. military cemetery medical boarding or medical disability person are eligible for interment and maintained by the American Battle retirement are not, regardless of length inurnment in Army Post Cemeteries Monuments Commission; or of time, eligible for interment or (except for the West Point Cemetery), (iii) Interred in Arlington National unless otherwise prohibited as provided inurnment in the West Point Cemetery Cemetery as part of a group burial (the or Columbarium. for in §§ 553.46 through 553.48, derivatively eligible spouse may not be provided that the last period of active (5) Officers appointed as Professors, buried in the group burial gravesite) and USMA. duty of the service member or veteran the active duty service member does not ended with an honorable discharge. (b) Derivatively eligible persons. have a separate individual interment or Those connected to an individual (a) Primarily eligible persons. The inurnment location. following are primarily eligible persons described in paragraph (a) of this (4) A minor child or permanently section through a relationship described for purposes of interment: dependent adult child of a primarily (1) Any service member who dies on in § 553.43(b). Such individuals may be eligible person who is or will be interred or inurned if space is available active duty in the U.S. Armed Forces interred in an Army Post Cemetery. (except those service members serving in the primarily eligible person’s (5) The parents of a minor child or a gravesite or niche. on active duty for training only), if the permanently dependent adult child, General Courts Martial Convening (c) Temporary Restrictions. The whose remains were interred in an Secretary of the Army or his designee Authority grants a certificate of Army Post Cemetery based on the honorable service. may, in special circumstances, impose eligibility of a parent at the time of the temporary restrictions on the eligibility (2) Any veteran retired from a Reserve child’s death, unless eligibility of a standards for the USMA cemetery. If component who served a period of parent is lost through divorce from the temporary restrictions are imposed, they active duty (other than for training), is primarily eligible parent. will be reviewed annually to ensure the carried on the official retired list, and is special circumstances remain valid for entitled to receive military retired pay. § 553.44 Eligibility for interment and retaining the temporary restrictions. (3) Any veteran retired from active inurnment in the West Point Post Cemetery. military service and entitled to receive The following persons are eligible for § 553.45 Eligibility for interment in U.S. military retired pay. interment and inurnment in the West Disciplinary Barracks Cemetery at Fort (b) Derivatively eligible persons. The Point Post Cemetery, unless otherwise Leavenworth. following individuals are derivatively prohibited as provided for in §§ 553.46 (a) Military prisoners who die while eligible persons for purposes of through 553.48, provided that the last in Military custody and are not claimed interment who may be interred if space period of active duty of the service by the person authorized to direct is available in the gravesite of the member or veteran ended with an disposition of remains or other persons primarily eligible person: honorable discharge or characterization legally authorized to dispose of remains

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are permitted to be interred in the U.S. the service member’s chain of command who has been convicted of a Federal or Disciplinary Barracks Cemetery. All determines that there is clear and State crime causing the person to be a decisions for interment in the U.S.D.B. convincing evidence that the service Tier III sex offender for purposes of the Cemetery will be made by the Executive member engaged in conduct that would Sex Offender Registration and Director, ANMC. have resulted in a separation or Notification Act, who for such crime is (b) Other persons approved by the discharge not characterized as an sentenced to a minimum of life Executive Director. honorable discharge (e.g., a separation imprisonment and whose conviction is or discharge under general but final (other than a person whose § 553.46 Ineligibility for interment, honorable conditions, other than sentence was commuted by the inurnment, or memorialization in an Army Post Cemetery. honorable conditions, a bad conduct President or the Governor of a State, as discharge, a dishonorable discharge, or the case may be). The following persons are not eligible a dismissal) being imposed, but for the (b) Notice. The Executive Director is for interment, inurnment, or death of the service member. designated as the Secretary of the memorialization in an Army Post (j) If animal remains are Army’s representative authorized to Cemetery: unintentionally commingled with receive from the appropriate Federal or (a) A father, mother, brother, sister, or human remains due to a natural State officials notification of conviction in-law solely on the basis of his or her disaster, unforeseen accident, act of war of capital crimes referred to in this relationship to a primarily eligible or terrorism, violent explosion, or section. person, even though the individual is: similar incident, and such remains (c) Confirmation of person’s (1) Dependent on the primarily cannot be separated from the remains of eligibility. (1) If notice has not been eligible person for support; or an eligible person, then the remains may received, but the Executive Director has (2) A member of the primarily eligible be interred or inurned with the eligible reason to believe that the person may person’s household. person, but the identity of the animal have been convicted of a Federal capital (b) Except for the U.S. Disciplinary remains shall not be inscribed or crime or a State capital crime, the Barracks Cemetery in § 553.45, a person identified on a niche, marker, Executive Director shall seek written whose last period of service was not headstone, or otherwise. confirmation from: characterized as an honorable discharge (i) The Attorney General of the United (e.g., a separation or discharge under § 553.47 Prohibition of interment, States, with respect to a suspected general but honorable conditions, other inurnment, or memorialization in an Army Federal capital crime; or than honorable conditions, a bad Cemetery of persons who have committed certain crimes. (ii) An appropriate State official, with conduct discharge, a dishonorable respect to a suspected State capital discharge, or a dismissal), regardless of (a) Prohibition. Notwithstanding crime. whether the person: §§ 553.43 through 553.45, and pursuant (2) The Executive Director will defer (1) Received any other veterans’ to 10 U.S.C. 985 and 38 U.S.C. 2411, the the decision on whether to inter, inurn, benefits; or interment or inurnment in an Army or memorialize a decedent until a (2) Was treated at a Department of Cemetery of any of the following written response is received. Veterans Affairs hospital or died in such persons is prohibited: (c) Due diligence. Army Post a hospital. (1) Any person identified in writing to Cemetery Superintendents and (c) A person who has volunteered for the Executive Director by the Attorney Commanders who have cemeteries for service with the U.S. Armed Forces, but General of the United States, prior to his which they are responsible will make has not yet entered on active duty. or her interment or inurnment as a every effort to determine if the decedent (d) A former spouse whose marriage person who has been convicted of a is ineligible in accordance with 10 to the primarily eligible person ended in Federal capital crime and whose U.S.C. 985 and 38 U.S.C. 2411. For divorce. conviction is final (other than a person those determined ineligible due to the (e) A spouse who predeceases the whose sentence was commuted by the provisions of these sections, primarily eligible person and is interred President). commanders will submit their or inurned in a location other than an (2) Any person identified in writing to determinations in writing to the Army Cemetery, and the primarily the Executive Director by an appropriate Executive Director for validation. eligible person remarries. State official, prior to his or her (f) A divorced spouse of a primarily interment or inurnment as a person who § 553.48 Findings concerning the eligible person or the service-connected has been convicted of a State capital commission of certain crimes where a parent when the divorced spouse has a crime and whose conviction is final person has not been convicted due to death child interred or inurned in an Army (other than a person whose sentence or flight to avoid prosecution. Cemetery under the child’s derivative was commuted by the Governor of the (a) Preliminary Inquiry. If the eligibility. State). Executive Director has reason to believe (g) Otherwise derivatively eligible (3) Any person found under that a decedent may have committed a persons, such as a spouse or minor procedures specified in § 553.48 to have Federal capital crime or a State capital child, if the primarily eligible person committed a Federal or State capital crime but has not been convicted of was not or will not be interred or crime, but who has not been convicted such crime by reason of such person not inurned at an Army Cemetery. of such crime by reason of such person being available for trial due to death or (h) A person convicted in a Federal not being available for trial due to death flight to avoid prosecution, the court or by a court-martial of any or flight to avoid prosecution. Notice Executive Director shall submit the offense involving subversive activity or from officials is not required for this issue to the Army General Counsel. The an offense described in 18 U.S.C. 1751 prohibition to apply. Army General Counsel or his or her (except for military prisoners at the U.S. (4) Any person identified in writing to designee shall initiate a preliminary Disciplinary Barracks Cemetery.) the Executive Director by the Attorney inquiry seeking information from (i) A service member who dies while General of the United States or by an Federal, State, or local law enforcement on active duty, if the first General appropriate State official, prior to his or officials, or other sources of potentially Courts Martial Convening Authority in her interment or inurnment as a person relevant information.

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(b) Decision after Preliminary Inquiry. (6) The hearing shall be appropriately the Executive Director, Army National If, after conducting the preliminary recorded. Upon request, a copy of the Military Cemeteries. inquiry described in paragraph (a) of record shall be provided to the personal Karen L. Durham-Aguilera, this section, the Army General Counsel representative. or designee determines that credible Executive Director. (f) Final Determination. After [FR Doc. 2018–22968 Filed 10–22–18; 8:45 am] evidence exists suggesting the decedent considering the hearing officer’s report, may have committed a Federal capital BILLING CODE 5001–03–P the opinion of the Army General crime or State capital crime, then Counsel or his or her designee, and any further proceedings under this section additional information submitted by the are warranted to determine whether the FEDERAL COMMUNICATIONS personal representative, the Secretary of decedent committed such crime. COMMISSION Consequently the Army General the Army or his or her designee shall 47 CFR Part 54 Counsel or his or her designee shall determine the decedent’s eligibility for present the personal representative with interment, inurnment, or [WC Docket No. 10–90; DA 18–1013] a written notification of such memorialization. This determination is preliminary determination and a dated, final and not appealable. Pleading Cycle Established for written notice of the personal (1) The determination shall be based Petitions for Reconsideration of the representative’s procedural options. on evidence that supports or Performance Measures Order (c) Notice and Procedural Options. undermines a conclusion that the AGENCY: Federal Communications The notice of procedural options shall decedent’s actions satisfied the elements Commission. indicate that, within fifteen days, the of the crime as established by the law ACTION: Notice; request for comments. personal representative may: of the jurisdiction in which the (1) Request a hearing; decedent would have been prosecuted. SUMMARY: In this document, the (2) Withdraw the request for Wireline Competition Bureau (2) If an affirmative defense is offered interment, inurnment, or establishes a pleading cycle for Petitions by the decedent’s personal memorialization; or for Reconsideration of the Performance representative, a determination as to (3) Do nothing, in which case the Measures Order. whether the defense was met shall be request for interment, inurnment, or DATES: Oppositions due November 7, made according to the law of the memorialization will be considered to 2018 and replies due November 19, have been withdrawn. jurisdiction in which the decedent 2018. would have been prosecuted. (d) Time computation. The fifteen-day ADDRESSES: All pleadings are to time period begins on the calendar day (3) Mitigating evidence shall not be reference WC Docket No. 10–90. immediately following the earlier of the considered. Oppositions and replies may be filed day the notice of procedural options is (4) The opinion of the local, State, or using the Commission’s Electronic delivered in person to the personal Federal prosecutor as to whether he or Comment Filing System (ECFS), or by representative or is sent by U.S. she would have brought charges against filing paper copies: registered mail or, if available, by the decedent had the decedent been • Electronic Filers: Oppositions and electronic means to the personal available is relevant but not binding and replies may be filed electronically using representative. It ends at midnight on shall be given no more weight than the internet by accessing the ECFS: the fifteenth day. The period includes other facts presented. http://apps.fcc.gov/ecfs/. weekends and holidays. • Paper Filers: Parties who choose to (e) Hearing. The purpose of the (g) Notice of Decision. The Executive file by paper must file an original and hearing is to allow the personal Director shall provide written one copy of each filing. Filings can be representative to present additional notification of the Secretary’s decision sent by hand or messenger delivery, by information regarding whether the to the personal representative. commercial overnight courier, or by decedent committed a Federal capital first-class or overnight U.S. Postal § 553.49 Exceptions to policies for crime or a State capital crime. In lieu of interment or inurnment at Army Post Service mail. All filings must be making a personal appearance at the Cemeteries. addressed to the Commission’s hearing, the personal representative may Secretary, Office of the Secretary, submit relevant documents for (a) Requests for exceptions to policy Federal Communications Commission. consideration. will be made by the Executive Director, • People with Disabilities: To request (1) If a hearing is requested, the Army Army National Military Cemeteries. materials in accessible formats for General Counsel or his or her designee (b) Eligibility standards for interment people with disabilities (Braille, large shall conduct the hearing. and inurnment are based on honorable print, electronic files, audio format), (2) The hearing shall be conducted in military service. Exceptions to the send an email to [email protected] or call an informal manner. eligibility standards are rarely granted. the Consumer & Governmental Affairs (3) The rules of evidence shall not When granted, exceptions are for those Bureau at (202) 418–0530 (voice), (202) apply. persons who have made significant 418–0432 (TTY). For detailed instructions for (4) The personal representative and contributions that directly and submitting oppositions or replies see the witnesses may appear, at no expense to substantially benefited the U.S. military. the Government, and shall, at the SUPPLEMENTARY INFORMATION section of discretion of the hearing officer, testify (c) Requests for an exception to the this document. under oath. Oaths must be administered interment or inurnment eligibility FOR FURTHER INFORMATION CONTACT: by a person who possesses the legal policies shall be considered only after Stephen Wang, Wireline Competition authority to administer oaths. the individual’s death. Bureau, (202) 418–7400 or TTY: (202) (5) The Army General Counsel or (d) Procedures for submitting requests 418–0484. designee shall consider any and all for exceptions to policy for interment SUPPLEMENTARY INFORMATION: This is a relevant information obtained. and inurnment will be established by summary of the Commission’s

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document, WC Docket No. 10–90; DA Commission’s Secretary must be Federal Communications Commission. 18–1013, released on October 2, 2018. delivered to FCC Headquarters at 445 Ryan Palmer, The full text of this document is 12th St. SW, Room TW–A325, Chief, Telecommunications Access Policy available for inspection and copying Washington, DC 20554. The filing hours Division, Wireline Competition Bureau. during normal business hours in the are 8:00 a.m. to 7:00 p.m. All hand [FR Doc. 2018–23081 Filed 10–22–18; 8:45 am] FCC’s Reference Information Center at deliveries must be held together with BILLING CODE 6712–01–P Portals II, CY–A257, 445 12th Street rubber bands or fasteners. Any SW, Washington, DC 20554. The full envelopes and boxes must be disposed text is also available online at http:// of before entering the building. DEPARTMENT OF DEFENSE apps.fcc.gov/ecfs/ and https:// • Commercial overnight mail (other www.fcc.gov/edocs. than U.S. Postal Service Express Mail GENERAL SERVICES and Priority Mail) must be sent to 9050 ADMINISTRATION Synopsis Junction Drive, Annapolis Junction, MD 1. On July 6, 2018, the Wireline 20701. NATIONAL AERONAUTICS AND Competition Bureau, the Wireless • U.S. Postal Service first-class, SPACE ADMINISTRATION Telecommunications Bureau, and the Express, and Priority mail must be Office of Engineering and Technology addressed to 445 12th Street SW, adopted the Performance Measures Washington DC 20554. 48 CFR Parts 13, 15, and 16 Order. For recipients of high-cost 4. This proceeding shall continue to [FAR Case 2017–010; Docket No. 2017– universal service support to serve fixed be treated as a ‘‘permit-but-disclose’’ 0010; Sequence No. 1] locations, that Order established a proceeding in accordance with the framework for measuring speed and Commission’s ex parte rules. Persons RIN 9000–AN54 latency performance, determining a making ex parte presentations must file recipient’s compliance with its speed a copy of any written presentation or a Federal Acquisition Regulation: and latency obligations, and providing memorandum summarizing any oral Evaluation Factors for Multiple-Award incentives for recipients to meet those presentation within two business days Contracts; Correction obligations. after the presentation (unless a different AGENCY: Department of Defense (DoD), 2. On September 19, 2018, Hughes deadline applicable to the Sunshine General Services Administration (GSA), Network Systems, LLC, Micronesian period applies). Persons making oral ex and National Aeronautics and Space Telecommunications Corporation, and parte presentations are reminded that Administration (NASA). Viasat, Inc. each filed petitions for memoranda summarizing the ACTION: reconsideration of the Order. presentation must (1) list all persons Proposed rule; correction. Additionally, USTelecom—The attending or otherwise participating in SUMMARY: On September 24, 2018, DoD, Broadband Association, ITTA—The the meeting at which the ex parte GSA, and NASA published a document Voice of America’s Broadband presentation was made, and (2) proposing to amend the Federal Providers, and the Wireless internet summarize all data presented and Acquisition Regulation (FAR) to Service Providers Association jointly arguments made during the implement a section of the National filed a petition for reconsideration, presentation. If the presentation Defense Authorization Act (NDAA) for while NTCA—The Rural Broadband consisted in whole or in part of the Fiscal Year (FY) 2017. The document Association and WTA—Advocates for presentation of data or arguments heading carried an incorrect docket Rural Broadband filed applications for already reflected in the presenter’s number. This document carries the review. written comments, memoranda or other correct docket number. 3. Pursuant to the Commission’s rules, filings in the proceeding, the presenter DATES: oppositions to the petitions for may provide citations to such data or Comments for the proposed rule reconsideration must be filed no later arguments in his or her prior comments, published September 24, 2018, at 83 FR than November 7, 2018 and replies to memoranda, or other filings (specifying 48271, continue to be accepted on or oppositions must be filed no later than the relevant page and/or paragraph before November 23, 2018, to be November 19, 2018. Oppositions and numbers where such data or arguments considered in the formulation of a final replies may be filed using the can be found) in lieu of summarizing rule. Commission’s Electronic Comment them in the memorandum. Documents ADDRESSES: Submit comments in Filing System (ECFS). See Electronic shown or given to Commission staff response to FAR Case 2017–010 by any Filing of Documents in Rulemaking during ex parte meetings are deemed to of the following methods: • Proceedings, 63 FR 24121 (1998). be written ex parte presentations and Regulations.gov: http:// • Electronic Filers: Comments may be must be filed consistent with rule www.regulations.gov. Submit comments filed electronically using the internet by § 1.1206(b). In proceedings governed by via the Federal eRulemaking portal by accessing the ECFS: http://apps.fcc.gov/ rule § 1.49(f) or for which the entering ‘‘FAR Case 2017–010’’ under ecfs/. Commission has made available a the heading ‘‘Enter Keyword or ID’’ and • Paper Filers: Parties who choose to method of electronic filing, written ex selecting ‘‘Search’’. Select the link file by paper must file an original and parte presentations and memoranda ‘‘Comment Now’’ that corresponds with one copy of each filing. Filings can be summarizing oral ex parte ‘‘FAR Case 2017–010’’. Follow the sent by hand or messenger delivery, by presentations, and all attachments instructions provided on the screen. commercial overnight courier, or by thereto, must be filed through the Please include your name, company first-class or overnight U.S. Postal electronic comment filing system name (if any), and ‘‘FAR Case 2017– Service mail. All filings must be available for that proceeding, and must 010’’ on your attached document. addressed to the Commission’s be filed in their native format (e.g., .doc, • Mail: General Services Secretary, Office of the Secretary, .xml, .ppt, searchable .pdf). Participants Administration, Regulatory Secretariat Federal Communications Commission. in this proceeding should familiarize Division, ATTN: Lois Mandell, 1800 F • All hand-delivered or messenger- themselves with the Commission’s ex Street NW, 2nd floor, Washington, DC delivered paper filings for the parte rules. 20405.

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Instructions: Please submit comments Mammal Protection Act (MMPA). The Eastern time, Monday through Friday, only and cite ‘‘FAR case 2017–010’’ in LOF for 2019 reflects new information excluding Federal holidays. all correspondence related to this case. on interactions between commercial SUPPLEMENTARY INFORMATION: Comments received generally will be fisheries and marine mammals. NMFS posted without change to http:// must classify each commercial fishery What is the List of Fisheries? www.regulations.gov, including any on the LOF into one of three categories Section 118 of the MMPA requires personal and/or business confidential under the MMPA based upon the level NMFS to place all U.S. commercial information provided. To confirm of mortality and serious injury of marine fisheries into one of three categories receipt of your comment(s), please mammals that occurs incidental to each based on the level of incidental check www.regulations.gov, fishery. The classification of a fishery on mortality and serious injury of marine approximately two to three days after the LOF determines whether mammals occurring in each fishery (16 submission to verify posting (except participants in that fishery are subject to U.S.C. 1387(c)(1)). The classification of allow 30 days for posting of comments certain provisions of the MMPA, such as a fishery on the LOF determines submitted by mail). registration, observer coverage, and take whether participants in that fishery may FOR FURTHER INFORMATION CONTACT: For reduction plan (TRP) requirements. be required to comply with certain clarification of content, contact Mr. DATES: Comments must be received by provisions of the MMPA, such as Michael O. Jackson, Procurement November 23, 2018. registration, observer coverage, and take reduction plan requirements. NMFS Analyst, at 202–208–4949. For ADDRESSES: You may submit comments must reexamine the LOF annually, information pertaining to status or on this document, identified by NOAA– considering new information in the publication schedules, contact the NMFS–2018–0066, by either of the Marine Mammal Stock Assessment Regulatory Secretariat Division at 202– following methods: Reports (SARs) and other relevant 501–4755. Please cite ‘‘FAR Case 2017– Electronic Submission: Submit all sources, and publish in the Federal 010.’’ electronic public comments via the Register any necessary changes to the Federal e-Rulemaking Portal: SUPPLEMENTARY INFORMATION: On LOF after notice and opportunity for 1. Go to www.regulations.gov/ September 24, 2018, at 83 FR 48271, public comment (16 U.S.C. 1387 #!docketDetail;D=NOAA-NMFS-2018- DoD, GSA, and NASA published a (c)(1)(C)). proposed rule to amend the Federal 0066; Acquisition Regulation (FAR) to 2. Click the ‘‘Comment Now!’’ icon, How does NMFS determine in which implement a section of the National complete the required fields; category a fishery is placed? Defense Authorization Act (NDAA) for 3. Enter or attach your comments. The definitions for the fishery Fiscal Year (FY) 2017. The document’s Mail: Submit written comments to classification criteria can be found in heading contained the incorrect docket Chief, Marine Mammal and Sea Turtle the implementing regulations for section number, ‘‘Docket No. 2017–0009.’’ The Conservation Division, Office of 118 of the MMPA (50 CFR 229.2). The correct docket number is ‘‘Docket No. Protected Resources, NMFS, 1315 East- criteria are also summarized here. 2017–0010’’ and is in the heading of this West Highway, Silver Spring, MD correction. 20910. Fishery Classification Criteria Instructions: Comments sent by any Dated: October 17, 2018. The fishery classification criteria other method, to any other address or consist of a two-tiered, stock-specific William F. Clark, individual, or received after the end of approach that first addresses the total Director, Office of Government-wide the comment period, may not be impact of all fisheries on each marine Acquisition Policy, Office of Acquisition considered by NMFS. All comments Policy, Office of Government-wide Policy. mammal stock and then addresses the received are a part of the public record impact of individual fisheries on each [FR Doc. 2018–23072 Filed 10–22–18; 8:45 am] and will generally be posted for public stock. This approach is based on BILLING CODE 6820–EP–P viewing on www.regulations.gov consideration of the rate, in numbers of without change. All personal identifying animals per year, of incidental information (e.g., name, address, etc.), mortalities and serious injuries of DEPARTMENT OF COMMERCE confidential business information, or marine mammals due to commercial otherwise sensitive information fishing operations relative to the National Oceanic and Atmospheric submitted voluntarily by the sender will potential biological removal (PBR) level Administration be publicly accessible. NMFS will for each marine mammal stock. The accept anonymous comments (enter MMPA (16 U.S.C. 1362(20)) defines the 50 CFR Part 229 N/A in the required fields if you wish PBR level as the maximum number of [Docket No. 180522499–8499–01] to remain anonymous). animals, not including natural FOR FURTHER INFORMATION CONTACT: mortalities, that may be removed from a RIN 0648–BH96 Jaclyn Taylor, Office of Protected marine mammal stock while allowing List of Fisheries for 2019 Resources, 301–427–8402; Allison that stock to reach or maintain its Rosner, Greater Atlantic Region, 978– optimum sustainable population (OSP). AGENCY: National Marine Fisheries 281–9328; Jessica Powell, Southeast This definition can also be found in the Service (NMFS), National Oceanic and Region, 727–824–5312; Dan Lawson, implementing regulations for section Atmospheric Administration (NOAA), West Coast Region, 562–980–3209; 118 of the MMPA (50 CFR 229.2). Commerce. Suzie Teerlink, Alaska Region, 907– Tier 1: Tier 1 considers the ACTION: Proposed rule, request for 586–7240; Kevin Brindock, Pacific cumulative fishery mortality and serious comment. Islands Region, 808–725–5146. injury for a particular stock. If the total Individuals who use a annual mortality and serious injury of a SUMMARY: The National Marine telecommunications device for the marine mammal stock, across all Fisheries Service (NMFS) publishes its hearing impaired may call the Federal fisheries, is less than or equal to 10 proposed List of Fisheries (LOF) for Information Relay Service at 1–800– percent of the PBR level of the stock, all 2019, as required by the Marine 877–8339 between 8 a.m. and 4 p.m. fisheries interacting with the stock will

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be placed in Category III (unless those the incidental mortality or serious indicating that undocumented fisheries interact with other stock(s) for injury is ‘‘frequent,’’ ‘‘occasional,’’ or interactions may be occurring (e.g., which total annual mortality and ‘‘remote’’ by evaluating other factors fishery has low observer coverage and serious injury is greater than 10 percent such as fishing techniques, gear used, stranding network data include of PBR). Otherwise, these fisheries are methods used to deter marine mammals, evidence of fisheries interactions that subject to the next tier (Tier 2) of target species, seasons and areas fished, cannot be attributed to a specific analysis to determine their qualitative data from logbooks or fishery) species and stocks may be classification. fishermen reports, stranding data, and retained for longer than five years. For Tier 2: Tier 2 considers fishery- the species and distribution of marine these fisheries, NMFS will review the specific mortality and serious injury for mammals in the area, or at the other sources of information listed a particular stock. discretion of the Assistant above and use its discretion to decide Category I: Annual mortality and Administrator for Fisheries (50 CFR when it is appropriate to remove a serious injury of a stock in a given 229.2). species or stock. fishery is greater than or equal to 50 Further, eligible commercial fisheries percent of the PBR level (i.e., frequent not specifically identified on the LOF Where does NMFS obtain information incidental mortality and serious injury are deemed to be Category II fisheries on the level of observer coverage in a of marine mammals). until the next LOF is published (50 CFR fishery on the LOF? Category II: Annual mortality and 229.2). The best available information on the serious injury of a stock in a given level of observer coverage and the fishery is greater than 1 percent and less How does NMFS determine which spatial and temporal distribution of than 50 percent of the PBR level (i.e., species or stocks are included as observed marine mammal interactions is occasional incidental mortality and incidentally killed or injured in a presented in the SARs. Data obtained serious injury of marine mammals). fishery? from the observer program and observer Category III: Annual mortality and The LOF includes a list of marine coverage levels are important tools in serious injury of a stock in a given mammal species and/or stocks estimating the level of marine mammal fishery is less than or equal to 1 percent incidentally killed or injured in each mortality and serious injury in of the PBR level (i.e., a remote commercial fishery. The list of species commercial fishing operations. Starting likelihood of or no known incidental and/or stocks incidentally killed or with the 2005 SARs, each Pacific and mortality and serious injury of marine injured includes ‘‘serious’’ and ‘‘non- Alaska SAR includes an appendix with mammals). serious’’ documented injuries as detailed descriptions of each Category I Additional details regarding how the described later in the List of Species and II fishery on the LOF, including the categories were determined are and/or Stocks Incidentally Killed or observer coverage in those fisheries. For provided in the preamble to the final Injured in the Pacific Ocean and the Atlantic fisheries, this information can rule implementing section 118 of the Atlantic Ocean, Gulf of Mexico, and be found in the LOF Fishery Fact MMPA (60 FR 45086; August 30, 1995). Caribbean sections. To determine which Sheets. The SARs generally do not Because fisheries are classified on a species or stocks are included as provide detailed information on per-stock basis, a fishery may qualify as incidentally killed or injured in a observer coverage in Category III one category for one marine mammal fishery, NMFS annually reviews the fisheries because, under the MMPA, stock and another category for a information presented in the current Category III fisheries are generally not different marine mammal stock. A SARs and injury determination reports. required to accommodate observers fishery is typically classified on the LOF The SARs are based upon the best aboard vessels due to the remote at its highest level of classification (e.g., available scientific information and likelihood of mortality and serious a fishery qualifying for Category III for provide the most current and inclusive injury of marine mammals. Fishery one marine mammal stock and for information on each stock’s PBR level information presented in the SARs’ Category II for another marine mammal and level of interaction with appendices and other resources stock will be listed under Category II). commercial fishing operations. The best referenced during the tier analysis may Stocks driving a fishery’s classification available scientific information used in include: Level of observer coverage; are denoted with a superscript ‘‘1’’ in the SARs and reviewed for the 2019 target species; levels of fishing effort; Tables 1 and 2. LOF generally summarizes data from spatial and temporal distribution of 2011–2015. NMFS also reviews other fishing effort; characteristics of fishing Other Criteria That May Be Considered sources of new information, including gear and operations; management and The tier analysis requires a minimum injury determination reports, bycatch regulations; and interactions with amount of data, and NMFS does not estimation reports, observer data, marine mammals. Copies of the SARs have sufficient data to perform a tier logbook data, stranding data, are available on the NMFS Office of analysis on certain fisheries. Therefore, disentanglement network data, Protected Resources website at: https:// NMFS has classified certain fisheries by fishermen self-reports (i.e., MMPA www.fisheries.noaa.gov/national/ analogy to other Category I or II fisheries mortality/injury reports), and anecdotal marine-mammal-protection/marine- that use similar fishing techniques or reports from that time period. In some mammal-stock-assessment-reports- gear that are known to cause mortality cases, more recent information may be region. Information on observer or serious injury of marine mammals, or available and used in the LOF. coverage levels in Category I, II, and III according to factors discussed in the For fisheries with observer coverage, fisheries can be found in the fishery fact final LOF for 1996 (60 FR 67063; species or stocks are generally removed sheets on the NMFS Office of Protected December 28, 1995) and listed in the from the list of marine mammal species Resources’ website: https:// regulatory definition of a Category II and/or stocks incidentally killed or www.fisheries.noaa.gov/national/ fishery: In the absence of reliable injured if no interactions are marine-mammal-protection/list- information indicating the frequency of documented in the five-year timeframe fisheries-summary-tables. Additional incidental mortality and serious injury summarized in that year’s LOF. For information on observer programs in of marine mammals by a commercial fisheries with no observer coverage and commercial fisheries can be found on fishery, NMFS will determine whether for observed fisheries with evidence the NMFS National Observer Program’s

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website: https://www.fisheries.noaa.gov/ type that is no longer authorized under How do I register and receive my national/fisheries-observers/national- the most current FMP. For this reason, Marine Mammal Authorization observer-program. the number of HSFCA permits Program (MMAP) authorization certificate? How do I find out if a specific fishery displayed in Table 3 is likely higher is in Category I, II, or III? than the actual U.S. fishing effort on the NMFS has integrated the MMPA high seas. For more information on how The LOF includes three tables that list registration process, implemented NMFS classifies high seas fisheries on through the Marine Mammal all U.S. commercial fisheries by the LOF, see the preamble text in the Category. Table 1 lists all of the Authorization Program (MMAP), with final 2009 LOF (73 FR 73032; December existing state and Federal fishery commercial fisheries in the Pacific 1, 2008). Additional information about Ocean (including Alaska); Table 2 lists license, registration, or permit systems HSFCA permits can be found at https:// for Category I and II fisheries on the all of the commercial fisheries in the www.fisheries.noaa.gov/node/23351. Atlantic Ocean, Gulf of Mexico, and LOF. Participants in these fisheries are Caribbean; and Table 3 lists all U.S. Where can I find specific information automatically registered under the authorized commercial fisheries on the on fisheries listed on the LOF? MMAP and are not required to submit high seas. A fourth table, Table 4, lists registration or renewal materials. all commercial fisheries managed under Starting with the 2010 LOF, NMFS In the Pacific Islands, West Coast, and applicable TRPs or take reduction teams developed summary documents, or Alaska regions, NMFS will issue vessel (TRT). fishery fact sheets, for each Category I or gear owners an authorization and II fishery on the LOF. These fishery certificate via U.S. mail or with their Are high seas fisheries included on the fact sheets provide the full history of state or Federal license or permit at the LOF? each Category I and II fishery, including: time of issuance or renewal. Beginning with the 2009 LOF, NMFS When the fishery was added to the LOF; In the West Coast Region, includes high seas fisheries in Table 3 the basis for the fishery’s initial authorization certificates may be of the LOF, along with the number of classification; classification changes to obtained from the website http:// valid High Seas Fishing Compliance Act the fishery; changes to the list of species www.westcoast.fisheries.noaa.gov/ (HSFCA) permits in each fishery. As of and/or stocks incidentally killed or protected_species/marine_mammals/ _ 2004, NMFS issues HSFCA permits only injured in the fishery; fishery gear and fisheries interactions.html. for high seas fisheries analyzed in methods used; observer coverage levels; In the Alaska Region, authorization accordance with the National fishery management and regulation; and certificates may be obtained by visiting Environmental Policy Act (NEPA) and applicable TRPs or TRTs, if any. These the National MMAP website https:// the Endangered Species Act (ESA). The fishery fact sheets are updated after each www.fisheries.noaa.gov/national/ authorized high seas fisheries are broad final LOF and can be found under ‘‘How marine-mammal-protection/marine- in scope and encompass multiple Do I Find Out if a Specific Fishery is in mammal-authorization-program# specific fisheries identified by gear type. Category I, II, or III?’’ on the NMFS obtaining-a-marine-mammal- For the purposes of the LOF, the high Office of Protected Resources’ website: authorization-certificate. seas fisheries are subdivided based on https://www.fisheries.noaa.gov/ In the Greater Atlantic Region, NMFS gear type (e.g., trawl, longline, purse national/marine-mammal-protection/ will issue vessel or gear owners an seine, gillnet, troll, etc.) to provide more marine-mammal-protection-act-list- authorization certificate via U.S. mail detail on composition of effort within fisheries, linked to the ‘‘List of Fisheries automatically at the beginning of each these fisheries. Many fisheries operate Summary’’ table. NMFS is developing calendar year. Certificates may also be in both U.S. waters and on the high similar fishery fact sheets for each obtained by visiting the Greater Atlantic seas, creating some overlap between the Category III fishery on the LOF. Regional Office website https:// fisheries listed in Tables 1 and 2 and However, due to the large number of www.greateratlantic.fisheries.noaa.gov/ mmap. those in Table 3. In these cases, the high Category III fisheries on the LOF and the In the Southeast Region, NMFS will seas component of the fishery is not lack of accessible and detailed issue vessel or gear owners an considered a separate fishery, but an information on many of these fisheries, authorization certificate via U.S. mail extension of a fishery operating within the development of these fishery fact automatically at the beginning of each U.S. waters (listed in Table 1 or 2). sheets is taking significant time to NMFS designates those fisheries in calendar year. Vessel or gear owners can complete. NMFS began posting Category Tables 1, 2, and 3 by a ‘‘*’’ after the receive additional authorization III fishery fact sheets online with the fishery’s name. The number of HSFCA certificates by contacting the Southeast LOF for 2016. permits listed in Table 3 for the high Regional Office at 727–209–5952 or by seas components of these fisheries Am I required to register under the visiting the National MMAP website: operating in U.S. waters does not MMPA? https://www.fisheries.noaa.gov/ necessarily represent additional effort national/marine-mammal-protection/ that is not accounted for in Tables 1 and Owners of vessels or gear engaging in marine-mammal-authorization- 2. Many vessels/participants holding a Category I or II fishery are required program#obtaining-a-marine-mammal- HSFCA permits also fish within U.S. under the MMPA (16 U.S.C. 1387(c)(2)), authorization-certificate. waters and are included in the number as described in 50 CFR 229.4, to register The authorization certificate, or a of vessels and participants operating with NMFS and obtain a marine copy, must be on board the vessel while within those fisheries in Tables 1 and 2. mammal authorization to lawfully take it is operating in a Category I or II HSFCA permits are valid for five non-endangered and non-threatened fishery, or for non-vessel fisheries, in years, during which time Fishery marine mammals incidental to the possession of the person in charge Management Plans (FMPs) can change. commercial fishing operations. Owners of the fishing operation (50 CFR Therefore, some vessels/participants of vessels or gear engaged in a Category 229.4(e)). Although efforts are made to may possess valid HSFCA permits III fishery are not required to register limit the issuance of authorization without the ability to fish under the with NMFS or obtain a marine mammal certificates to only those vessel or gear permit because it was issued for a gear authorization. owners that participate in Category I or

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II fisheries, not all state and Federal fishing activity. ‘‘Injury’’ is defined in found at: https:// license or permit systems distinguish 50 CFR 229.2 as a wound or other www.fisheries.noaa.gov/national/ between fisheries as classified by the physical harm. In addition, any animal marine-mammal-protection/marine- LOF. Therefore, some vessel or gear that ingests fishing gear or any animal mammal-take-reduction-plans-and- owners in Category III fisheries may that is released with fishing gear teams. It is the responsibility of fishery receive authorization certificates even entangling, trailing, or perforating any participants to comply with applicable though they are not required for part of the body is considered injured, take reduction regulations. Category III fisheries. regardless of the presence of any wound Individuals fishing in Category I and or other evidence of injury, and must be Where can I find more information II fisheries for which no state or Federal reported. about the LOF and the MMAP? license or permit is required must Mortality/injury reporting forms and Information regarding the LOF and register with NMFS by contacting their instructions for submitting forms to the MMAP, including registration appropriate Regional Office (see NMFS can be found at: https:// procedures and forms; current and past ADDRESSES). www.fisheries.noaa.gov/national/ LOFs; descriptions of each Category I marine-mammal-protection/marine- and II fishery and some Category III How do I renew my registration under mammal-authorization-program# fisheries; observer requirements; and the MMAP? reporting-a-death-or-injury-of-a-marine- marine mammal mortality/injury In Alaska, Greater Atlantic, and mammal-during-commercial-fishing- reporting forms and submittal Southeast regional fisheries, operations or by contacting the procedures; may be obtained at: https:// registrations of vessel or gear owners are appropriate regional office (see FOR www.fisheries.noaa.gov/national/ automatically renewed and participants FURTHER INFORMATION). Forms may be marine-mammal-protection/marine- should receive an authorization submitted via any of the following mammal-protection-act-list-fisheries, or certificate by January 1 of each new means: (1) Online using the electronic from any NMFS Regional Office at the year. Certificates can also be obtained form; (2) emailed as an attachment to addresses listed below: from the region’s website. In Pacific [email protected]; (3) faxed to NMFS, Greater Atlantic Regional Islands regional fisheries, vessel or gear the NMFS Office of Protected Resources Fisheries Office, 55 Great Republic owners receive an authorization at 301–713–0376; or (4) mailed to the Drive, Gloucester, MA 01930–2298, certificate by January 1 for state fisheries NMFS Office of Protected Resources Attn: Allison Rosner; and with their permit renewal for (mailing address is provided on the NMFS, Southeast Region, 263 13th Federal fisheries. In West Coast regional postage-paid form that can be printed Avenue South, St. Petersburg, FL 33701, fisheries, vessel or gear owners receive from the web address listed above). Attn: Jessica Powell; authorization either with each renewed Reporting requirements and procedures NMFS, West Coast Region, Long state fishing license in Washington and are found in 50 CFR 229.6. Beach Office, 501 W Ocean Blvd., Suite Oregon, with their permit renewal for 4200, Long Beach, CA 90802–4213, Am I required to take an observer Federal fisheries (the timing of which Attn: Dan Lawson; varies based on target species), or via aboard my vessel? NMFS, Alaska Region, Protected U.S. mail. Vessel or gear owners who Individuals participating in a Resources, P.O. Box 22668, 709 West participate in fisheries in these regions Category I or II fishery are required to 9th Street, Juneau, AK 99802, Attn: and have not received authorization accommodate an observer aboard their Suzie Teerlink; or certificates by January 1 or with vessel(s) upon request from NMFS. NMFS, Pacific Islands Regional renewed fishing licenses must contact MMPA section 118 states that the Office, Protected Resources Division, the appropriate NMFS Regional Office Secretary is not required to place an 1845 Wasp Blvd., Building 176, (see FOR FURTHER INFORMATION). observer on a vessel if the facilities for Honolulu, HI 96818, Attn: Kevin Additional authorization certificates are quartering an observer or performing Brindock. available for printing on the National observer functions are so inadequate or Sources of Information Reviewed for MMAP website: https:// unsafe that the health or safety of the the 2019 LOF www.fisheries.noaa.gov/national/ observer or the safe operation of the marine-mammal-protection/marine- vessel would be jeopardized; thereby NMFS reviewed the marine mammal mammal-authorization-program# authorizing the exemption of vessels too incidental mortality and serious injury obtaining-a-marine-mammal- small to safely accommodate an information presented in the SARs for authorization-certificate. observer from this requirement. all fisheries to determine whether However, U.S. Atlantic Ocean, changes in fishery classification are Am I required to submit reports when Caribbean, or Gulf of Mexico large warranted. The SARs are based on the I kill or injure a marine mammal pelagics longline vessels operating in best scientific information available at during the course of commercial fishing special areas designated by the Pelagic the time of preparation, including the operations? Longline Take Reduction Plan level of mortality and serious injury of In accordance with the MMPA (16 implementing regulations (50 CFR marine mammals that occurs incidental U.S.C. 1387(e)) and 50 CFR 229.6, any 229.36(d)) will not be exempted from to commercial fishery operations and vessel owner or operator, or gear owner observer requirements, regardless of the PBR levels of marine mammal or operator (in the case of non-vessel their size. Observer requirements are stocks. The information contained in the fisheries), participating in a fishery found in 50 CFR 229.7. SARs is reviewed by regional Scientific listed on the LOF must report to NMFS Review Groups (SRGs) representing all incidental mortalities and injuries of Am I required to comply with any Alaska, the Pacific (including Hawaii), marine mammals that occur during marine mammal TRP regulations? and the U.S. Atlantic, Gulf of Mexico, commercial fishing operations, Table 4 provides a list of fisheries and Caribbean. The SRGs were created regardless of the category in which the affected by TRPs and TRTs. TRP by the MMPA to review the science that fishery is placed (I, II, or III) within 48 regulations are found at 50 CFR 229.30 informs the SARs, and to advise NMFS hours of the end of the fishing trip or, through 229.37. A description of each on marine mammal population status, in the case of non-vessel fisheries, TRT and copies of each TRP can be trends, and stock structure,

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uncertainties in the science, research Commercial Fisheries in the Pacific remove the Main Hawaiian Islands needs, and other issues. Ocean (MHI) Insular stock of false killer whale NMFS also reviewed other sources of from, the list of stocks incidentally Fishery Name and Organizational new information, including marine killed or injured in the Category I Changes and Clarification mammal stranding and entanglement Hawaii deep-set longline fishery. A data, observer program data, fishermen NMFS proposes to add a superscript rough-toothed dolphin was observed self-reports, reports to the SRGs, ‘‘1’’ to the CA/OR/WA stock of short- dead in this fishery in 2013. No MHI conference papers, FMPs, and ESA finned pilot whale to indicate it is insular stock false killer whale documents. driving the Category II classification of mortalities or injuries have been The LOF for 2019 was based on, the CA thresher shark/swordfish drift observed in the most recent five years of among other things, stranding data; gillnet (≥14 inch (in) mesh). The most data. Annual average estimated fishermen self-reports; and SARs, current estimate of CA/OR/WA short- mortality and serious injury for rough- primarily the 2017 SARs, which are finned pilot whale mortality and serious toothed dolphins from the Hawaii deep- based on data from 2011–2015. The injury in the CA thresher shark/ set longline fishery during 2011 to 2015 SARs referenced in this LOF include: swordfish drift gillnet fishery (≥14 in was 1.1 per year, which is equal to 0.26 2015 (81 FR 38676; June 14, 2016), 2016 mesh) is 1.2 per year (Carretta et al., percent of this stock’s PBR of 423. (82 FR 29039; June 27, 2017), and 2017 2018b), which is equal to 27 percent of During the same time-frame, mortality (83 FR 32093; July 11, 2018). The SARs this stock’s PBR of 4.5 (Carretta et al., and serious injury was 0 for the MHI are available at: https:// 2018). This level of impact warrants a insular stock false killer whale (Carretta www.fisheries.noaa.gov/national/ Category II listing under a Tier 2 et al., 2018). Observer coverage from marine-mammal-protection/marine- analysis (between 1 and 50 percent of 2011–2015 for this fishery was 20.3, mammal-stock-assessment-reports- PBR), which represents the current 20.4, 20.4, 20.8, and 20.6 percent, region. listing for this fishery. respectively. Request for Public Input on Number of Vessels/Persons NMFS proposes to add the Western Aquaculture Gear Descriptions North Pacific and Central North Pacific NMFS proposes to update the humpback whale stocks to the list of We are soliciting public comment on estimated number of vessels/persons in stocks incidentally killed or injured in existing and anticipated gear types used the Pacific Ocean (Table 1) as follows: the Category II AK Kodiak salmon set for coastal and offshore aquaculture Category I gillnet fishery based on a report of a facilities (shellfish, finfish, and • HI deep-set longline fishery from serious injury in 2015. (Note: For macroalgae) in both state and Federal 143 to 142 vessels/persons serious injury and mortality that occurs waters to accurately reflect aquaculture Category II in an area of stock overlap, all potential • operations on the LOF. The scope and HI shallow-set longline fishery from stocks are assigned.) scale of all aquaculture fisheries is 22 to 13 vessels/person NMFS proposes to add the Eastern • expected to grow over the next few American Samoa longline fishery Chukchi Sea, Eastern Bering Sea, and decades. We will consider evaluating all from 18 to 20 vessels/persons Bristol Bay stocks of beluga whale to the Category III aquaculture fisheries based on gear • list of stocks incidentally killed or types, rather than species harvested, in American Samoa bottomfish injured in the Category II AK Bering a future LOF publication. handline from 17 to 1092 vessels/ Sea, Aleutian Islands pollock trawl person. Summary of Changes to the LOF for fishery based on an observed mortality NMFS notes that in previous years, 2019 in 2013. (Note: For mortality and serious including the LOF for 2018, the injury that occurs in an area of stock The following summarizes changes to estimated number of vessels/persons in overlap, all potential stocks are the LOF for 2019, including the the American Samoa bottomfish assigned.) classification of fisheries, fisheries handline fishery was reported as the Following consultation with the listed, the estimated number of vessels/ number of boats in the fishery. The most USFWS, NMFS proposes to add the persons in a particular fishery, and the recent Annual Stock Assessment and southern sea otter to the list of species species and/or stocks that are Fishery Evaluation Report for American and/or stocks incidentally killed or incidentally killed or injured in a Samoa (WPRFMC, 2016b) now reports injured in the Category II CA spiny particular fishery. NMFS also makes participation in the American Samoa lobster fishery based on an observed changes to the estimated number of bottomfish handline fishery as the mortality in 2016 (USFWS, 2017). vessels/persons and list of species and/ number of fishers in the fishery. This NMFS proposes to add the Eastern or stocks killed or injured in certain number is calculated by using the North Pacific stock of blue whales to the fisheries. The classifications and average number of fishers per trip list of stocks incidentally killed or definitions of U.S. commercial fisheries multiplied by the number of trips per injured in the Category II CA Dungeness for 2019 are identical to those provided day, multiplied by the numbers of dates crab pot fishery based on two observed in the LOF for 2018 with the changes in the calendar year. The total is the moralities or serious injuries in 2016 discussed below. State and regional combined weekend and weekday (Carretta et al., 2018a). In addition, abbreviations used in the following stratum estimates. Therefore, the LOF NMFS proposes to add a superscript ‘‘1’’ paragraphs include: AK (Alaska), BSAI for 2019 reports the estimated number to the stock to indicate it is driving the (Bering Sea and Aleutian Islands), CA of vessels/persons for American Samoa classification of the fishery. Although (California), DE (Delaware), FL (Florida), bottomfish handline fishery as the this information has not yet been GOA (Gulf of Alaska), GMX (Gulf of number of fishers in the fishery. included in the blue whale SAR, we Mexico), HI (Hawaii), MA calculate that the mean annual take of (Massachusetts), ME (Maine), NC (North List of Species and/or Stocks Eastern North Pacific blue whales in the Carolina), NY (New York), OR (Oregon), Incidentally Killed or Injured in the CA Dungeness crab pot fishery during RI (Rhode Island), SC (South Carolina), Pacific Ocean the most recent 5 years of available data VA (Virginia), WA (Washington), and NMFS proposes to add the Hawaii (2012–2016) to be 0.4 per year, which is WNA (Western North Atlantic). stock of rough-toothed dolphin to, and equal to 17 percent of this stock’s PBR

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of 2.3 (Carretta et al., 2018). This level cod trawl fishery based on an observed fishery. The mean annual estimated of impact warrants a Category II listing mortality in 2010. mortality and serious injury based on under a Tier 2 analysis (between 1 and NMFS proposes to add the Western observer data (2007–2011) from this 50 percent of PBR), which represents U.S. stock of Steller sea lion to the list fishery is 2.3 animals, which is 2.07 the current listing for this fishery. of stocks incidentally killed or injured percent of PBR (Waring et al., 2016). NMFS proposes to add two stocks to in the Category III AK Gulf of Alaska Number of Vessels/Persons the list of stocks incidentally killed or rockfish trawl fishery based on an injured in the Category II AK Bering observed mortality in 2015. NMFS proposes updates to the Sea, Aleutian Islands Pacific cod NMFS proposes to add the Western estimated number of vessels/persons in longline fishery, including: (1) Eastern Arctic stock of bowhead whale to the the Atlantic Ocean, Gulf of Mexico, and North Pacific AK resident stock of killer Category III AK Bering Sea, Aleutian Caribbean (Table 2) as follows: whale, based on an observed mortality Islands crab pot fishery for stranding Category I • in 2012; and (2) AK spotted seal, based report of a mortality in 2015. Northeast sink gillnet fishery from on an observed mortality in 2011. 4,332 to 3,163 vessels/persons Commercial Fisheries in the Atlantic • Northeast/Mid-Atlantic American NMFS proposes to add the Western Ocean, Gulf of Mexico, and Caribbean U.S. stock of Steller sea lion to the list lobster trap/pot fishery from 10,163 of stocks incidentally killed or injured Fishery Name and Organizational to 8,485 vessels/persons in the Category II AK Gulf of Alaska Changes and Clarification Category II • Mid-Atlantic mid-water trawl sablefish longline fishery based on an NMFS proposes to remove the (including pair trawl) fishery from observed mortality in 2012. superscript ‘‘1’’ from the Northern 382 to 320 vessels/persons NMFS proposes to add the Central migratory coastal stock of bottlenose • Mid-Atlantic bottom trawl fishery North Pacific stock of humpback whale dolphin to indicate this stock is no from 785 to 633 vessels/persons to the list of stocks incidentally killed longer driving the Category I • Northeast mid-water trawl or injured in the Category III AK Prince classification of the Mid-Atlantic gillnet (including pair trawl) fishery from William Sound salmon set gillnet fishery. The maximum mean annual 1,087 to 542 vessels/persons fishery based on stranding reports of estimated mortality and serious injury Category III two injuries in 2015. based on observer data (2011–2015) • Atlantic mixed species trap/pot NMFS proposes to add the Western from this fishery is 12.2 animals which fishery from 3,436 to 3,332 vessels/ North Pacific stock of humpback whale is 25.42 percent of PBR (Hayes et al., persons. to the list of stocks incidentally killed 2017). These estimates may represent or injured in the Category III AK Kodiak NMFS proposes to remove the inflations of actual effort and do not salmon purse seine fishery based on a superscript ‘‘1’’ from the Gulf of Maine necessarily represent a change in self-report of an injury in 2012. stock of harbor porpoise to indicate this industry effort. However, they represent NMFS proposes to add the Central stock is no longer driving the Category an estimate of the potential effort for North Pacific stock of humpback whale I classification of the Northeast sink each fishery given the multiple gear to the list of stocks incidentally killed gillnet fishery. The current annual types for which state permits may allow. or injured in the Category III AK bycatch estimate is 251 animals, which These numbers reflect individuals Southeast salmon purse seine fishery represents 36 percent of this stock’s PBR holding state or Federal permits and do based on a self-reported injury in 2013. of 706. Observer coverage from 2011– not capture if these individuals NMFS proposes to add two stocks to 2015 was 19, 15, 11, 18, and 14 percent maintain multiple permits under the the list of stocks incidentally killed or respectively. same name and address. Additionally, injured in the Category III AK Bering NMFS proposes to add a superscript decreases in the number of potential Sea, Aleutian Islands halibut longline ‘‘1’’ to the Western North Atlantic participants may be an artifact of more fishery, including: (1) The Eastern offshore stock of bottlenose dolphin to efficient techniques used within the Pacific stock of northern fur seal, based indicate it is driving the Category II database to eliminate duplicate name on three stranding reports of mortalities classification of the Mid-Atlantic bottom entries. in 2014; and (2) the North Pacific stock trawl fishery. The mean annual If we are able to extract more accurate of sperm whale, based on an observed estimated mortality and serious injury information on the gear types used by serious injury in 2015. based on observer data (2010–2014) state permit holders in future data NMFS proposes to add the AK stock from this fishery is 19 animals, which requests, the numbers will be corrected of bearded seal to the list of stocks is 3.39 percent of PBR (Hayes et al., to reflect this change. Federal permit incidentally killed or injured in the 2017). information was collected through Category III AK Bering Sea, Aleutian NMFS proposes to add a superscript Federal Vessel Trip Reports and by Islands Pacific cod trawl fishery based ‘‘1’’ to the Southern migratory coastal querying Federal permit databases. State on an observed mortality in 2013. stock of bottlenose dolphin to indicate permit information was collected NMFS proposes to add two stocks to it is driving the Category II classification through the Marine Mammal the list of stocks incidentally killed or of the Atlantic blue crab trap/pot Authorization Program annual injured in the Category III AK Gulf of fishery. The mean annual estimated registration process. Alaska flatfish trawl fishery, including: mortality and serious injury based on (1) The AK stock of harbor seal, based observer data (2011–2015) from this List of Species and/or Stocks on observed mortalities in 2011 and fishery is 0.4 animals, which is 1.74 Incidentally Killed or Injured in the 2013; and (2) the Western U.S. stock of percent of PBR (Hayes et al., 2018). Atlantic Ocean, Gulf of Mexico, and Steller sea lion, based on an observed NMFS proposes to add a superscript Caribbean mortality in 2015. ‘‘1’’ to the Gulf of Mexico Northern NMFS proposes to remove the WNA NMFS proposes to add the AK stock Coastal stock of bottlenose dolphin to stock of harp seal from the stocks listed of harbor seal to the list of stocks indicate it is driving the Category II as incidentally killed or injured in the incidentally killed or injured in the classification of the Southeastern U.S. Category I Mid-Atlantic gillnet fishery. Category III AK Gulf of Alaska Pacific Atlantic, Gulf of Mexico shrimp trawl The last documented take of harp seal

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in this fishery occurred in 2010 when 2011–2015 for this fishery was 33, 17, purse seine fishery from 7 to 10 one animal was killed. Observer 17, 8, and 8 percent, respectively. vessels/persons coverage from 2011–2015 for this NMFS proposes to remove two stocks • Northwest Atlantic trawl fishery fishery was 2, 2, 3, 5, and 6 percent, of pilot whales from the list of stocks from 2 to 4 vessels/persons respectively. Because no additional incidentally killed or injured in the • Pacific highly migratory species takes have been documented since 2010, Category III U.S. Atlantic tuna purse troll fishery from 149 to 150 we propose to remove the stock. seine fishery, including: (1) WNA stock vessels/persons. NMFS proposes to add the Northern of long-finned pilot whale; and (2) WNA List of Species and/or Stocks Gulf of Mexico stock of sperm whale to stock of short-finned pilot whale. The Incidentally Killed or Injured on the the list of stocks incidentally killed or last observed injuries or mortalities of High Seas injured in the Category I Atlantic Ocean, pilot whales from this fishery was in Caribbean, Gulf of Mexico large pelagics 1996 (Waring et al., 2015). Since 2015, NMFS proposes to add three stocks to longline fishery. An entangled sperm there have been no active vessels from the list of stocks incidentally killed or whale was observed in this fishery in this fishery permitted to fish, and thus injured in the Category II Western 2015. no fishing effort (2017 Stock Assessment Pacific Pelagic (HI shallow-set NMFS proposes to add the Gulf of and Fishery Evaluation Report for component) longline fishery. The three Mexico Eastern Coastal stock of Atlantic Highly Migratory Species). stocks are: (1) Hawaii stock of fin whale; bottlenose dolphin to the list of stocks (2) Guadalupe fur seal; and (3) unknown incidentally killed or injured in the Commercial Fisheries on the High Seas stock of Mesoplodon species. One fin Category II Gulf of Mexico gillnet Number of Vessels/Persons whale was observed entangled in the fishery. A dolphin was observed shallow set fishery in 2015, resulting in entangled in the net and released alive. NMFS proposes updates to the a non-serious injury (Carretta et al., NMFS proposes to remove the WNA estimated number of vessels/persons on 2018); one Guadalupe fur seal was stock of gray seal from the stocks listed the High Seas (Table 3) as follows: observed hooked in the shallow set as incidentally killed or injured in the Category I fishery in 2015, resulting in a non- Category II Mid-Atlantic mid-water • Atlantic highly migratory species serious injury (McCracken, 2017); and trawl fishery. The last documented take longline fishery from 79 to 67 one Mesoplodont beaked whale was of gray seal in this fishery occurred in vessels/persons observed entangled in the shallow-set 2010 when one animal was killed. • Western Pacific pelagic longline (HI fishery in 2014, and the injury Observer coverage from 2011–2015 for deep-set component) fishery from determination could not be determined this fishery was 41, 21, 7, 5, and 3 143 to 142 vessels/persons (McCracken, 2017). percent, respectively. Since no Category II additional injuries or mortalities have • Pacific highly migratory species Fisheries Affected by Take Reduction been documented since 2010, we drift gillnet fishery from 4 to 6 Teams and Plans propose to remove the stock. vessels/persons NMFS corrects an administrative error NMFS proposes to remove the • Atlantic highly migratory species in Table 4. Under ‘‘affected fisheries’’ Canadian east coast stock of minke trawl fishery from 2 to 1 vessels/ for the Pacific Offshore Cetacean Take whale from the stocks listed as persons Reduction Plan, NMFS updates the CA incidentally killed or injured in the • South Pacific tuna purse seine thresher shark/swordfish drift gillnet Category II Northeast mid-water trawl fishery from 35 to 38 vessels/ (≥14 in mesh) from Category I to fishery. In 2013, one minke whale was persons Category II. This fishery was reclassified observed dead in the mid-water otter • South Pacific albacore troll longline in the 2018 LOF (83 FR 5349, February trawl fishery on Georges Bank, however fishery from 9 to 11 vessels/persons 7, 2018), but the change was not this animal was too decomposed to have • South Pacific tuna longline fishery reflected in Table 4. been taken in a haul that was only 3 from 4 to 3 vessels/persons hours long. The annual average • Western Pacific pelagic longline (HI List of Fisheries estimated minke whale mortality and shallow-set component) fishery The following tables set forth the list serious injury incidental to the from 22 to 13 vessels/persons of U.S. commercial fisheries according Northeast mid-water trawl (including • Pacific highly migratory species to their classification under section 118 pair trawl) fishery during 2011 to 2015 handline/pole and line fishery from of the MMPA. Table 1 lists commercial was zero. Observer coverage from 2011– 42 to 48 vessels/persons fisheries in the Pacific Ocean (including 2015 for this fishery was 41, 45, 37, 42, • South Pacific albacore troll Alaska), Table 2 lists commercial and 8 percent, respectively. handline/pole and line fishery from fisheries in the Atlantic Ocean, Gulf of NMFS proposes to add two stocks of 11 to 15 vessels/persons Mexico, and Caribbean, Table 3 lists bottlenose dolphins to the list of stocks • Western Pacific pelagic handline/ commercial fisheries on the high seas, incidentally killed or injured in the pole and line fishery from 5 to 6 and Table 4 lists fisheries affected by Category II Southeastern U.S. Atlantic, vessels/persons TRPs or TRTs. Gulf of Mexico shrimp trawl fishery, • South Pacific albacore troll troll In Tables 1 and 2, the estimated including: (1) Mobile Bay, Bonsecour fishery from 22 to 24 vessels/ number of vessels or persons Bay, based on a self-reported morality in persons participating in fisheries operating 2016; and (2) Mississippi River Delta, • South Pacific tuna troll fishery from within U.S. waters is expressed in terms based on an observed mortality in 2017. 4 to 3 vessels/persons of the number of active participants in NMFS proposes to remove the WNA Category III the fishery, when possible. If this stock of gray seal from the stocks listed • Northwest Atlantic bottom longline information is not available, the as incidentally killed or injured in the fishery from 1 to 2 vessels/persons estimated number of vessels or persons Category III Gulf of Maine Atlantic • Pacific highly migratory species licensed for a particular fishery is herring purse seine fishery. There were longline fishery from 105 to 128 provided. If no recent information is no observed takes in this fishery from vessels/persons available on the number of participants, 2011–2015. Observer coverage from • Pacific highly migratory species vessels, or persons licensed in a fishery,

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then the number from the most recent participants in many of these fisheries, percent and less than 50 percent LOF is used for the estimated number of the number of valid HSFCA permits is (Category II), of a stock’s PBR) by a ‘‘1’’ vessels or persons in the fishery. NMFS the most reliable data on the potential after the stock’s name. acknowledges that, in some cases, these effort in high seas fisheries at this time. In Tables 1 and 2, there are several estimates may be inflations of actual As noted previously in this LOF, the fisheries classified as Category II that effort. For example, the State of Hawaii number of HSFCA permits listed in have no recent documented mortalities does not issue fishery-specific licenses, Table 3 for the high seas components of and the number of participants reported fisheries that also operate within U.S. or serious injuries of marine mammals, in the LOF represents the number of waters does not necessarily represent or fisheries that did not result in a commercial marine license holders who additional effort that is not accounted mortality or serious injury rate greater reported using a particular fishing gear for in Tables 1 and 2. Many vessels than 1 percent of a stock’s PBR level type/method at least once in a given holding HSFCA permits also fish within based on known interactions. NMFS has year, without considering how many U.S. waters and are included in the classified these fisheries by analogy to times the gear was used. For these number of vessels and participants other Category I or II fisheries that use fisheries, effort by a single participant is operating within those fisheries in similar fishing techniques or gear that counted the same whether the Tables 1 and 2. are known to cause mortality or serious fisherman used the gear only once or Tables 1, 2, and 3 also list the marine injury of marine mammals, as discussed every day. In the Mid-Atlantic and New mammal species and/or stocks in the final LOF for 1996 (60 FR 67063; England fisheries, the numbers incidentally killed or injured (seriously December 28, 1995), and according to represent the potential effort for each or non-seriously) in each fishery based factors listed in the definition of a fishery, given the multiple gear types for on SARs, injury determination reports, ‘‘Category II fishery’’ in 50 CFR 229.2 which several state permits may allow. bycatch estimation reports, observer (i.e., fishing techniques, gear types, Changes made to Mid-Atlantic and New data, logbook data, stranding data, methods used to deter marine mammals, England fishery participants will not disentanglement network data, target species, seasons and areas fished, affect observer coverage or bycatch fishermen self-reports (i.e., MMPA qualitative data from logbooks or estimates, as observer coverage and reports), and anecdotal reports. The best fishermen reports, stranding data, and bycatch estimates are based on vessel available scientific information the species and distribution of marine trip reports and landings data. Tables 1 included in these reports is based on mammals in the area). NMFS has and 2 serve to provide a description of data through 2015. This list includes all designated those fisheries listed by the fishery’s potential effort (state and species and/or stocks known to be killed analogy in Tables 1 and 2 by a ‘‘2’’ after Federal). If NMFS is able to extract more or injured in a given fishery but also the fishery’s name. accurate information on the gear types includes species and/or stocks for used by state permit holders in the which there are anecdotal records of a There are several fisheries in Tables 1, future, the numbers will be updated to mortality or injury. Additionally, 2, and 3 in which a portion of the reflect this change. For additional species identified by logbook entries, fishing vessels cross the exclusive information on fishing effort in fisheries stranding data, or fishermen self-reports economic zone (EEZ) boundary and found on Table 1 or 2, contact the (i.e., MMPA reports) may not be therefore operate both within U.S. relevant regional office (contact verified. In Tables 1 and 2, NMFS has waters and on the high seas. These information included above in designated those species/stocks driving fisheries, though listed separately SUPPLEMENTARY INFORMATION). a fishery’s classification (i.e., the fishery between Table 1 or 2 and Table 3, are For high seas fisheries, Table 3 lists is classified based on mortalities and considered the same fisheries on either the number of valid HSFCA permits serious injuries of a marine mammal side of the EEZ boundary. NMFS has currently held. Although this likely stock that are greater than or equal to 50 designated those fisheries in each table overestimates the number of active percent (Category I), or greater than 1 by a ‘‘*’’ after the fishery’s name.

TABLE 1—LIST OF FISHERIES—COMMERCIAL FISHERIES IN THE PACIFIC OCEAN

Estimated number of Marine mammal species and/or stocks incidentally Fishery description vessels/ killed or injured persons

Category I

Longline/Set Line Fisheries: HI deep-set longline * ∧ ...... 142 ...... Bottlenose dolphin, HI Pelagic; False killer whale, HI Pelagic; 1 False killer whale, NWHI; Humpback whale, Central North Pacific; Kogia spp. (Pygmy or dwarf sperm whale), HI; Pygmy killer whale, HI; Risso’s dolphin, HI; Rough-toothed dolphin, HI; Short-finned pilot whale, HI; Sperm whale, HI; Striped dolphin, HI.

Category II

Gillnet Fisheries:

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TABLE 1—LIST OF FISHERIES—COMMERCIAL FISHERIES IN THE PACIFIC OCEAN—Continued

Estimated number of Marine mammal species and/or stocks incidentally Fishery description vessels/ killed or injured persons

CA thresher shark/swordfish drift gillnet (≥14 in mesh)* .... 18 ...... Bottlenose dolphin, CA/OR/WA offshore; California sea lion, U.S.; Dall’s porpoise, CA/OR/WA; Humpback whale, CA/ OR/WA; Long-beaked common dolphin, CA; Minke whale, CA/OR/WA; Northern elephant seal, CA breeding; Northern right-whale dolphin, CA/OR/WA; Pacific white-sided dolphin, CA/OR/WA; Risso’s dolphin, CA/OR/WA; Short-beaked common dolphin, CA/OR/WA; Short-finned pilot whale, CA/ OR/WA; 1 Sperm Whale, CA/OR/WA.1 CA halibut/white seabass and other species set gillnet ..... 50 ...... California sea lion, U.S.; Harbor seal, CA; Humpback whale, (>3.5 in mesh) ...... CA/OR/WA; 1 Long-beaked common dolphin, CA; Northern elephant seal, CA breeding; Sea otter, CA; Short-beaked common dolphin, CA/OR/WA. CA yellowtail, barracuda, and white seabass drift gillnet 30 ...... California sea lion, U.S.; Long-beaked common dolphin, CA; (mesh size ≥3.5 in and <14 in); 2. Short-beaked common dolphin, CA/OR/WA. AK Bristol Bay salmon drift gillnet; 2 ...... 1,862 ...... Beluga whale, Bristol Bay; Gray whale, Eastern North Pacific; Harbor seal, Bering Sea; Northern fur seal, Eastern Pacific; Pacific white-sided dolphin, North Pacific; Spotted seal, AK; Steller sea lion, Western U.S. AK Bristol Bay salmon set gillnet; 2 ...... 979 ...... Beluga whale, Bristol Bay; Gray whale, Eastern North Pacific; Harbor seal, Bering Sea; Northern fur seal, Eastern Pacific; Spotted seal, AK. AK Kodiak salmon set gillnet ...... 188 ...... Harbor porpoise, GOA; 1 Harbor seal, GOA; Humpback whale, Central North Pacific; Humpback whale, Western North Pa- cific; Sea otter, Southwest AK; Steller sea lion, Western U.S. AK Cook Inlet salmon set gillnet ...... 736 ...... Beluga whale, Cook Inlet; Dall’s porpoise, AK; Harbor por- poise, GOA; Harbor seal, GOA; Humpback whale, Central North Pacific; 1 Sea otter, South central AK; Steller sea lion, Western U.S. AK Cook Inlet salmon drift gillnet ...... 569 ...... Beluga whale, Cook Inlet; Dall’s porpoise, AK; Harbor por- poise, GOA; 1 Harbor seal, GOA; Steller sea lion, Western U.S. AK Peninsula/Aleutian Islands salmon drift gillnet; 2 ...... 162 ...... Dall’s porpoise, AK; Harbor porpoise, GOA; Harbor seal, GOA; Northern fur seal, Eastern Pacific. AK Peninsula/Aleutian Islands salmon set gillnet; 2 ...... 113 ...... Harbor porpoise, Bering Sea; Northern sea otter, Southwest AK; Steller sea lion, Western U.S. AK Prince William Sound salmon drift gillnet ...... 537 ...... Dall’s porpoise, AK; Harbor porpoise, GOA; 1 Harbor seal, GOA; Northern fur seal, Eastern Pacific; Pacific white-sided dolphin, North Pacific; Sea otter, South central AK, Steller sea lion, Western U.S.1 AK Southeast salmon drift gillnet ...... 474 ...... Dall’s porpoise, AK; Harbor porpoise, Southeast AK; Harbor seal, Southeast AK; Humpback whale, Central North Pa- cific; 1 Pacific white-sided dolphin, North Pacific; Steller sea lion, Eastern U.S. AK Yakutat salmon set gillnet; 2 ...... 168 ...... Gray whale, Eastern North Pacific; Harbor Porpoise, South- eastern AK; Harbor seal, Southeast AK; Humpback whale, Central North Pacific (Southeast AK). WA Puget Sound Region salmon drift gillnet (includes all 210 ...... Dall’s porpoise, CA/OR/WA; Harbor porpoise, inland WA; 1 inland waters south of US-Canada border and eastward Harbor seal, WA inland. of the Bonilla-Tatoosh line-Treaty Indian fishing is ex- cluded). Trawl Fisheries: AK Bering Sea, Aleutian Islands flatfish trawl ...... 32 ...... Bearded seal, AK; Gray whale, Eastern North Pacific; Harbor porpoise, Bering Sea; Harbor seal, Bering Sea; Humpback whale, Western North Pacific; 1 Killer whale, AK resident; 1 Killer whale, GOA, AI, BS transient; 1 Northern fur seal, Eastern Pacific; Ringed seal, AK; Ribbon seal, AK; Spotted seal, AK; Steller sea lion, Western U.S.; 1 Walrus, AK. AK Bering Sea, Aleutian Islands pollock trawl ...... 102 ...... Bearded Seal, AK; Beluga whale, Bristol Bay; Beluga whale, Eastern Bering Sea; Beluga whale, Eastern Chukchi Sea; Dall’s porpoise, AK, Harbor seal, AK, Humpback whale, Central North Pacific, Humpback whale, Western North Pa- cific, Northern fur seal, Eastern Pacific, Ribbon seal, AK; Ringed seal, AK; Spotted seal, AK; Steller sea lion, Western U.S.1 AK Bering Sea, Aleutian Islands rockfish trawl ...... 17 ...... Killer whale, ENP AK resident; 1 Killer whale, GOA, AI, BS transient.1 Pot, Ring Net, and Trap Fisheries:

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TABLE 1—LIST OF FISHERIES—COMMERCIAL FISHERIES IN THE PACIFIC OCEAN—Continued

Estimated number of Marine mammal species and/or stocks incidentally Fishery description vessels/ killed or injured persons

CA spiny lobster ...... 194 ...... Bottlenose dolphin, CA/OR/WA offshore; Humpback whale, CA/OR/WA; 1 Gray whale, Eastern North Pacific; Southern sea otter. CA spot prawn pot ...... 25 ...... Gray whale, Eastern North Pacific; Humpback whale, CA/OR/ WA.1 CA Dungeness crab pot ...... 570 ...... Blue whale, Eastern North Pacific; 1 Gray whale, Eastern North Pacific, Humpback whale, CA/OR/WA.1 OR Dungeness crab pot ...... 433 ...... Gray whale, Eastern North Pacific; Humpback whale, CA/OR/ WA.1 WA/OR/CA sablefish pot ...... 309 ...... Humpback whale, CA/OR/WA.1 WA coastal Dungeness crab pot ...... 228 ...... Gray whale, Eastern North Pacific; Humpback whale, CA/OR/ WA.1 Longline/Set Line Fisheries: AK Bering Sea, Aleutian Islands Pacific cod longline ...... 45 ...... Dall’s Porpoise, AK; Killer whale, Eastern North Pacific AK resident; Killer whale, GOA, BSAI transient; 1 Northern fur seal, Eastern Pacific; Ringed seal, AK; Spotted seal, AK. AK Gulf of Alaska sablefish longline ...... 295 ...... Sperm whale, North Pacific; Steller sea lion, Western U.S. HI shallow-set longline * ∧ ...... 13 ...... Blainville’s beaked whale, HI; Bottlenose dolphin, HI Pelagic; False killer whale, HI Pelagic; 1 Humpback whale, Central North Pacific; Risso’s dolphin, HI; Rough-toothed dolphin, HI; Short-finned pilot whale, HI; Striped dolphin, HI. American Samoa longline; 2 ...... 20 ...... Bottlenose dolphin, unknown; Cuvier’s beaked whale, un- known; False killer whale, American Samoa; Rough-toothed dolphin, American Samoa; Short-finned pilot whale, un- known. HI shortline; 2 ...... 9 ...... None documented.

Category III

Gillnet Fisheries: AK Kuskokwim, Yukon, Norton Sound, Kotzebue salmon 1,778 ...... Harbor porpoise, Bering Sea. gillnet. AK Prince William Sound salmon set gillnet ...... 29 ...... Harbor seal, GOA; Humpback whale, Central North Pacific; Sea otter, South central AK; Steller sea lion, Western U.S. AK roe herring and food/bait herring gillnet ...... 920 ...... None documented. CA set gillnet (mesh size <3.5 in) ...... 296 ...... None documented. HI inshore gillnet ...... 36 ...... Bottlenose dolphin, HI; Spinner dolphin, HI. WA Grays Harbor salmon drift gillnet (excluding treaty 24 ...... Harbor seal, OR/WA coast. Tribal fishing). WA/OR Mainstem Columbia River eulachon gillnet ...... 15 ...... None documented. WA/OR lower Columbia River (includes tributaries) drift 110 ...... California sea lion, U.S.; Harbor seal, OR/WA coast. gillnet. WA Willapa Bay drift gillnet ...... 82 ...... Harbor seal, OR/WA coast; Northern elephant seal, CA breed- ing. Miscellaneous Net Fisheries: AK Cook Inlet salmon purse seine ...... 83 ...... Humpback whale, Central North Pacific. AK Kodiak salmon purse seine ...... 376 ...... Humpback whale, Central North Pacific; Humpback whale, Western North Pacific. AK Southeast salmon purse seine ...... 315 ...... Humpback whale, Central North Pacific. AK Metlakatla salmon purse seine ...... 10 ...... None documented. AK roe herring and food/bait herring beach seine ...... 10 ...... None documented. AK roe herring and food/bait herring purse seine ...... 356 ...... None documented. AK salmon beach seine ...... 31 ...... None documented. AK salmon purse seine (Prince William Sound, Chignik, 936 ...... Harbor seal, GOA; Harbor seal, Prince William Sound. Alaska Peninsula). WA/OR sardine purse seine ...... 42 ...... None documented. CA anchovy, mackerel, sardine purse seine ...... 65 ...... California sea lion, U.S.; Harbor seal, CA. CA squid purse seine ...... 80 ...... Long-beaked common dolphin, CA; Short-beaked common dolphin, CA/OR/WA. CA tuna purse seine * ...... 10 ...... None documented. WA/OR Lower Columbia River salmon seine ...... 10 ...... None documented. WA/OR herring, smelt, squid purse seine or lampara ...... 130 ...... None documented. WA salmon purse seine ...... 75 ...... None documented. WA salmon reef net ...... 11 ...... None documented. HI lift net ...... 17 ...... None documented. HI inshore purse seine ...... <3 ...... None documented. HI throw net, cast net ...... 23 ...... None documented. HI seine net ...... 24 ...... None documented. Dip Net Fisheries:

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TABLE 1—LIST OF FISHERIES—COMMERCIAL FISHERIES IN THE PACIFIC OCEAN—Continued

Estimated number of Marine mammal species and/or stocks incidentally Fishery description vessels/ killed or injured persons

CA squid dip net ...... 115 ...... None documented. Marine Aquaculture Fisheries: CA marine shellfish aquaculture ...... unknown ...... None documented. CA salmon enhancement rearing pen ...... >1 ...... None documented. CA white seabass enhancement net pens ...... 13 ...... California sea lion, U.S. HI offshore pen culture ...... 2 ...... None documented. WA salmon net pens ...... 14 ...... California sea lion, U.S.; Harbor seal, WA inland waters. WA/OR shellfish aquaculture ...... 23 ...... None documented. Troll Fisheries: WA/OR/CA albacore surface hook and line/troll ...... 705 ...... None documented. CA halibut hook and line/handline ...... unknown ...... None documented. CA white seabass hook and line/handline ...... unknown ...... None documented. AK Bering Sea, Aleutian Islands groundfish hand troll and unknown ...... None documented. dinglebar troll. AK Gulf of Alaska groundfish hand troll and dinglebar troll unknown ...... None documented. AK salmon troll ...... 1,908 ...... Steller sea lion, Eastern U.S.; Steller sea lion, Western U.S. American Samoa tuna troll ...... 13 ...... None documented. CA/OR/WA salmon troll ...... 4,300 ...... None documented. HI troll ...... 2,117 ...... Pantropical spotted dolphin, HI. HI rod and reel ...... 322 ...... None documented. Commonwealth of the Northern Mariana Islands tuna troll 40 ...... None documented. Guam tuna troll ...... 432 ...... None documented. Longline/Set Line Fisheries: AK Bering Sea, Aleutian Islands Greenland turbot longline 4 ...... Killer whale, AK resident. AK Bering Sea, Aleutian Islands sablefish longline ...... 22 ...... None documented. AK Bering Sea, Aleutian Islands halibut longline ...... 127 ...... Northern fur seal, Eastern Pacific; Sperm whale, North Pacific. AK Gulf of Alaska halibut longline ...... 855 ...... None documented. AK Gulf of Alaska Pacific cod longline ...... 92 ...... Steller sea lion, Western U.S. AK octopus/squid longline ...... 3 ...... None documented. AK state-managed waters longline/set line (including sa- 464 ...... None documented. blefish, rockfish, lingcod, and miscellaneous finfish). WA/OR/CA groundfish, bottomfish longline/set line ...... 367 ...... Bottlenose dolphin, CA/OR/WA offshore. WA/OR Pacific halibut longline ...... 350 ...... None documented. CA pelagic longline ...... 1 ...... None documented in the most recent five years of data. HI kaka line ...... 15 ...... None documented. HI vertical line ...... 3 ...... None documented. Trawl Fisheries: AK Bering Sea, Aleutian Islands Atka mackerel trawl ...... 13 ...... Bearded seal, AK; Ribbon seal, AK; Steller sea lion, Western U.S. AK Bering Sea, Aleutian Islands Pacific cod trawl ...... 72 ...... Ringed seal, AK; Steller sea lion, Western U.S. AK Gulf of Alaska flatfish trawl ...... 36 ...... Harbor seal, AK; Northern elephant seal, North Pacific; Steller sea lion, Western U.S. AK Gulf of Alaska Pacific cod trawl ...... 55 ...... Harbor seal, AK; Steller sea lion, Western U.S. AK Gulf of Alaska pollock trawl ...... 67 ...... Dall’s porpoise, AK; Fin whale, Northeast Pacific; Northern elephant seal, North Pacific; Steller sea lion, Western U.S. AK Gulf of Alaska rockfish trawl ...... 43 ...... Steller sea lion, Western U.S. AK Kodiak food/bait herring otter trawl ...... 4 ...... None documented. AK shrimp otter trawl and beam trawl ...... 38 ...... None documented. AK state-managed waters of Prince William Sound 2 ...... None documented. groundfish trawl. CA halibut bottom trawl ...... 47 ...... California sea lion, U.S.; Harbor porpoise, unknown; Harbor seal, unknown; Northern elephant seal, CA breeding; Steller sea lion, unknown. CA sea cucumber trawl ...... 16 ...... None documented. WA/OR/CA shrimp trawl ...... 300 ...... None documented. WA/OR/CA groundfish trawl ...... 160–180 ...... California sea lion, U.S.; Dall’s porpoise, CA/OR/WA; Harbor seal, OR/WA coast; Northern fur seal, Eastern Pacific; Pa- cific white-sided dolphin, CA/OR/WA; Steller sea lion, East- ern U.S. Pot, Ring Net, and Trap Fisheries: AK Bering Sea, Aleutian Islands sablefish pot ...... 6 ...... None documented. AK Bering Sea, Aleutian Islands Pacific cod pot ...... 59 ...... None documented. AK Bering Sea, Aleutian Islands crab pot ...... 540 ...... Bowhead whale, Western Arctic; Gray whale, Eastern North Pacific. AK Gulf of Alaska crab pot ...... 271 ...... None documented. AK Gulf of Alaska Pacific cod pot ...... 116 ...... Harbor seal, GOA. AK Gulf of Alaska sablefish pot ...... 248 ...... None documented. AK Southeast Alaska crab pot ...... 375 ...... Humpback whale, Central North Pacific (Southeast AK). AK Southeast Alaska shrimp pot ...... 99 ...... Humpback whale, Central North Pacific (Southeast AK).

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TABLE 1—LIST OF FISHERIES—COMMERCIAL FISHERIES IN THE PACIFIC OCEAN—Continued

Estimated number of Marine mammal species and/or stocks incidentally Fishery description vessels/ killed or injured persons

AK shrimp pot, except Southeast ...... 141 ...... None documented. AK octopus/squid pot ...... 15 ...... None documented. CA/OR coonstripe shrimp pot ...... 36 ...... Gray whale, Eastern North Pacific; Harbor seal, CA. CA rock crab pot ...... 124 ...... Gray whale, Eastern North Pacific; Harbor seal, CA. WA/OR/CA hagfish pot ...... 54 ...... None documented. WA/OR shrimp pot/trap ...... 254 ...... None documented. WA Puget Sound Dungeness crab pot/trap ...... 249 ...... None documented. HI crab trap ...... 5 ...... Humpback whale, Central North Pacific. HI fish trap ...... 9 ...... None documented. HI lobster trap ...... <3 ...... None documented in recent years. HI shrimp trap ...... 10 ...... None documented. HI crab net ...... 4 ...... None documented. HI Kona crab loop net ...... 33 ...... None documented. Hook-and-Line, Handline, and Jig Fisheries: AK Bering Sea, Aleutian Islands groundfish jig ...... 2 ...... None documented. AK Gulf of Alaska groundfish jig ...... 214 ...... Fin whale, Northeast Pacific. AK halibut jig ...... 71 ...... None documented. American Samoa bottomfish ...... 1,092 ...... None documented. Commonwealth of the Northern Mariana Islands 28 ...... None documented. bottomfish. Guam bottomfish ...... >300 ...... None documented. HI aku boat, pole, and line ...... <3 ...... None documented. HI bottomfish handline ...... 578 ...... None documented in recent years. HI inshore handline ...... 357 ...... None documented. HI pelagic handline ...... 534 ...... None documented. WA groundfish, bottomfish jig ...... 679 ...... None documented. Western Pacific squid jig ...... 0 ...... None documented. Harpoon Fisheries: CA swordfish harpoon ...... 6 ...... None documented. Pound Net/Weir Fisheries: AK herring spawn on kelp pound net ...... 291 ...... None documented. AK Southeast herring roe/food/bait pound net ...... 2 ...... None documented. HI bullpen trap ...... 3 ...... None documented. Bait Pens: WA/OR/CA bait pens ...... 13 ...... California sea lion, U.S. Dredge Fisheries: AK scallop dredge ...... 108 (5 AK) ..... None documented. Dive, Hand/Mechanical Collection Fisheries: AK clam ...... 130 ...... None documented. AK Dungeness crab ...... 2 ...... None documented. AK herring spawn on kelp ...... 266 ...... None documented. AK miscellaneous invertebrates handpick ...... 214 ...... None documented. HI black coral diving ...... <3 ...... None documented. HI fish pond ...... 5 ...... None documented. HI handpick ...... 46 ...... None documented. HI lobster diving ...... 19 ...... None documented. HI spearfishing ...... 163 ...... None documented. WA/CA kelp ...... 4 ...... None documented. WA/OR bait shrimp, clam hand, dive, or mechanical col- 201 ...... None documented. lection. OR/CA sea urchin, sea cucumber hand, dive, or mechan- 10 ...... None documented. ical collection. Commercial Passenger Fishing Vessel (Charter Boat) Fish- eries: AK/WA/OR/CA commercial passenger fishing vessel ...... >7,000 (1,006 Killer whale, unknown; Steller sea lion, Eastern U.S.; Steller AK). sea lion, Western U.S. Live Finfish/Shellfish Fisheries: CA nearshore finfish live trap/hook-and-line ...... 93 ...... None documented. HI aquarium collecting ...... 90 ...... None documented. List of Abbreviations and Symbols Used in Table 1: AI—Aleutian Islands; AK—Alaska; BS—Bering Sea; CA—California; ENP—Eastern North Pacific; GOA—Gulf of Alaska; HI—Hawaii; MHI—Main Hawaiian Islands; OR—Oregon; WA—Washington. 1 Fishery classified based on mortalities and serious injuries of this stock, which are greater than or equal to 50 percent (Category I) or greater than 1 percent and less than 50 percent (Category II) of the stock’s PBR. 2 Fishery classified by analogy. * Fishery has an associated high seas component listed in Table 3. ∧ The list of marine mammal species and/or stocks killed or injured in this fishery is identical to the list of species and/or stocks killed or injured in high seas component of the fishery, minus species and/or stocks that have geographic ranges exclusively on the high seas. The species and/ or stocks are found, and the fishery remains the same, on both sides of the EEZ boundary. Therefore, the EEZ components of these fisheries pose the same risk to marine mammals as the components operating on the high seas.

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TABLE 2—LIST OF FISHERIES—COMMERCIAL FISHERIES IN THE ATLANTIC OCEAN, GULF OF MEXICO, AND CARIBBEAN

Estimated number of Marine mammal species and/or stocks incidentally Fishery description vessels/ killed or injured persons

Category I

Gillnet Fisheries: Mid-Atlantic gillnet ...... 3,950 ...... Bottlenose dolphin, Northern Migratory coastal; Bottlenose dolphin, Southern Migratory coastal; 1 Bottlenose dolphin, Northern NC estuarine system; 1 Bottlenose dolphin, South- ern NC estuarine system; 1 Bottlenose dolphin, WNA off- shore; Common dolphin, WNA; Gray seal, WNA; Harbor porpoise, GME/BF; Harbor seal, WNA; Humpback whale, Gulf of Maine; Minke whale, Canadian east coast. Northeast sink gillnet ...... 3,163 ...... Bottlenose dolphin, WNA offshore; Common dolphin, WNA; Fin whale, WNA; Gray seal, WNA; Harbor porpoise, GME/ BF; Harbor seal, WNA; Harp seal, WNA; Hooded seal, WNA; Humpback whale, Gulf of Maine; Long-finned pilot whale, WNA; Minke whale, Canadian east coast; North At- lantic right whale, WNA; Risso’s dolphin, WNA; White-sided dolphin, WNA. Trap/Pot Fisheries: Northeast/Mid-Atlantic American lobster trap/pot ...... 8,485 ...... Humpback whale, Gulf of Maine; Minke whale, Canadian east coast; North Atlantic right whale, WNA.1 Longline Fisheries: Atlantic Ocean, Caribbean, Gulf of Mexico large pelagics 280 ...... Atlantic spotted dolphin, Northern GMX; Bottlenose dolphin, longline *. Northern GMX oceanic; Bottlenose dolphin, WNA offshore; Common dolphin, WNA; Cuvier’s beaked whale, WNA; False killer whale, WNA; Harbor porpoise, GME, BF; Kogia spp. (Pygmy or dwarf sperm whale), WNA; Long-finned pilot whale, WNA; 1 Mesoplodon beaked whale, WNA; Minke whale, Canadian East coast; Pantropical spotted dolphin, Northern GMX, Pygmy sperm whale, GMX; Risso’s dolphin, Northern GMX; Risso’s dolphin, WNA; Rough-toothed dol- phin, Northern GMX; Short-finned pilot whale, Northern GMX; Short-finned pilot whale, WNA; 1 Sperm whale, North- ern GMX.

Category II

Gillnet Fisheries: Chesapeake Bay inshore gillnet; 2 ...... 248 ...... Bottlenose dolphin, unknown (Northern migratory coastal or Southern migratory coastal). Gulf of Mexico gillnet; 2 ...... 248 ...... Bottlenose dolphin, Eastern GMX coastal; Bottlenose dolphin, GMX bay, sound, and estuarine; Bottlenose dolphin, North- ern GMX coastal; Bottlenose dolphin, Western GMX coast- al. NC inshore gillnet ...... 2,850 ...... Bottlenose dolphin, Northern NC estuarine system; 1 Bottlenose dolphin, Southern NC estuarine system.1 Northeast anchored float gillnet; 2 ...... 852 ...... Harbor seal, WNA; Humpback whale, Gulf of Maine; White- sided dolphin, WNA. Northeast drift gillnet; 2 ...... 1,036 ...... None documented. Southeast Atlantic gillnet; 2 ...... 273 ...... Bottlenose dolphin, Central FL coastal; Bottlenose dolphin, Northern FL coastal; Bottlenose dolphin, SC/GA coastal; Bottlenose dolphin, Southern migratory coastal. Southeastern U.S. Atlantic shark gillnet ...... 23 ...... Bottlenose dolphin, unknown (Central FL, Northern FL, SC/GA coastal, or Southern migratory coastal); North Atlantic right whale, WNA. Trawl Fisheries: Mid-Atlantic mid-water trawl (including pair trawl) ...... 320 ...... Harbor seal, WNA. Mid-Atlantic bottom trawl ...... 633 ...... Bottlenose dolphin, WNA offshore; 1 Common dolphin, WNA; 1 Gray seal, WNA; Harbor seal, WNA; Risso’s dolphin, WNA; 1 White-sided dolphin, WNA. Northeast mid-water trawl (including pair trawl) ...... 542 ...... Common dolphin, WNA; Gray seal, WNA; Harbor seal, WNA; Long-finned pilot whale, WNA.1 Northeast bottom trawl ...... 2,238 ...... Bottlenose dolphin, WNA offshore; Common dolphin, WNA; Gray seal, WNA; Harbor porpoise, GME/BF; Harbor seal, WNA; Harp seal, WNA; Long-finned pilot whale, WNA; Risso’s dolphin, WNA; White-sided dolphin, WNA.1

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TABLE 2—LIST OF FISHERIES—COMMERCIAL FISHERIES IN THE ATLANTIC OCEAN, GULF OF MEXICO, AND CARIBBEAN— Continued

Estimated number of Marine mammal species and/or stocks incidentally Fishery description vessels/ killed or injured persons

Southeastern U.S. Atlantic, Gulf of Mexico shrimp trawl .... 4,950 ...... Atlantic spotted dolphin, GMX continental and oceanic; Bottlenose dolphin, Charleston estuarine system; Bottlenose dolphin, Eastern GMX coastal;1 Bottlenose dolphin, GMX bay, sound, estuarine; 1 Bottlenose dolphin, GMX conti- nental shelf; Bottlenose dolphin, Mississippi River Delta; Bottlenose dolphin, Mobile Bay, Bonsecour Bay; Bottlenose dolphin, Northern GMX coastal; 1 Bottlenose dolphin, SC/GA coastal;1 Bottlenose dolphin, Southern migratory coastal; Bottlenose dolphin, Western GMX coastal; 1 West Indian manatee, Florida. Trap/Pot Fisheries: Southeastern U.S. Atlantic, Gulf of Mexico stone crab 1,384 ...... Bottlenose dolphin, Biscayne Bay estuarine; Bottlenose dol- trap/pot. 2 phin, Central FL coastal; Bottlenose dolphin, Eastern GMX coastal; Bottlenose dolphin, FL Bay; Bottlenose dolphin, GMX bay, sound, estuarine (FL west coast portion); Bottlenose dolphin, Indian River Lagoon estuarine system; Bottlenose dolphin, Jacksonville estuarine system; Bottlenose dolphin, Northern GMX coastal. Atlantic mixed species trap/pot; 2 ...... 3,332 ...... Fin whale, WNA; Humpback whale, Gulf of Maine. Atlantic blue crab trap/pot ...... 7,714 ...... Bottlenose dolphin, Central FL coastal; Bottlenose dolphin, Central GA estuarine system; Bottlenose dolphin, Charles- ton estuarine system;1 Bottlenose dolphin, Indian River La- goon estuarine system; Bottlenose dolphin, Jacksonville es- tuarine system; Bottlenose dolphin, Northern FL coastal; 1 Bottlenose dolphin, Northern GA/Southern SC estuarine system; Bottlenose dolphin, Northern Migratory coastal; Bottlenose dolphin, Northern NC estuarine system; 1 Bottlenose dolphin, Northern SC estuarine system; Bottlenose dolphin, SC/GA coastal; Bottlenose dolphin, Southern GA estuarine system; Bottlenose dolphin, South- ern Migratory coastal; 1 Bottlenose dolphin, Southern NC estuarine system; West Indian manatee, FL. Purse Seine Fisheries: Gulf of Mexico menhaden purse seine ...... 40–42 ...... Bottlenose dolphin, GMX bay, sound, estuarine; Bottlenose dolphin, Mississippi Sound, Lake Borgne, Bay Boudreau; Bottlenose dolphin, Northern GMX coastal; 1 Bottlenose dol- phin, Western GMX coastal.1 Mid-Atlantic menhaden purse seine. 2 19 ...... Bottlenose dolphin, Northern Migratory coastal; Bottlenose dolphin, Southern Migratory coastal. Haul/Beach Seine Fisheries: Mid-Atlantic haul/beach seine ...... 359 ...... Bottlenose dolphin, Northern Migratory coastal; 1 Bottlenose dolphin, Northern NC estuarine system;1 Bottlenose dolphin, Southern Migratory coastal.1 NC long haul seine ...... 30 ...... Bottlenose dolphin, Northern NC estuarine system; 1 Bottlenose dolphin, Southern NC estuarine system. Stop Net Fisheries: NC roe mullet stop net ...... 1 ...... Bottlenose dolphin, Northern NC estuarine system; Bottlenose dolphin, unknown (Southern migratory coastal or Southern NC estuarine system). Pound Net Fisheries: VA pound net ...... 26 ...... Bottlenose dolphin, Northern migratory coastal; Bottlenose dolphin, Northern NC estuarine system; Bottlenose dolphin, Southern Migratory coastal.1

Category III

Gillnet Fisheries: Caribbean gillnet ...... >991 ...... None documented in the most recent five years of data. DE River inshore gillnet ...... unknown ...... None documented in the most recent five years of data. Long Island Sound inshore gillnet ...... unknown ...... None documented in the most recent five years of data. RI, southern MA (to Monomoy Island), and NY Bight unknown ...... None documented in the most recent five years of data. (Raritan and Lower NY Bays) inshore gillnet. Southeast Atlantic inshore gillnet ...... unknown ...... Bottlenose dolphin, Northern SC estuarine system. Trawl Fisheries: Atlantic shellfish bottom trawl ...... >58 ...... None documented. Gulf of Mexico butterfish trawl ...... 2 ...... Bottlenose dolphin, Northern GMX oceanic; Bottlenose dol- phin, Northern GMX continental shelf. Gulf of Mexico mixed species trawl ...... 20 ...... None documented.

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TABLE 2—LIST OF FISHERIES—COMMERCIAL FISHERIES IN THE ATLANTIC OCEAN, GULF OF MEXICO, AND CARIBBEAN— Continued

Estimated number of Marine mammal species and/or stocks incidentally Fishery description vessels/ killed or injured persons

GA cannonball jellyfish trawl ...... 1 ...... Bottlenose dolphin, SC/GA coastal. Marine Aquaculture Fisheries: Finfish aquaculture ...... 48 ...... Harbor seal, WNA. Shellfish aquaculture ...... unknown ...... None documented. Purse Seine Fisheries: Gulf of Maine Atlantic herring purse seine ...... >7 ...... Harbor seal, WNA. Gulf of Maine menhaden purse seine ...... >2 ...... None documented. FL West Coast sardine purse seine ...... 10 ...... Bottlenose dolphin, Eastern GMX coastal. U.S. Atlantic tuna purse seine * ...... 5 ...... None documented in most recent five years of data. Longline/Hook-and-Line Fisheries: Northeast/Mid-Atlantic bottom longline/hook-and-line ...... >1,207 ...... None documented. Gulf of Maine, U.S. Mid-Atlantic tuna, shark, swordfish 2,846 ...... Bottlenose dolphin, WNA offshore; Humpback whale, Gulf of hook-and-line/harpoon. Maine. Southeastern U.S. Atlantic, Gulf of Mexico, and Caribbean >5,000 ...... Bottlenose dolphin, GMX continental shelf. snapper-grouper and other reef fish bottom longline/ hook-and-line. Southeastern U.S. Atlantic, Gulf of Mexico shark bottom 39 ...... Bottlenose dolphin, Eastern GMX coastal; Bottlenose dolphin, longline/hook-and-line. Northern GMX continental shelf. Southeastern U.S. Atlantic, Gulf of Mexico, and Caribbean 680 ...... None documented. pelagic hook-and-line/harpoon. U.S. Atlantic, Gulf of Mexico trotline ...... unknown ...... None documented. Trap/Pot Fisheries: Caribbean mixed species trap/pot ...... >501 ...... None documented. Caribbean spiny lobster trap/pot ...... >197 ...... None documented. FL spiny lobster trap/pot ...... 1,268 ...... Bottlenose dolphin, Biscayne Bay estuarine; Bottlenose dol- phin, Central FL coastal; Bottlenose dolphin, Eastern GMX coastal; Bottlenose dolphin, FL Bay estuarine; Bottlenose dolphin, FL Keys. Gulf of Mexico blue crab trap/pot ...... 4,113 ...... Bottlenose dolphin, Barataria Bay; Bottlenose dolphin, Eastern GMX coastal; Bottlenose dolphin, GMX bay, sound, estua- rine; Bottlenose dolphin, Mississippi Sound, Lake Borgne, Bay Boudreau; Bottlenose dolphin, Northern GMX coastal, Bottlenose dolphin, Western GMX coastal; West Indian manatee, FL. Gulf of Mexico mixed species trap/pot ...... unknown ...... None documented. Southeastern U.S. Atlantic, Gulf of Mexico golden crab 10 ...... None documented. trap/pot. U.S. Mid-Atlantic eel trap/pot ...... unknown ...... None documented. Stop Seine/Weir/Pound Net/Floating Trap/Fyke Net Fisheries: Gulf of Maine herring and Atlantic mackerel stop seine/ >1 ...... Harbor porpoise, GME/BF; Harbor seal, WNA; Minke whale, weir. Canadian east coast; Atlantic white-sided dolphin, WNA. U.S. Mid-Atlantic crab stop seine/weir ...... 2,600 ...... None documented. U.S. Mid-Atlantic mixed species stop seine/weir/pound net unknown ...... Bottlenose dolphin, Northern NC estuarine system. (except the NC roe mullet stop net). RI floating trap ...... 9 ...... None documented. Northeast and Mid-Atlantic fyke net ...... unknown ...... None documented. Dredge Fisheries: Gulf of Maine sea urchin dredge ...... unknown ...... None documented. Gulf of Maine mussel dredge ...... unknown ...... None documented. Gulf of Maine, U.S. Mid-Atlantic sea scallop dredge ...... >403 ...... None documented. Mid-Atlantic blue crab dredge ...... unknown ...... None documented. Mid-Atlantic soft-shell clam dredge ...... unknown ...... None documented. Mid-Atlantic whelk dredge ...... unknown ...... None documented. U.S. Mid-Atlantic/Gulf of Mexico oyster dredge ...... 7,000 ...... None documented. New England and Mid-Atlantic offshore surf clam/quahog unknown ...... None documented. dredge. Haul/Beach Seine Fisheries: Caribbean haul/beach seine ...... 15 ...... None documented in the most recent five years of data. Gulf of Mexico haul/beach seine ...... unknown ...... None documented. Southeastern U.S. Atlantic haul/beach seine ...... 25 ...... None documented. Dive, Hand/Mechanical Collection Fisheries: Atlantic Ocean, Gulf of Mexico, Caribbean shellfish dive, 20,000 ...... None documented. hand/mechanical collection. Gulf of Maine urchin dive, hand/mechanical collection ...... unknown ...... None documented. Gulf of Mexico, Southeast Atlantic, Mid-Atlantic, and Car- unknown ...... None documented. ibbean cast net. Commercial Passenger Fishing Vessel (Charter Boat) Fish- eries:

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TABLE 2—LIST OF FISHERIES—COMMERCIAL FISHERIES IN THE ATLANTIC OCEAN, GULF OF MEXICO, AND CARIBBEAN— Continued

Estimated number of Marine mammal species and/or stocks incidentally Fishery description vessels/ killed or injured persons

Atlantic Ocean, Gulf of Mexico, Caribbean commercial 4,000 ...... Bottlenose dolphin, Barataria Bay estuarine system; passenger fishing vessel. Bottlenose dolphin, Biscayne Bay estuarine; Bottlenose dol- phin, Central FL coastal; Bottlenose dolphin, Choctawhatchee Bay; Bottlenose dolphin, Eastern GMX coastal; Bottlenose dolphin, FL Bay; Bottlenose dolphin, GMX bay, sound, estuarine; Bottlenose dolphin, Indian River Lagoon estuarine system; Bottlenose dolphin, Jack- sonville estuarine system; Bottlenose dolphin, Mississippi Sound, Lake Borgne, Bay Boudreau; Bottlenose dolphin, Northern FL coastal; Bottlenose dolphin, Northern GA/ Southern SC estuarine; Bottlenose dolphin, Northern GMX coastal; Bottlenose dolphin, Northern migratory coastal; Bottlenose dolphin, Northern NC estuarine; Bottlenose dol- phin, Southern migratory coastal; Bottlenose dolphin, South- ern NC estuarine system; Bottlenose dolphin, SC/GA coast- al; Bottlenose dolphin, Western GMX coastal; Short-finned pilot whale, WNA. List of Abbreviations and Symbols Used in Table 2: DE—Delaware; FL—Florida; GA—Georgia; GME/BF—Gulf of Maine/Bay of Fundy; GMX— Gulf of Mexico; MA—Massachusetts; NC—North Carolina; NY—New York; RI—Rhode Island; SC—South Carolina; VA—Virginia; WNA—West- ern North Atlantic. 1 Fishery classified based on mortalities and serious injuries of this stock, which are greater than or equal to 50 percent (Category I) or greater than 1 percent and less than 50 percent (Category II) of the stock’s PBR. 2 Fishery classified by analogy. * Fishery has an associated high seas component listed in Table 3.

TABLE 3—LIST OF FISHERIES—COMMERCIAL FISHERIES ON THE HIGH SEAS

Number of Fishery description HSFCA Marine mammal species and/or stocks incidentally permits killed or injured

Category I

Longline Fisheries: Atlantic Highly Migratory Species* ...... 67 Atlantic spotted dolphin, WNA; Bottlenose dolphin, Northern GMX oceanic; Bottlenose dolphin, WNA offshore; Common dolphin, WNA; Cuvier’s beaked whale, WNA; False killer whale, WNA; Killer whale, GMX oceanic; Kogia spp. whale (Pygmy or dwarf sperm whale), WNA; Long-finned pilot whale, WNA; Mesoplodon beaked whale, WNA; Minke whale, Canadian East coast; Pantropical spotted dolphin, WNA; Risso’s dolphin, GMX; Risso’s dolphin, WNA; Short- finned pilot whale, WNA. Western Pacific Pelagic (HI Deep-set component) * ∧ ...... 142 Bottlenose dolphin, HI Pelagic; False killer whale, HI Pelagic; Humpback whale, Central North Pacific; Kogia spp. (Pygmy or dwarf sperm whale), HI; Pygmy killer whale, HI; Risso’s dolphin; HI; Short-finned pilot whale, HI; Sperm whale, HI; Striped dolphin, HI.

Category II

Drift Gillnet Fisheries: Pacific Highly Migratory Species * ∧ ...... 6 Long-beaked common dolphin, CA; Humpback whale, CA/OR/ WA; Northern right-whale dolphin, CA/OR/WA; Pacific white-sided dolphin, CA/OR/WA; Risso’s dolphin, CA/OR/ WA; Short-beaked common dolphin, CA/OR/WA. Trawl Fisheries: Atlantic Highly Migratory Species * * ...... 1 No information. CCAMLR ...... 0 Antarctic fur seal. Purse Seine Fisheries: South Pacific Tuna Fisheries ...... 38 No information. Western Pacific Pelagic ...... 1 No information. Longline Fisheries: CCAMLR ...... 0 None documented. South Pacific Albacore Troll ...... 11 No information. South Pacific Tuna Fisheries * * ...... 3 No information.

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TABLE 3—LIST OF FISHERIES—COMMERCIAL FISHERIES ON THE HIGH SEAS—Continued

Number of Fishery description HSFCA Marine mammal species and/or stocks incidentally permits killed or injured

Western Pacific Pelagic (HI Shallow-set component) * ∧ ..... 13 Blainville’s beaked whale, HI; Bottlenose dolphin, HI Pelagic; False killer whale; HI Pelagic; Fin whale, HI; Guadalupe fur seal; Humpback whale, Central North Pacific; Mesoplodon sp., unknown; Northern elephant seal, CA breeding; Risso’s dolphin, HI; Rough-toothed dolphin, HI; Short-beaked com- mon dolphin, CA/OR/WA; Short-finned pilot whale, HI; Striped dolphin, HI. Handline/Pole and Line Fisheries: Atlantic Highly Migratory Species ...... 2 No information. Pacific Highly Migratory Species ...... 48 No information. South Pacific Albacore Troll ...... 15 No information. Western Pacific Pelagic ...... 6 No information. Troll Fisheries: Atlantic Highly Migratory Species ...... 1 No information. South Pacific Albacore Troll ...... 24 No information. South Pacific Tuna Fisheries ** ...... 3 No information. Western Pacific Pelagic ...... 6 No information.

Category III

Longline Fisheries: Northwest Atlantic Bottom Longline ...... 2 None documented. Pacific Highly Migratory Species ...... 128 None documented in the most recent 5 years of data. Purse Seine Fisheries: Pacific Highly Migratory Species * ∧ ...... 10 None documented. Trawl Fisheries: Northwest Atlantic ...... 4 None documented. Troll Fisheries: Pacific Highly Migratory Species * ...... 150 None documented. List of Terms, Abbreviations, and Symbols Used in Table 3: CA—California; GMX—Gulf of Mexico; HI—Hawaii; OR—Oregon; WA—Wash- ington; WNA—Western North Atlantic. * Fishery is an extension/component of an existing fishery operating within U.S. waters listed in Table 1 or 2. The number of permits listed in Table 3 represents only the number of permits for the high seas component of the fishery. ** These gear types are not authorized under the Pacific HMS FMP (2004), the Atlantic HMS FMP (2006), or without a South Pacific Tuna Treaty license (in the case of the South Pacific Tuna fisheries). Because HSFCA permits are valid for five years, permits obtained in past years exist in the HSFCA permit database for gear types that are now unauthorized. Therefore, while HSFCA permits exist for these gear types, it does not represent effort. In order to land fish species, fishers must be using an authorized gear type. Once these permits for unauthorized gear types expire, the permit-holder will be required to obtain a permit for an authorized gear type. ∧ The list of marine mammal species and/or stocks killed or injured in this fishery is identical to the list of marine mammal species and/or stocks killed or injured in U.S. waters component of the fishery, minus species and/or stocks that have geographic ranges exclusively in coastal waters, because the marine mammal species and/or stocks are also found on the high seas and the fishery remains the same on both sides of the EEZ boundary. Therefore, the high seas components of these fisheries pose the same risk to marine mammals as the components of these fisheries operating in U.S. waters.

TABLE 4—FISHERIES AFFECTED BY TAKE REDUCTION TEAMS AND PLANS

Take reduction plans Affected fisheries

Atlantic Large Whale Take Reduction Plan (ALWTRP)—50 CFR 229.32 Category I: Mid-Atlantic gillnet; Northeast/Mid-Atlantic American lobster trap/ pot; Northeast sink gillnet. Category II: Atlantic blue crab trap/pot; Atlantic mixed species trap/pot; North- east anchored float gillnet; Northeast drift gillnet; Southeast At- lantic gillnet; Southeastern U.S. Atlantic shark gillnet; * Southeastern, U.S. Atlantic, Gulf of Mexico stone crab trap/pot.∧ Bottlenose Dolphin Take Reduction Plan (BDTRP)—50 CFR 229.35 .... Category I: Mid-Atlantic gillnet. Category II: Atlantic blue crab trap/pot; Chesapeake Bay inshore gillnet fishery; Mid-Atlantic haul/beach seine; Mid-Atlantic menhaden purse seine; NC inshore gillnet; NC long haul seine; NC roe mullet stop net; Southeast Atlantic gillnet; Southeastern U.S. Atlantic shark gillnet; Southeastern U.S. Atlantic, Gulf of Mexico shrimp trawl; ∧ Southeastern, U.S. Atlantic, Gulf of Mexico stone crab trap/pot; ∧ VA pound net. False Killer Whale Take Reduction Plan (FKWTRP)—50 CFR 229.37 .. Category I: HI deep-set longline. Category II: HI shallow-set longline.

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TABLE 4—FISHERIES AFFECTED BY TAKE REDUCTION TEAMS AND PLANS—Continued

Take reduction plans Affected fisheries

Harbor Porpoise Take Reduction Plan (HPTRP)—50 CFR 229.33 (New Category I: England) and 229.34 (Mid-Atlantic). Mid-Atlantic gillnet; Northeast sink gillnet. Pelagic Longline Take Reduction Plan (PLTRP)—50 CFR 229.36 ...... Category I: Atlantic Ocean, Caribbean, Gulf of Mexico large pelagics longline. Pacific Offshore Cetacean Take Reduction Plan (POCTRP)—50 CFR Category II: 229.31. CA thresher shark/swordfish drift gillnet (≥14 in mesh). Atlantic Trawl Gear Take Reduction Team (ATGTRT) ...... Category II: Mid-Atlantic bottom trawl; Mid-Atlantic mid-water trawl (including pair trawl); Northeast bottom trawl; Northeast mid-water trawl (including pair trawl). * Only applicable to the portion of the fishery operating in U.S. waters. ∧ Only applicable to the portion of the fishery operating in the Atlantic Ocean.

Classification II non-permitted fishery. All Category I requirement for reporting marine The Chief Counsel for Regulation of and II fisheries listed on the 2019 mammal mortalities or injuries has been the Department of Commerce has proposed LOF are permitted through approved by OMB under OMB control certified to the Chief Counsel for state or Federal processes and number 0648–0292 (0.15 hours per Advocacy of the Small Business registration under the MMPA is covered report). These estimates include the Administration (SBA) that this proposed through the integrated process. time for reviewing instructions, rule would not have a significant Therefore, this proposed rule would not searching existing data sources, impose any direct costs on small gathering and maintaining the data economic impact on a substantial entities. needed, and completing and reviewing number of small entities. Any entity The MMPA requires any vessel owner the COI. Send comments regarding these with combined annual fishery landing or operator participating in a fishery reporting burden estimates or any other receipts less than $11 million is listed on the LOF to report to NMFS, aspect of the COI, including suggestions considered a small entity for purposes within 48 hours of the end of the fishing for reducing burden, to NMFS and OMB of the Regulatory Flexibility Act. Under trip, all marine mammal incidental (see ADDRESSES and SUPPLEMENTARY the former, lower size standards, all mortalities and injuries that occur INFORMATION). entities subject to this action were during commercial fishing operations. Notwithstanding any other provision considered small entities; thus, they all These marine mammal mortalities and of law, no person is required to respond would continue to be considered small injuries are reported using a postage- to, nor shall a person be subject to a under the new standards. paid, OMB approved form (OMB penalty for failure to comply with a COI, Under existing regulations, all number 0648–0292). This postage-paid subject to the requirements of the individuals participating in Category I form requires less than 15 minutes to Paperwork Reduction Act, unless that or II fisheries must register under the complete and can be dropped in any COI displays a currently valid OMB MMPA and obtain an Authorization mailbox, faxed, emailed, or completed control number. Certificate. The Authorization online within 48 hours of the vessels This proposed rule has been Certificate authorizes the taking of non- return to port. Therefore, record keeping determined to be not significant for the endangered and non-threatened marine and reporting costs associated with this purposes of Executive Orders 12866 and mammals incidental to commercial LOF are minimal and would not have a 13563. fishing operations. Additionally, significant impact on a substantial This rule is not expected to be an E.O. individuals may be subject to a TRP and number of small entities. 13771 regulatory action because this requested to carry an observer. NMFS If a vessel is requested to carry an rule is not significant under E.O. 12866. has estimated that up to approximately observer, vessels will not incur any In accordance with the Companion 51,873 fishing vessels, most with annual direct economic costs associated with Manual for NOAA Administrative Order revenues below the SBA’s small entity carrying that observer. As a result of this (NAO) 216–6A, NMFS preliminarily thresholds, may operate in Category I or certification, an initial regulatory determined that publishing this II fisheries. As fishing vessels operating flexibility analysis is not required and proposed LOF qualifies to be in Category I or II fisheries, they are none has been prepared. In the event categorically excluded from further required to register with NMFS. The that reclassification of a fishery to NEPA review, consistent with categories MMPA registration process is integrated Category I or II results in a TRP, of activities identified in Categorical with existing state and Federal economic analyses of the effects of that Exclusion G7 (‘‘Preparation of policy licensing, permitting, and registration TRP would be summarized in directives, rules, regulations, and programs. Therefore, individuals who subsequent rulemaking actions. guidelines of an administrative, have a state or Federal fishing permit or This proposed rule contains existing financial, legal, technical, or procedural landing license, or who are authorized collection-of-information (COI) nature, or for which the environmental through another related state or Federal requirements subject to the Paperwork effects are too broad, speculative or fishery registration program, are Reduction Act and would not impose conjectural to lend themselves to currently not required to register additional or new COI requirements. meaningful analysis and will be subject separately under the MMPA or pay the The COI for the registration of later to the NEPA process, either $25 registration fee. Through this individuals under the MMPA has been collectively or on a case-by-case basis’’) integrated process, registration under approved by the Office of Management of the Companion Manual and we have the MMPA, including the $25 and Budget (OMB) under OMB control not identified any extraordinary registration fee, is only required for number 0648–0293 (0.15 hours per circumstances listed in Chapter 4 of the vessels participating in a Category I or report for new registrants). The Companion Manual for NAO 216–6A

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that would preclude application of this NOAA Technical Memorandum NOAA– DEPARTMENT OF COMMERCE categorical exclusion. If NMFS takes a TM–NE–245. 378 p. management action, for example, Hayes, S.A., E. Josephson, K. Maze-Foley, National Oceanic and Atmospheric through the development of a TRP, and P.E. Rosel, editors. 2017. U.S. Administration NMFS would first prepare an Atlantic and Gulf of Mexico Marine Environmental Impact Statement (EIS) Mammal Stocks Assessments, 2016. 50 CFR Part 648 NOAA Technical Memorandum NOAA– or Environmental Assessment (EA), as RIN 0648–XG543 required under NEPA, specific to that TM–NE–241. 274 p. action. McCracken, M.L. 2017. Assessment of Magnuson-Stevens Fishery This proposed rule would not affect Incidental Interactions with Marine Conservation and Management Act species listed as threatened or Mammals in the Hawaii Longline Deep Provisions; Small-Mesh Multispecies endangered under the ESA or their and Shallow Set Fisheries from 2011 Fishery; Public Comment Period for associated critical habitat. The impacts through 2015. NMFS Pacific Islands Amendment 22 to the Northeast of numerous fisheries have been Fisheries Science Center, PIFSC Internal Multispecies Fishery Management Plan analyzed in various biological opinions, Report IR–17–003. 2 p. + Excel and this proposed rule will not affect spreadsheet. AGENCY: National Marine Fisheries National Marine Fisheries Service (NMFS). the conclusions of those opinions. The Service (NMFS), National Oceanic and 2017. The Hawaii Limited Access classification of fisheries on the LOF is Atmospheric Administration (NOAA), Longline Logbook Summary Report. not considered to be a management Commerce. PIFSC Data Report DR–17–009. 13 p. action that would adversely affect ACTION: Request for comments. National Marine Fisheries Service West Coast threatened or endangered species. If Region (NMFS–WCR). 2017. Summary of SUMMARY: The New England Fishery NMFS takes a management action, for 2016 Whale Entanglements off the West example, through the development of a Management Council requests public Coast of the United States. 8 p. comment on Amendment 22 to the TRP, NMFS would consult under ESA (Available at: http:// section 7 on that action. Northeast Multispecies Fishery www.westcoast.fisheries.noaa.gov/ Management Plan, including a Draft This proposed rule would have no publications/protected_species/marine_ Environmental Impact Statement. To adverse impacts on marine mammals _ _ _ mammals/5.2.2018 wcr 2018 meet the purpose and need, this and may have a positive impact on _ _ entanglement report 508.pdf) amendment proposes alternatives that marine mammals by improving U.S. Fish and Wildlife Service (USFWS). would initiate a limited access program knowledge of marine mammals and the 2017. Final southern sea otter (Enhydra for the small-mesh multispecies fishery, fisheries interacting with marine lutris nereis) stock assessment report. adjust whiting and red hake possession mammals through information collected Ventura, California. 18 p. (Available at limits, and modify permit types and from observer programs, stranding and https://www.fws.gov/ecological-services/ characteristics to make them consistent sighting data, or take reduction teams. species/stock-assessment-reports.html) with limited access. This proposed rule would not affect Waring, G.T., Josephson, E., Maze-Foley, K., The Council recently solicited the land or water uses or natural Rosel, P.E., editors. 2015. US Atlantic comments and held a series of public resources of the coastal zone, as and Gulf of Mexico Marine Mammal hearings on the draft amendment. Due Stock Assessments, 2014. NOAA specified under section 307 of the to an inconsistency in the information Technical Memorandum NMFS–NE–231; Coastal Zone Management Act. available during the comment period, 361 p. the Council will solicit comments for an References Waring, G.T., E. Josephson, K. Maze-Foley, additional 30 days and hold an Carretta, J.V., E. Oleson, K.A. Forney, J. and P.E. Rosel, editors. 2016. U.S. Baker, J.E. Moore, D.W. Weller, A.R. Atlantic and Gulf of Mexico Marine informational webinar to explain the Lang, M.M. Muto, B. Hanson, A.J. Orr, H. Mammal Stocks Assessments, 2015. data inconsistency and review the Huber, M.S. Lowry, J. Barlow, D. Lynch, NOAA Technical Memorandum NOAA– alternatives in the amendment and Draft L. Carswell, and R.L. Brownell Jr. 2018. NE–238. 512 p. Environmental Impact Statement. U.S. Pacific Marine Mammal Stock Western Pacific Regional Fishery DATES: We must receive written Assessments: 2017. NOAA Technical Management Council (WPRFMC). 2016a. comments on or before November 23, Memorandum NOAA–TM–NMFS– 2018. The informational webinar will SWFSC–602. 161 p. Stock Assessment and Fishery Carretta, J.V., V. Helker, M.M. Muto, J. Evaluation (SAFE) Report Pacific Island take place on Wednesday, November 14, Greenman, K. Wilkinson, D. Lawson, J. Pelagic Fisheries. 472 p. 2018 at 3 p.m. at the following web Viezbicke, and J. Jannot. 2018a. Sources Western Pacific Regional Fishery address: https:// of human-related injury and mortality for Management Council (WPRFMC). 2016b. global.gotomeeting.com/join/ U.S. Pacific west coast marine mammal Annual Stock Assessment and Fishery 843126117, or by telephone at (872) stock assessments, 2012–2016. Draft Evaluation Report: Fishery Ecosystem 240–3311, using Access Code 43–126– document PSRG–2018–06 reviewed by Plan for the American Samoa 117. the Pacific Scientific Review Group, Archipelago. 415 p. March 2018. 145 p. ADDRESSES: You may submit comments Carretta, J.V., J.E. Moore, and K.A. Forney. Dated: October 18, 2018. on this document, identified by NOAA– 2018b. Estimates of marine mammal, sea Samuel D. Rauch, III, NMFS–2013–0169 by any of the turtle, and seabird bycatch from the Deputy Assistant Administrator for following methods: California large-mesh drift gillnet Regulatory Programs, National Marine D Electronic Submission: Submit all fishery: 1990–2016. Draft document Fisheries Service. electronic public comments directly to PSRG–2018–07 reviewed by the Pacific the Council at [email protected] or Scientific Review Group, March 2018. [FR Doc. 2018–23124 Filed 10–22–18; 8:45 am] by fax to (978) 465–3116, with 79 p. BILLING CODE 3510–22–P Hayes, S.A., E. Josephson, K. Maze-Foley, ‘‘Comments on Whiting Amendment and P.E. Rosel, editors. 2018. U.S. 22’’ on the subject line. Atlantic and Gulf of Mexico Marine D Mail: Submit written comments to Mammal Stocks Assessments, 2017. Thomas A. Nies, Executive Director,

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New England Fishery Management targeting whiting and hake use small- document to summarize the impacts of Council, 50 Water Street, Mill 2, mesh trawl gear. The Council manages alternatives, which included the Newburyport, MA 01950. Mark the the fishery through multiple small-mesh estimated number of vessels that would outside of the envelope, ‘‘Comments on exemptions to the northeast qualify under each limited access Whiting Amendment 22.’’ multispecies (also called groundfish) alternative. After the public hearings, Instructions: You must submit regulations. The small-mesh and while discussing potential final comments by one of the above methods multispecies fishery is open access, action, the Council discovered a to ensure that the comments are meaning any vessel may obtain a permit discrepancy between the numbers in the received, documented, and considered to fish with small-mesh gear to target public hearing document and the DEIS. by Council. The Council may not whiting and hake. Upon further investigation, it concluded consider comments sent by any other Based on specifications set forth by that the DEIS analyses were based on method, to any other address or the Council, NMFS sets annual catch the correct information, while the individual, or received after the end of levels for each of the small-mesh information in the summary section of the comment period. All comments multispecies stocks. The fishery the DEIS and the public hearing received are a part of the public record routinely harvests a small fraction of the document were based on preliminary and will generally be posted for public allowable silver hake landings each analyses that had been conducted in viewing on the Council’s website at year, due to high bycatch levels of red early development of the amendment. www.nefmc.org without change. All hake that reduce the possession limits to The correct results were available to the personal identifying information (e.g., incidental levels once a certain public and Council when the Council name, address, etc.) submitted percentage of the red hake annual catch approved the range of alternatives in voluntarily by the sender will be limits are reached. Northern whiting June 2017 and chose preferred publicly accessible. Do not submit and hake stocks are healthy, but alternatives in December 2017. confidential business information, or southern red hake is overfished and Given the discrepancy between the otherwise sensitive or protected experiencing overfishing. Southern summary information and the DEIS, the information. The Council will accept whiting biomass has been declining for Council announced that it will provide attachments to electronic comments several years and is below the target, but the public with an additional 30-day only in Microsoft Word or Excel, is not considered overfished. comment period and hold an WordPerfect, or Adobe PDF file formats. Although the fishery does not harvest informational webinar using the most The hearing documents are accessible optimum yield, there are concerns that up-to-date information to explain the electronically via the internet at https:// it could become more difficult to data discrepancy and afford additional www.nefmc.org/library/amendment-22 manage if continued open access results opportunity for comment. or by request to Thomas A. Nies, in bycatch levels could prematurely The Council will accept comments Executive Director, New England close the directed small-mesh until 1 p.m. on November 23, 2018. See Fishery Management Council, 50 Water multispecies fishery. In response, the the DATES section for the timing of the Street, Mill 2, Newburyport, MA 01950, Council developed Amendment 22 to webinar and how you may participate. telephone (978) 465–0492. the FMP. The amendment considers The Council’s Small-Mesh Fishery FOR FURTHER INFORMATION CONTACT: multiple alternatives for a limited access Committee and Advisory Panel will Andrew Applegate, Senior Fisheries program, along with various options for review the public comments and make Analyst, (978) 465–0492, ext. 114. possession limits and permit conditions recommendations for action to the SUPPLEMENTARY INFORMATION: should the Council ultimately choose to Council. The Council will consider limit access in the fishery. The these recommendations and take final Background Council’s preferred alternative is to action on Amendment 22 during its The small-mesh multispecies complex maintain open access. December 2018 meeting. consists of five stocks: Northern silver Amendment 22 includes a Draft Authority: 16 U.S.C. 1801 et seq.; 16 U.S.C. hake, southern silver hake, and offshore Environmental Impact Statement (DEIS), 5101 et seq. hake, all collectively referred to as which analyzes the impacts of the whiting; along with northern and various management alternatives. In Dated: October 17, 2018. southern red hake. The New England July of 2018, the Council hosted a series Karen H. Abrams, Fishery Management Council (Council) of public hearings and solicited Acting Director, Office of Sustainable manages these stocks as part of the comments on the DEIS and amendment. Fisheries, National Marine Fisheries Service. Northeast Multispecies Fishery Along with the DEIS, the Council [FR Doc. 2018–23123 Filed 10–22–18; 8:45 am] Management Plan (FMP). Fishermen prepared a separate public hearing BILLING CODE 3510–22–P

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Notices Federal Register Vol. 83, No. 205

Tuesday, October 23, 2018

This section of the FEDERAL REGISTER number and the agency informs Total Burden Hours: 3,177. contains documents other than rules or potential persons who are to respond to Ruth Brown, proposed rules that are applicable to the the collection of information that such Departmental Information Collection public. Notices of hearings and investigations, persons are not required to respond to committee meetings, agency decisions and Clearance Officer. the collection of information unless it rulings, delegations of authority, filing of [FR Doc. 2018–23074 Filed 10–22–18; 8:45 am] displays a currently valid OMB control petitions and applications and agency BILLING CODE 3410–XV–P statements of organization and functions are number. examples of documents appearing in this Rural Housing Service section. DEPARTMENT OF AGRICULTURE Title: 7 CFR 1944–I, ‘‘Self-Help Technical Assistance Grants.’’ Submission for OMB Review; DEPARTMENT OF AGRICULTURE Comment Request OMB Control Number: 0575–0043. Submission for OMB Review; Summary of Collection: Authorized October 18, 2018. Comment Request under Public Law 90–448, section 523 The Department of Agriculture has October 18, 2018. of the Title 5 Housing Act of 1949, this submitted the following information The Department of Agriculture has regulation sets forth the policies and collection requirement(s) to OMB for submitted the following information procedures and delegates the authority review and clearance under the collection requirement(s) to OMB for for providing technical assistance funds Paperwork Reduction Act of 1995, review and clearance under the to eligible applicants to finance Public Law 104–13. Comments are requested regarding (1) whether the Paperwork Reduction Act of 1995, programs of technical and supervisory collection of information is necessary Public Law 104–13. Comments are assistance for the Mutual and Self-Help requested regarding (1) whether the for the proper performance of the Housing (MSH) program. The MSH functions of the agency, including collection of information is necessary program affords very low and low- for the proper performance of the whether the information will have income families the opportunity for practical utility; (2) the accuracy of the functions of the agency, including home ownership by constructing their whether the information will have agency’s estimate of burden including own homes. The MSH program provides practical utility; (2) the accuracy of the the validity of the methodology and funds to non-profit organizations for agency’s estimate of burden including assumptions used; (3) ways to enhance the validity of the methodology and supervisory and technical assistance to the quality, utility and clarity of the assumptions used; (3) ways to enhance the homebuilding families. Three types information to be collected; and (4) the quality, utility and clarity of the of funds are available under the MSH ways to minimize the burden of the information to be collected; and (4) program: (1) Technical assistance grants, collection of information on those who ways to minimize the burden of the (2) Pre-development grants and (3) Site are to respond, including through the collection of information on those who option loans. use of appropriate automated, are to respond, including through the Need and use of the Information: electronic, mechanical, or other use of appropriate automated, Rural Housing Service (RHS) will technological collection techniques and electronic, mechanical, or other collect information from non-profit other forms of information technology. Comments regarding this information technological collection techniques or organizations that want to develop a collection received by November 23, other forms of information technology. MSH program in their area to increase Comments regarding this information 2018 will be considered. Written the availability of affordable housing. collection received by November 23, comments should be addressed to: Desk The information is collected at the local, 2018 will be considered. Written Officer for Agriculture, Office of district and state levels. The information comments should be addressed to: Desk Information and Regulatory Affairs, Officer for Agriculture, Office of requested by RHS includes financial Office of Management and Budget Information and Regulatory Affairs, and organizational information about (OMB), New Executive Office Building, Office of Management and Budget the non-profit organization. RHS needs 725—17th Street NW, Washington, DC (OMB), New Executive Office Building, this information to determine if the 20503. Commentors are encouraged to 725—17th Street NW, Washington, DC organization is capable of successfully submit their comments to OMB via 20502. Commenters are encouraged to carrying out the requirements of the email to: OIRA_Submission@ submit their comments to OMB via MSH program. The information is omb.eop.gov or fax (202) 395–5806 and email to: OIRA_Submission@ collected on an as requested or needed to Departmental Clearance Office, OMB.EOP.GOV or fax (202) 395–5806 basis. RHS has reviewed the program’s USDA, OCIO, Mail Stop 7602, and to Departmental Clearance Office, need for the collection of information Washington, DC 20250–7602. Copies of USDA, OCIO, Mail Stop 7602, versus the burden placed on the public. the submission(s) may be obtained by Washington, DC 20250–7602. Copies of Description of Respondents: Not-for- calling (202) 720–8681. the submission(s) may be obtained by profit institutions; State, Local or Tribal An agency may not conduct or calling (202) 720–8958. Government. sponsor a collection of information An agency may not conduct or unless the collection of information sponsor a collection of information Number of Respondents: 100. displays a currently valid OMB control unless the collection of information Frequency of Responses: number and the agency informs displays a currently valid OMB control Recordkeeping; Reporting: Annually. potential persons who are to respond to

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the collection of information that such achieving multiple use management [email protected], or calling 406–329– persons are not required to respond to programs such as reducing fire hazard 3817; Chris Dowling, Swan Lake District the collection of information unless it and improving forest health on the Ranger, via email at [email protected], displays a currently valid OMB control National Forest would be impaired. or calling 406–837–7501. number. Description of Respondents: Individuals who use telecommun- Individuals or households; Business or ication devices for the deaf (TDD) may Forest Service other for-profit; State, Local or Tribal call the Federal Information Relay Title: Forest Products Removal Government. Service (FIRS) at 1–800–877–8339 Permits and Contracts. Number of Respondents: 192,204. between 8 a.m. and 8 p.m., Eastern OMB Control Number: 0596–0085. Frequency of Responses: Reporting: Time, Monday through Friday. Summary of Collection: The Food, On occasion; Recordkeeping. SUPPLEMENTARY INFORMATION Conservation, and Energy Act of 2008 Total Burden Hours: 33,434. (Pub. L. 110–246, 122 Stat. 1651) Purpose and Need for Action Ruth Brown, hereinafter the ‘‘2008 Farm Bill’’), Today’s Mid-Swan landscape is the section 8105 authorizes that the Departmental Information Collection Clearance Officer. result of mixed ownerships across a Secretary of Agriculture may provide, [FR Doc. 2018–23054 Filed 10–22–18; 8:45 am] diverse landscape with a variety of free of charge, to federally recognized forest types. Timber harvest was BILLING CODE 3411–15–P Indian Tribes trees, portions of trees, or prevalent in this area through the 20th forest products from National Forest century with combined state forest System lands for noncommercial DEPARTMENT OF AGRICULTURE cutting to support local schools, harvest traditional and cultural purposes. for commercial timber interests owned Individuals and businesses that wish to Forest Service by Plum Creek, and National Forest remove forest products from national System (NFS) lands that are managed forest lands must request a permit. 16 Flathead National Forest; Montana; for multiple uses. Fire suppression and U.S.C. 551 requires the promulgation of Mid-Swan Landscape Restoration & commercially aggressive harvest regulations to regulate forest use and Wildland Urban Interface Fuels Project practices left fire intolerant tree species prevent destruction of the forests. AGENCY: Forest Service, USDA. behind to reseed the area. A logging Regulations at 36 CFR 223.1 and 223.2 method known as high-grading was ACTION: Notice of intent to prepare an govern the sale of forest products such practiced in some areas that removed environmental impact statement. as Christmas trees, pinecones, moss, and the best trees and their naturally mushrooms. Regulations at 36 CFR SUMMARY: The Mid-Swan Landscape selected seed source. Roads in the area 223.5 through 223.11 set forth Restoration and Wildland Urban were built to a mix of design standards; conditions under which free use of Interface Fuels Project (Mid-Swan) area and, are in various states of forest products may be obtained by encompasses approximately 246,000 maintenance with less stable roads individuals or organizations. Upon acres within the larger 1.3 million acre contributing to sedimentation into receiving a permit, the permittee must Southwestern Crown of the Continent watersheds. comply with the terms of the permit at landscape. This project is part of a long- The purpose of the Mid-Swan project 36 CFR 261.6 that designate the forest term effort between the USDA Forest is to restore and maintain aquatic products that can be harvested and Service and the Southwestern Crown biodiversity, and terrestrial biodiversity. under what conditions, such as limiting Collaborative to restore the resilience It is also to reduce the risk from wildfire harvest to a designated area or in the wildland urban interface where permitting harvest of only specifically and function of the ecosystem within this landscape. The Mid-Swan project is national forest system lands are close or designated material. adjacent to private land. The Mid-Swan Need and Use of the Information: proposing treatments on approximately area is at risk of losing key habitat Using forms FS–2400–1/BLM–5450–24, 70,000 acres to improve aquatic and components for native aquatic and FS–2400–4ANF and FS–2400–8, FS and terrestrial biodiversity by removing terrestrial species in this ecologically BLM will collect the name, vehicle vegetation, planting drought tolerant important landscape. Currently state, information, address and tax species found there historically, and federal and private infrastructure, identification number from persons reducing fuel buildup in the wildland recreationists, and residents are at risk applying for permits. The information urban interface (WUI). from fire. Wildland firefighters are will be used to keep a record of persons DATES: Comments concerning the scope especially at risk when engaging with buying forest products and to determine of the analysis must be received by extreme wildfire behavior in this area. if the applicant meets the criteria under November 23, 2018. The publication of the Draft Environmental Impact The Mid-Swan landscape was which free use or sale of forest products assessed with three-dimensional high is authorized by the regulations and to Statement (DEIS) is expected in April 2019, and the Final Environmental resolution aerial photography through ensure that the permittee has not photo interpretation, ground truthing, received product values in excess of the Impact Statement (FEIS) is expected to be published in October 2019. and modeling in order to determine the amount allowed by regulation in any needs across the landscape. ADDRESSES: one fiscal year and complies with the Send written comments to The following problems have been regulations and terms of the permit. Mid-Swan Project, Attention: Sandy identified regarding aquatic biodiversity Under the 2008 Farm Bill Authority, the Mack, 24 Fort Missoula Road, Missoula, within the project area: Federally recognized Indian Tribe/ MT 59804. Comments may also be sent 1. Amount of sediment in streams; Tribal Official makes their free-use via email to [email protected], or 2. fish barriers blocking access to request in writing and submits it to the submitted through an electronic form available habitat; and appropriate local FS District Ranger’s available on our project page at https:// 3. lack of small scale disturbance in Office. This information is also needed www.fs.usda.gov/projects/flathead/ riparian areas due to reduced beaver to allow FS compliance personnel to landmanagement/projects. activity and warming waters. identify permittees in the field. Without FOR FURTHER INFORMATION CONTACT: Problems with terrestrial biodiversity the forest product removal program, Sandy Mack, Team Leader, via email at include:

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1. Loss of large trees and old forest types with better structural stages. (Northern Rockies Lynx Management structure; Whitebark pine restoration would also Direction (NRLMD) Standard Veg S5). 2. loss of western white pine and be promoted by breaking up large 2. Conduct thinning activities in whitebark pine; homogeneous patches through mature, multi-story lynx and snowshoe 3. Lynx habitat quality and mechanical treatments and prescribed hare habitat (NRLMD Standard Veg S6). distribution and long-term availability; fire. Permits or Licenses Required 4. missed fire intervals through fire To reduce risk of wildfire in the WUI, suppression (fire deficit); proposed actions will include removing When the project is scheduled for 5. overabundance of young forests vegetation to reduce potential flame implementation the appropriate 404 with multi-stories and shade tolerant lengths to four feet or less; reducing permits and approval from the US Army species, in particular subalpine fir; ladder fuels to minimize crown fire Corps of Engineers will be obtained for 6. highly fragmented forests in the initiation; and reduction of canopy fuels fish barrier removal and beaver dam valley bottom (too many small patches); to minimize crown fuel propagation. analog structures among other proposed and Vegetation treatments would include: actions. Montana Streamside Protection 7. homogenous forests at higher Act, 124 permits, would be obtained for elevations due to fire suppression (in a Non-commercial thinning on approximately 2,900 acres, thinning any activity that disturbs stream few large patches). channels. An analysis of the WUI identified that with variable retention on 12,000 acres, current fuel conditions would create thinning with regeneration openings on Scoping Process 21,700 acres, regeneration harvest with flame lengths greater than four feet This notice of intent (NOI) to publish precluding direct attack. Crown fire variable retention on 7,400 acres, controlled burning on 24,600 acres, an EIS initiates the scoping process, initiation and crown fire propagation which guides the development of the conditions are high. planting on 500 acres, and seed caching on 900 acres. Proposed treatment EIS. An open house will be scheduled Proposed Action methods include the use of tractor, following the publication of this NOI and release of the scoping document. In order to restore and maintain skyline, helicopter, and hand The public will be informed through aquatic ecosystem resilience, this treatments. The total number of acres mailing and media release of the date, project proposes to storm proof proposed for treatment is approximately time, and location. (decommission, store, or improve) 70,000. Both temporary and permanent approximately 167 miles of existing road construction would be needed to Your comments will be most useful if Forest Service roads, including about 20 access treatments. This project would they describe a specific action and the miles of road that are within riparian not change, increase, or reduce open environmental effects of that action management zones (RMZ). The goals of motorized travel routes identified in the (cause and effect). If you cite literature the project include: Reducing sediment Flathead National Forest Motor Vehicle in your comments please provide us loads in streams through road storage Use Map. with a complete bibliography and a copy of the reference material. and decommissioning (storm proofing); Responsible Official removal of five fish passage barriers It is important that reviewers provide (culverts) at road/stream crossings; The Responsible Official for this their comments so they are useful to the application of vegetative treatment project is the Flathead National Forest Agency’s preparation of the EIS. actions within RMZs to better match Supervisor. Comments should be provided prior to the close of the comment period and desired conditions; and, to install Nature of Decision To Be Made beaver dam analog structures at nine should clearly articulate the reviewer’s stream sites to increase water holding The Flathead National Forest concerns and contentions. capacity in cold water drainages. The Supervisor will decide whether to Comments received in response to artificial beaver dams would slightly implement the action as proposed, take this solicitation, including names and offset predicted climate induced no action, or to implement an addresses of those who comment, will stressors in key stream reaches. alternative, or combination of be part of the public record for this The Mid-Swan EIS will also propose alternatives, that have been analyzed. proposed action. Comments submitted treatments on forest ecosystems to The Forest Supervisor will also decide anonymously will be accepted and promote resilience by reducing ladder whether to amend the Land and considered. fuels, decreasing crown bulk density, Resource Management Plan, if Dated: October 4, 2018. and reducing the risk of crown fire in necessary, to implement the decision. Allen Rowley, large ponderosa pine, western larch and Forest Plan Amendment Acting Associate Deputy Chief, National Douglas-fir forest types. Other proposed Forest System. treatments will include thinning to Two project-specific suspension of [FR Doc. 2018–23086 Filed 10–22–18; 8:45 am] reduce competition from shade tolerant forest plan standards would be required BILLING CODE 3411–15–P conifers. Goals include planting rust to implement the proposed actions and resistant western white pine stock in achieve desired conditions. The suitable areas after regeneration harvest. substantive requirements of the 2012 DEPARTMENT OF AGRICULTURE Tree composition will also be improved Planning Rule (36 CFR 219) that are through the removal of encroaching directly related to the proposed Forest Service subalpine fir and Engelmann spruce and amendments are § 36 CFR 219.8 (a)(1); the planting of rust resistant whitebark 219.9 (a)(1); 219.9 (a)(2); 219.9 (b)(1); Monongahela National Forest, West pine. Another goal of the Mid-Swan and 219.10 (a)(8). The proposed Virginia; Big Rock Project project is to restore whitebark pine amendments are: AGENCY: Forest Service, USDA. stands by caching rust resistant 1. Conduct non-commercial thinning ACTION: Withdrawal of notice of intent whitebark pine seeds; and, converting and regeneration operations in to prepare environmental impact overabundant competing multistory snowshoe hare habitat that occurs from statement. subalpine fir patches to other cover the stand initiation structural stage

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SUMMARY: The Monongahela National number: 1–888–778–9069 and Dated: October 18, 2018. Forest is withdrawing the Notice of conference call ID: 6970676. Please be David Mussatt, Intent (NOI) to prepare an advised that before placing them into Supervisory Chief, Regional Programs Unit. Environmental Impact Statement for the the conference call, the conference call [FR Doc. 2018–23048 Filed 10–22–18; 8:45 am] Big Rock Project. The original NOI was operator may ask callers to provide their BILLING CODE P published in the Federal Register on names, their organizational affiliations July 30, 2014. The environmental (if any), and email addresses (so that analysis for this project is proceeding callers may be notified of future COMMISSION ON CIVIL RIGHTS under an Environmental Assessment. meetings). Callers can expect to incur FOR FURTHER INFORMATION CONTACT: charges for calls they initiate over Agenda and Notice of Public Meeting Questions concerning withdrawal of the wireless lines, and the Commission will of the Delaware Advisory Committee not refund any incurred charges. Callers NOI should be addressed to Karen AGENCY: Commission on Civil Rights. Stevens (Forest Planner) at the following will incur no charge for calls they ACTION: address: Monongahela National Forest, initiate over land-line connections to Announcement of meeting. the toll-free telephone number herein. 200 Sycamore Street, Elkins, West SUMMARY: Notice is hereby given, Virginia 26241, or via phone at: 304– Persons with hearing impairments pursuant to the provisions of the rules 635–4480. may also follow the discussion by first and regulations of the U.S. Commission Individuals who use calling the Federal Relay Service at 1– on Civil Rights (Commission), and the telecommunication devices for the deaf 800–877–8339 and providing the Federal Advisory Committee Act (TDD) may call the Federal Information operator with the toll-free conference (FACA), that a planning meeting of the Relay Service (FIRS) at 1–800–877–8339 call number: 1–888–778–9069 and Delaware Advisory Committee to the between 8 a.m. and 8 p.m., Eastern conference call ID: 6970676. Commission will convene by conference Time, Monday through Friday. Members of the public are invited to call, on Monday, November 19, 2018 at Further information about the project submit written comments; the 4:00 p.m. (EST). The purpose of the can be found at https:// comments must be received in the meeting is to discuss preparation of the www.fs.usda.gov/project/ regional office approximately 30 days Committee’s report on implicit bias and ?project=44762. after each scheduled meeting. Written policing in communities of color in Dated: October 5, 2018. comments may be mailed to the Eastern Delaware. Allen Rowley, Regional Office, U.S. Commission on DATES: Monday, November 19, 2018, at Acting Associate Deputy Chief, National Civil Rights, 1331 Pennsylvania 4:00 p.m. (EST). Forest System. Avenue, Suite 1150, Washington, DC FOR FURTHER INFORMATION CONTACT: Ivy [FR Doc. 2018–23087 Filed 10–22–18; 8:45 am] 20425, or emailed to Evelyn Bohor at L. Davis, at [email protected] or by phone BILLING CODE 3411–15–P [email protected]. Persons who desire additional information may contact the at 202–376–7533. Eastern Regional Office at (202) 376– SUPPLEMENTARY INFORMATION: Public COMMISSION ON CIVIL RIGHTS 7533. Call-In Information: Conference call Records and documents discussed number: 1–800–210–9006 and Agenda and Notice of Public Meeting during the meeting will be available for conference call ID: 4124362. of the New Jersey Advisory Committee public viewing as they become available Interested members of the public may at https://gsageo.force.com/FACA/ listen to the discussion by calling the AGENCY: Commission on Civil Rights. FACAPublicViewCommittee following toll-free conference call ACTION: Announcement of meeting. Details?id=a10t0000001gzjVAAQ; click number: 1–800–210–9006 and conference call ID: 4124362. Please be SUMMARY: Notice is hereby given, the ‘‘Meeting Details’’ and ‘‘Documents’’ links. Records generated from this advised that before placing them into pursuant to the provisions of the rules the conference call, the conference call and regulations of the U.S. Commission meeting may also be inspected and reproduced at the Eastern Regional operator may ask callers to provide their on Civil Rights (Commission), and the names, their organizational affiliations Federal Advisory Committee Act Office, as they become available, both before and after the meetings. Persons (if any), and email addresses (so that (FACA), that a planning meeting of the callers may be notified of future New Jersey Advisory Committee to the interested in the work of this advisory committee are advised to go to the meetings). Callers can expect to incur Commission will convene by conference charges for calls they initiate over call, on Friday, November 16, 2018 at Commission’s website, www.usccr.gov, or to contact the Eastern Regional Office wireless lines, and the Commission will 12:00 p.m. (EST). The purpose of the not refund any incurred charges. Callers meeting is to discuss the topics under at the above phone number, email or street address. will incur no charge for calls they review and to select the topic it will initiate over land-line connections to examine as its civil rights project. Agenda the toll-free telephone number herein. DATES: Friday, November 16, 2018, at Persons with hearing impairments 12:00 p.m. (EST). Friday, November 16, 2018 at 12:00 p.m. (EST) may also follow the discussion by first FOR FURTHER INFORMATION CONTACT: Ivy calling the Federal Relay Service at 1– L. Davis, at [email protected] or by phone I. Welcome and Introductions and 800–877–8339 and providing the at 202–376–7533. Rollcall operator with the toll-free conference SUPPLEMENTARY INFORMATION: Public II. Planning Meeting call number: 1–800–210–9006 and Call-In Information: Conference call —Discuss Project Topics conference call ID: 4124362. number: 1–888–778–9069 and Members of the public are invited to —Discuss Process for Selecting the conference call ID: 6970676. submit written comments; the Interested members of the public may Topic for the Civil Rights Project comments must be received in the listen to the discussion by calling the III. Other Business regional office approximately 30 days following toll-free conference call IV. Adjournment after each scheduled meeting. Written

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comments may be mailed to the Eastern DATES: The meeting will be held on IV. Public Comment Regional Office, U.S. Commission on Thursday, October 25, 2018, at 12:00 V. Next Steps Civil Rights, 1331 Pennsylvania p.m. AKT. VI. Adjournment Avenue, Suite 1150, Washington, DC Public Call Information: Dial: 877– Exceptional Circumstance: Pursuant 20425, or emailed to Evelyn Bohor at 260–1479. Conference ID: 9710098. to 41 CFR 102–3.150, the notice for this [email protected]. Persons who desire FOR FURTHER INFORMATION CONTACT: Ana meeting is given less than 15 calendar additional information may contact the Victoria Fortes (DFO) at afortes@ days prior to the meeting because of the Eastern Regional Office at (202) 376– usccr.gov or (213) 894–3437. exceptional circumstance of staffing 7533. SUPPLEMENTARY INFORMATION: This limitations that require immediate Records and documents discussed meeting is available to the public action. during the meeting will be available for through the following toll-free call-in Dated: October 18, 2018. public viewing as they become available number: 877–260–1479, conference ID David Mussatt, at https://gsageo.force.com/FACA/ number: 9710098. Any interested Supervisory Chief, Regional Programs Unit. FACAPublicViewCommitteeDetails member of the public may call this [FR Doc. 2018–23127 Filed 10–22–18; 8:45 am] ?id=a10t0000001gzlEAAQ; click the number and listen to the meeting. BILLING CODE P ‘‘Meeting Details’’ and ‘‘Documents’’ Callers can expect to incur charges for links. Records generated from this calls they initiate over wireless lines, meeting may also be inspected and and the Commission will not refund any COMMISSION ON CIVIL RIGHTS reproduced at the Eastern Regional incurred charges. Callers will incur no Office, as they become available, both charge for calls they initiate over land- Notice of Public Meeting of the before and after the meetings. Persons line connections to the toll-free Connecticut Advisory Committee; interested in the work of this advisory telephone number. Persons with hearing Correction committee are advised to go to the impairments may also follow the AGENCY: Commission on Civil Rights. Commission’s website, www.usccr.gov, proceedings by first calling the Federal or to contact the Eastern Regional Office Relay Service at 1–800–877–8339 and ACTION: Notice; correction. at the above phone number, email or providing the Service with the SUMMARY: The Commission on Civil street address. conference call number and conference Rights published a notice in the Federal Agenda ID number. Register of Wednesday, October 17, Members of the public are entitled to 2018, concerning a meeting of the Monday, November 19, 2018 at 4:00 make comments during the open period Connecticut Advisory Committee to be p.m. (EST) at the end of the meeting. Members of held on Wednesday, November 14, I. Welcome and Introductions the public may also submit written 2018. The caller ID was incorrect. Rollcall comments; the comments must be FOR FURTHER INFORMATION CONTACT: received in the Regional Programs Unit II. Planning Meeting Evelyn Bohor, (303) 866–1040. within 30 days following the meeting. Discuss Project Report Written comments may be mailed to the Correction III. Other Business Western Regional Office, U.S. In the Federal Register of Wednesday, IV. Adjournment Commission on Civil Rights, 300 North October 17, 2018, in FR Doc. 2018– Dated: October 18, 2018. Los Angeles Street, Suite 2010, Los 22615, on page 52378, in the third David Mussatt, Angeles, CA 90012. They may be faxed column, and on page 52379, in the first Supervisory Chief, Regional Programs Unit. to the Commission at (213) 894–0508, or column, correct the conference call ID to [FR Doc. 2018–23047 Filed 10–22–18; 8:45 am] emailed Ana Victoria Fortes at afortes@ read: 8797752. usccr.gov. Persons who desire BILLING CODE P additional information may contact the Dated: October 18, 2018. Regional Programs Unit at (213) 894– David Mussatt, COMMISSION ON CIVIL RIGHTS 3437. Supervisory Chief, Regional Programs Records and documents discussed Coordination Unit. Notice of Public Meeting of the Alaska during the meeting will be available for [FR Doc. 2018–23049 Filed 10–22–18; 8:45 am] Advisory Committee public viewing prior to and after the BILLING CODE P meeting at https://facadatabase.gov/ AGENCY: U.S. Commission on Civil committee/meetings.aspx?cid=234. Rights. Please click on the ‘‘Meeting Details’’ DEPARTMENT OF COMMERCE ACTION: Announcement of meeting. and ‘‘Documents’’ links. Records generated from this meeting may also be Bureau of the Census SUMMARY: Notice is hereby given, inspected and reproduced at the Census Scientific Advisory Committee pursuant to the provisions of the rules Regional Programs Unit, as they become Public Meeting and regulations of the U.S. Commission available, both before and after the on Civil Rights (Commission) and the meeting. Persons interested in the work AGENCY: Bureau of the Census, Federal Advisory Committee Act of this Committee are directed to the Department of Commerce. (FACA) that a meeting of the Alaska Commission’s website, https:// ACTION: Notice of public meeting. Advisory Committee (Committee) to the www.usccr.gov, or may contact the Commission will be held at 12:00 p.m. Regional Programs Unit at the above SUMMARY: The Bureau of the Census (Alaska Time) Thursday, October 25, email or street address. (Census Bureau) is giving notice of a 2018. The purpose of the meeting is for meeting of the Census Scientific the Committee to review sections of the Agenda Advisory Committee (CSAC). The AK SAC report on Alaska Native voting I. Welcome Committee will address policy, rights and debrief web-hearings on mail- II. Review Sections of AK SAC Report research, and technical issues relating to in voting. III. Debrief Webhearings a full range of Census Bureau programs

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and activities, including 2018 CSAC Meeting Public Comment’’), to public meetings found in 5 U.S.C. communications, decennial, or by letter submission to Tara Dunlop app. 2 §§ l0(a)(1) and 10(a)(3). demographic, economic, field Jackson, Committee Liaison Officer, The open session will be accessible operations, geographic, information Department of Commerce, U.S. Census via teleconference to 20 participants on technology, and statistics. The CSAC Bureau, Room 8H177, 4600 Silver Hill will meet in a plenary session on Road, Washington, DC 20233. a first come, first serve basis. To join the conference, submit inquiries to Ms. December 6–7, 2018. The meeting will If you plan to attend the meeting, Joanna Lewis at Joanna.Lewis@ be available via webcast at: https:// please register by Monday, December 3, bis.doc.gov, no later than November 8, www.census.gov/newsroom/census- 2018. You may access the online 2018. live.html. Last minute changes to the registration from the following link schedule are possible, which could https:// A limited number of seats will be prevent giving advance public notice of csacfallmeeting2018.eventbrite.com. available during the public session of schedule adjustments. Please visit the Seating is available to the public on a the meeting. Reservations are not CSAC website for the most current first-come, first-served basis. accepted. To the extent time permits, meeting agenda at: http:// This meeting is physically accessible members of the public may present oral www.census.gov/cac/. The meeting will to people with disabilities. Requests for statements to the Committee. Written be available via webcast at: https:// sign language interpretation or other statements may be submitted at any www.census.gov/newsroom/census- auxiliary aids should also be directed to time before or after the meeting. live.html. Topics of discussion will the Committee Liaison Officer as soon However, to facilitate distribution of include: as known, and preferably two weeks public presentation materials to • 2020 Census Program Update prior to the meeting. Committee members, the materials • 2018 End-to-End Test Update Please call 301–763–9906 upon should be forwarded prior to the • Administrative Records Update arrival at the Census Bureau on the day meeting to Ms. Lewis via email. • Efforts to Modernize Disclosure of the meeting. A photo identification The Assistant Secretary for Limitation Update must be presented in order to receive Administration, with the concurrence of • Administrative Data and Third Party your visitor’s badge. Visitors are not the delegate of the General Counsel, Data Use Working Group Report allowed beyond the first floor. formally determined on February 13, DATES: December 6–7, 2018. On Dated: October 18, 2018. 2018, pursuant to Section 10(d) of the Thursday, December 6, the meeting will Federal Advisory Committee Act, as begin at 8:30 a.m. and end at Ron S. Jarmin, Deputy Director, Performing the Non- amended (5 U.S.C. app. 2 § 10(d)), that approximately 5:00 p.m. On Friday, the portion of the meeting dealing with December 7, the meeting will begin at Exclusive Functions and Duties of the Director, Bureau of the Census. pre-decisional changes to the Commerce 8:30 a.m. and end at approximately 2:00 Control List and the U.S. export control p.m. [FR Doc. 2018–23135 Filed 10–22–18; 8:45 am] BILLING CODE 3510–07–P policies shall be exempt from the ADDRESSES: The meeting will be held at provisions relating to public meetings the U.S. Census Bureau Auditorium, found in 5 U.S.C. app. 2 § § 10(a)(1) and 4600 Silver Hill Road, Suitland, DEPARTMENT OF COMMERCE 10(a)(3). The remaining portions of the Maryland 20746. meeting will be open to the public. FOR FURTHER INFORMATION CONTACT: Tara Bureau of Industry and Security For more information, call Joanna Dunlop Jackson, Branch Chief for Lewis at (202) 482–6440. Advisory Committees, Customer Liaison Materials Technical Advisory and Marketing Services Office, Committee; Notice of Partially Closed Joanna Lewis, census.scientific.advisory.committee@ Meeting Committee Liaison Officer. census.gov, Department of Commerce, The Materials Technical Advisory [FR Doc. 2018–23063 Filed 10–22–18; 8:45 am] U.S. Census Bureau, Room 8H177, 4600 Committee will meet on November 15, BILLING CODE 3510–JT–P Silver Hill Road, Washington, DC 2018, 10 a.m., Herbert C. Hoover 20233, telephone 301–763–5222. For Building, Room 3884, 14th Street TTY callers, please use the Federal between Constitution & Pennsylvania DEPARTMENT OF COMMERCE Relay Service 1–800–877–8339. Avenues NW, Washington, DC. The SUPPLEMENTARY INFORMATION: The Committee advises the Office of the Bureau of Industry and Security members of the CSAC are appointed by Assistant Secretary for Export Regulations and Procedures Technical the Director, U.S. Census Bureau. The Administration with respect to technical Advisory Committee; Notice of Committee provides scientific and questions that affect the level of export Partially Closed Meeting technical expertise, as appropriate, to controls applicable to materials and address Census Bureau program needs related technology. and objectives. The Committee has been The Regulations and Procedures established in accordance with the Agenda Technical Advisory Committee (RPTAC) will meet December 11, 2018, 9:00 a.m., Federal Advisory Committee Act (Title Open Session 5, United States Code, Appendix 2, Room 3884, in the Herbert C. Hoover Section 10). 1. Introductions and opening remarks Building, 14th Street between All meetings are open to the public. by senior management. Constitution and Pennsylvania Avenues A brief period will be set aside at the 2. Report from working groups. NW, Washington, DC. The Committee meeting for public comment on 3. Report by regime representatives. advises the Office of the Assistant December 7. However, individuals with 4. Public Comments. Secretary for Export Administration on extensive questions or statements must implementation of the Export submit them in writing to: Closed Session Administration Regulations (EAR) and census.scientific.advisory.committee@ 5. Discussion of matters determined to provides for continuing review to census.gov (subject line ‘‘December be exempt from the provisions relating update the EAR as needed.

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Agenda DEPARTMENT OF COMMERCE and Thailand: Postponement of Preliminary Determinations, in Public Session International Trade Administration accordance with section 735(a)(1) of the 1. Opening remarks by the Chairman [C–570–081] Act and 19 CFR 351.210(b)(1), the deadline for the final determinations of 2. Opening remarks by the Bureau of the AD investigations will continue to Industry and Security Glycine From the People’s Republic of China: Alignment of Final be 75 days after the date of the 3. Presentation of papers or comments Countervailing Duty Determination preliminary determinations (i.e., by the Public With Final Antidumping Duty January 7, 2019), unless postponed at a 4. Export Enforcement update Determinations of Glycine From India, later date.5 Japan, and Thailand On September 4, 2018, Commerce 5. Regulations update published the preliminary CVD 6. Working group reports AGENCY: Enforcement and Compliance, determinations of glycine from China, 7. Automated Export System update International Trade Administration, India, and Thailand.6 As indicated in Department of Commerce. Glycine from India CVD Preliminary SUMMARY: The Department of Commerce Determination and Glycine from (Commerce) is aligning the final Thailand CVD Preliminary Closed Session determination in the countervailing Determination, Commerce has aligned duty (CVD) investigation of glycine from the final determinations of the CVD 8. Discussion of matters determined to the People’s Republic of China (China) investigations of glycine from India and be exempt from the provisions with the final determinations in the Thailand with the final determinations relating to public meetings found in antidumping duty (AD) investigations of of the AD investigations of glycine from 5 U.S.C. app. 2 §§ 10(a)(1) and glycine from India, Japan, and Thailand India and Thailand, respectively.7 10(a)(3). (A–533–883, A–588–878, A–549–837). Alignment With Concurrent Final AD The open session will be accessible DATES: Applicable October 23, 2018. Determinations via teleconference to 20 participants on FOR FURTHER INFORMATION CONTACT: On August 30, 2018, in accordance a first come, first serve basis. To join the Tyler Weinhold and Yasmin Bordas at with section 705(a)(1) of the Tariff Act conference, submit inquiries to Ms. (202) 482–1121 and (202) 482–3813, of 1930, as amended (the Act), 19 CFR Joanna Lewis at Joanna.Lewis@ respectively, AD/CVD Operations, 351.210(b)(4)(i), and 351.210(i), the bis.doc.gov, no later than December 4, Office VI, Enforcement and Compliance, petitioners, GEO Specialty Chemicals, 2018. International Trade Administration, Inc. and Chattem Chemicals, Inc., timely U.S. Department of Commerce, 1401 A limited number of seats will be requested alignment of the final Constitution Avenue NW, Washington, available for the public session. determination in the CVD investigation DC 20230. Reservations are not accepted. To the of glycine from China with the final extent that time permits, members of the SUPPLEMENTARY INFORMATION: determinations in the concurrent AD investigations of glycine from India, public may present oral statements to Background 8 the Committee. The public may submit Japan, and Thailand. Therefore, in written statements at any time before or On April 17, 2018, Commerce accordance with section 705(a)(1) of the after the meeting. However, to facilitate initiated the CVD investigations of Act and 19 CFR 351.210(b)(4)(i), we are Glycine from China, India, and aligning the final CVD determination of the distribution of public presentation 1 materials to the Committee members, Thailand. Simultaneously, Commerce glycine from China with the final AD determinations of glycine from India, the Committee suggests that presenters initiated AD investigations of glycine 2 Japan, and Thailand. forward the public presentation from India, Japan, and Thailand. The CVD investigations and AD As stated above, the final CVD materials prior to the meeting to Ms. determinations of glycine from India Lewis via email. investigations cover the same class or kind of merchandise.3 The Assistant Secretary for On August 21, 2018, Commerce 5 Id. Administration, with the concurrence of postponed the preliminary 6 See Glycine from the People’s Republic of the delegate of the General Counsel, China: Preliminary Affirmative Countervailing Duty determination in the AD investigations Determination, 83 FR 44863 (September 4, 2018); formally determined on August 24, of glycine from India, Japan, and Glycine from India: Preliminary Affirmative 2018, pursuant to Section 10(d) of the Thailand until October 24, 2018.4 As Countervailing Duty Determination and Alignment Federal Advisory Committee Act, as indicated in Glycine from India, Japan, of Final Determination With Final Antidumping amended (5 U.S.C. app. 2 § 10(d)), that Duty Determination, 83 FR 44859 (September 4, 2018) (Glycine from India CVD Preliminary the portion of the meeting dealing with 1 See Glycine from India, the People’s Republic of Determination); and Glycine From Thailand: pre-decisional changes to the Commerce China, and Thailand: Initiation of Countervailing Preliminary Negative Countervailing Duty Control List and the U.S. export control Duty Investigations, 83 FR 18002 (April 25, 2018) Determination, Preliminary Negative Critical policies shall be exempt from the (CVD Investigations Initiation Notice). Circumstances Determination, and Alignment of 2 See Glycine from India, Japan, and Thailand: Final Determination With Final Antidumping Duty provisions relating to public meetings Initiation of Less-Than- Fair-Value Investigations, Determination, 83 FR 44861 (September 4, 2018) found in 5 U.S.C. app. 2 § § 10(a)(1) and 83 FR 17995 (April 25, 2018) (AD Investigations (Glycine from Thailand CVD Preliminary 10(a)(3). The remaining portions of the Initiation Notice). Determination). meeting will be open to the public. 3 Compare CVD Investigations Initiation Notice, 7 Glycine from India CVD Preliminary 83 FR at 18006 (‘‘Scope of the Investigations’’) with Determination, 83 FR at 44860; Glycine from For more information, call Joanna AD Investigations Initiation Notice, 83 FR at 18000 Thailand CVD Preliminary Determination, 83 FR at Lewis at (202) 482–6440. (‘‘Scope of the Investigations’’). 44862. 4 See Glycine from India, Japan, and Thailand: 8 See Petitioners’ Letter to the Secretary re: Joanna Lewis, Postponement of Preliminary Determinations in the Request to Align the Countervailing Duty Committee Liaison Officer. Less-Than-Fair-Value Investigations, 83 FR 42259 Investigation Final Determination with the (August 21, 2018) (Glycine from India, Japan, and Antidumping Duty Investigation Final [FR Doc. 2018–23064 Filed 10–22–18; 8:45 am] Thailand: Postponement of Preliminary Determinations in Glycine from Thailand, India and BILLING CODE 3510–JT–P Determinations). Japan, dated August 30, 2018.

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and Thailand have been aligned with DATES: Applicable October 23, 2018. Compliance’s Antidumping and the final AD determinations of glycine FOR FURTHER INFORMATION CONTACT: Ian Countervailing Duty Centralized from India and Thailand. Consequently, Hamilton, AD/CVD Operations, Office Electronic Service System (ACCESS). the final CVD determination of glycine V, Enforcement and Compliance, ACCESS is available to registered users from China will be issued on the same International Trade Administration, at https://access.trade.gov, and it is date as the final AD determinations of Department of Commerce, 1401 available to all parties in the Central glycine from India, Japan, and Thailand Constitution Avenue NW, Washington, Records Unit, Room B8024 of the main and the final CVD determinations of DC 20230; telephone: (202) 482–4798. Department of Commerce building. In glycine from India and Thailand, which SUPPLEMENTARY INFORMATION: addition, a complete version of the are currently scheduled to be issued no Issues and Decision Memorandum is later than January 7, 2019,9 unless Background available at postponed. Commerce published the Preliminary http://enforcement.trade.gov/frn/. The This notice is issued and published Results of this administrative review on signed and electronic versions of the pursuant to section 705(a)(1) of the Act steel wire garment hangers from the Issues and Decision Memorandum are and 19 CFR 351.210(g). People’s Republic of China (China) on identical in content. 1 Dated: October 17, 2018. July 13, 2018. For a discussion of the events subsequent to the Preliminary Changes Since the Preliminary Results Christian Marsh, Results, see the Issues and Decision Based on a review of the record and Deputy Assistant Secretary for Enforcement Memorandum.2 and Compliance. comments received from interested [FR Doc. 2018–23101 Filed 10–22–18; 8:45 am] Scope of the Order parties regarding our Preliminary Results, and for the reasons explained in BILLING CODE 3510–DS–P The merchandise subject to the Order 3 the Issues and Decision Memorandum, is steel wire garment hangers. The we made revisions to our preliminary products are currently classifiable under DEPARTMENT OF COMMERCE calculations of the weighted-average the Harmonized Tariff Schedule of the dumping margin for Shanghai Wells.5 United States (HTSUS) subheadings: International Trade Administration 7326.20.0020, 7323.99.9060, and Separate Rates [A–570–918] 7323.99.9080. Although the HTSUS subheadings are provided for In the Preliminary Results, we found Steel Wire Garment Hangers From the convenience and customs purposes, the that information placed on the record by People’s Republic of China: Final written product description of the scope Shanghai Wells demonstrates that this Results of Antidumping Duty of the order remains dispositive. For a entity is entitled to separate rate status, 6 Administrative Review; 2016–2017 full description of the scope of the which we preliminarily granted. We Order, see Issues and Decision received no information since the AGENCY: Enforcement and Compliance, Memorandum.4 issuance of the Preliminary Results that International Trade Administration, provides a basis for reconsidering the Department of Commerce. Analysis of Comments Received determination with respect to the SUMMARY: The Department of Commerce All issues raised in the case briefs separate rate status of this entity. (Commerce) determines that Shanghai filed by parties in this review are Therefore, for the final results, we Wells Hanger Co., Ltd., Hong Kong addressed in the Issues and Decision continue to find that Shanghai Wells is Wells Ltd., and Hong Kong Wells Ltd. Memorandum, which is incorporated eligible for a separate rate. (USA) (collectively, Shanghai Wells) herein by reference. A list of the issues Final Results of the Review sold subject merchandise in the United which each party raised, follows in the States at prices below normal value Appendix to this notice. The Issues and Commerce determines that the during the period of review (POR), Decision Memorandum is a public following weighted-average dumping October 1, 2016, through September 30, document and is made available to the margin exists for the POR from October 2017. public via Enforcement and 1, 2016, through September 30, 2017:

Weighted- average Exporter dumping margin (percent)

Shanghai Wells Hanger Co., Ltd./Hong Kong Wells Ltd. 7 ...... 2.68

9 See Glycine from India, Japan, and Thailand: adopted by, this notice (Issues and Decision of a single entity for this administrative review. See Postponement of Preliminary Determinations; Memorandum). Preliminary Results, 83 FR at 32635; see also Steel Glycine from India CVD Preliminary Determination; 3 See Notice of Antidumping Duty Order: Steel Wire Garment Hangers from the People’s Republic and Glycine from Thailand CVD Preliminary Wire Garment Hangers from the People’s Republic of China: Preliminary Results and Preliminary Determination. of China, 73 FR 58111 (October 6, 2008) (Order). Rescission, in Part, of the First Antidumping Duty 1 See Steel Wire Garment Hangers from the 4 See Issues and Decision Memorandum at 2. Administrative Review, 75 FR 68758, 68761 People’s Republic of China: Preliminary Results of 5 Id. at 2–4. (November 9, 2010), unchanged in First Antidumping Duty Administrative Review; 2016– 6 See Preliminary Results, 83 FR at 32634; see also Administrative Review of Steel Wire Garment 2017, 83 FR 32634 (July 13, 2018) (Preliminary Preliminary Decision Memorandum at 4–5. Hangers from the People’s Republic of China: Final Results), and accompanying Preliminary Decision 7 In the first administrative review of the Order, Results and Final Partial Rescission of Memorandum. Commerce found that Shanghai Wells Hanger Co., Antidumping Duty Administrative Review, 76 FR 2 See Memorandum, ‘‘Issues and Decision Ltd. and Hong Kong Wells Ltd. (collectively 27994, 27996 (May 13, 2011); see also Steel Wire Memorandum for the Administrative Review of the Shanghai Wells) are a single entity and, because Garment Hangers from the People’s Republic of Antidumping Duty Order on Steel Wire Garment there were no changes to the facts that supported China: Final Results of Antidumping Duty Hangers from the People’s Republic of China; 2016– that decision since that determination was made, Administrative Review, 2015–2016, 82 FR 54324 2017,’’ dated concurrently with, and hereby we continue to find that these companies are part (November 17, 2017).

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Commerce’s policy regarding liquidate the appropriate entries of public announcement of these final conditional review of the China-wide without regard to antidumping duties. results of review, in accordance with 19 entity applies to this administrative Consistent with Commerce’s CFR 351.224(b). review.8 Under this policy, the China- assessment practice in a review wide entity will not be under review involving a non-market economy, for Notification to Importers Regarding the unless a party specifically requests, or sales that were not reported in the U.S. Reimbursement of Duties Commerce self-initiates, a review of the sales data submitted by companies This notice also serves as a final China-wide entity. Because no party individually examined during this reminder to importers of their requested a review of the China-wide review, we will instruct CBP to responsibility under 19 CFR entity in this review, and we did not liquidate entries associated with those 351.402(f)(2) to file a certificate self-initiate a review, the entity is not sales at the rate for the China-wide under review and the entity’s rate is not entity. Furthermore, where we found regarding the reimbursement of subject to change, (i.e., 187.25 percent).9 that an exporter under review had no antidumping duties prior to liquidation of the relevant entries during this POR. Assessment Rates shipments of the subject merchandise, any suspended entries that entered Failure to comply with this requirement Commerce will determine, and U.S. under that exporter’s case number (i.e., could result in Commerce’s Customs and Border Protection (CBP) at that exporter’s cash deposit rate) will presumption that reimbursement of shall assess, antidumping duties on all be liquidated at the rate for the China- antidumping duties has occurred and appropriate entries of subject wide entity.12 the subsequent assessment of double merchandise in accordance with section antidumping duties. 751(a)(2)(C) of the Act and 19 CFR Cash Deposit Requirements Notification Regarding Administrative 351.212(b). Commerce intends to issue The following cash deposit Protective Order assessment instructions to CBP 15 days requirements will be effective upon after the date of publication of the final publication of the final results of this results of this review in the Federal This notice also serves as a reminder administrative review for shipments of to parties subject to administrative Register. the subject merchandise from China For any individually examined protective order (APO) of their entered, or withdrawn from warehouse, responsibility concerning the return or respondent whose (estimated) ad for consumption on or after the destruction of proprietary information valorem weighted–average dumping publication date, as provided by section disclosed under APO in accordance margin is not zero or de minimis (i.e., 751(a)(2)(C) of the Act: (1) For each less than 0.50 percent), Commerce will specific company listed in the final with 19 CFR 351.305(a)(3), which calculate importer-specific ad valorem results of this review, the cash deposit continues to govern business assessment rates on the basis of the ratio rate will be equal to the weighted- proprietary information in this segment of the total amount of dumping average dumping margin established in of the proceeding. Timely written calculated for the importer’s examined the final results of this review (except, notification of the return or destruction sales and the total entered value of those if the ad valorem rate is de minimis, of APO materials, or conversion to sales, in accordance with 19 CFR then the cash deposit rate will be zero); judicial protective order, is hereby 351.212(b)(1).10 We will instruct CBP to (2) for previously investigated or requested. Failure to comply with the assess antidumping duties on all reviewed Chinese and non-Chinese regulations and terms of an APO is a appropriate entries covered by this exporters not listed above that have violation which is subject to sanction. review when the importer-specific ad received a separate rate in a prior valorem assessment rate calculated is Notification to Interested Parties segment of this proceeding, the cash not zero or de minimis. Where either the respondent’s ad valorem weighted- deposit rate will continue to be the We are issuing and publishing these average dumping margin is zero or de existing exporter-specific cash deposit final results of administrative review in minimis, or an importer-specific ad rate published for the completed accordance with sections 751(a)(1) and valorem assessment rate is zero or de segment of the most recent period; (3) 777(i)(1) of the Act and 19 CFR for all Chinese exporters of subject minimis,11 we will instruct CBP to 351.221(b)(5). merchandise that have not been found Dated: October 16, 2018. 8 See Antidumping Proceedings: Announcement to be entitled to a separate rate, the cash of Change in Department Practice for Respondent deposit rate will be the rate for the Christian Marsh, Selection in Antidumping Duty Proceedings and China-wide entity (i.e., 187.25 percent); Deputy Assistant Secretary for Enforcement Conditional Review of the Nonmarket Economy and (4) for all non-Chinese exporters of and Compliance. Entity in NME Antidumping Duty Proceedings, 78 subject merchandise which have not FR 65963 (November 4, 2013). Appendix 9 See Steel Wire Garment Hangers from the received their own separate rate, the People’s Republic of China: Preliminary Results of cash deposit rate will be the rate Issues and Decision Memorandum Antidumping Duty Administrative Review; 2013– applicable to the Chinese exporter that Summary 2014, 80 FR 41480 (July 15, 2015), and supplied that non-Chinese exporter. Background accompanying Preliminary Decision Memorandum, These cash deposit requirements, when unchanged in Steel Wire Garment Hangers from the Scope of the Order imposed, shall remain in effect until People’s Republic of China: Final Results of Changes Since the Preliminary Results Antidumping Duty Administrative Review, 2013– further notice. 2014, 80 FR 69942 (November 12, 2015). Discussion of the Issue 10 In these final results, Commerce applied the Disclosure Comment: Whether to Treat Other Income as an Offset to Selling, General, and assessment rate calculation method adopted in We intend to disclose the calculations Antidumping Proceedings: Calculation of the Administrative Expenses performed within five days of the date Weighted-Average Dumping Margin and Recommendation Assessment Rate in Certain Antidumping [FR Doc. 2018–23052 Filed 10–22–18; 8:45 am] Proceedings; Final Modification, 77 FR 8101 12 See Non-Market Economy Antidumping (February 14, 2012). Proceedings: Assessment Practice Refinement, 76 BILLING CODE 3510–DS–P 11 See 19 CFR 351.106(c)(2). FR 65694 (October 24, 2011).

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DEPARTMENT OF COMMERCE Partial Rescission of Review result in the presumption that Pursuant to 19 CFR 351.213(d)(1), reimbursement of antidumping duties International Trade Administration Commerce will rescind an and/or countervailing duties occurred administrative review, in whole or in and the subsequent assessment of [A–428–844] part, if a party that requested a review double antidumping duties. withdraws its request within 90 days of Notification Regarding Administrative Carbon and Alloy Steel Cut-to-Length the date of publication of notice of Protective Order Plate From Germany: Partial initiation of the requested review. VDM This notice serves as the only Rescission of Antidumping Duty withdrew its requests for an Administrative Review; 2016–2018 reminder to parties subject to administrative review within 90 days of administrative protective order (APO) of AGENCY: Enforcement and Compliance, the date of publication of the Initiation 3 their responsibility concerning the International Trade Administration, Notice. Accordingly, Commerce is disposition of proprietary information Department of Commerce. rescinding this review, in part, with disclosed under APO in accordance respect to VDM Metals GmbH and VDM SUMMARY: The Department of Commerce with 19 CFR 351.305(a)(3). Timely (Commerce) is partially rescinding its Metals International GmbH, in written notification of return/ administrative review of the accordance with 19 CFR 353.213(d)(1). destruction of APO materials or The instant review will continue with antidumping duty (AD) order on carbon conversion to judicial protective order is respect to the following companies: AG and alloy steel cut-to-length plate (CTL hereby requested. Failure to comply der Dillinger Hu¨ ttenwerke; Perficon plate) from Germany for the period of with the regulations and the terms of an Steel GmbH; Reiner Brach GmbH & Co. review (POR) November 14, 2016, APO is a sanctionable violation. This KG; Rudolf Rafflenbeul through April 30, 2018. notice is issued and published in Stahlwarenfabrik GmbH & Co; accordance with sections 751(a)(1) and DATES: Applicable October 23, 2018. Ilsenburger Grobblech GmbH, Salzgitter 777(i)(1) of the Act, and 19 CFR FOR FURTHER INFORMATION CONTACT: Ross Mannesmann Grobblech GmbH, 351.213(d)(4). Belliveau, Enforcement and Salzgitter Flachstahl GmbH, and Dated: October 17, 2018. Compliance, International Trade Salzgitter Mannesmann International Administration, U.S. Department of GmbH (collectively, Salzgitter); Tenova James Maeder, Commerce, 1401 Constitution Avenue (TAKRAF GmbH Lauchhammer); Associate Deputy Assistant Secretary for NW, Washington, DC 20230; telephone: ThyssenKrupp Steel Europe AG; Antidumping and Countervailing Duty ThyssenKrupp Schulte GmbH; UPC Operations performing the duties of Deputy (202) 482–4952. Assistant Secretary for Antidumping and Universal Piping GmbH; and VETTER SUPPLEMENTARY INFORMATION: Countervailing Duty Operations. Umformtechnik GmbH. [FR Doc. 2018–23051 Filed 10–22–18; 8:45 am] Background Assessment BILLING CODE 3510–DS–P On May 1, 2018, Commerce published Commerce will instruct U.S. Customs in the Federal Register a notice of and Border Protection (CBP) to assess DEPARTMENT OF COMMERCE ‘‘Opportunity to Request Administrative antidumping duties on all appropriate Review’’ of the antidumping duty order entries. For the companies for which International Trade Administration on CTL plate from Germany for the this review is rescinded, antidumping 1 POR. In May 2018, Commerce received duties shall be assessed at rates equal to [A–201–805] multiple timely requests to conduct an the cash deposit of estimated Certain Circular Welded Non-Alloy administrative review of the antidumping duties required at the time Steel Pipe From Mexico: Notice of antidumping duty order on CTL plate of entry, or withdrawal from warehouse, Amended Final Results of from Germany. for consumption, during the period Antidumping Duty Administrative On July 12, 2018, in accordance with November 14, 2016, through April 30, Review Pursuant to Settlement; 2014– section 751(a) of the Tariff Act of 1930, 2018, in accordance with 19 CFR 2015 as amended (the Act), Commerce 351.212(c)(1)(i). Commerce intends to published in the Federal Register a issue appropriate assessment AGENCY: Enforcement and Compliance, notice of initiation of an administrative instructions directly to CBP 15 days International Trade Administration, review of the AD order.2 The after the date of publication of this Department of Commerce. administrative review was initiated with notice in the Federal Register. SUMMARY: On June 13, 2017, the respect to 15 companies and covers the Department of Commerce (Commerce) period November 14, 2016, through Notification to Importers published the final results of the April 30, 2018. Subsequent to the This notice serves as the only administrative review of the initiation of the administrative review, reminder to importers whose entries antidumping duty order on certain VDM Metals GmbH and VDM Metals will be liquidated as a result of this circular welded non-alloy steel pipe International GmbH (collectively, VDM), rescission notice, of their responsibility from Mexico. Maquilacero, S.A. de C.V. an interested party, timely withdrew its under 19 CFR 351.402(f)(2) to file a (Maquilacero) filed a request for panel request for review, as discussed below. certificate regarding the reimbursement review under the North American Free of antidumping duties and/or Trade Agreement (NAFTA) challenging 1 See Antidumping or Countervailing Duty Order, countervailing duties prior to Commerce’s Final Results. Maquilacero Finding, or Suspended Investigation; Opportunity liquidation of the relevant entries and Commerce have reached an to Request Administrative Review, 83 FR 19047 during this review period. Failure to (May 1, 2018). agreement for settlement of the dispute, 2 See Initiation of Antidumping and comply with this requirement may which is implemented by these Countervailing Duty Administrative Reviews, 83 FR amended final results. 32270 (July 12, 2018) (Initiation Notice); see also 3 See Letter from VDM, ‘‘Re: Carbon and Alloy DATES: Applicable October 23, 2018. Initiation of Antidumping and Countervailing Duty Steel Cut-to-Length Plate from Germany: Administrative Reviews, 83 FR 39688, 39690 Withdrawal of Review Request for VDM,’’ dated FOR FURTHER INFORMATION CONTACT: (August 10, 2018). August 8, 2018. Mark Flessner or Erin Kearney, AD/CVD

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Operations, Office VI, Enforcement and Maquilacero’s tubing products reported to file a certificate regarding the Compliance, International Trade during the 2014–2015 administrative reimbursement of antidumping duties Administration, U.S. Department of review are not within the scope of the prior to liquidation of the relevant Commerce, 1401 Constitution Avenue Order.6 entries during this review period. NW, Washington, DC 20230; telephone: The United States and Maquilacero Failure to comply with this requirement (202) 482–6312 and (202) 482–0167, have now entered into an agreement to could result in the Secretary’s respectively. settle this dispute. The NAFTA presumption that reimbursement of Secretariat terminated the panel review SUPPLEMENTARY INFORMATION: antidumping duties occurred, and the with an effective completion date of subsequent assessment of double Background October 11, 2018. antidumping duties. We are issuing this determination and On June 13, 2017, the Department of Assessment Rates Commerce (Commerce) published the publishing these amended final results Commerce shall determine, and CBP Final Results of its administrative of antidumping duty administrative shall assess, antidumping duties on all review of the antidumping duty order 1 review pursuant to settlement. appropriate entries covered by this on certain circular welded non-alloy Dated: October 17, 2018. review pursuant to section 751(a)(2)(C) steel pipe from Mexico.2 The period of of the Tariff Act of 1930, as amended, Christian Marsh, review (POR) is November 1, 2014, and 19 CFR 351.212(b). Commerce Deputy Assistant Secretary for Enforcement through October 31, 2015. Commerce intends to issue assessment instructions and Compliance. conducted an administrative review of to CBP within 7 days after the date of [FR Doc. 2018–23053 Filed 10–22–18; 8:45 am] mandatory respondents Maquilacero publication of these amended final BILLING CODE 3510–DS–P and Regiomontana de Perfiles y Tubos, results of review in the Federal S.A. de C.V./PYTCO, S.A. de C.V. Register. (Regiopytsa),3 and non-selected Commerce will instruct CBP to apply DEPARTMENT OF COMMERCE respondents Conduit, S.A. de C.V. an ad valorem assessment rate of 7.32 (Conduit), Productos Laminados de International Trade Administration percent to all entries of subject Monterrey, S.A. de C.V. (Prolamsa), and merchandise during the POR which [A–552–823] Ternium Mexico, S.A. de C.V. were produced and/or exported, and (Ternium).4 In the Final Results, imported, by Maquilacero. Commerce Laminated Woven Sacks From the Commerce found that there were entries will further instruct CBP that certain Socialist Republic of Vietnam: of in-scope merchandise produced and/ entries for which suspension of Postponement of Final Determination or exported by Maquilacero, S.A. de C. liquidation continued may be of of Sales at Less Than Fair Value V. (Maquilacero) during the POR and merchandise determined to be out of the Investigation calculated a 7.32 percent ad valorem scope of the antidumping duty order on margin for those entries. However, AGENCY: Enforcement and Compliance, circular welded non-alloy steel pipe Commerce also stated its intent to International Trade Administration, from Mexico, and that CBP should ‘‘adjust the assessment rate for. . . Department of Commerce. liquidate those entries without regard to certain entries of subject merchandise SUMMARY: The Department of Commerce duties, as previously instructed. produced and/or exported by (Commerce) is postponing the deadline The ad valorem assessment rates for Maquilacero . . . to account for the total for issuing the final determination in the all entries of subject merchandise amount of duties that would have been less-than-fair-value (LTFV) investigation during the POR which were produced collected on {Maquilacero’s} full of laminated woven sacks (LWS) from and/or exported by Regiopytsa, Conduit, universe of U.S. sales.’’ 5 the Socialist Republic of Vietnam Prolamsa, and Ternium remain On July 12, 2017, Maquilacero timely (Vietnam) until February 25, 2019, and unchanged from the Final Results. filed a request for a for a NAFTA panel is extending the provisional measures review challenging Commerce’s Final Cash Deposit Requirements from a four-month period to a period of not more than six months. Results. Subsequent to Maquilacero’s Because a new cash deposit rate has DATE: Applicable October 23, 2018. request for this NAFTA panel review, been calculated for Maquilacero in a Commerce determined that certain of subsequent administrative review,7 FOR FURTHER INFORMATION CONTACT: Drew Jackson or Celeste Chen, AD/CVD 1 Commerce will not instruct CBP to See Notice of Antidumping Duty Orders: Certain change the cash deposit rate for Operations, Office IV, Enforcement and Circular Welded Non-Alloy Steel Pipe from Brazil, Compliance, International Trade the Republic of Korea (Korea), Mexico, and Maquilacero. Venezuela and Amendment to Final Determination Administration, U.S. Department of of Sales at Less Than Fair Value: Certain Welded Notification to Importers Commerce, 1401 Constitution Avenue Non-Alloy Steel Pipe from Korea, 57 FR 49453 This notice also serves as a final NW, Washington, DC 20230; telephone: (November 2, 1992) (the Order). (202) 482–4406 or (202) 482–0890, 2 See Certain Circular Welded Non-Alloy Steel reminder to importers of their Pipe from Mexico; Final Results of Antidumping responsibility under 19 CFR 351.402(f) respectively. Duty Administrative Review and Final SUPPLEMENTARY INFORMATION: Determination of No Shipments; 2014–2015, 82 FR 6 See Certain Welded Non-Alloy Steel Pipe from 27039 (June 13, 2017) (Final Results). Mexico: Notice of Court Decision Not in Harmony Background 3 We treated Regiomontana de Perfiles y Tubos, With Final Scope Ruling and Notice of Amended S.A. de C.V., and PYTCO, S.A. de C.V., as a single Final Scope Ruling Pursuant to Court Decision, 83 On March 27, 2018, Commerce entity for the Final Results; this remains unchanged FR 7153 (February 20, 2018); see also memorandum initiated a LTFV investigation of in these amended final results. of final scope ruling re: 176 types of non-galvanized imports of LWS from Vietnam.1 The 4 Three additional companies were subject to tubing produced to ASTM A–513 specifications by period of investigation is July 1, 2017, review but were determined to have had no Maquilacero, dated June 18, 2018. shipments of subject merchandise into the United 7 See Certain Circular Welded Non-Alloy Steel through December 31, 2017. On October States during the POR in the Final Results; that Pipe from Mexico: Final Results of Antidumping determination is unchanged in these amended final Duty Administrative Review and Final 1 See Laminated Woven Sacks from the Socialist results. Determination of No Shipments; 2015–2016, 83 FR Republic of Vietnam: Initiation of Less-Than-Fair- 5 See Final Results, 82 FR at 27040. 23886 (May 23, 2018). Value Investigation, 83 FR 14257 (April 3, 2018).

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11, 2018, Commerce published its This notice is issued and published Constitution Avenue NW, Washington, Preliminary Determination in this LTFV pursuant to 19 CFR 351.210(g). DC 20230, (202) 482–5438. 2 investigation of LWS from Vietnam. Dated: October 17, 2018. SUPPLEMENTARY INFORMATION: Chapter Postponement of Final Determination Christian Marsh, 19 of Article 1904 of NAFTA provides Deputy Assistant Secretary for Enforcement a dispute settlement mechanism Section 735(a)(2) of the Tariff Act of involving trade remedy determinations 1930, as amended (the Act), and 19 CFR and Compliance. [FR Doc. 2018–23100 Filed 10–22–18; 8:45 am] issued by the government of the United 351.210(b)(2) provide that a final States, the government of Canada, and BILLING CODE 3510–DS–P determination may be postponed until the government of Mexico. There are not later than 135 days after the date of established Rules, which were adopted the publication of the preliminary DEPARTMENT OF COMMERCE by the three governments and require determination if, in the event of an Notices of Completion of Panel Review affirmative preliminary determination, a International Trade Administration to be published in accordance with Rule request for such postponement is made 78. For the complete Rules, please see by the exporters or producers who North American Free Trade Agreement https://www.nafta-sec-alena.org/Home/ account for a significant proportion of (NAFTA), Article 1904 Binational Panel Texts-of-the-Agreement/Rules-of- exports of the subject merchandise, or in Reviews: Notice of Completion of Procedure/Article-1904. the event of a negative preliminary Panel Review determination, a request for such Dated: October 18, 2018. postponement is made by the AGENCY: United States Section, NAFTA Paul E. Morris, petitioners. Further, 19 CFR Secretariat, International Trade U.S. Secretary, NAFTA Secretariat. 351.210(e)(2) requires that such Administration, Department of [FR Doc. 2018–23098 Filed 10–22–18; 8:45 am] postponement requests by exporters be Commerce. BILLING CODE 3510–GT–P accompanied by a request for extension ACTION: Notice of Completion of Panel of provisional measures from a four- Review in the matter of Certain Circular month period to a period of not more Welded Non-Alloy Steel Pipe From DEPARTMENT OF COMMERCE than six months, in accordance with Mexico: Final Results of Antidumping section 733(d) of the Act. Duty Administrative Review and Final National Oceanic and Atmospheric On October 2, 2018, Duong Vinh Hoa Determination of No Shipments; 2014– Administration Packaging Company Limited, a 2015 (Secretariat File Number: USA– Submission for OMB Review; mandatory respondent in this MEX–2017–1904–01). investigation, requested that Commerce Comment Request postpone the deadline for the final SUMMARY: The NAFTA Secretariat has The Department of Commerce will determination until no later than 135 received submissions filed on behalf of submit to the Office of Management and days from the publication of the the United States Department of Budget (OMB) for clearance the Preliminary Determination, and extend Commerce, Maquilacero S.A. de C.V., following proposal for collection of the application of the provisional and Wheatland Tube requesting the information under the provisions of the measures from a four-month period to a termination of panel review in the Paperwork Reduction Act (44 U.S.C. 3 period of not more than six months. In matter of Certain Circular Welded Non- Chapter 35). accordance with section 735(a)(2)(A) of Alloy Steel Pipe From Mexico: Final Agency: National Oceanic and the Act and 19 CFR 351.210(b)(2)(ii), Results of Antidumping Duty Atmospheric Administration (NOAA). because (1) the preliminary Administrative Review and Final Title: High Seas Fishing Permit determination was affirmative; (2) the Determination of No Shipments; 2014– Application Information. request was made by the exporters and 2015 (Circular Welded Steel Pipe AR) OMB Control Number: 0648–0304. producers who account for a significant dispute. Form Number(s): None. proportion of exports of the subject Given all the participants have Type of Request: Regular (extension of merchandise; and (3) no compelling consented to a Notice of Termination of a currently approved information reasons for denial exist, Commerce is Panel Review pursuant to Rule 71(2) of collection). postponing the final determination until the NAFTA Rules of Procedure for Number of Respondents: 600. no later than 135 days after the date of Article 1904 Binational Panel Reviews Average Hours per Response: Permit the publication of the Preliminary (Rules), the NAFTA Circular Welded application with vessel photo (every 5 Determination, and extending the Steel Pipe AR dispute has been years); vessel identification, 45 minutes; provisional measures from a four-month terminated. request to authorize a fishery on the period to a period of not more than six As a result, and in accordance with high seas, 22 hours; transshipment months. Accordingly, Commerce will Rule 78(a), notice is hereby given that notices and reports, 1 hour; 15 minutes; issue its final determination no later the panel review of the NAFTA Circular power-down and power-on requests, 5 than February 25, 2019.4 Welded Steel Pipe AR dispute has been minutes; observer notification, 5 completed effective October 11, 2018. minutes. 2 See Laminated Woven Sacks from the Socialist FOR FURTHER INFORMATION CONTACT: Paul Burden Hours: 272. Republic of Vietnam: Preliminary Determination of Needs and Uses: This request is for Sales at Less Than Fair Value, 83 FR 51436 E. Morris, United States Secretary, NAFTA Secretariat, Room 2061, 1401 extension of a currently approved (October 11, 2018) (Preliminary Determination). information collection. 3 See Letter from Duong Vinh Hoa Packaging Company Limited, ‘‘Antidumping Duty Saturday/Sunday, February 23, 2019. Commerce’s United States vessels that fish on the Investigation of Laminated Woven Sacks from the practice dictates that where a deadline falls on a high seas (waters beyond the U.S. Socialist Republic of Vietnam, Case No. A–552–823: weekend or federal holiday, the appropriate exclusive economic zone) are required Request to Postpone Final Determination’’ dated deadline is the next business day. See Notice of to possess a permit issued under the October 2, 2018. Clarification: Application of ‘‘Next Business Day’’ 4 Postponing the final determination to 135 days Rule for Administrative Determination Deadlines High Seas Fishing Compliance Act after the publication of the Preliminary Pursuant to the Tariff Act of 1930, as Amended, 70 (HSFCA). Applicants for this permit Determination would place the deadline on FR 24533 (May 10, 2005). must submit information to identify

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their vessels, owners and operators of DATES: This meeting will be held on Consistent with 16 U.S.C. 1852, a copy the vessels, and intended fishing areas. Wednesday, November 7, 2018 at 10 of the recording is available upon The application information is used to a.m. request. process permits and to maintain a ADDRESSES: Meeting address: The Authority: 16 U.S.C. 1801 et seq. register of vessels authorized to fish on meeting will be held at the Crowne Dated: October 18, 2018. the high seas. Plaza Hotel, 801 Greenwich Avenue, Tracey L. Thompson, The HSFCA also requires vessels be Warwick, RI 02886; phone: (401) 732– marked for identification and Acting Deputy Director, Office of Sustainable 6000. Fisheries, National Marine Fisheries Service. enforcement purposes. Vessels must be Council address: New England marked in three locations (port and [FR Doc. 2018–23082 Filed 10–22–18; 8:45 am] Fishery Management Council, 50 Water BILLING CODE 3510–22–P starboard sides of the deckhouse or hull, Street, Mill 2, Newburyport, MA 01950. and on a weatherdeck) with their FOR FURTHER INFORMATION CONTACT: official number or radio call sign. Thomas A. Nies, Executive Director, DEPARTMENT OF COMMERCE These requirements apply to all New England Fishery Management vessels fishing on the high seas. Council; telephone: (978) 465–0492. National Oceanic and Atmospheric Affected Public: Business or other for- Administration profit organizations. SUPPLEMENTARY INFORMATION: Frequency: Every five years or on Agenda Marine Mammals and Endangered occasion. Species The committee will review the range Respondent’s Obligation: Mandatory. of alternatives in the clam dredge AGENCY: This information collection request National Marine Fisheries framework. These alternatives were may be viewed at reginfo.gov. Follow Service (NMFS), National Oceanic and developed by the Habitat Plan the instructions to view Department of Atmospheric Administration (NOAA), Development Team with guidance from Commerce collections currently under Commerce. the Habitat Committee and the Council. review by OMB. ACTION: Notice; issuance of permits and They will review the PDT’s preliminary Written comments and permit amendments or modifications. analysis of alternatives. The committee recommendations for the proposed will also discuss findings of the information collection should be sent SUMMARY: Notice is hereby given that Council’s Enforcement Committee within 30 days of publication of this permits or permit amendments have regarding the use of 5-minute VMS to notice to OIRA_Submission@ been issued to the following entities monitor fishing activity within potential omb.eop.gov or fax to (202) 395–5806. under the Marine Mammal Protection exemption areas. They plan to review Act (MMPA) and the Endangered Dated: October 18, 2018. the Habitat Advisory Panel Species Act (ESA), as applicable. Sarah Brabson, recommendations developed on ADDRESSES: The permits and related NOAA PRA Clearance Officer. November 5. They will suggest changes documents are available for review [FR Doc. 2018–23075 Filed 10–22–18; 8:45 am] to the alternatives and request upon written request or by appointment additional analyses from the PDT to BILLING CODE 3510–22–P in the Permits and Conservation inform final action at the December Division, Office of Protected Resources, Council meeting. Other business will be NMFS, 1315 East-West Highway, Room DEPARTMENT OF COMMERCE discussed as necessary. 13705, Silver Spring, MD 20910; phone: Although non-emergency issues not (301) 427–8401; fax: (301) 713–0376. National Oceanic and Atmospheric contained in this agenda may come Administration before this group for discussion, those FOR FURTHER INFORMATION CONTACT: issues may not be the subject of formal Jennifer Skidmore (Permit No. 21329 RIN 0648–XG554 action during these meetings. Action and 21217–01), Shasta McClenahan will be restricted to those issues (Permit No. 22272), Sara Young (Permit New England Fishery Management No. 21719), Erin Markin (Permit Nos. Council; Public Meeting specifically listed in this notice and any issues arising after publication of this 21327 and 22123), Amy Hapeman AGENCY: National Marine Fisheries notice that require emergency action (Permit Nos. 17312–01 and 18238–01), Service (NMFS), National Oceanic and under section 305(c) of the Magnuson- and Courtney Smith (Permit No. 16239– Atmospheric Administration (NOAA), Stevens Act, provided the public has 03); at (301) 427–8401. Commerce. been notified of the Council’s intent to SUPPLEMENTARY INFORMATION: Notices ACTION: Notice; public meeting. take final action to address the were published in the Federal Register emergency. on the dates listed below that requests SUMMARY: The New England Fishery for a permit or permit amendment had Management Council (Council) is Special Accommodations been submitted by the below-named scheduling a public meeting of its This meeting is physically accessible applicants. To locate the Federal Habitat Committee to consider actions to people with disabilities. Requests for Register notice that announced our affecting New England fisheries in the sign language interpretation or other receipt of the application and a exclusive economic zone (EEZ). auxiliary aids should be directed to complete description of the research, go Recommendations from this group will Thomas A. Nies, Executive Director, at to www.federalregister.gov and search be brought to the full Council for formal (978) 465–0492, at least 5 days prior to on the permit number provided in the consideration and action, if appropriate. the date. This meeting will be recorded. table below.

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Permit or Permit amendment No. RIN Applicant Previous Federal Register notice issuance date

16239–03 ...... 0648–XC268 Dan Engelhaupt, Ph.D., HDR, 4173 Ewell 83 FR 21765; May 10, 2018 ...... September 26, 2018. Road, Virginia Beach, VA, 23455. 17312–01 ...... 0648–XC268 Scripps Institution of Oceanography, Uni- 83 FR 21765; May 10, 2018 ...... September 12, 2018. versity of California, 8635 Discovery Way, La Jolla, CA 92093 (Responsible Party: John Hildeband, Ph.D.). 18238–01 ...... 0648–XG302 NMFS Southwest Fisheries Science Cen- 83 FR 33209; July 17, 2018 ...... September 20, 2018. ter, 8901 La Jolla Shores Drive, La Jolla, CA 92037 (Responsible Party: Lisa Balance, Ph.D.). 21217–01 ...... 0648–XF696 Aaron Roberts, Ph.D., University of North 83 FR 38287; August 6, 2018 ...... September 20, 2018. Texas, Biological Sciences, 1155 Union Circle, #310559, Denton, TX 76203. 21327 ...... 0648–XG302 Raymond Carthy, Ph.D., Florida Cooper- 83 FR 33209; July 17, 2018 ...... September 20, 2018. ative Fish and Wildlife Research Unit— USGS BRD, University of Florida, P.O. Box 110485, Gainesville, FL 23611– 0450. 21329 ...... 0648–XG345 John P. Wise, Sr., Ph.D., University of 83 FR 34118; July 19, 2018 ...... September 7, 2018. Louisville, Department of Pharma- cology, 500 S Preston St., Suite 1319, Louisville, KY 40202. 21719 ...... 0648–XG094 NMFS Northeast Fisheries Science Cen- 83 FR 26009; June 5, 2018 ...... September 19, 2018. ter, 166 Water Street, Woods Hole, MA 02543–1097 (Responsible Party: John Hare, Ph.D.). 21858 ...... 0648–XG332 NMFS Greater Atlantic Regional Fish- 83 FR 31736; July 9, 2018 ...... September 7, 2018. eries Office, 55 Great Republic Drive, Gloucester, MA 01930. 22123 ...... 0648–XG302 Jeffrey Schmid, Ph.D., Conservancy of 83 FR 33209; July 17, 2018 ...... September 20, 2018. Southwest Florida, 1495 Smith Pre- serve Way, Naples, FL 34102. 22272 ...... 0648–XG343 Shaw Institute, 55 Main Street, Blue Hill, 83 FR 33924; July 18, 2018 ...... September 7, 2018. ME 04614 (Responsible Party: Susan Shaw).

In compliance with the National Dated: October 18, 2018. • Proposed Rule on Amendments to Environmental Policy Act of 1969 (42 Julia Marie Harrison, Regulations on Swap Execution U.S.C. 4321 et seq.), a final Chief, Permits and Conservation Division, Facilities and the Trade Execution determination has been made that the Office of Protected Resources, National Requirement; and activities proposed are categorically Marine Fisheries Service. • Request for Comment regarding the excluded from the requirement to [FR Doc. 2018–23077 Filed 10–22–18; 8:45 am] Practice of ‘‘Post-Trade Name Give-Up’’ prepare an environmental assessment or BILLING CODE 3510–22–P environmental impact statement. on Swap Execution Facilities. As required by the ESA, as applicable, The agenda for this meeting will be issuance of these permit was based on available to the public and posted on a finding that such permits: (1) Were COMMODITY FUTURES TRADING the Commission’s website at https:// applied for in good faith; (2) will not COMMISSION www.cftc.gov. In the event that the time, operate to the disadvantage of such date, or place of this meeting changes, Sunshine Act Meetings endangered species; and (3) are an announcement of the change, along with the new time, date, or place of the consistent with the purposes and TIME AND DATE: 10:00 a.m., Monday, policies set forth in Section 2 of the November 5, 2018. meeting, will be posted on the ESA. Commission’s website. PLACE: CFTC Headquarters, Lobby-Level Authority: The requested permits Hearing Room, Three Lafayette Centre, CONTACT PERSON FOR MORE INFORMATION: have been issued under the Marine 1155 21st Street NW, Washington, DC. Christopher Kirkpatrick, Secretary of the Mammal Protection Act of 1972, as Commission, 202–418–5964. amended (16 U.S.C. 1361 et seq.), the STATUS: Open. regulations governing the taking and MATTERS TO BE CONSIDERED: The Dated: October 19, 2018. importing of marine mammals (50 CFR Commodity Futures Trading Robert Sidman, part 216), the Endangered Species Act of Commission (‘‘Commission’’ or Deputy Secretary of the Commission. 1973, as amended (ESA; 16 U.S.C. 1531 ‘‘CFTC’’) will hold this meeting to [FR Doc. 2018–23254 Filed 10–19–18; 4:15 pm] et seq.), and the regulations governing consider the following matters: BILLING CODE 6351–01–P the taking, importing, and exporting of • Final Rule Amending the De endangered and threatened species (50 Minimis Exception to the Swap Dealer CFR parts 222–226), as applicable. Definition;

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DEPARTMENT OF DEFENSE of individual subcommittee members. to allow a member of the public to speak Summary minutes of the meeting will or otherwise address the Committee Department of the Army be provided to the Army Education during the meeting. Members of the Advisory Committee for consideration public will be permitted to make verbal Army Education Advisory Committee; under the open-meeting rules. comments during the Committee Notice of Federal Advisory Committee Meeting Accessibility: Pursuant to 5 meeting only at the time and in the Meeting U.S.C. 552b, as amended, and 41 CFR manner described below. If a member of AGENCY: Department of the Army, DoD. 102–3.140 through 102–3.165, and the public is interested in making a subject to the availability of space, this ACTION: Notice of Federal Advisory verbal comment at the open meeting, Committee meeting. meeting is open to the public. Seating is that individual must submit a request, on a first to arrive basis. Attendees are with a brief statement of the subject SUMMARY: The Department of Defense is requested to submit their name, matter to be addressed by the comment, publishing this notice to announce that affiliation, and daytime phone number at least seven business days in advance the following Federal Advisory seven business days prior to the meeting to the subcommittee’s Alternate Committee meeting of the Army to Dr. Baumann, via electronic mail, the Designated Federal Official, via Education Advisory Committee, preferred mode of submission, at the electronic mail, the preferred mode of Command and General Staff College address listed in the FOR FURTHER submission, at the address listed in the (CGSC) Board of Visitors Subcommittee INFORMATION CONTACT section. Because FOR FURTHER INFORMATION CONTACT will take place. the meeting of the subcommittee will be section. The Alternate Designated DATES: The CGSC Board of Visitors held in a Federal Government facility on Federal Officer will log each request, in Subcommittee will meet from 9:00 a.m. a military base, security screening is the order received, and in consultation to 5:00 p.m. on December 10, 2018 and required. A photo ID is required to enter with the Subcommittee Chair, from 8:30 a.m. to 12:00 p.m. on base. Please note that security and gate determine whether the subject matter of December 11, 2018. guards have the right to inspect vehicles each comment is relevant to the and persons seeking to enter and exit ADDRESSES: U.S. Army Command and Subcommittee’s mission and/or the General Staff College, Lewis and Clark the installation. Lewis and Clark Center topics to be addressed in this public Center, 100 Stimson Ave., Bell is fully handicap accessible. Wheelchair meeting. A 15-minute period near the access is available in front at the main Conference Room, Ft. Leavenworth, KS end of the meeting will be available for entrance of the building. For additional 66027. verbal public comments. Members of information about public access the public who have requested to make FOR FURTHER INFORMATION CONTACT: Dr. procedures, contact Dr. Baumann, the a verbal comment and whose comments Robert Baumann, the Alternate subcommittee’s Alternate Designated have been deemed relevant under the Designated Federal Officer for the Federal Officer, at the email address or process described above, will be allotted subcommittee, in writing at Command telephone number listed in the FOR no more than three minutes during the and General Staff College, 100 Stimson FURTHER INFORMATION CONTACT section. period, and will be invited to speak in Ave., Ft. Leavenworth, KS 66027, by Written Statements: Pursuant to 41 the order in which their requests were email at [email protected] CFR 102–3.105(j) and 102–3.140 and received by the Alternate Designated or by telephone at (913) 684–2742. section 10(a)(3) of the Federal Advisory Federal Officer. SUPPLEMENTARY INFORMATION: This Committee Act, the public or interested meeting is being held under the organizations may submit written Brenda S. Bowen, provisions of the Federal Advisory comments or statements to the Army Federal Register Liaison Officer. Committee Act (FACA) of 1972 (5 subcommittee, in response to the stated [FR Doc. 2018–23083 Filed 10–22–18; 8:45 am] U.S.C., Appendix, as amended), the agenda of the open meeting or in regard BILLING CODE 5001–03–P Government in the Sunshine Act of to the subcommittee’s mission in 1976 (5 U.S.C. 552b, as amended), and general. Written comments or 41 CFR 102–3.140 and 102–3.150. statements should be submitted to Dr. DEPARTMENT OF DEFENSE Purpose of the Meeting: The purpose Baumann, the subcommittee Alternate Department of the Navy of the meeting is to provide the Designated Federal Officer, via Subcommittee with an overview of electronic mail, the preferred mode of Notice of Performance Review Board CGSC academic programs, as well as submission, at the address listed in the Membership information concerning possible future FOR FURTHER INFORMATION CONTACT plans. This will be an informational section. Each page of the comment or AGENCY: Department of the Navy, DoD. meeting with particular focus on the statement must include the author’s ACTION: Notice. possibility of establishing additional name, title or affiliation, address, and degree programs at CGSC. daytime phone number. The Alternate SUMMARY: The Department of Navy Agenda: The subcommittee will Designated Federal Officer will review (DON) announces the appointment of review the results of the visit to CGSC all submitted written comments or members to the DON’s numerous Senior in October 2018 by a team from the statements. Written comments or Executive Service (SES) Performance Higher Learning Commission and statements being submitted in response Review Boards (PRBs). receive information briefings on to the agenda set forth in this notice FOR FURTHER INFORMATION CONTACT: potential opportunities to introduce must be received by the Alternate Leslie Joseph, Director, Executive additional degree programs at the Designated Federal Officer at least seven Management Program Office, Office of College. The meeting will culminate business days prior to the meeting to be Civilian Human Resources at 202–685– with a public discussion by committee considered by the subcommittee. 6186. members concerning current Written comments or statements SUPPLEMENTARY INFORMATION: The developments at CGSC. The committee received after this date may not be purpose of the PRBs is to provide fair will also complete certain provided to the subcommittee until its and impartial review of the annual SES administrative and training next meeting. Pursuant to 41 CFR 102– performance appraisal prepared by the requirements associated with the service 3.140d, the Committee is not obligated senior executive’s immediate and

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second level supervisor; to make DEPARTMENT OF ENERGY CFR part 431, subpart R, appendix A for recommendations to appointing officials specified basic models of walk-in doors, [Case Number 2018–001; EERE–2018–BT– regarding acceptance or modification of WAV–0001] provided that HH Technologies tests the performance rating; and to make and rates such equipment using the recommendations for performance Energy Conservation Program: alternate test procedure specified in the bonuses and basic pay increases. Decision and Order Granting a Waiver Decision and Order. HH Technologies’ Composition of the specific PRBs will to HH Technologies From the representations concerning the energy be determined on an ad hoc basis from Department of Energy Walk-in Cooler consumption of the specified basic among the individuals listed below: and Walk-in Freezer Doors Test models must be based on testing Mr. Mark Andress Procedure according to the provisions and Mr. Todd Balazs restrictions in the alternate test Mr. Claude Baldwin AGENCY: Office of Energy Efficiency and procedure set forth in the Decision and Ms. Jennifer Balisle Renewable Energy, Department of Order, and the representations must Mr. James Balocki Energy. fairly disclose the test results. Mr. Bill Bonwit ACTION: Notice of decision and order. Distributors, retailers, and private Ms. Diane Boyle labelers are held to the same Ms. Anne Brennan SUMMARY: The U.S. Department of requirements when making Mr. Anthony Cifone Energy (‘‘DOE’’) gives notice of a representations regarding the energy MajGen Craig Crenshaw Decision and Order (Case Number consumption of this equipment. (42 Dr. Bruce Danly 2018–001) that grants to HH RDML Moises DelToro, III U.S.C. 6314(d)) Ms. Catherine Donovan Technologies a waiver from specified Consistent with 10 CFR 431.401(j), RDML James Downey portions of the DOE test procedure for not later than December 24, 2018, any Ms. Steffanie Easter determining the energy consumption of manufacturer currently distributing in Ms. Donjette Gilmore specified walk-in cooler and walk-in commerce in the United States Mr. John Graveen freezer door (‘‘walk-in door’’) basic equipment employing a technology or Mr. Robert Hogue models. Under the Decision and Order, characteristic that results in the same Mr. Mark Honecker HH Technologies is required to test and need for a waiver from the applicable Ms. Joan Johnson rate the specified basic models of its test procedure must submit a petition Mr. Dewey Jordan walk-in doors in accordance with the for waiver. Manufacturers not currently Ms. Jennifer LaTorre distributing such equipment in Mr. Joe Ludovici alternate test procedure specified in the Mr. Michael Madden Decision and Order. commerce in the United States must Dr. Michael Malanoski DATES: The Decision and Order is petition for and be granted a waiver Mr. Donald McCormack, Jr. effective on October 23, 2018. The prior to the distribution in commerce of Mr. James Meade Decision and Order will terminate upon that equipment in the United States. Mr. Chris Miller the compliance date of any future Manufacturers may also submit a ADM Michael Moran amendment to the test procedure for request for interim waiver pursuant to RADM Stuart Munsch walk-in doors located at 10 CFR part the requirements of 10 CFR 431.401. Mr. Daniel Nega Mr. Garry Newton 431, subpart R, appendix A that Signed in Washington, DC, on October 15, Dr. Michael Pollock addresses the issues presented in this 2018. Ms. Jane Rathbun waiver. At such time, HH Technologies Kathleen B. Hogan, Mr. Gary Ressing must use the relevant test procedure for Deputy Assistant Secretary for Energy Mr. Andrew Richardson this equipment for any testing to Efficiency, Energy Efficiency and Renewable Mr. Thomas Rudowsky demonstrate compliance with the Energy. Mr. Mark Russ applicable standards, and any other Case # 2018–001 Ms. Anne Sandel representations of energy use. Mr. Todd Schafer Decision and Order Mr. Steven Schulze FOR FURTHER INFORMATION CONTACT: Ms. Ms. Cindy Shaver Lucy deButts, U.S. Department of I. Background and Authority Mr. James Smerchansky Energy, Office of Energy Efficiency and The Energy Policy and Conservation Act of Ms. Sharon Smoot Renewable Energy, Building 1975 (‘‘EPCA’’),1 Public Law 94–163 (42 Mr. Frederick Stefany Technologies Office, EE–5B, 1000 U.S.C. 6291–6317, as codified), among other Ms. Allison Stiller Independence Avenue SW., things, authorizes the U.S. Department of Mr. Patrick Sullivan Washington, DC, 20585–0121. Email: Energy (‘‘DOE’’) to regulate the energy efficiency of a number of consumer products Ms. Leslie Taylor [email protected]. Mr. Tony TorresRamos and industrial equipment. Title III, Part C 2 of Mr. Stephen Trautman Mr. Michael Kido, U.S. Department of EPCA established the Energy Conservation Dr. David Walker Energy, Office of the General Counsel, Program for Certain Industrial Equipment, Mr. William Williford Mail Stop GC–33, Forrestal Building, which sets forth a variety of provisions VADM Johnny Wolfe, Jr. 1000 Independence Avenue SW., designed to improve energy efficiency for Ms. B. Lynn Wright Washington, DC 20585–0103. certain types of industrial equipment. This RDML Michael Zarkowski Telephone: (202) 586–8145. Email: equipment includes walk-in cooler and walk- in freezer doors (‘‘walk-in doors’’), the focus Mr. Jeffrey Bearor [email protected]. Mr. Robert Woods of this document. (42 U.S.C. 6311(1)(G)) SUPPLEMENTARY INFORMATION: In Under EPCA, DOE’s energy conservation Dated: October 18, 2018. accordance with Title 10 of the Code of program consists essentially of four parts: (1) Meredith Steingold Werner, Federal Regulations (10 CFR Lieutenant Commander, Judge Advocate 431.401(f)(2)), DOE gives notice of the 1 All references to EPCA in this document refer General’s Corps, U.S. Navy, Federal Register issuance of its Decision and Order as set to the statute as amended through the EPS Liaison Officer. Improvement Act of 2017, Public Law 115–115 forth below. The Decision and Order (January 12, 2018). [FR Doc. 2018–23088 Filed 10–22–18; 8:45 am] grants HH Technologies with a waiver 2 For editorial reasons, upon codification in the BILLING CODE 3810–FF–P from the applicable test procedure in 10 U.S. Code, Part C was redesignated as Part A–1.

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Testing, (2) labeling, (3) Federal energy Section 4.5.2 of appendix A specifies a PTO supported HH Technologies’ concept for an conservation standards, and (4) certification of 25% for ‘‘other electricity-consuming alternate test procedure to account for an and enforcement procedures. Relevant devices’’ (i.e., electrical devices other than electrical door opening device used with a provisions of EPCA include definitions (42 lighting or anti-sweat heaters) that have demand-based controller. It asserted that the U.S.C. 6311), energy conservation standards demand-based controls, and a PTO of 0% for general concept for obtaining an alternate (42 U.S.C. 6313), test procedures (42 U.S.C. other electricity-consuming devices without PTO should consider items such as the 6314), labeling provisions (42 U.S.C. 6315), a demand-based control. Id. In its petition for number of door openings, number of and the authority to require information and waiver, HH Technologies suggested applying employees working at a facility, and the reports from manufacturers (42 U.S.C. 6316). a PTO value of 96% to the door motors and number of shifts per 24-hour day, and that The Federal testing requirements consist of controls in the basic models specified in its such consideration should not be limited to test procedures that manufacturers of covered petition. The walk-in door basic models a specific application presented in a petition equipment must use as the basis for: (1) specified by HH Technologies are automated for waiver. Hussmann suggested that DOE Certifying to DOE that their equipment and designed with microprocessor controls consider criteria that would be consistent for complies with the applicable energy that use motion sensor inputs to trigger a all manufacturers of that type of product. conservation standards adopted pursuant to door motor, which are considered by the DOE notes that a Decision and Order EPCA (42 U.S.C. 6316(a); 42 U.S.C. 6295(s)), DOE test procedure to be ‘‘other electricity- applies only to those basic models specified and (2) making representations about the consuming devices with demand-based in the Order. The PTO values specified by efficiency of that equipment (42 U.S.C. control.’’ 3 HH Technologies asserted that the the waiver methodology are appropriate for 6314(d)). Similarly, DOE must use these test current PTO value overestimates the time the basic models that are the subject of the procedures to determine whether the that the motors and controls in the specified petition. HH Technologies requested PTO equipment complies with relevant standards automated doors are in operation in high values based on the characteristics of the promulgated under EPCA. (42 U.S.C. 6316(a); traffic applications. HH Technologies further walk-in door basic models specified in its 42 U.S.C. 6295(s)) stated that as a result, the power petition. HH Technologies’ petition for Under 42 U.S.C. 6314, EPCA sets forth the consumption of the specified automated door waiver did not require DOE to consider or criteria and procedures DOE is required to motors and controls is overestimated. evaluate PTO values for other applications. follow when prescribing or amending test On June 18, 2018, DOE published a notice Accordingly, DOE is treating Hussmann’s that announced its receipt of the petition for procedures for covered equipment. EPCA comment on considering criteria applicable waiver and granted HH Technologies an requires that any test procedures prescribed to all relevant manufacturers to apply more interim waiver. 83 FR 28211 (‘‘Notice of or amended under this section must be generally than to the specific waiver request Petition for Waiver’’). In the Notice of reasonably designed to produce test results at issue. DOE will consider this issue in Petition for Waiver, DOE presented HH which reflect energy efficiency, energy use or greater detail if it should decide to amend the Technologies’ claim that results from testing walk-in door test procedure in the future. estimated annual operating cost of covered the specified basic models according to equipment during a representative average For the reasons explained here and the Appendix A provide an inaccurate Notice of Petition for Waiver, DOE use cycle and requires that test procedures representation of the power consumption of understands that absent a waiver, the basic not be unduly burdensome to conduct. (42 the specified automated door controls in high models identified by HH Technologies in its U.S.C. 6314(a)(2)) The test procedure for traffic applications. DOE also summarized petition cannot be tested and rated for energy walk-in doors is contained in the Code of HH Technologies’ requested alternate test consumption on a basis representative of Federal Regulations (‘‘CFR’’) at 10 CFR part procedure, which would require testing the 431, subpart R, appendix A, Uniform Test specified basic models according to their true energy consumption Method for the Measurement of Energy Appendix A, except that the PTO value for characteristics. DOE has reviewed the Consumption of the Components of the door motors and controls is modified recommended procedure suggested by HH Envelopes of Walk-In Coolers and Walk-In from 25% to 96% for freight and passage Technologies and concludes that it will allow Freezers (‘‘Appendix A’’). doors. for the accurate measurement of the energy Under 10 CFR 431.401, any interested As explained in the Notice of Petition for use of the equipment, while alleviating the person may submit a petition for waiver from Waiver, DOE evaluated the PTO value testing problems associated with HH DOE’s test procedure requirements. DOE will requested by HH Technologies using the Technologies’ implementation of DOE’s grant a waiver from the test procedure largest door operating at the slowest speed applicable walk-in door test procedure for requirements if DOE determines either that for which HH Technologies requested a the specified basic models. Thus, DOE is the basic model for which the waiver was waiver. 83 FR 28211, 28213. In its evaluation, requiring that HH Technologies test and rate requested contains a design characteristic DOE applied a standardized number of door the specified walk-in door basic models that prevents testing of the basic model openings, 120 cycles per day, which DOE according to the alternate test procedure according to the prescribed test procedures, had proposed as a representative number of specified in this Decision and Order, which or that the prescribed test procedures door openings per day for all walk-in freight is identical to the procedure provided in the evaluate the basic model in a manner so doors as a part of a supplemental test interim waiver. unrepresentative of its true energy procedure proposal related to infiltration in This Decision and Order applies only to consumption characteristics as to provide walk-in doors. Id. Based on its evaluation, the basic models listed and does not extend materially inaccurate comparative data. 10 DOE found the PTO value that HH to any other basic models. DOE evaluates and CFR 431.401(a)(1). DOE may grant the waiver Technologies requested to use for the grants waivers for only those basic models subject to conditions, including adherence to specified basic models listed in its petition specifically set out in the petition, not future alternate test procedures. 10 CFR was appropriate and granted HH models that may be manufactured by the 431.401(f)(2). Technologies an interim waiver for the petitioner. specified basic models. HH Technologies may request that the II. HH Technologies’ Petition for Waiver: In the Notice of Petition for Waiver, DOE scope of this waiver be extended to include Assertions and Determinations also solicited comments from interested additional basic models that employ the By letter dated December 21, 2017, HH parties on all aspects of the petition and the same technology as those listed in this Technologies submitted a petition for waiver alternate test procedure. In response, DOE waiver. 10 CFR 431.401(g). HH Technologies and a petition for interim waiver from the received one comment from Hussmann may also submit another petition for waiver test procedure applicable to walk-in doors set Corporation (‘‘Hussmann’’).4 Hussmann from the test procedure for additional basic forth in 10 CFR part 431, subpart R, appendix models that employ a different technology A. Appendix A accounts for the power 3 The specific walk-in door basic models that are and meet the criteria for test procedure consumption of all electrical components subject of the petition for waiver and application for waivers. 10 CFR 431.401(a)(1). interim waiver are included in HH Technologies’ DOE notes that it may modify or rescind associated with each door and discounts the petition, which is available in the docket at http:// power consumption of electrical components www.regulations.gov/docket?D=EERE-2018-BT- the waiver at any time upon DOE’s based on their operating time by an assigned WAV-0001. percent time off (‘‘PTO’’) value. 10 CFR part 4 The Hussmann Corporation comment is www.regulations.gov/docket?D=EERE-2018-BT- 431, subpart R, appendix A, section 4.5.2. available in the docket at: http:// WAV-0001.

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determination that the factual basis its petition, determines that the waiver is no III. Order underlying the petition for waiver is longer needed, or for other appropriate After careful consideration of all the incorrect, or upon a determination that the reasons. 10 CFR 431.401(k)(2). Further, the material that was submitted by HH results from the alternate test procedure are waiver is conditioned upon the validity of Technologies in this matter and the comment unrepresentative of the basic models’ true the door motor performance characteristics, received, it is ORDERED that: energy consumption characteristics. 10 CFR statements, representations, and (1) HH Technologies must, as of the date 431.401(k)(1). Likewise, HH Technologies documentary materials provided by HH of publication of this Order in the Federal may request that DOE rescind or modify the Technologies. Register, test and rate the following walk-in waiver if the company discovers an error in door basic models with the alternate test the information provided to DOE as part of procedure as set forth in paragraph (2):

Brand name Basic model

RollSeal Automated Door System ...... RS–500 D5036x075 RollSeal Automated Door System ...... RS–500 D5036x090 RollSeal Automated Door System ...... RS–500 D5042x072 RollSeal Automated Door System ...... RS–500 D5042X084 RollSeal Automated Door System ...... RS–500 D5048x060 RollSeal Automated Door System ...... RS–500 D5048x072 RollSeal Automated Door System ...... RS–500 D5048x084 RollSeal Automated Door System ...... RS–500 D5048X090 RollSeal Automated Door System ...... RS–500 D5054x084 RollSeal Automated Door System ...... RS–500 D5054x096 RollSeal Automated Door System ...... RS–500 D5057x102 RollSeal Automated Door System ...... RS–500 D5060x084 RollSeal Automated Door System ...... RS–500 D5060x090 RollSeal Automated Door System ...... RS–500 D5060X096 RollSeal Automated Door System ...... RS–500 D5060X108 RollSeal Automated Door System ...... RS–500 D5066x084 RollSeal Automated Door System ...... RS–500 D5066x108 RollSeal Automated Door System ...... RS–500 D5071x090 RollSeal Automated Door System ...... RS–500 D5072x084 RollSeal Automated Door System ...... RS–500 D5072x090 RollSeal Automated Door System ...... RS–500 D5072x096 RollSeal Automated Door System ...... RS–500 D5072x102 RollSeal Automated Door System ...... RS–500 D5072x105 RollSeal Automated Door System ...... RS–500 D5072X108 RollSeal Automated Door System ...... RS–500 D5072x114 RollSeal Automated Door System ...... RS–500 D5072X120 RollSeal Automated Door System ...... RS–500 D5072x126 RollSeal Automated Door System ...... RS–500 D5072x138 RollSeal Automated Door System ...... RS–500 D5073x092 RollSeal Automated Door System ...... RS–500 D5078x094 RollSeal Automated Door System ...... RS–500 D5078x102 RollSeal Automated Door System ...... RS–500 D5078X108 RollSeal Automated Door System ...... RS–500 D5084x084 RollSeal Automated Door System ...... RS–500 D5084x096 RollSeal Automated Door System ...... RS–500 D5084x102 RollSeal Automated Door System ...... RS–500 D5084x108 RollSeal Automated Door System ...... RS–500 D5084x114 RollSeal Automated Door System ...... RS–500 D5084x120 RollSeal Automated Door System ...... RS–500 D5084x126 RollSeal Automated Door System ...... RS–500 D5090x096 RollSeal Automated Door System ...... RS–500 D5090x114 RollSeal Automated Door System ...... RS–500 D5090x120 RollSeal Automated Door System ...... RS–500 D5096x090 RollSeal Automated Door System ...... RS–500 D5096x096 RollSeal Automated Door System ...... RS–500 D5096x102 RollSeal Automated Door System ...... RS–500 D5096x114 RollSeal Automated Door System ...... RS–500 D5096x126 RollSeal Automated Door System ...... RS–500 D5102x096 RollSeal Automated Door System ...... RS–500 D5102X108 RollSeal Automated Door System ...... RS–500 D5102x114 RollSeal Automated Door System ...... RS–500 D5102x120 RollSeal Automated Door System ...... RS–500 D5102x126 RollSeal Automated Door System ...... RS–500 D5108x102 RollSeal Automated Door System ...... RS–500 D5108X108 RollSeal Automated Door System ...... RS–500 D5118X084 RollSeal Automated Door System ...... RS–500 D5118x090 RollSeal Automated Door System ...... RS–500 D5118X096 RollSeal Automated Door System ...... RS–500 D5118x118 RollSeal Automated Door System ...... RS–500 D5120x090 RollSeal Automated Door System ...... RS–500 D5120x102 RollSeal Automated Door System ...... RS–500 D5120X108 RollSeal Automated Door System ...... RS–500 D5120x114 RollSeal Automated Door System ...... RS–500 D5120x120

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Brand name Basic model

RollSeal Automated Door System ...... RS–500 D5120x126 RollSeal Automated Door System ...... RS–500 D5120x138 RollSeal Automated Door System ...... RS–500 D5120x144 RollSeal Automated Door System ...... RS–500 D5123x102 RollSeal Automated Door System ...... RS–500 D5138x114 RollSeal Automated Door System ...... RS–500 D5144x144 RollSeal Automated Door System ...... RS–500 D5096x120 RollSeal Automated Door System ...... RS–600 D6048x084 RollSeal Automated Door System ...... RS–600 D6048x090 RollSeal Automated Door System ...... RS–600 D6060x096 RollSeal Automated Door System ...... RS–600 D6060x120 RollSeal Automated Door System ...... RS–600 D6072x084 RollSeal Automated Door System ...... RS–600 D6072x090 RollSeal Automated Door System ...... RS–600 D6072x096 RollSeal Automated Door System ...... RS–600 D6072x102 RollSeal Automated Door System ...... RS–600 D6072x108 RollSeal Automated Door System ...... RS–600 D6078x126 RollSeal Automated Door System ...... RS–600 D6078x138 RollSeal Automated Door System ...... RS–600 D6084x102 RollSeal Automated Door System ...... RS–600 D6084x108 RollSeal Automated Door System ...... RS–600 D6090x126 RollSeal Automated Door System ...... RS–600 D6096x090 RollSeal Automated Door System ...... RS–600 D6096x096 RollSeal Automated Door System ...... RS–600 D6096x102 RollSeal Automated Door System ...... RS–600 D6096x108 RollSeal Automated Door System ...... RS–600 D6096x114 RollSeal Automated Door System ...... RS–600 D6096x120 RollSeal Automated Door System ...... RS–600 D6096x126 RollSeal Automated Door System ...... RS–600 D6108x108 RollSeal Automated Door System ...... RS–600 D6120x120 RollSeal Automated Door System ...... RS–600 D6144x108 RollSeal Automated Door System ...... RS–600 D6144x144

(2) The alternate test procedure for the HH incorrect, or the results from the alternate test DEPARTMENT OF ENERGY Technologies basic models referenced in procedure are unrepresentative of the basic paragraph (1) of this Order is the test models’ true energy consumption [Case Number 2017–009; EERE–2017–BT– procedure for walk-in doors prescribed by characteristics. 10 CFR 431.401(k)(1). WAV–0040] DOE at 10 CFR part 431, subpart R, appendix Likewise, HH Technologies may request that A, except that the percent time off (‘‘PTO’’) Energy Conservation Program: DOE rescind or modify the waiver if HH value specified in section 4.5.2 ‘‘Direct Decision and Order Granting a Waiver Technologies discovers an error in the Energy Consumption of Electrical to Jamison Door Company From the information provided to DOE as part of its Components of Non-Display Doors’’ shall be Department of Energy Walk-in Cooler 96% for door motors. All other requirements petition, determines that the waiver is no longer needed, or for other appropriate and Walk-in Freezer Doors Test of 10 CFR part 431, subpart R, appendix A Procedure and DOE’s regulations remain applicable. reasons. 10 CFR 431.401(k)(2). (3) Representations. HH Technologies may (6) Granting of this waiver does not release AGENCY: Office of Energy Efficiency and not make representations about the energy HH Technologies from the certification Renewable Energy, Department of use of the basic models identified in requirements set forth at 10 CFR part 429. Energy. paragraph (1) of this Order for compliance, marketing, or other purposes unless the basic Signed in Washington, DC, on October 15, ACTION: Notice of decision and order. model has been tested in accordance with the 2018. provisions set forth above and such Kathleen B. Hogan, Ph.D. SUMMARY: The U.S. Department of Energy (‘‘DOE’’) gives notice of a representations fairly disclose the results of Deputy Assistant Secretary for Energy such testing in accordance with 10 CFR part Decision and Order (Case Number Efficiency, Energy Efficiency and Renewable 431, subpart R, appendix A and 10 CFR part 2017–009) that grants to Jamison Door Energy 429, subpart B, as specified in this Order. Company (‘‘Jamison’’) a waiver from (4) This waiver shall remain in effect [FR Doc. 2018–23097 Filed 10–22–18; 8:45 am] specified portions of the DOE test according to the provisions of 10 CFR BILLING CODE 6450–01–P procedure for determining the energy 431.401. (5) This waiver is issued on the condition consumption of walk-in cooler and that the statements, representations, and walk-in freezer doors (‘‘walk-in door’’) documents provided by HH Technologies are basic models. Under the Decision and valid. If HH Technologies makes any Order, Jamison is required to test and modifications to the controls or rate specified basic models of its walk- configurations of these basic models, the in doors in accordance with the waiver will no longer be valid and HH alternate test procedure specified in the Technologies will either be required to use Decision and Order. the current Federal test method or submit a new application for a test procedure waiver. DATES: The Decision and Order is DOE may revoke or modify this waiver at any effective on October 23, 2018. The time if it determines the factual basis Decision and Order will terminate upon underlying the petition for waiver is the compliance date of any future

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amendment to the test procedure for request for interim waiver pursuant to 431, subpart R, appendix A, Uniform Test walk-in doors located at 10 CFR part the requirements of 10 CFR 431.401. Method for the Measurement of Energy Consumption of the Components of 431, subpart R, appendix A that Signed in Washington, DC, on October 15, addresses the issues presented in this Envelopes of Walk-In Coolers and Walk-In 2018. Freezers (‘‘Appendix A’’). waiver. At such time, Jamison must use Kathleen B. Hogan, Under 10 CFR 431.401, any interested the relevant test procedure for this Deputy Assistant Secretary for Energy person may submit a petition for waiver from equipment for any testing to Efficiency, Energy Efficiency and Renewable DOE’s test procedure requirements. DOE will demonstrate compliance with the Energy. grant a waiver from the test procedure applicable standards, and any other requirements if DOE determines either that representations of energy use. Case # 2017–009 the basic model for which the waiver was Decision and Order requested contains a design characteristic FOR FURTHER INFORMATION CONTACT: Ms. that prevents testing of the basic model Lucy deButts, U.S. Department of I. Background and Authority according to the prescribed test procedures, Energy, Office of Energy Efficiency and The Energy Policy and Conservation Act of or that the prescribed test procedures Renewable Energy, Building 1975 (‘‘EPCA’’),1 Public Law 94–163 (42 evaluate the basic model in a manner so Technologies Office, EE–5B, 1000 U.S.C. 6291–6317, as codified), among other unrepresentative of its true energy Independence Avenue SW, Washington, things, authorizes the U.S. Department of consumption characteristics as to provide DC 20585–0121. Email: AS_Waiver_ Energy (‘‘DOE’’) to regulate the energy materially inaccurate comparative data. 10 CFR 431.401(a)(1). DOE may grant the waiver [email protected]. efficiency of a number of consumer products and industrial equipment. Title III, Part C 2 of subject to conditions, including adherence to Mr. Michael Kido, U.S. Department of EPCA established the Energy Conservation alternate test procedures. 10 CFR Energy, Office of the General Counsel, Program for Certain Industrial Equipment, 431.401(f)(2). Mail Stop GC–33, Forrestal Building, which sets forth a variety of provisions II. Jamison’s Petition for Waiver: Assertions 1000 Independence Avenue SW, designed to improve energy efficiency for and Determinations Washington, DC 20585–0103. certain types of industrial equipment. This equipment includes walk-in cooler and walk- By letter dated July 26, 2017, Jamison Telephone: (202) 586–8145. Email: submitted a petition for waiver and a petition [email protected]. in freezer doors (‘‘walk-in doors’’), the focus of this document. (42 U.S.C. 6311(1)(G)). for interim waiver from the test procedure SUPPLEMENTARY INFORMATION: In Under EPCA, DOE’s energy conservation applicable to walk-in doors set forth in 10 3 accordance with Title 10 of the Code of program consists essentially of four parts: (1) CFR part 431, subpart R, appendix A. Federal Regulations (10 CFR testing, (2) labeling, (3) Federal energy Appendix A accounts for the power consumption of all electrical components 431.401(f)(2)), DOE gives notice of the conservation standards, and (4) certification and enforcement procedures. Relevant associated with each door and discounts the issuance of its Decision and Order as set power consumption of electrical components forth below. The Decision and Order provisions of EPCA include definitions (42 U.S.C. 6311), energy conservation standards based on their operating time by an assigned grants Jamison with a waiver from the (42 U.S.C. 6313), test procedures (42 U.S.C. percent time off (‘‘PTO’’) value. 10 CFR part applicable test procedure in 10 CFR part 6314), labeling provisions (42 U.S.C. 6315), 431, subpart R, appendix A, section 4.5.2. 431, subpart R, appendix A for specified and the authority to require information and Section 4.5.2 of appendix A specifies a PTO basic models of walk-in doors, provided reports from manufacturers (42 U.S.C. 6316). of 25% for ‘‘other electricity-consuming that Jamison tests and rates such The Federal testing requirements consist of devices’’ (i.e., electrical devices other than equipment using the alternate test test procedures that manufacturers of covered lighting or anti-sweat heaters) that have demand-based controls, and a PTO of 0% for procedure specified in the Decision and equipment must use as the basis for: (1) certifying to DOE that their equipment other electricity-consuming devices without Order. Jamison’s representations a demand-based control. Id. The walk-in door concerning the energy consumption of complies with the applicable energy conservation standards adopted pursuant to basic models specified by Jamison in its 4 the specified basic models must be EPCA (42 U.S.C. 6316(a); 42 U.S.C. 6295(s)), petition are designed with door motors, based on testing according to the and (2) making representations about the which are considered ‘‘other electricity- provisions and restrictions in the efficiency of that equipment (42 U.S.C. consuming devices’’ with demand-based alternate test procedure set forth in the 6314(d)). Similarly, DOE must use these test controls. In its petition for waiver, Jamison Decision and Order, and the procedures to determine whether the suggested applying a PTO value of 93.5% to representations must fairly disclose the equipment complies with relevant standards the door motors in the specified basic models, which move doors at a speed of at test results. Distributors, retailers, and promulgated under EPCA. (42 U.S.C. 6316(a); 42 U.S.C. 6295(s)) least 12 inches per second (‘‘in/s’’) or faster. private labelers are held to the same Jamison asserted that the current PTO value requirements when making Under 42 U.S.C. 6314, EPCA sets forth the criteria and procedures DOE is required to overestimates the time that the specified representations regarding the energy follow when prescribing or amending test motorized door models are in operation, and consumption of this equipment. (42 procedures for covered equipment. EPCA stated that a PTO value of 25% would imply U.S.C. 6314(d)) requires that any test procedures prescribed that the door motor is running 18 hours per Consistent with 10 CFR 431.401(j), or amended under this section must be day. Jamison stated that this estimated value of energy use is unrealistic and not later than December 24, 2018, any reasonably designed to produce test results which reflect energy efficiency, energy use or unrepresentative of the actual energy use of manufacturer currently distributing in its equipment. Jamison further stated that, commerce in the United States estimated annual operating cost of a covered equipment during a representative average based on the typical door motor use pattern equipment employing a technology or use cycle and requires that test procedures characteristic that results in the same not be unduly burdensome to conduct. (42 3 Jamison’s petition for waiver and petition for need for a waiver from the applicable U.S.C. 6314(a)(2)) The test procedure for interim waiver can be found in the regulatory test procedure must submit a petition walk-in doors is contained in the Code of docket at https://www.regulations.gov/ document?D=EERE-2017-BT-WAV-0040-0002. Federal Regulations (‘‘CFR’’) at 10 CFR part for waiver. Manufacturers not currently 4 Due to the lengthy list of affected walk-in door distributing such equipment in basic models in Jamison’s July 26, 2017 petition, commerce in the United States must 1 All references to EPCA in this document refer DOE is making the complete list publicly available petition for and be granted a waiver to the statute as amended through the EPS in the relevant regulatory docket. The specific basic Improvement Act of 2017, Public Law 115–115 models identified in Appendix I of the petition can prior to the distribution in commerce of (January 12, 2018). be found in the docket at https:// that equipment in the United States. 2 For editorial reasons, upon codification in the www.regulations.gov/document?D=EERE-2017-BT- Manufacturers may also submit a U.S. Code, Part C was redesignated as Part A–1. WAV-0040-0002.

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of the specified walk-in doors, its proposed understands that absent a waiver, the basic procedure for walk-in doors prescribed by PTO value of 93.5% would more accurately models identified by Jamison in its petition DOE at 10 CFR part 431, subpart R, appendix reflect the specified basic models’ door motor cannot be tested and rated for energy A, except that the PTO value specified in energy consumption. consumption on a basis representative of section 4.5.2 ‘‘Direct Energy Consumption of On June 19, 2018, DOE published a notice their true energy consumption Electrical Components of Non-Display that announced its receipt of the petition for characteristics. DOE has reviewed the Doors’’ shall be 93.5% for door motors. All waiver and granted Jamison an interim recommended procedure suggested by other requirements of 10 CFR part 431, waiver. 83 FR 28422 (‘‘Notice of Petition for Jamison and concludes that it will allow for subpart R, appendix A and DOE’s regulations Waiver’’). In the Notice of Petition for the accurate measurement of the energy use remain applicable. Waiver, DOE presented Jamison’s claim that of the equipment, while alleviating the (3) Representations. Jamison may not make the results from testing the specified basic testing problems associated with Jamison’s representations about the energy use of the models according to Appendix A are implementation of DOE’s applicable walk-in basic models referenced in paragraph (1) of unrealistic and unrepresentative of actual door test procedure for the specified basic this Order for compliance, marketing, or energy usage because of the assigned PTO models. Thus, DOE is requiring that Jamison other purposes unless the basic model has value. DOE also summarized Jamison’s test and rate the specified walk-in doors basic been tested in accordance with the requested alternate test procedure, which models according to the alternate test provisions set forth above and such would require testing the specified basic procedure specified in this Decision and representations fairly disclose the results of models according to Appendix A, except that Order, which is identical to the procedure such testing in accordance with 10 CFR part the PTO value for door motors would be provided in the interim waiver. 431, subpart R, appendix A and 10 CFR part modified from 25% to 93.5% for freight and This Decision and Order applies only to 429, subpart B, as specified in this Order. passage doors. the basic models listed and does not extend (4) This waiver shall remain in effect As explained in the Notice of Petition for to any other basic models. DOE evaluates and according to the provisions of 10 CFR Waiver, DOE analyzed the technical grants waivers for only those basic models 431.401. performance data provided by Jamison, and specifically set out in the petition, not future (5) This waiver is issued on the condition noted that Jamison’s petition sought to apply models that may be manufactured by the that the statements, representations, and the same PTO value to its specified basic petitioner. documentation provided by Jamison are models that are 24 to 288 inches (i.e. 2 to 24 Jamison may request that the scope of this valid. If Jamison makes any modifications to feet) wide and have motors driven at a waiver be extended to include additional the controls or configurations of these basic minimum speed of 12 in/s. Even when basic models that employ the same models, the waiver will no longer be valid assuming the most energy consumptive technology as those listed in this waiver. 10 and Jamison will either be required to use the scenario would apply, DOE concluded that CFR 431.401(g). Jamison may also submit current Federal test method or submit a new the proposed 93.5% PTO for the specified another petition for waiver from the test application for a test procedure waiver. DOE basic models was appropriate and agreed procedure for additional basic models that may revoke or modify this waiver at any time with Jamison that for the door motors used employ a different technology and meet the if it determines the factual basis underlying in those basic models, the proposed PTO was criteria for test procedure waivers. 10 CFR the petition for waiver is incorrect, or the more representative of actual energy use than 431.401(a)(1). results from the alternate test procedure are the currently required PTO value of 25%. DOE notes that it may modify or rescind unrepresentative of the basic models’ true In the Notice of Petition for Waiver, DOE the waiver at any time upon DOE’s energy consumption characteristics. 10 CFR also solicited comments from interested determination that the factual basis 431.401(k)(1). Likewise, Jamison may request parties on all aspects of the petition and the underlying the petition for waiver is that DOE rescind or modify the waiver if specified alternate test procedure. In incorrect, or upon a determination that the Jamison discovers an error in the information response, DOE received one comment from results from the alternate test procedure are provided to DOE as part of its petition, Hussmann Corporation (‘‘Hussmann’’).5 unrepresentative of the basic models’ true determines that the waiver is no longer Hussmann supported Jamison’s request and energy consumption characteristics. 10 CFR needed, or for other appropriate reasons. 10 methodology for an alternate test procedure 431.401(k)(1). Likewise, Jamison may request CFR 431.401(k)(2). to account for an electrical door opening that DOE rescind or modify the waiver if the (6) Granting of this waiver does not release device used with a demand-based controller. company discovers an error in the Jamison from the certification requirements It asserted that the analysis arriving at a information provided to DOE as part of its set forth at 10 CFR part 429. 93.5% PTO value is sound for the product petition, determines that the waiver is no Signed in Washington, DC, on October 15, and use specified. Hussmann added that longer needed, or for other appropriate 2018. ‘‘door products used in other applications,’’ reasons. 10 CFR 431.401(k)(2). Further, the Kathleen B. Hogan, Ph.D. such as control devices that remove moisture waiver is conditioned upon the validity of in areas of high humidity, may also warrant the door motor performance characteristics, Deputy Assistant Secretary for Energy variations in the PTO. statements, representations, and Efficiency Energy Efficiency and Renewable DOE notes that a Decision and Order documentation provided by Jamison. Energy applies only to those basic models specified [FR Doc. 2018–23096 Filed 10–22–18; 8:45 am] in the Order. The PTO values specified by III. Order BILLING CODE 6450–01–P the waiver methodology are appropriate for After careful consideration of all the the basic models that are the subject of the material that was submitted by Jamison in petition. Jamison requested PTO values based this matter and the comment received, it is on the characteristics of the basic models ORDERED that: DEPARTMENT OF ENERGY specified in its petition. Jamison’s petition (1) Jamison must, as of the date of for waiver did not require DOE to consider publication of this Order in the Federal Federal Energy Regulatory or evaluate PTO values for applications other Register, test and rate the walk-in doors basic Commission than the door motors in the specified basic models listed in Appendix I of its July 26, [Project No. 1744–041] models. Accordingly, DOE is treating 2017 petition as provided in Docket Number Hussmann’s comments on this point to apply EERE–2017–BT–WAV–0040 6 with the PacifiCorp; Notice of Application and more generally than to the specific waiver alternate test procedure as set forth in Applicant-Prepared EA Accepted for request at issue. DOE will consider this issue paragraph (2). Filing, Soliciting Motions To Intervene in greater detail if it should decide to amend (2) The alternate test procedure for the the walk-in door test procedure in the future. Jamison basic models referenced in and Protests, and Soliciting For the reasons explained here and the paragraph (1) of this Order is the test Comments, and Final Notice of Petition for Waiver, DOE Recommendations, Terms and 6 Available at: https://www.regulations.gov/ Conditions, and Prescriptions 5 The Hussmann Corporation comment can be docketBrowser?rpp=25&so= found in the docket at: https://www.regulations.gov/ DESC&sb=commentDueDate&po=0&D=EERE-2017- Take notice that the following document?D=EERE-2017-BT-WAV-0040. BT-WAV-0040. hydroelectric application and applicant-

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prepared environmental assessment has also serve a copy of the document on All filings must (1) bear in all capital been filed with the Commission and is that resource agency. letters the title ‘‘PROTEST’’, ‘‘MOTION available for public inspection. k. This application has been accepted TO INTERVENE’’, ‘‘NOTICE OF a. Type of Application: Major for filing. INTENT TO FILE COMPETING Constructed Project. l. The existing Weber Project consists APPLICATION,’’ ‘‘COMPETING b. Project No.: 1744–041. of: (1) A 114-foot-long, 16.7-foot-high APPLICATION,’’ ‘‘COMMENTS,’’ c. Date filed: May 30, 2018. concrete diversion dam that includes a ‘‘REPLY COMMENTS,’’ d. Applicant: PacifiCorp. low-level outlet, a 35-foot-wide intake ‘‘RECOMMENDATIONS,’’ ‘‘TERMS e. Name of Project: Weber structure that contains a 22-foot-wide, AND CONDITIONS,’’ or Hydroelectric Project. 31-foot-long, 19-foot-tall concrete intake ‘‘PRESCRIPTIONS;’’ (2) set forth in the f. Location: On the Weber River, in box, and a 79-foot-long section heading the name of the applicant and Weber, Davis, and Morgan Counties, containing two approximately 30-foot- the project number of the application to Utah. The project occupies 14.94 acres long, 10-foot-high radial gates; (2) a 3- which the filing responds; (3) furnish of United States lands administered by foot by 18-foot non-operative fish the name, address, and telephone the U.S. Forest Service. passage structure that is used to pass number of the person protesting or g. Filed Pursuant to: Federal Power minimum flows through a calibrated intervening; and (4) otherwise comply Act 16 U.S.C. 791(a)–825(r). slide gate opening at the dam; (3) an 8.4- with the requirements of 18 CFR h. Applicant Contact: Eve Davies, acre reservoir having a total storage of 385.2001 through 385.2005. All PacifiCorp—Renewable Resources, 1407 approximately 42 acre-feet at elevation comments, recommendations, terms and West North Temple, Suite 210, Salt Lake 4,798 feet above mean sea level; (4) a conditions or prescriptions must set City, UT 84116; (801) 220–2245; e-mail 9,110-foot-long, 5.5-foot to 6.3-foot- forth their evidentiary basis and [email protected]. diameter steel penstock partially otherwise comply with the requirements i. FERC Contact: Evan Williams at encased in concrete, and buried for most of 18 CFR 4.34(b). Agencies may obtain (202) 502–8462; or e-mail at of its length; (5) a powerhouse with one copies of the application directly from [email protected]. 3,850-kilowatt generating unit; (6) a 22- the applicant. A copy of any protest or foot-wide, 30-foot-long, 29-foot-high j. Deadline for filing motions to motion to intervene must be served concrete tailrace chamber, integrated intervene and protests, comments, and upon each representative of the into the powerhouse foundation, which final terms and conditions, applicant specified in the particular recommendations, and prescriptions: 60 returns flows directly into the Weber River on the south side of the application. A copy of all other filings days from the issuance date of this in reference to this application must be notice; reply comments are due 105 powerhouse; (7) a 77-foot-long, 46- accompanied by proof of service on all days from the issuance date of this kilovolt transmission line; and (8) persons listed in the service list notice. appurtenant facilities. The project is prepared by the Commission in this The Commission strongly encourages estimated to generate an average of proceeding, in accordance with 18 CFR electronic filing. Please file motions to 16,932 megawatt-hours annually. 4.34(b) and 385.2010. intervene and protests, comments, and PacifiCorp proposes to build a new fish final terms and conditions, passage structure at the edge of the You may also register online at http:// recommendations, and prescriptions existing diversion dam in an area that www.ferc.gov/docs-filing/ using the Commission’s eFiling system currently has graded, unvegetated soil. esubscription.asp to be notified via at http://www.ferc.gov/docs-filing/ m. A copy of the application is email of new filings and issuances efiling.asp. Commenters can submit available for review at the Commission related to this or other pending projects. brief comments up to 6,000 characters, in the Public Reference Room or may be For assistance, contact FERC Online without prior registration, using the viewed on the Commission’s website at Support. http://www.ferc.gov using the eComment system at http:// o. A license applicant must file no ‘‘eLibrary’’ link. Enter the docket www.ferc.gov/docs-filing/ later than 60 days following the date of ecomment.asp. You must include your number excluding the last three digits in issuance of this notice: (1) A copy of the name and contact information at the end the docket number field to access the water quality certification; (2) a copy of of your comments. For assistance, document. For assistance, contact FERC the request for certification, including please contact FERC Online Support at Online Support at FERCOnlineSupport. proof of the date on which the certifying [email protected], (866) A copy is also available for inspection agency received the request; or (3) 208–3676 (toll free), or (202) 502–8659 and reproduction at the address in item (TTY). In lieu of electronic filing, please h above. evidence of waiver of water quality certification. send a paper copy to: Secretary, Federal n. Anyone may submit comments, a Energy Regulatory Commission, 888 protest, or a motion to intervene in p. Procedural schedule: The First Street NE, Washington, DC 20426. accordance with the requirements of application will be processed according The first page of any filing should Rules of Practice and Procedure, 18 CFR to the following schedule. Revisions to include docket number P–1744–041. 385.210, .211, and .214. In determining the schedule will be made as The Commission’s Rules of Practice the appropriate action to take, the appropriate. require all intervenors filing documents Commission will consider all protests or with the Commission to serve a copy of other comments filed, but only those Commission issues EA—July 2019 that document on each person on the who file a motion to intervene in Comments on EA—August 2019 official service list for the project. accordance with the Commission’s Dated: October 16, 2018. Further, if an intervenor files comments Rules may become a party to the or documents with the Commission proceeding. Any comments, protests, or Kimberly D. Bose, relating to the merits of an issue that motions to intervene must be received Secretary. may affect the responsibilities of a on or before the specified comment date [FR Doc. 2018–23121 Filed 10–22–18; 8:45 am] particular resource agency, they must for the particular application. BILLING CODE 6717–01–P

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DEPARTMENT OF ENERGY Instructions: All submissions must be organized electricity markets to make formatted and filed in accordance with available long-term firm transmission Federal Energy Regulatory submission guidelines at: http:// rights that satisfy each of the Commission www.ferc.gov/help/submission- Commission’s guidelines.3 guide.asp. For user assistance contact The FERC–732 regulations require [Docket No. IC19–1–000] FERC Online Support by email at that transmission organizations (that are [email protected], or by phone Commission Information Collection public utilities with one or more at: (866) 208–3676 (toll-free), or (202) organized electricity markets) choose Activities (FRC–732); Comment 502–8659 for TTY. Request; Extension one of two ways to file: Docket: Users interested in receiving • File tariff sheets making long-term automatic notification of activity in this AGENCY: Federal Energy Regulatory firm transmission rights available that docket or in viewing/downloading Commission. are consistent with each of the comments and issuances in this docket ACTION: Notice of information collection guidelines established by FERC. may do so at http://www.ferc.gov/docs- • and request for comments. filing/docs-filing.asp. File an explanation describing how their existing tariffs already provide FOR FURTHER INFORMATION CONTACT: SUMMARY: In compliance with the long-term firm transmission rights that Ellen Brown may be reached by email requirements of the Paperwork are consistent with the guidelines. Reduction Act of 1995, the Federal at [email protected], telephone Energy Regulatory Commission at (202) 502–8663, and fax at (202) 273– Additionally, the Commission requires (Commission or FERC) is soliciting 0873. each transmission organization to make public comment on the currently SUPPLEMENTARY INFORMATION: its transmission planning and expansion approved information collection, FERC– Title: FERC–732, Electric Rate procedures and plans available to the 732, (Electric Rate Schedules and Schedules and Tariffs: Long-Term Firm public. Tariffs: Long-Term Firm Transmission Transmission Rights in Organized FERC–732 enables the Commission to Rights in Organized Electricity Markets). Electricity Markets. exercise its wholesale electric rate and OMB Control No.: 1902–0245. DATES: Comments on the collection of Type of Request: Three-year extension electric power transmission oversight information are due December 24, 2018. of the FERC–732 information collection and enforcement responsibilities in ADDRESSES: You may submit comments requirement with no changes to the accordance with the FPA, the (identified by Docket No. IC19–1–000) current reporting requirements. Department of Energy Organization Act by either of the following methods: Abstract: 18 CFR part 42 provides the (DOE Act), and EPAct 2005. • eFiling at Commission’s website: reporting requirements of FERC–732 as Type of Respondents: Public utility http://www.ferc.gov/docs-filing/ they pertain to long-term transmission with one or more organized electricity efiling.asp. rights. To implement section 1233 1 of markets. • Mail/Hand Delivery/Courier: the Energy Policy Act of 2005 (EPAct Estimate of Annual Burden: 4 The Federal Energy Regulatory Commission, 2005), 2 the Commission requires each Commission estimates the total burden Secretary of the Commission, 888 First transmission organization that is a and cost 5 for this information collection Street NE, Washington, DC 20426. public utility with one or more as follows.

FERC–732, ELECTRIC RATE SCHEDULES AND TARIFFS—LONG-TERM FIRM TRANSMISSION RIGHTS IN ORGANIZED ELECTRICITY MARKETS

Annual Number of number of Total number Total annual burden hours & Cost per respondents responses per of responses total annual cost respondent respondent ($)

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

Public utility with one or more organized 1 1 1 1,180 hrs.; $93,220 ...... $93,220 electricity markets.

Comments: Comments are invited on: and clarity of the information collection; DEPARTMENT OF ENERGY (1) Whether the collection of and (4) ways to minimize the burden of information is necessary for the proper the collection of information on those Federal Energy Regulatory performance of the functions of the who are to respond, including the use Commission Commission, including whether the of automated collection techniques or [Docket No. OR19–2–000] information will have practical utility; other forms of information technology. (2) the accuracy of the agency’s estimate Dated: October 17, 2018. EPIC Crude Pipeline, LP; Notice of of the burden and cost of the collection Kimberly D. Bose, Petition for Declaratory Order of information, including the validity of Secretary. Take notice that on October 10, 2018, the methodology and assumptions used; [FR Doc. 2018–23112 Filed 10–22–18; 8:45 am] pursuant to Rule 207(a)(2) of the Federal (3) ways to enhance the quality, utility BILLING CODE 6717–01–P Energy Regulatory Commission’s

1 16 U.S.C. 824. generate, maintain, retain, or disclose or provide 5 FERC staff estimates that industry costs for 2 6 U.S.C. 824Q. information to or for a Federal agency. For further salary plus benefits are similar to Commission 3 18 CFR 42.1(d). explanation of what is included in the information costs. The cost figure is the FY2018 FERC average 4 Burden is defined as the total time, effort, or collection burden, refer to 5 CFR 1320.3. annual salary plus benefits ($164,820/year or $79/ financial resources expended by persons to hour).

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(Commission) Rules of Practice and DEPARTMENT OF ENERGY Online service, please email Procedure, 18 CFR 385.207(a)(2) (2018), [email protected]. or call EPIC Crude Pipeline, LP (EPIC Crude), Federal Energy Regulatory (866) 208–3676 (toll free). For TTY, call filed a petition for declaratory order Commission (202) 502–8659. seeking approval of the overall tariff and [Docket No. ER19–117–000] Dated: October 17, 2018. rate structure, terms of service, and Nathaniel J. Davis, Sr., Innovative Solar 54, LLC; open season procedures for a new 730- Deputy Secretary. mile pipeline system that will originate Supplemental Notice That Initial [FR Doc. 2018–23129 Filed 10–22–18; 8:45 am] in Orla, Texas and transport crude Market-Based Rate Filing Includes petroleum produced in the Permian Request for Blanket Section 204 BILLING CODE 6717–01–P Basin to points of interconnection with Authorization terminals located in Orla, Saragosa, This is a supplemental notice in the DEPARTMENT OF ENERGY Crane, Wink, Midland, Helen, and above-referenced Innovative Solar 54, Gardendale, Texas as well as the Port of LLC’s application for market-based rate Federal Energy Regulatory Corpus Christi, which will provide authority, with an accompanying rate Commission export access, all as more fully tariff, noting that such application [Project No. 6115–015] explained in the petition. includes a request for blanket Any person desiring to intervene or to authorization, under 18 CFR part 34, of Pyrites Hydroelectric Project; Notice of protest this filing must file in future issuances of securities and Intent To File License Application, accordance with Rules 211 and 214 of assumptions of liability. Filing of Pre-Application Document, the Commission’s Rules of Practice and Any person desiring to intervene or to and Approving Use of the Traditional Procedure (18 CFR 385.211, 385.214). protest should file with the Federal Licensing Process Protests will be considered by the Energy Regulatory Commission, 888 a. Type of Filing: Notice of Intent to Commission in determining the First Street NE, Washington, DC 20426, in accordance with Rules 211 and 214 File License Application and Request to appropriate action to be taken, but will Use the Traditional Licensing Process. not serve to make protestants parties to of the Commission’s Rules of Practice and Procedure (18 CFR 385.211 and b. Project No.: 6115–015. the proceeding. Any person wishing to c. Date Filed: August 31, 2018. become a party must file a notice of 385.214). Anyone filing a motion to intervene or protest must serve a copy d. Submitted By: Pyrites Hydro, LLC. intervention or motion to intervene, as e. Name of Project: Pyrites appropriate. Such notices, motions, or of that document on the Applicant. Notice is hereby given that the Hydroelectric Project. protests must be filed on or before the deadline for filing protests with regard f. Location: On the Grass River, a comment date. Anyone filing a motion to the applicant’s request for blanket tributary to the St. Lawrence River, near to intervene or protest must serve a copy authorization, under 18 CFR part 34, of the Town of Canton in St. Lawrence of that document on the Petitioner. future issuances of securities and County, New York. No federal lands are The Commission encourages assumptions of liability, is November 6, occupied by the project works or located electronic submission of protests and 2018. within the project boundary. interventions in lieu of paper using the The Commission encourages g. Filed Pursuant to: 18 CFR 5.3 of the ‘‘eFiling’’ link at http://www.ferc.gov. electronic submission of protests and Commission’s regulations. Persons unable to file electronically interventions in lieu of paper, using the h. Potential Applicant Contact: Mr. should submit an original and 5 copies FERC Online links at http:// Kevin M. Webb, Hydro Licensing of the protest or intervention to the www.ferc.gov. To facilitate electronic Manager, Pyrites Hydro, LLC, 100 Federal Energy Regulatory Commission, service, persons with internet access Brickstone Square, Suite 300, Andover, 888 First Street NE, Washington, DC who will eFile a document and/or be MA 01810, (978) 935–6039; email— 20426. listed as a contact for an intervenor [email protected]. i. FERC Contact: Chris Millard at This filing is accessible on-line at must create and validate an (202) 502–8256; or email at http://www.ferc.gov, using the eRegistration account using the [email protected]. ‘‘eLibrary’’ link and is available for eRegistration link. Select the eFiling j. Pyrites Hydro, LLC filed a request review in the Commission’s Public link to log on and submit the to use the Traditional Licensing Process Reference Room in Washington, DC. intervention or protests. Persons unable to file electronically on August 31, 2018 and provided public There is an ‘‘eSubscription’’ link on the should submit an original and 5 copies notice of the request on August 31, website that enables subscribers to of the intervention or protest to the 2018. In a letter dated October 17, 2018, receive email notification when a Federal Energy Regulatory Commission, the Director of the Division of document is added to a subscribed 888 First Street NE, Washington, DC Hydropower Licensing approved Pyrites docket(s). For assistance with any FERC 20426. Hydro, LLC’s request to use the Online service, please email The filings in the above-referenced Traditional Licensing Process. [email protected], or call proceeding are accessible in the k. With this notice, we are initiating (866) 208–3676 (toll free). For TTY, call Commission’s eLibrary system by informal consultation with the U.S. Fish (202) 502–8659. clicking on the appropriate link in the and Wildlife Service and/or NOAA Comment Date: 5:00 p.m. Eastern time above list. They are also available for Fisheries under section 7 of the on November 16, 2018. electronic review in the Commission’s Endangered Species Act and the joint Dated: October 16, 2018. Public Reference Room in Washington, agency regulations thereunder at 50 DC. There is an eSubscription link on CFR, part 402; and NOAA Fisheries Kimberly D. Bose, the website that enables subscribers to under section 305(b) of the Magnuson- Secretary. receive email notification when a Stevens Fishery Conservation and [FR Doc. 2018–23119 Filed 10–22–18; 8:45 am] document is added to a subscribed Management Act and implementing BILLING CODE 6717–01–P docket(s). For assistance with any FERC regulations at 50 CFR 600.920. We are

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also initiating consultation with the DEPARTMENT OF ENERGY [email protected], or call New York State Historic Preservation (866) 208–3676 (toll free). For TTY, call Officer, as required by section 106, Federal Energy Regulatory (202) 502–8659. Commission National Historic Preservation Act, and Dated: October 18, 2018. the implementing regulations of the [Docket No. ER19–119–000] Nathaniel J. Davis, Sr., Advisory Council on Historic Deputy Secretary. Preservation at 36 CFR 800.2. Techren Solar I LLC; Supplemental Notice That Initial Market-Based Rate [FR Doc. 2018–23204 Filed 10–22–18; 8:45 am] l. With this notice, we are designating Filing Includes Request for Blanket BILLING CODE 6717–01–P Pyrites Hydro, LLC as the Commission’s Section 204 Authorization non-federal representative for carrying out informal consultation pursuant to This is a supplemental notice in the DEPARTMENT OF ENERGY section 7 of the Endangered Species Act above-referenced proceeding of Techren Federal Energy Regulatory and section 106 of the National Historic Solar I LLC‘s application for market- Commission Preservation Act. based rate authority, with an m. Pyrites Hydro, LLC filed a Pre- accompanying rate tariff, noting that [Docket No. OR19–3–000] Application Document (PAD; including such application includes a request for blanket authorization, under 18 CFR EnLink Delaware Crude Pipeline, LLC; a proposed process plan and schedule) part 34, of future issuances of securities Notice of Petition for Declaratory Order with the Commission, pursuant to 18 and assumptions of liability. CFR 5.6 of the Commission’s Any person desiring to intervene or to Take notice that on October 11, 2018, regulations. protest should file with the Federal pursuant to Rule 207(a)(2) of the Federal n. A copy of the PAD is available for Energy Regulatory Commission, 888 Energy Regulatory Commission’s (Commission) Rules of Practice and review at the Commission in the Public First Street NE, Washington, DC 20426, Procedure, 18 CFR 385.207(a)(2) (2018), Reference Room or may be viewed on in accordance with Rules 211 and 214 EnLink Delaware Crude Pipeline, LLC, the Commission’s website (http:// of the Commission’s Rules of Practice and Procedure (18 CFR 385.211 and (EnLink) filed a petition for declaratory www.ferc.gov), using the ‘‘eLibrary’’ order seeking approval of the overall link. Enter the docket number, 385.214). Anyone filing a motion to intervene or protest must serve a copy tariff and rate structure for EnLink’s excluding the last three digits in the new pipeline system in the Delaware docket number field to access the of that document on the Applicant. Notice is hereby given that the Basin in New Mexico and Texas, that document. For assistance, contact FERC deadline for filing protests with regard will gather and transport crude oil from Online Support at to the applicant’s request for blanket origin points located in Lea and Eddy [email protected], (866) authorization, under 18 CFR part 34, of Counties, New Mexico, to destinations 208–3676 (toll free), or (202) 502–8659 future issuances of securities and in Eddy County, New Mexico and (TTY). A copy is also available for assumptions of liability, is November 7, Loving County, Texas, all as more fully inspection and reproduction at the 2018. explained in the petition. address in paragraph h. The Commission encourages Any person desiring to intervene or to o. The licensee states its unequivocal electronic submission of protests and protest this filing must file in intent to submit an application for a interventions in lieu of paper, using the accordance with Rules 211 and 214 of new license for Project No. 6115–015. FERC Online links at http:// the Commission’s Rules of Practice and Procedure (18 CFR 385.211, 385.214). Pursuant to 18 CFR 16.8, 16.9, and www.ferc.gov. To facilitate electronic Protests will be considered by the 16.10, each application for a new service, persons with internet access Commission in determining the license and any competing license who will eFile a document and/or be appropriate action to be taken, but will applications must be filed with the listed as a contact for an intervenor must create and validate an not serve to make protestants parties to Commission at least 24 months prior to eRegistration account using the the proceeding. Any person wishing to the expiration of the existing license. eRegistration link. Select the eFiling become a party must file a notice of All applications for license for this link to log on and submit the intervention or motion to intervene, as project must be filed by August 31, intervention or protests. appropriate. Such notices, motions, or 2021. Persons unable to file electronically protests must be filed on or before the p. Register online at http:// should submit an original and 5 copies comment date. Anyone filing a motion www.ferc.gov/docs-filing/ of the intervention or protest to the to intervene or protest must serve a copy esubscription.asp to be notified via Federal Energy Regulatory Commission, of that document on the Petitioner. email of new filing and issuances 888 First Street NE, Washington, DC The Commission encourages related to this or other pending projects. 20426. electronic submission of protests and For assistance, contact FERC Online The filings in the above-referenced interventions in lieu of paper using the Support. proceeding are accessible in the ‘‘eFiling’’ link at http://www.ferc.gov. Commission’s eLibrary system by Persons unable to file electronically Dated: October 17, 2018. clicking on the appropriate link in the should submit an original and 5 copies Kimberly D. Bose, above list. They are also available for of the protest or intervention to the Secretary. electronic review in the Commission’s Federal Energy Regulatory Commission, [FR Doc. 2018–23117 Filed 10–22–18; 8:45 am] Public Reference Room in Washington, 888 First Street NE, Washington, DC BILLING CODE 6717–01–P DC. There is an eSubscription link on 20426. the website that enables subscribers to This filing is accessible on-line at receive email notification when a http://www.ferc.gov, using the document is added to a subscribed ‘‘eLibrary’’ link and is available for docket(s). For assistance with any FERC review in the Commission’s Public Online service, please email Reference Room in Washington, DC.

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There is an ‘‘eSubscription’’ link on the not serve to make protestants parties to Water Midstream, LLC. According to website that enables subscribers to the proceeding. Any person wishing to Gateway, the Project would help receive email notification when a become a party must file a notice of alleviate natural gas supply delivery document is added to a subscribed intervention or motion to intervene, as constraints in southeast New Mexico docket(s). For assistance with any FERC appropriate. The Respondent’s answer and satisfy overall demand in the Online service, please email and all interventions, or protests must western region of the United States. [email protected], or call be filed on or before the comment date. On August 22, 2018, the Federal (866) 208–3676 (toll free). For TTY, call The Respondent’s answer, motions to Energy Regulatory Commission (202) 502–8659. intervene, and protests must be served (Commission or FERC) issued its Notice Comment Date: 5:00 p.m. Eastern time on the Complainants. of Application for the Project. Among on November 16, 2018. The Commission encourages other things, that notice alerted agencies issuing federal authorizations of the Dated: October 16, 2018. electronic submission of protests and interventions in lieu of paper using the requirement to complete all necessary Kimberly D. Bose, ‘‘eFiling’’ link at http://www.ferc.gov. reviews and to reach a final decision on Secretary. Persons unable to file electronically a request for a federal authorization [FR Doc. 2018–23120 Filed 10–22–18; 8:45 am] should submit an original and 5 copies within 90 days of the date of issuance BILLING CODE 6717–01–P of the protest or intervention to the of the Commission staff’s Environmental Federal Energy Regulatory Commission, Assessment (EA) for the Project. This 888 First Street NE, Washington, DC instant notice identifies the FERC staff’s DEPARTMENT OF ENERGY 20426. planned schedule for the completion of the EA for the Project. Federal Energy Regulatory This filing is accessible on-line at Commission http://www.ferc.gov, using the Schedule for Environmental Review ‘‘eLibrary’’ link and is available for [Docket No. OR19–4–000] electronic review in the Commission’s Issuance of EA—January 11, 2019 Public Reference Room in Washington, 90-day Federal Authorization Decision Phillips 66 Company v. Colonial DC. There is an ‘‘eSubscription’’ link on Deadline—April 11, 2019 Pipeline Company; Notice of the website that enables subscribers to If a schedule change becomes Complaint receive email notification when a necessary, additional notice will be provided so that the relevant agencies October 17, 2018. document is added to a subscribed docket(s). For assistance with any FERC are kept informed of the Project’s Take notice that on October 16, 2018, progress. pursuant to sections 1(5), 6, 8, 9, 13, 15 Online service, please email and 16 of the Interstate Commerce Act, [email protected], or call Project Description (866) 208–3676 (toll free). For TTY, call 49 U.S.C. App. 1(5), 6, 8, 9, 13, 15 and The Gateway Project would consist of 16; section 1803 of the Energy Policy (202) 502–8659. Comment Date: 5:00 p.m. Eastern the following facilities: Act of 1992 (Pub. L. 102–486, 106 Stat. • Approximately 23 miles of 24-inch- Time on November 15, 2018. 2772 (1992); Rule 206 of the Rules of diameter natural gas transmission Practice and Procedure of the Federal Dated: October 17, 2018. pipeline in Eddy County, New Mexico Energy Regulatory Commission’s Kimberly D. Bose, and Culberson County, Texas; (Commission), 18 CFR 385.206 (2018); Secretary. • a new meter station (including a 1 and Rules 343.1(a) and 343.2(c) of the [FR Doc. 2018–23116 Filed 10–22–18; 8:45 am] mainline block valve and pig launcher) Commission’s Procedural Rules BILLING CODE 6717–01–P within the existing Carlsbad Plant in Applicable to Oil Pipeline Proceedings, Eddy County; 18 CFR 343.1(a) and 343.2(c) (2018), • a mainline block valve at milepost Phillips 66 Company (Complainant) DEPARTMENT OF ENERGY 15.0 in Eddy County; and filed a formal complaint against • a pig receiver and mainline block Colonial Pipeline Company Federal Energy Regulatory valve at milepost 23.3 near a White (Respondent), challenging the just and Commission Water Midstream, LLC meter station in Culberson County. reasonableness of (1) Respondent’s cost- [Docket No. CP18–538–000] based transportation rates in Tariff Background FERC No. 99.41.0 and predecessor Sendero Carlsbad Gateway, LLC; On August 29, 2018, the Commission tariffs; (2) Respondent’s market-based Notice of Schedule for Environmental issued a Notice of Intent to Prepare An rate authority and rates charged Review of the Gateway Project pursuant to that authority; and (3) Environmental Assessment for the Respondent’s charges relating to On August 9, 2018, Sendero Carlsbad Proposed Gateway Project, And Request product loss allocation and transmix, as Gateway, LLC (Gateway) filed an for Comments on Environmental Issues more fully explained in the complaint. application in Docket No. CP18–538– (NOI). The NOI was sent to affected The Complainants certify that copies 000 requesting a Certificate of Public landowners; federal, state, and local of the complaint were served on the Convenience and Necessity pursuant to government agencies; elected officials; contacts for Respondent as listed on the section 7(c) of the Natural Gas Act to environmental and public interest Commission’s list of Corporate Officials. construct and operate certain natural gas groups; Native American tribes; other Any person desiring to intervene or to pipeline facilities. The proposed project interested parties; and local libraries protest this filing must file in is known as the Gateway Project and newspapers. accordance with Rules 211 and 214 of (Project), and would provide about 400 In response to the NOI, the the Commission’s Rules of Practice and million standard cubic feet of natural Commission received comments from Procedure (18 CFR 385.211, 385.214). gas per day from Gateway’s newly 1 A ‘‘pig’’ is a tool that the pipeline company Protests will be considered by the expanded Carlsbad Plant (a cryogenic inserts into and pushes through the pipeline for Commission in determining the gas processing plant) to the Agua Blanca cleaning the pipeline, conducting internal appropriate action to be taken, but will intrastate pipeline owned by White inspections, or other purposes.

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the U.S. Department of Agriculture, 000 requesting a Certificate of Public resources. All substantive comments Texas Commission on Environmental Convenience and Necessity pursuant to will be addressed in the EA. Quality, Texas Parks and Wildlife Section 7(c) of the Natural Gas Act to Additional Information Department, New Mexico Department of construct and operate certain natural gas Game and Fish, New Mexico State pipeline facilities. The proposed project In order to receive notification of the Historic Preservation Office, and one is known as the Line KA1 North issuance of the EA and to keep track of Native American tribe. The primary Launcher/Receiver Project (Project), and all formal issuances and submittals in issues raised by the commentors were would modify seven discrete points and specific dockets, the Commission offers appropriate best management practices install two bi-directional launcher/ a free service called eSubscription. This for construction and restoration, special receivers on Columbia’s existing Line can reduce the amount of time you status species, surface water, and KA1 North pipeline. spend researching proceedings by impacts on vegetation and wildlife. All On July 5, 2018, the Federal Energy automatically providing you with substantive comments will be addressed Regulatory Commission (Commission or notification of these filings, document in the EA. FERC) issued its Notice of Application summaries, and direct links to the for the Project. Among other things, that documents. Go to www.ferc.gov/docs- Additional Information notice alerted agencies issuing federal filing/esubscription.asp. In order to receive notification of the authorizations of the requirement to Additional information about the issuance of the EA and to keep track of complete all necessary reviews and to Project is available from the all formal issuances and submittals in reach a final decision on a request for Commission’s Office of External Affairs specific dockets, the Commission offers a federal authorization within 90 days of at (866) 208–FERC or on the FERC a free service called eSubscription. This the date of issuance of the Commission website (www.ferc.gov). Using the can reduce the amount of time you staff’s Environmental Assessment (EA) ‘‘eLibrary’’ link, select ‘‘General Search’’ spend researching proceedings by for the Project. This instant notice from the eLibrary menu, enter the automatically providing you with identifies the FERC staff’s planned selected date range and ‘‘Docket notification of these filings, document schedule for the completion of the EA Number’’ excluding the last three digits summaries, and direct links to the for the Project. (i.e., CP18–508), and follow the documents. Go to www.ferc.gov/docs- Schedule for Environmental Review instructions. For assistance with access filing/esubscription.asp. to eLibrary, the helpline can be reached Additional information about the Issuance of EA December 5, 2018 at (866) 208–3676, TTY (202) 502–8659, projects are available from the 90-day Federal Authorization Decision or at [email protected]. The Commission’s Office of External Affairs Deadline March 5, 2019 eLibrary link on the FERC website also at (866) 208–FERC or on the FERC If a schedule change becomes provides access to the texts of formal website (www.ferc.gov). Using the necessary, additional notice will be documents issued by the Commission, ‘‘eLibrary’’ link, select ‘‘General Search’’ provided so that the relevant agencies such as orders, notices, and rule from the eLibrary menu, enter the are kept informed of the Project’s makings. progress. selected date range and ‘‘Docket Dated: October 16, 2018. Number’’ excluding the last three digits Project Description Kimberly D. Bose, (i.e., CP18–538), and follow the In order to enable the use of internal Secretary. instructions. For assistance with access inspection tools along the KA1 North to eLibrary, the helpline can be reached [FR Doc. 2018–23113 Filed 10–22–18; 8:45 am] pipeline for integrity assessment at (866) 208–3676, TTY (202) 502–8659, BILLING CODE 6717–01–P purposes, Columbia would install one or at [email protected]. The 16-inch by 12-inch launcher/receiver at eLibrary link on the FERC website also each end of the pipeline; and remove, DEPARTMENT OF ENERGY provides access to the texts of formal replace, and install various stopples, documents issued by the Commission, elbows, valves, pipe segments, and Federal Energy Regulatory such as orders, notices, and rule other components at a total of seven Commission makings. discrete points along the pipeline in [Docket No. ER19–118–000] Dated: October 17, 2018. Fayette and Madison Counties, Kimberly D. Bose, Kentucky. Innovative Solar 67, LLC; Secretary. Supplemental Notice That Initial Background [FR Doc. 2018–23114 Filed 10–22–18; 8:45 am] Market-Based Rate Filing Includes On August 3, 2018, the Commission BILLING CODE 6717–01–P Request for Blanket Section 204 issued a Notice of Intent to Prepare an Authorization Environmental Assessment for the DEPARTMENT OF ENERGY Proposed Line KA1 North Launcher/ This is a supplemental notice in the Receiver Project and Request for above-referenced Innovative Solar 67, Federal Energy Regulatory Comments on Environmental Issues LLC’s application for market-based rate Commission (NOI). The NOI was sent to affected authority, with an accompanying rate landowners; federal, state, and local tariff, noting that such application [Docket No. CP18–508–000] government agencies; elected officials; includes a request for blanket Columbia Gas Transmission, LLC; environmental and public interest authorization, under 18 CFR part 34, of Notice of Schedule for Environmental groups; Native American tribes; other future issuances of securities and Review of the Line Ka1 North interested parties; and local libraries assumptions of liability. Launcher/Receiver Project and newspapers. In response to the NOI, Any person desiring to intervene or to the Commission received comments protest should file with the Federal On June 20, 2018, Columbia Gas from two Native American tribes. The Energy Regulatory Commission, 888 Transmission, LLC (Columbia) filed an primary issues raised by the First Street NE, Washington, DC 20426, application in Docket No. CP18–508– commentors pertain to cultural in accordance with Rules 211 and 214

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of the Commission’s Rules of Practice the Natural Gas Act (NGA) and the with the requirements of the and Procedure (18 CFR 385.211 and Commission’s regulations seeking Commission’s Rules of Practice and 385.214). Anyone filing a motion to authorization to abandon by sale to Procedure (18 CFR 385.214 or 385.211) intervene or protest must serve a copy DKM Enterprises, LLC (DKM) and the Regulations under the NGA (18 of that document on the Applicant. approximately 146.6 miles of 24-inch- CFR 157.10). A person obtaining party Notice is hereby given that the diameter pipeline and other status will be placed on the service list deadline for filing protests with regard appurtenant facilities on Northern’s maintained by the Secretary of the to the applicant’s request for blanket Palmyra to Ogden A-line system located Commission and will receive copies of authorization, under 18 CFR part 34, of in Otoe and Cass Counties, Nebraska, all documents filed by the applicant and future issuances of securities and and Mills, Pottawattamie, Cass, by all other parties. A party must submit assumptions of liability, is November 6, Audubon, Guthrie, Greene and Boone 3 copies of filings made in the 2018. Counties, Iowa. DKM intends on proceeding with the Commission and The Commission encourages reclaiming most of the facilities for must provide a copy to the applicant electronic submission of protests and salvage, all as more fully described in and to every other party. Only parties to interventions in lieu of paper, using the the application which is on file with the the proceeding can ask for court review FERC Online links at http:// Commission and open to public of Commission orders in the proceeding. www.ferc.gov. To facilitate electronic inspection. The filing may also be However, a person does not have to service, persons with internet access viewed on the web at http:// intervene in order to have comments who will eFile a document and/or be www.ferc.gov using the ‘‘eLibrary’’ link. considered. The second way to listed as a contact for an intervenor Enter the docket number excluding the participate is by filing with the must create and validate an last three digits in the docket number Secretary of the Commission, as soon as eRegistration account using the field to access the document. For possible, an original and two copies of eRegistration link. Select the eFiling assistance, contact FERC at comments in support of or in opposition link to log on and submit the [email protected] or call to this project. The Commission will intervention or protests. toll-free, (866) 208–3676 or TTY, (202) consider these comments in Persons unable to file electronically 502–8659. determining the appropriate action to be should submit an original and 5 copies Any questions regarding this taken, but the filing of a comment alone of the intervention or protest to the application should be directed to will not serve to make the filer a party Federal Energy Regulatory Commission, Michael T. Loeffler, Senior Director, to the proceeding. The Commission’s 888 First Street NE, Washington, DC Certificates and External Affairs, rules require that persons filing 20426. Northern Natural Gas Company, 1111 comments in opposition to the project The filings in the above-referenced South 103rd Street, Omaha, Nebraska, provide copies of their protests only to proceeding are accessible in the 68124, by telephone at (402) 398–7077, the party or parties directly involved in Commission’s eLibrary system by by fax at (402) 398–7190, or by email at the protest. clicking on the appropriate link in the [email protected]. Persons who wish to comment only above list. They are also available for Pursuant to section 157.9 of the on the environmental review of this electronic review in the Commission’s Commission’s rules, 18 CFR 157.9, project should submit an original and Public Reference Room in Washington, within 90 days of this Notice the two copies of their comments to the DC. There is an eSubscription link on Commission staff will either: Complete Secretary of the Commission. the website that enables subscribers to its environmental assessment (EA) and Environmental commentors will be receive email notification when a place it into the Commission’s public placed on the Commission’s document is added to a subscribed record (eLibrary) for this proceeding; or environmental mailing list and will be docket(s). For assistance with any FERC issue a Notice of Schedule for notified of any meetings associated with Online service, please email Environmental Review. If a Notice of the Commission’s environmental review [email protected]. or call Schedule for Environmental Review is process. Environmental commentors (866) 208–3676 (toll free). For TTY, call issued, it will indicate, among other will not be required to serve copies of milestones, the anticipated date for the (202) 502–8659. filed documents on all other parties. Commission staff’s issuance of the EA However, the non-party commentors Dated: October 17, 2018. for this proposal. The filing of the EA will not receive copies of all documents Nathaniel J. Davis, Sr., in the Commission’s public record for filed by other parties or issued by the Deputy Secretary. this proceeding or the issuance of a Commission and will not have the right [FR Doc. 2018–23131 Filed 10–22–18; 8:45 am] Notice of Schedule for Environmental to seek court review of the BILLING CODE 6717–01–P Review will serve to notify federal and Commission’s final order. state agencies of the timing for the As of the February 27, 2018 date of completion of all necessary reviews, and the Commission’s order in Docket No. DEPARTMENT OF ENERGY the subsequent need to complete all CP16–4–001, the Commission will federal authorizations within 90 days of apply its revised practice concerning Federal Energy Regulatory the date of issuance of the Commission out-of-time motions to intervene in any Commission staff’s EA. new Natural Gas Act section 3 or section [Docket No. CP19–1–000] There are two ways to become 7 proceeding.1 Persons desiring to involved in the Commission’s review of become a party to a certificate Northern Natural Gas Company; Notice this project. First, any person wishing to proceeding are to intervene in a timely of Application obtain legal status by becoming a party manner. If seeking to intervene out-of- to the proceedings for this project time, the movant is required to ‘‘show Take notice that on October 3, 2018, should, on or before the comment date good cause why the time limitation Northern Natural Gas Company stated below file with the Federal should be waived,’’ and should provide (Northern), 1111 South 103rd Street, Energy Regulatory Commission, 888 Omaha, Nebraska 68124–1000, filed an First Street NE, Washington, DC 20426, 1 Tennessee Gas Pipeline Company, L.L.C., 162 application pursuant to section 7(b) of a motion to intervene in accordance FERC ¶ 61,167 at P 50 (2018).

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justification by reference to factors set Dated: October 17, 2018. Filing ER18–1267 to be effective 3/31/ forth in Rule 214(d)(1) (18 CFR Kimberly D. Bose, 2018. 385.214(d)(1)) of the Commission’s Secretary. Filed Date: 10/16/18. Rules and Regulations. [FR Doc. 2018–23118 Filed 10–22–18; 8:45 am] Accession Number: 20181016–5160. The Commission strongly encourages BILLING CODE 6717–01–P Comments Due: 5 p.m. ET 11/6/18. electronic filings of comments, protests, Docket Numbers: ER18–1652–002; and interventions in lieu of paper using ER10–1595–011; ER10–1598–011; the ‘‘eFiling’’ link at http:// DEPARTMENT OF ENERGY ER10–1616–011; ER10–1618–011; www.ferc.gov. Persons unable to file ER10–2960–009; ER15–356–010; ER15– electronically should submit an original Federal Energy Regulatory 357–010; ER18–1821–003; ER18–2418– and 3 copies of the protest or Commission 001. intervention to the Federal Energy Applicants: AL Mesquite Marketing, Combined Notice of Filings #1 regulatory Commission, 888 First Street LLC, Astoria Generating Company, L.P., NE, Washington, DC 20426. Take notice that the Commission Chief Conemaugh Power, LLC, Chief Comment Date: 5:00 p.m. Eastern received the following electric corporate Keystone Power, LLC, Crete Energy Time on November 7, 2018. filings: Venture, LLC, Great River Hydro, LLC, Dated: October 17, 2018. Docket Numbers: EC19–13–000. Lincoln Generating Facility, LLC, New Kimberly D. Bose, Applicants: AltaGas Renewable Covert Generating Company, LLC, Rolling Hills Generating, L.L.C., Walleye Secretary. Energy Colorado LLC, Black Hills Electric Generation, LLC, Black Hills Power, LLC. [FR Doc. 2018–23115 Filed 10–22–18; 8:45 am] Corporation, AltaGas Power Holdings Description: Notice of Non-Material BILLING CODE 6717–01–P (U.S.) Inc. Change in Status of AL Mesquite Description: Joint Application for Marketing, LLC, et al. Filed Date: 10/16/18. DEPARTMENT OF ENERGY Authorization Under Section 203 of the Federal Power Act, et al. of AltaGas Accession Number: 20181016–5178. Federal Energy Regulatory Renewable Energy Colorado LLC, et. al. Comments Due: 5 p.m. ET 11/6/18. Commission Filed Date: 10/16/18. Docket Numbers: ER19–119–000. Accession Number: 20181016–5173. Applicants: Techren Solar I LLC. Comments Due: 5 p.m. ET 11/6/18. [Project No. 11845–001] Description: Baseline eTariff Filing: Take notice that the Commission Application for MBR, Waivers, Blanket Notice of Transfer of Exemption; The received the following electric rate Authority, Confidential & Expedited Harrisburg Authority, Capital Region filings: Action to be effective 12/31/9998. Water Docket Numbers: ER16–505–004. Filed Date: 10/16/18. Applicants: GridLiance High Plains Accession Number: 20181016–5141. October 17, 2018. LLC. Comments Due: 5 p.m. ET 11/6/18. 1. By letter filed October 1, 2018, The Description: Compliance filing: Docket Numbers: ER19–120–000. Harrisburg Authority informed the SCMCN Compliance Filing ER16–505– Applicants: Florida Power & Light Commission that the exemption from 003 Amendment to be effective 4/1/ Company. licensing for the Harrisburg Water 2016. Description: § 205(d) Rate Filing: FPL Supply Project No. 11845, originally Filed Date: 10/17/18. and WM Renewable Energy, LLC Firm issued September 12, 2000 1 has been Accession Number: 20181017–5103. P-to-P TSA to be effective 10/17/2018. transferred from The Harrisburg Comments Due: 5 p.m. ET 11/7/18. Filed Date: 10/16/18. Authority to Capital Region Water. The Docket Numbers: ER17–256–006; Accession Number: 20181016–5159. project pipe runs between the DeHart ER17–242–006; ER17–243–006; ER17– Comments Due: 5 p.m. ET 11/6/18. Reservoir and the Harrisburg water 245–006; ER17–652–006. Docket Numbers: ER19–121–000. Applicants: Darby Power, LLC, Gavin treatment plant in Daupin County, Applicants: AltaGas Renewable Power, LLC, Lawrenceburg Power, LLC, Pennsylvania. The transfer of an Energy Colorado LLC, Black Hills Waterford Power, LLC, Lightstone exemption does not require Commission Electric Generation, LLC. Marketing LLC. approval. Description: § 205(d) Rate Filing: Description: Notice of Non-Material 2. Capital Region Water is now the Request for Authorization of Affiliate Change in Status of Darby Power, LLC, exemptee of the Harrisburg Water Transactions of AltaGas and Black Hills Supply Project No. 11845. All et. al. Filed Date: 10/16/18. to be effective 11/30/2018. correspondence should be forwarded to: Filed Date: 10/16/18. Mr. Michael McFadden, Director of Accession Number: 20181016–5177. Comments Due: 5 p.m. ET 11/6/18. Accession Number: 20181016–5165. Water Operations, Capital Region Water, Comments Due: 5 p.m. ET 11/6/18. 100 Pine Drive, Harrisburg, PA 17103, Docket Numbers: ER18–730–001. Docket Numbers: ER19–122–000. Phone: 888–510–0606, Email: Applicants: Linden VFT, LLC. Applicants: ISO New England Inc., michael.mcfadden@ Description: Post-Open Solicitation The Connecticut Light and Power capitalwaterregion.com and Ms. Tanya Compliance Filing, et al. of Linden VFT, Company. Dierolf, Manager of Sustainability & LLC. Description: § 205(d) Rate Filing: Strategic Projects, Capital Water Region, Filed Date: 10/16/18. CL&P Request for Approval of Updated 212 Locust Street, Suite 500, Harrisburg, Accession Number: 20181016–5198. Depreciation Rates & Revisions to Sch PA 17101, Phone: 888–510–0606, Email: Comments Due: 5 p.m. ET 11/6/18. 21–ES to be effective 5/1/2018. [email protected]. Docket Numbers: ER18–1267–004. Applicants: GridLiance High Plains Filed Date: 10/17/18. Accession Number: 20181017–5035. 1 Order Granting Exemption From Licensing LLC. (Conduit). The Harrisburg Authority, 92 FERC Description: Compliance filing: Comments Due: 5 p.m. ET 11/7/18. ¶ 62,212 (2000). GridLiance High Plains LLC Compliance Docket Numbers: ER19–123–000.

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Applicants: ISO New England Inc., requirements, interventions, protests, public comments submitted during the NSTAR Electric Company. service, and qualifying facilities filings public comment period specified in this Description: § 205(d) Rate Filing: can be found at: http://www.ferc.gov/ notice. NSTAR Electric Company Request for docs-filing/efiling/filing-req.pdf. For DATES: The public comment period Approval of Updated Depreciation Rates other information, call (866) 208–3676 begins on October 23, 2018, and ends to be effective 7/1/2018. (toll free). For TTY, call (202) 502–8659. December 11, 2018. Comments must be Filed Date: 10/17/18. Dated: October 17, 2018. received on or before December 11, Accession Number: 20181017–5036. 2018. Comments Due: 5 p.m. ET 11/7/18. Nathaniel J. Davis, Sr., Deputy Secretary. ADDRESSES: The ‘‘Integrated Science Docket Numbers: ER19–124–000. Assessment for Particulate Matter Applicants: PECO Energy Company, [FR Doc. 2018–23130 Filed 10–22–18; 8:45 am] BILLING CODE 6717–01–P (External Review Draft)’’ will be PJM Interconnection, L.L.C. available primarily via the internet on Description: § 205(d) Rate Filing: EPA’s Integrated Science Assessment PECO Energy submits revisions to Particulate Matter page at https:// OATT, Att. H–7A re: Stipulation in ENVIRONMENTAL PROTECTION AGENCY www.epa.gov/isa/integrated-science- ER17–1519 to be effective 12/1/2017. assessment-isa-particulate-matter or the Filed Date: 10/17/18. [EPA–HQ–ORD–2014–0859; FRL–9985–68– public docket at http:// Accession Number: 20181017–5037. ORD] www.regulations.gov, Docket ID: EPA– Comments Due: 5 p.m. ET 11/7/18. HQ–ORD–2014–0859. A limited number Docket Numbers: ER19–125–000. Integrated Science Assessment for of CD–ROM copies will be available. Applicants: Duke Energy Florida, Particulate Matter (External Review Contact Ms. Marieka Boyd by phone: LLC. Draft) 919–541–0031; fax: 919–541–5078; or Description: Tariff Cancellation: DEF– AGENCY: Environmental Protection email: [email protected] to request US EcoGen Notice of Termination SA– Agency (EPA). a CD–ROM, and please provide your 180 (LGIA) to be effective 12/17/2018. name; your mailing address; and the Filed Date: 10/17/18. ACTION: Notice of public comment period. document title, ‘‘Integrated Science Accession Number: 20181017–5075. Assessment for Particulate Matter Comments Due: 5 p.m. ET 11/7/18. SUMMARY: The Environmental Protection (External Review Draft)’’ to facilitate Docket Numbers: ER19–126–000. Agency (EPA) is announcing a public processing of your request. Applicants: Midcontinent comment period for the draft document FOR FURTHER INFORMATION CONTACT: For Independent System Operator, Inc. titled, ‘‘Integrated Science Assessment information on the public comment Description: § 205(d) Rate Filing: for Particulate Matter (External Review _ period, contact the ORD Docket at the 2018–10–17 SA 3179 Long Branch Draft)’’ (EPA/600/R–18/179). The draft EPA Headquarters Docket Center; Solar-Cooperative Energy GIA (J709) to document was prepared by the National phone: 202–566–1752; fax: 202–566– be effective 10/2/2018. Center for Environmental Assessment 9744; or email: [email protected]. Filed Date: 10/17/18. (NCEA) within EPA’s Office of Research For technical information, contact Mr. Accession Number: 20181017–5105. and Development (ORD) as part of the Jason Sacks, NCEA; phone: 919–541– Comments Due: 5 p.m. ET 11/7/18. review of the primary (health-based) 9729; fax: 919–541–1818; or email: Take notice that the Commission and secondary (welfare-based) National [email protected]. received the following electric Ambient Air Quality Standards SUPPLEMENTARY INFORMATION: reliability filings: (NAAQS) for particulate matter. The Docket Numbers: RR19–1–000. welfare-based effects evaluated consist I. Information About the Document Applicants: North American Electric of non-ecological effects, specifically Section 108(a) of the Clean Air Act Reliability Corporation. visibility impairment, climate effects, directs the Administrator to identify Description: Petition of the North and effects on materials. The Integrated certain pollutants which, among other American Electric Reliability Science Assessment (ISA), in things, ‘‘cause or contribute to air Corporation for Approval of Proposed conjunction with additional technical pollution which may reasonably be Revisions to Appendix 4E to the Rules and policy assessments, provides the anticipated to endanger public health or of Procedure. scientific basis for EPA’s decisions on welfare’’ and to issue air quality criteria Filed Date: 10/16/18. the adequacy of the current NAAQS and for them. These air quality criteria are Accession Number: 20181016–5192. the appropriateness of possible to ‘‘accurately reflect the latest scientific Comments Due: 5 p.m. ET 11/6/18. alternative standards. EPA is currently knowledge useful in indicating the kind The filings are accessible in the developing a separate ISA to support the and extent of all identifiable effects on Commission’s eLibrary system by secondary NAAQS review for ecological public health or welfare which may be clicking on the links or querying the effects for oxides of nitrogen, oxides of expected from the presence of [a] docket number. sulfur, and particulate matter. pollutant in the ambient air. . .’’ Under Any person desiring to intervene or EPA is releasing this draft document section 109 of the Act, EPA is then to protest in any of the above proceedings to seek review by the Clean Air establish NAAQS for each pollutant for must file in accordance with Rules 211 Scientific Advisory Committee (CASAC) which EPA has issued criteria. Section and 214 of the Commission’s and the public. In addition, the date and 109(d) of the Act subsequently requires Regulations (18 CFR 385.211 and location of a public meeting for CASAC periodic review and, if appropriate, 385.214) on or before 5:00 p.m. Eastern review of this document will be revision of existing air quality criteria to time on the specified comment date. specified in a separate Federal Register reflect advances in scientific knowledge Protests may be considered, but notice. This draft document is not final on the effects of the pollutant on public intervention is necessary to become a and it does not represent, and should health or welfare. EPA is also required party to the proceeding. not be construed to represent, any final to review and, if appropriate, revise the eFiling is encouraged. More detailed Agency policy or views. When revising NAAQS, based on the revised air quality information relating to filing the document, EPA will consider any criteria (for more information on the

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NAAQS review process, see https:// addition to the public comment period know your identity or contact www.epa.gov/criteria-air-pollutants/ announced in this notice, the public information unless you provide it in the process-reviewing-national-ambient-air- will have an opportunity to address body of your comment. If you send an quality-standards). CASAC at this meeting. A separate email comment directly to EPA without Particulate matter is one of six criteria Federal Register notice will inform the going through www.regulations.gov, pollutants for which EPA has public of the exact date and time of the your email address will be established NAAQS. Periodically, EPA CASAC meeting and of the procedures automatically captured and included as reviews the scientific basis for these for public participation. part of the comment that is placed in the standards by preparing an ISA (formerly public docket and made available on the called an Air Quality Criteria II. How To Submit Technical Comments to the Docket at www.regulations.gov internet. If you submit an electronic Document). The ISA, in conjunction comment, EPA recommends that you with additional technical and policy Submit your comments, identified by include your name and other contact assessments, provides the scientific Docket ID No. EPA–HQ–ORD–2014– information in the body of your basis for EPA’s decisions on the 0859, by one of the following methods: comment and with any disk or CD–ROM • adequacy of the current NAAQS and the www.regulations.gov: Follow the you submit. If EPA cannot read your appropriateness of possible alternative online instructions for submitting comment due to technical difficulties standards. The CASAC, an independent comments. and cannot contact you for clarification, science advisory committee whose • Email: [email protected]. • EPA may not be able to consider your review and advisory functions are Fax: 202–566–9744. • Mail: U.S. Environmental comment. Electronic files should avoid mandated by Section 109(d)(2) of the the use of special characters, any form Clean Air Act, is charged (among other Protection Agency, EPA Docket Center (ORD Docket), Mail Code: 28221T, 1200 of encryption, and be free of any defects things) with independent scientific or viruses. For additional information review of the EPA’s air quality criteria. Pennsylvania Avenue NW, Washington, DC 20460. The phone number is 202– about EPA’s public docket visit the EPA On December 3, 2014 (79 FR 71764), Docket Center homepage at http:// EPA formally initiated its current 566–1752. • www2.epa.gov/dockets. review of the air quality criteria for the Hand Delivery: The ORD Docket is located in the EPA Headquarters Docket Docket: Documents in the docket are health and welfare effects of particulate listed in the www.regulations.gov index. matter and the primary (health-based) Center, EPA West Building, Room 3334, 1301 Constitution Avenue NW, Although listed in the index, some and secondary (welfare-based) NAAQS, information is not publicly available, requesting the submission of recent Washington, DC 20004. The EPA Docket Center Public e.g., CBI or other information whose scientific information on specified disclosure is restricted by statute. topics. EPA conducted a workshop from Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday through Friday, Certain other materials, such as February 9 through 11, 2015 to gather copyrighted material, are publicly input from invited scientific experts, excluding legal holidays. The phone available only in hard copy. Publicly both internal and external to EPA, as number for the Public Reading Room is available docket materials are available well as from the public, regarding key 202–566–1744. Such deliveries are only either electronically on science and policy issues relevant to the accepted during the docket’s normal www.regulations.gov or in hard copy at review of the primary and secondary hours of operation, and special the ORD Docket in the EPA NAAQS (79 FR 71764). These science arrangements should be made for Headquarters Docket Center. and policy issues were incorporated deliveries of boxed information. If you into EPA’s ‘‘Draft Integrated Review provide comments by mail or hand Dated: October 16, 2018. Plan for the National Ambient Air delivery, please submit three copies of James Avery, Quality Standards for Particulate the comments. For attachments, provide Acting Deputy Director, National Center for Matter,’’ which was available for public an index; number pages consecutively Environmental Assessment. comment (81 FR 22977) and discussion with the comments; and submit an [FR Doc. 2018–23125 Filed 10–22–18; 8:45 am] by the CASAC via publicly accessible unbound original; and three copies. BILLING CODE 6560–50–P teleconference consultation (81 FR Instructions: Direct your comments to 13362). The ‘‘Final Integrated Review Docket ID No. EPA–HQ–ORD–2014– Plan for the National Ambient Air 0859. Please ensure that your comments ENVIRONMENTAL PROTECTION Quality Standards for Particulate are submitted within the specified AGENCY Matter’’ was released December 6, 2016 comment period. Comments received (81 FR 87933). after the closing date will be marked [EPA–HQ–ORD–2018–0274; FRL–9985–64– Subsequent webinar workshops were ‘‘late,’’ and may only be considered if ORD] held on June 9th, 13th, 20th, and 22nd, time permits. It is EPA’s policy to Webinar Workshop To Review Initial 2016, to discuss initial draft materials include all comments it receives in the Draft Materials for the Ozone prepared in the development of the public docket without change and to Integrated Science Assessment (ISA) particulate matter ISA with invited EPA make the comments available online at for Health and Welfare Effects and external scientific experts (81 FR www.regulations.gov, including any 29262, May 11, 2016). The input personal information provided, unless a AGENCY: Environmental Protection received during these webinar comment includes information claimed Agency (EPA). workshops aided in the development of to be Confidential Business Information ACTION: Notice of workshop. the materials presented in the (CBI) or other information whose ‘‘Integrated Science Assessment for disclosure is restricted by statute. Do SUMMARY: As part of the review of the Particulate Matter (External Review not submit information through air quality criteria and the primary Draft).’’ www.regulations.gov or email that you (health-based) and secondary (welfare- The ‘‘Integrated Science Assessment consider to be CBI or otherwise based) National Ambient Air Quality for Particulate Matter (External Review protected. The www.regulations.gov Standards (NAAQS) for ozone, Draft)’’ will be discussed at a public website is an ‘‘anonymous access’’ Environmental Protection Agency (EPA) meeting for review by CASAC. In system, which means EPA will not is announcing a webinar workshop to

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evaluate initial draft materials for the secondary standard must ‘‘specify a FEDERAL ACCOUNTING STANDARDS Integrated Science Assessment (ISA) for level of air quality the attainment and ADVISORY BOARD ozone, which is being organized by maintenance of which in the judgment EPA’s National Center for of the Administrator, based on such Notice of Request for Comment on the Environmental Assessment (NCEA) criteria, is requisite to protect the public Exposure Draft of a Proposed within the Office of Research and welfare from any known or anticipated Statement of Federal Financial Development. The workshop will be adverse effects associated with the Accounting Concepts, Materiality held over four days: October 29th, 31st, presence of [the] pollutant in the AGENCY: Federal Accounting Standards November 1st, and 5th, 2018. The ambient air.’’ Advisory Board. workshop will be open to webinar ACTION: attendance by interested public The purpose of the webinar workshop Notice. is to obtain review and discuss the observers on a first-come, first-served Pursuant to 31 U.S.C. 3511(d), the scientific content of initial draft written basis. Federal Advisory Committee Act (Pub. materials prepared for the draft ozone DATES: L. 92–463), as amended, and the FASAB The workshop will be held on ISA for health and welfare effects to Monday, October 29, 2018; Wednesday, Rules Of Procedure, as amended in help ensure that the ISA is up-to-date October 31, 2018; Thursday, November October 2010, notice is hereby given and focuses on the key evidence to 1, 2018; and Monday, November 5, that the Federal Accounting Standards inform the scientific understanding for 2018. Advisory Board (FASAB) has released the review of the primary and secondary an exposure draft of a proposed ADDRESSES: The workshop will be held NAAQS for ozone. Workshop sessions Statement of Federal Financial by teleconference and webinar. The call- will include review and discussion of Accounting Concepts (SFFAC), in number and website information for preliminary draft written materials on Materiality, for public comment. the webinar are available to registered the atmospheric chemistry and The proposed SFFAC is available on participants. Please register by going to background sources of ozone, welfare the FASAB website at http:// https://epa-naaqs-isa- effects of ozone, human exposure to www.fasab.gov/documents-for- ozone.eventbrite.com. ozone and animal toxicological studies, comment/. Copies can be obtained by FOR FURTHER INFORMATION CONTACT: and the health effects evidence from contacting FASAB at (202) 512–7350. Please direct questions regarding human clinical and epidemiological Respondents are encouraged to workshop registration or logistics to Ms. studies. comment on any part of the exposure Canden Byrd at EPA_NAAQS_ draft and to provide the reasons for their In addition, roundtable discussions [email protected] or by phone at 919– positions. Written comments are 293–1660. Questions regarding the will help identify key studies or requested by January 23, 2019, and scientific and technical aspects of the concepts within each discipline to assist should be sent to [email protected] or workshop should be directed to Ms. EPA in integrating relevant literature Wendy M. Payne, Executive Director, Rebecca Daniels; telephone: 919–541– within and across disciplines. These Federal Accounting Standards Advisory 5734; email: [email protected]. preliminary materials are not being Board, 441 G Street NW, Suite 1155, SUPPLEMENTARY INFORMATION: released to the public as external review Washington, DC 20548. drafts, but they will be used to guide FOR FURTHER INFORMATION CONTACT: Ms. I. Summary of Information About the workshop discussions. EPA is planning Wendy M. Payne, Executive Director, Workshop to release an external review draft ISA 441 G Street NW, Suite 1155, Section 109(d)(1) of the Clean Air Act for health and welfare effects of ozone Washington, DC 20548, or call (202) (CAA) requires the U.S. Environmental for review by the Clean Air Scientific 512–7350. Advisory Committee (CASAC) and the Protection Agency (EPA) to periodically Authority: Federal Advisory Committee review, and if appropriate, revise, the public in 2019. Act, Pub. L. 92–463. air quality criteria for each air pollutant listed under section 108 of the Act. II. Workshop Information Dated: October 15, 2018. Wendy M. Payne, Under the same provision, EPA is also Members of the public may attend the Executive Director. to periodically review, and if webinar as observers. Space in the appropriate, revise the NAAQS, based webinar may be limited, and [FR Doc. 2018–23109 Filed 10–22–18; 8:45 am] on the revised air quality criteria. As reservations will be accepted on a first- BILLING CODE 1610–02–P part of these reviews, NCEA assesses come, first-served basis. Registration for newly available scientific information the workshop is available online at and develops ISA documents that FEDERAL ACCOUNTING STANDARDS https://epa-naaqs-isa- provide the scientific basis for the ADVISORY BOARD reviews of the NAAQS. ozone.eventbrite.com. NCEA is holding this webinar Dated: October 12, 2018. Notice of Request for Comment on the workshop to inform EPA’s evaluation of Exposure Draft Interpretation, James Avery, Guidance on Recognizing Liabilities the scientific evidence for the review of Acting Deputy Director, National Center for the primary and secondary NAAQS for Involving Multiple Component Environmental Assessment. Reporting Entities ozone. Section 109(b)(1) of the CAA [FR Doc. 2018–23126 Filed 10–22–18; 8:45 am] defines primary NAAQS as standards AGENCY: BILLING CODE 6560–50–P Federal Accounting Standards ‘‘the attainment and maintenance of Advisory Board. which in the judgment of the ACTION: Notice. Administrator, based on such [air quality] criteria and allowing an Pursuant to 31 U.S.C. 3511(d), the adequate margin of safety, are requisite Federal Advisory Committee Act (Pub. to protect the public health.’’ Under L. 92–463), as amended, and the FASAB section 109(b)(2) of the CAA a Rules Of Procedure, as amended in

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October 2010, notice is hereby given includes whether the acquisition of the clarity of the information to be that the Federal Accounting Standards nonbanking company complies with the collected, and the use of automated Advisory Board (FASAB) has released standards in section 4 of the BHC Act collection techniques or other forms of for public comment an exposure draft of (12 U.S.C. 1843). Unless otherwise information technology to minimize the a proposed Interpretation, Guidance on noted, nonbanking activities will be information collection burden. Recognizing Liabilities Involving conducted throughout the United States. DATES: Comments must be received by Multiple Component Reporting Entities: Unless otherwise noted, comments December 24, 2018. An Interpretation of SFFAS 5. regarding each of these applications ADDRESSES: When commenting, please The proposed Interpretation is must be received at the Reserve Bank reference the document identifier or available on the FASAB website at indicated or the offices of the Board of OMB control number. To be assured http://www.fasab.gov/documents-for- Governors not later than November 20, consideration, comments and comment/. Copies can be obtained by 2018. recommendations must be submitted in contacting FASAB at (202) 512–7350. A. Federal Reserve Bank of Kansas any one of the following ways: Respondents are encouraged to City (Dennis Denney, Assistant Vice 1. Electronically. You may send your comment on any part of the exposure President) 1 Memorial Drive, Kansas comments electronically to http:// draft and to provide the reasons for their City, Missouri 64198–0001: www.regulations.gov. Follow the positions. Written comments are 1. Foote Financial Shares, LLC, instructions for ‘‘Comment or requested by January 17, 2019, and Manhattan, Kansas; to become a bank Submission’’ or ‘‘More Search Options’’ should be sent to [email protected] or holding company by acquiring 100 to find the information collection Wendy M. Payne, Executive Director, percent of the voting shares of Peoples document(s) that are accepting Federal Accounting Standards Advisory State Bank, Manhattan, Kansas. Board, 441 G Street NW, Suite 1155, comments. Board of Governors of the Federal Reserve Washington, DC 20548. 2. By regular mail. You may mail System, October 18, 2018. written comments to the following FOR FURTHER INFORMATION CONTACT: Ms. Yao-Chin Chao, Wendy M. Payne, Executive Director, address: CMS, Office of Strategic Assistant Secretary of the Board. 441 G Street NW, Suite 1155, Operations and Regulatory Affairs, Washington, DC 20548, or call (202) [FR Doc. 2018–23099 Filed 10–22–18; 8:45 am] Division of Regulations Development, 512–7350. BILLING CODE P Attention: Document Identifier/OMB Control Number ll, Room C4–26–05, Authority: Federal Advisory Committee 7500 Security Boulevard, Baltimore, Act, Pub. L. 92–463. DEPARTMENT OF HEALTH AND Maryland 21244–1850. Dated: October 17, 2018. HUMAN SERVICES To obtain copies of a supporting Wendy M. Payne, statement and any related forms for the Executive Director. Centers for Medicare & Medicaid proposed collection(s) summarized in [FR Doc. 2018–23110 Filed 10–22–18; 8:45 am] Services this notice, you may make your request using one of following: BILLING CODE 1610–02–P [Document Identifiers: CMS–224–14, CMS– 10684, CMS–10524, CMS–10572, CMS– 1. Access CMS’ website address at 10433 and CMS–10657] website address at https://www.cms.gov/ FEDERAL RESERVE SYSTEM Regulations-and-Guidance/Legislation/ Agency Information Collection PaperworkReductionActof1995/PRA- Formations of, Acquisitions by, and Activities: Proposed Collection; Listing.html. Mergers of Bank Holding Companies Comment Request 2. Email your request, including your address, phone number, OMB number, The companies listed in this notice AGENCY: Centers for Medicare & and CMS document identifier, to have applied to the Board for approval, Medicaid Services, HHS. [email protected]. pursuant to the Bank Holding Company ACTION: Notice. 3. Call the Reports Clearance Office at Act of 1956 (12 U.S.C. 1841 et seq.) (410) 786–1326. (BHC Act), Regulation Y (12 CFR part SUMMARY: The Centers for Medicare & 225), and all other applicable statutes Medicaid Services (CMS) is announcing FOR FURTHER INFORMATION CONTACT: and regulations to become a bank an opportunity for the public to William Parham at (410) 786–1326. holding company and/or to acquire the comment on CMS’ intention to collect SUPPLEMENTARY INFORMATION: information from the public. Under the assets or the ownership of, control of, or Contents the power to vote shares of a bank or Paperwork Reduction Act of 1995 (the bank holding company and all of the PRA), federal agencies are required to This notice sets out a summary of the banks and nonbanking companies publish notice in the Federal Register use and burden associated with the owned by the bank holding company, concerning each proposed collection of following information collections. More including the companies listed below. information (including each proposed detailed information can be found in The applications listed below, as well extension or reinstatement of an existing each collection’s supporting statement as other related filings required by the collection of information) and to allow and associated materials (see Board, are available for immediate 60 days for public comment on the ADDRESSES). inspection at the Federal Reserve Bank proposed action. Interested persons are CMS–224–14 Federal Qualified Health indicated. The applications will also be invited to send comments regarding our Center Cost Report available for inspection at the offices of burden estimates or any other aspect of CMS–10684 21st Century Cures Act the Board of Governors. Interested this collection of information, including Section 12002 IMD Study persons may express their views in the necessity and utility of the proposed CMS–10524 Medicare Program; Prior writing on the standards enumerated in information collection for the proper Authorization Process for Certain the BHC Act (12 U.S.C. 1842(c)). If the performance of the agency’s functions, Durable Medical Equipment, proposal also involves the acquisition of the accuracy of the estimated burden, Prosthetic, Orthotics, and Supplies a nonbanking company, the review also ways to enhance the quality, utility, and (DMEPOS)

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CMS–10572 Transparency in Coverage pneumococcal and influenza vaccines. has implemented several initiatives in Reporting by Qualified Health Plan The FQHC cost report is also used for recent years to address these issues, Issuers rate setting and payment refinement such as the DMEPOS Competitive CMS–10433 Data Collection to activities, including developing a FQHC Bidding Program, as well as heightened Support QHP Certification and market basket. Additionally, the screening of suppliers, as authorized by other Financial Management and Medicare Payment Advisory the Affordable Care Act. Exchange Operations Commission (MedPAC) uses the FQHC In addition to those actions, CMS is CMS–10657 The State Flexibility to Medicare cost report data to calculate continuing the use of prior Stabilize the Market Grant Program Medicare margins, to formulate authorization in fee for service Under the PRA (44 U.S.C. 3501–3520), recommendations to Congress regarding Medicare. Prior authorization is a federal agencies must obtain the FQHC PPS, and to conduct process through which a request for approval from the Office of additional analysis of the FQHC PPS. provisional affirmation of coverage is Management and Budget (OMB) for Form Number: CMS–224–14 (OMB submitted for review before an item is each collection of information they control number: 0938–1298); Frequency: rendered to a Medicare patient and conduct or sponsor. The term Yearly; Affected Public: State, Local, or before a claim is submitted for payment. ‘‘collection of information’’ is Tribal Governments; Number of Prior authorization helps make sure that defined in 44 U.S.C. 3502(3) and 5 Respondents: 2,240; Number of applicable Medicare coverage, payment, CFR 1320.3(c) and includes agency Responses: 2,240; Total Annual Hours: and coding rules are met before item(s) requests or requirements that 129,920. (For questions regarding this are rendered. Prior to furnishing the members of the public submit collection contact Julie Stankivic at item to the beneficiary and prior to reports, keep records, or provide (410) 786–5725.) submitting the claim for processing, a information to a third party. Section 2. Title of Information Collection: 21st requester must submit a prior 3506(c)(2)(A) of the PRA requires Century Cures Act Section 12002 IMD authorization request that includes federal agencies to publish a 60-day Study; Type of Information Collection evidence that the item complies with all notice in the Federal Register Request: New collection (request for a applicable Medicare coverage, coding, concerning each proposed new OMB control number); Use: The and payment rules. Consistent with collection of information, including Act requires that HHS conduct a study § 414.234(d), such evidence must each proposed extension or of the effects of the 2016 Medicaid include the order, relevant information reinstatement of an existing Managed Care final rule’s provisions from the beneficiary’s medical record, collection of information, before that clarified policy on coverage of IMD and relevant supplier-produced submitting the collection to OMB services in lieu of other covered documentation. After receipt of all for approval. To comply with this services. The survey is needed to help applicable required Medicare requirement, CMS is publishing this answer the 5 mandated study questions. documentation, CMS or one of its notice. The collected data will be used by CMS review contractors will conduct a Information Collection develop a Report to Congress as medical review and communicate a required by the Act. Form Number: decision that provisionally affirms or 1. Title of Information Collection: CMS–10684 (OMB Control Number: non-affirms the request. A provisional Federal Qualified Health Center Cost 0938–TBD); Frequency: Yearly; Affected affirmative decision is a preliminary Report; Type of Information Collection Public: State, Local, or Tribal finding that a future claim submitted to Request: Extension of a currently Governments; Number of Respondents: Medicare for the DMEPOS item likely approved collection; Use: Under the 43; Number of Responses: 43; Total meets Medicare’s coverage, coding, and authority of sections 1815(a) and Annual Hours: 86. (For questions payment requirements. Suppliers who 1833(e) of the Act, CMS requires that regarding this collection contact Laura receive a non-affirmative decision have providers of services participating in the Snyder at (410) 786–3198.) unlimited resubmission opportunities. Medicare program submit information 3. Title of Information Collection: Form Number: CMS–10524 (OMB to determine costs for health care Medicare Program; Prior Authorization control number: 0938–1293); Frequency: services rendered to Medicare Process for Certain Durable Medical Occasionally; Affected Public: Private beneficiaries. Furthermore, these Equipment, Prosthetic, Orthotics, and Sector (Business or other for-profits, sections of the Act provide that no Supplies (DMEPOS); Type of Not-for-Profit Institutions); Number of Medicare payments will be made to a Information Collection Request: Respondents: 321,551; Total Annual provider unless it furnishes the Revision of a currently approved Responses: 321,551; Total Annual information. CMS requires that collection; Use: The CMS has had Hours: 160,775.68 (For policy questions providers follow reasonable cost longstanding concerns about the regarding this collection contact Yuliya principles under 1861(v)(1)(A) of the improper payments related to DMEPOS Cook at (410) 786–0157.) Act when completing the Medicare cost items. The Department of Health and 4. Title of Information Collection: report. Under the regulations at 42 CFR Human Services’ Office of the Inspector Information Collection for Transparency 413.20 and 413.24, CMS defines General and the U.S. Government in Coverage Reporting by Qualified adequate cost data and requires cost Accountability Office have published Health Plan Issuers; Type of Information reports from providers on an annual multiple reports indicating questionable Collection Request: Extension of a basis. The Form CMS–224–14 cost billing practices by suppliers, currently approved information report is needed to determine a inappropriate Medicare payments, and collection request; Use: Section provider’s reasonable cost incurred in questionable utilization of DMEPOS 1311(e)(3) of the Affordable Care Act furnishing medical services to Medicare items. The fiscal year (FY) 2017 requires issuers of Qualified Health beneficiaries and to calculate the FQHC Medicare FFS program improper Plans (QHPs), to make available and settlement amount. These providers, payment rate for the Durable Medical submit transparency in coverage data. paid under the FQHC prospective Equipment, Prosthetics, Orthotics, and This data collection would collect payment system (PPS), may receive Supplies (DMEPOS) was 44.6%, certain information from QHP issuers in reimbursement outside of the PPS for accounting for over $3.7 billion in Federally-facilitated Exchanges and Medicare reimbursable bad debts and projected improper payments. The CMS State-based Exchanges that rely on the

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federal IT platform (i.e., Financial Management and Exchange planning and implementing the HealthCare.gov). HHS anticipates that Operations; Use: As directed by the rule insurance market reforms and consumer consumers may use this information to Establishment of Exchanges and protections under Part A of title XXVII inform plan selection. Qualified Health Plans; Exchange of the Public Health Service Act (PHS As stated in the final rule Patient Standards for Employers (77 FR 18310) Act). States that are awarded funds Protection and Affordable Care Act; (Exchange rule), each Exchange is under this funding opportunity are Establishment of Exchanges and responsible for the certification and required to provide CMS with four Qualified Health Plans; Exchange offering of Qualified Health Plans quarterly reports and one annual report Standards for Employers (77 FR 18310; (QHPs). To offer insurance through an (except for the last year of the grant) March 27, 2012), broader Exchange, a health insurance issuer until the end of the grant period implementation will continue to be must have its health plans certified as detailing the state’s progression towards addressed in separate rulemaking issued QHPs by the Exchange. A QHP must planning and/or implementing the pre- by HHS, and the Departments of Labor meet certain minimum certification selected market reforms under Part A of and the Treasury (the Departments). standards, such as network adequacy, Title XXVII of the PHS Act. A final Consistent with Public Health Service inclusion of Essential Community report is due at the end of the grant Act (PHS Act) 1 section 2715A, which Providers (ECPs), and non- period. Form Number: CMS–10657 largely extends the transparency discrimination. The Exchange is (OMB control number: 0938–NEW); reporting provisions set forth in section responsible for ensuring that QHPs meet Frequency: Annually and Quarterly; 1311(e)(3) to non-grandfathered group these minimum certification standards Affected Public: State, Local or Tribal health plans (including large group and as described in the Exchange rule under Governments; Number of Respondents: self-insured health plans) and health 45 CFR 155 and 156, based on the 31; Total Annual Responses: 5; Total insurance issuers offering group and Patient Protection and Affordable Care Annual Hours: 2,108. (For policy individual health insurance coverage Act (PPACA), as well as other standards questions regarding this collection (non-QHP issuers), the Departments determined by the Exchange. Issuers can contact Jim Taing at (301) 492–4182.) intend to propose other transparency offer individual and small group market Dated: October 17, 2018. plans outside of the Exchanges that are reporting requirements at a later time, William N. Parham, III, through a separate rulemaking not QHPs. The instruments in this information Director, Paperwork Reduction Staff. Office conducted by the Departments, for non- of Strategic Operations and Regulatory QHP issuers and non-grandfathered collection will be used for the 2020 Affairs. group health plans. Those proposed certification process and beyond. Providing these instruments now will [FR Doc. 2018–23027 Filed 10–22–18; 8:45 am] reporting requirements may differ from BILLING CODE 4120–01–P those prescribed in the HHS proposal give issuers and other stakeholders more under section 1311(e)(3), and will take opportunity to familiarize themselves into account differences in markets, with the instruments before releasing DEPARTMENT OF HEALTH AND reporting requirements already in the 2020 application. Form Number: HUMAN SERVICES existence for non-QHPs (including CMS–10433 (OMB control number: group health plans), and other relevant 0938–1187); Frequency: Annually; Food and Drug Administration Affected Public: State, Local, or Tribal factors. The Departments also intend to [Docket Nos. FDA–2017–E–5940, FDA– streamline reporting under multiple Governments, Private Sector (Business or other for-profits); Number of 2017–E–5941, FDA–2017–E–5943, and FDA– reporting provisions and reduce 2017–E–5944] unnecessary duplication. The Respondents: 2,892 Number of Departments intend to implement any Responses: 2,892; Total Annual Hours: Determination of Regulatory Review transparency reporting requirements 68,666. (For questions regarding this Period for Purposes of Patent applicable to non-QHP issuers and non- collection contact Joshua Annas at (301) Extension; SILIQ grandfathered group health plans only 492–4407). 6. Type of Information Collection AGENCY: Food and Drug Administration, after notice and comment, and after Request: Request for a new OMB control HHS. giving those issuers and plans sufficient number; Title of Information Collection: ACTION: time, following the publication of final Notice. The State Flexibility to Stabilize the rules, to come into compliance with Market Grant Program Reporting; Use: SUMMARY: The Food and Drug those requirements. Form Number: Section 1003 of the Affordable Care Act Administration (FDA or the Agency) has CMS–10572 (OMB control number: (ACA) adds a new section 2794 to the determined the regulatory review period 0938–1310); Frequency: Annually; PHS Act entitled, ‘‘Ensuring That for SILIQ and is publishing this notice Affected Public: Private Sector (Business Consumers Get Value for Their Dollars.’’ of that determination as required by or other for-profits); Number of Specifically, section 2794(a) requires the law. FDA has made the determination Respondents: 160; Number of Secretary of the Department of Health because of the submission of Responses: 160; Total Annual Hours: and Human Services (the Secretary) applications to the Director of the U.S. 10,880. (For questions regarding this (HHS), in conjunction with the States, to Patent and Trademark Office (USPTO), collection contact Valisha Jackson at establish a process for the annual review Department of Commerce, for the (301) 492–5145.) of health insurance premiums to protect extension of a patent which claims that 5. Type of Information Collection consumers from unreasonable rate human biological product. Request: Revision of a currently increases. Section 2794(c) directs the DATES: Anyone with knowledge that any approved collection; Title of Secretary to carry out a program to of the dates as published (see the Information Collection: Data Collection award grants to States. Section SUPPLEMENTARY INFORMATION section) are to Support QHP Certification and other 2794(c)(2)(B) specifies that any incorrect may submit either electronic appropriated Rate Review Grant funds or written comments and ask for a 1 PHS Act section 2715A also is incorporated into section 715(a)(1) of the Employee Retirement that are not fully obligated by the end redetermination by December 24, 2018. Income Security Act and section 9815(a)(1) of the of FY 2014 shall remain available to the Furthermore, any interested person may Internal Revenue Code. Secretary for grants to States for petition FDA for a determination

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regarding whether the applicant for Instructions: All submissions received Rm. 6250, Silver Spring, MD 20993, extension acted with due diligence must include the Docket Nos. FDA– 301–796–3600. during the regulatory review period by 2017–E–5940, FDA–2017–E–5941, SUPPLEMENTARY INFORMATION: April 22, 2019. See ‘‘Petitions’’ in the FDA–2017–E–5943, and FDA–2017–E– SUPPLEMENTARY INFORMATION section for 5944 for ‘‘Determination of Regulatory I. Background more information. Review Period for Purposes of Patent The Drug Price Competition and ADDRESSES: You may submit comments Extension; SILIQ.’’ Received comments, Patent Term Restoration Act of 1984 as follows. Please note that late, those filed in a timely manner (see (Pub. L. 98–417) and the Generic untimely filed comments will not be ADDRESSES), will be placed in the docket Animal Drug and Patent Term considered. Electronic comments must and, except for those submitted as Restoration Act (Pub. L. 100–670) be submitted on or before December 24, ‘‘Confidential Submissions,’’ publicly generally provide that a patent may be 2018. The https://www.regulations.gov viewable at https://www.regulations.gov extended for a period of up to 5 years electronic filing system will accept or at the Dockets Management Staff so long as the patented item (human comments until 11:59 p.m. Eastern Time between 9 a.m. and 4 p.m., Monday drug product, animal drug product, at the end of December 24, 2018. through Friday. medical device, food additive, or color additive) was subject to regulatory Comments received by mail/hand • Confidential Submissions—To delivery/courier (for written/paper review by FDA before the item was submit a comment with confidential marketed. Under these acts, a product’s submissions) will be considered timely information that you do not wish to be if they are postmarked or the delivery regulatory review period forms the basis made publicly available, submit your for determining the amount of extension service acceptance receipt is on or comments only as a written/paper before that date. an applicant may receive. submission. You should submit two A regulatory review period consists of Electronic Submissions copies total. One copy will include the two periods of time: A testing phase and Submit electronic comments in the information you claim to be confidential an approval phase. For human following way: with a heading or cover note that states biological products, the testing phase • Federal eRulemaking Portal: ‘‘THIS DOCUMENT CONTAINS begins when the exemption to permit https://www.regulations.gov. Follow the CONFIDENTIAL INFORMATION.’’ The the clinical investigations of the instructions for submitting comments. Agency will review this copy, including biological product becomes effective Comments submitted electronically, the claimed confidential information, in and runs until the approval phase including attachments, to https:// its consideration of comments. The begins. The approval phase starts with www.regulations.gov will be posted to second copy, which will have the the initial submission of an application the docket unchanged. Because your claimed confidential information to market the human biological product comment will be made public, you are redacted/blacked out, will be available and continues until FDA grants solely responsible for ensuring that your for public viewing and posted on permission to market the biological comment does not include any https://www.regulations.gov. Submit product. Although only a portion of a confidential information that you or a both copies to the Dockets Management regulatory review period may count third party may not wish to be posted, Staff. If you do not wish your name and toward the actual amount of extension such as medical information, your or contact information to be made publicly that the Director of USPTO may award anyone else’s Social Security number, or available, you can provide this (for example, half the testing phase must confidential business information, such information on the cover sheet and not be subtracted as well as any time that as a manufacturing process. Please note in the body of your comments and you may have occurred before the patent that if you include your name, contact must identify this information as was issued), FDA’s determination of the information, or other information that ‘‘confidential.’’ Any information marked length of a regulatory review period for identifies you in the body of your as ‘‘confidential’’ will not be disclosed a human biological product will include comments, that information will be except in accordance with § 10.20 (21 all the testing phase and approval phase posted on https://www.regulations.gov. CFR 10.20) and other applicable as specified in 35 U.S.C. 156(g)(1)(B). • If you want to submit a comment disclosure law. For more information FDA has approved for marketing the with confidential information that you about FDA’s posting of comments to human biologic product SILIQ do not wish to be made available to the public dockets, see 80 FR 56469, (brodalumab). SILIQ is indicated for public, submit the comment as a September 18, 2015, or access the treatment of moderate to severe plaque written/paper submission and in the information at: https://www.gpo.gov/ psoriasis in adult patients who are manner detailed (see ‘‘Written/Paper fdsys/pkg/FR-2015-09-18/pdf/2015- candidates for systemic therapy or Submissions’’ and ‘‘Instructions’’). 23389.pdf. phototherapy and have failed to respond or have lost response to other systemic Written/Paper Submissions Docket: For access to the docket to read background documents or the therapies. Subsequent to this approval, Submit written/paper submissions as electronic and written/paper comments the USPTO received patent term follows: restoration applications for SILIQ (U.S. • received, go to https:// Mail/Hand delivery/Courier (for www.regulations.gov and insert the Patent Nos. 7,767,206; 7,939,070; written/paper submissions): Dockets docket number, found in brackets in the 8,435,518; and 8,545,842) from Kirin- Management Staff (HFA–305), Food and heading of this document, into the Amgen, Inc., and the USPTO requested FDA’s assistance in determining the Drug Administration, 5630 Fishers ‘‘Search’’ box and follow the prompts patents’ eligibility for patent term Lane, Rm. 1061, Rockville, MD 20852. and/or go to the Dockets Management • For written/paper comments restoration. In a letter dated January 9, Staff, 5630 Fishers Lane, Rm. 1061, submitted to the Dockets Management 2018, FDA advised the USPTO that this Rockville, MD 20852. Staff, FDA will post your comment, as human biological product had well as any attachments, except for FOR FURTHER INFORMATION CONTACT: undergone a regulatory review period information submitted, marked and Beverly Friedman, Office of Regulatory and that the approval of SILIQ identified, as confidential, if submitted Policy, Food and Drug Administration, represented the first permitted as detailed in ‘‘Instructions.’’ 10903 New Hampshire Ave., Bldg. 51, commercial marketing or use of the

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product. Thereafter, the USPTO true and complete copy of the petition comments until 11:59 p.m. Eastern Time requested that FDA determine the has been served upon the patent at the end of December 24, 2018. product’s regulatory review period. applicant. (See H. Rept. 857, part 1, 98th Comments received by mail/hand Cong., 2d sess., pp. 41–42, 1984.) delivery/courier (for written/paper II. Determination of Regulatory Review Petitions should be in the format submissions) will be considered timely Period specified in 21 CFR 10.30. if they are postmarked or the delivery FDA has determined that the Submit petitions electronically to service acceptance receipt is on or applicable regulatory review period for https://www.regulations.gov at Docket before that date. SILIQ is 3,101 days. Of this time, 2,643 No. FDA–2013–S–0610. Submit written Electronic Submissions days occurred during the testing phase petitions (two copies are required) to the of the regulatory review period, while Dockets Management Staff (HFA–305), Submit electronic comments in the 458 days occurred during the approval Food and Drug Administration, 5630 following way: • phase. These periods of time were Fishers Lane, Rm. 1061, Rockville, MD Federal eRulemaking Portal: derived from the following dates: 20852. https://www.regulations.gov. Follow the 1. The date an exemption under instructions for submitting comments. section 505(i) of the Federal Food, Drug, Dated: October 17, 2018. Comments submitted electronically, and Cosmetic Act (21 U.S.C. 355(i)) Leslie Kux, including attachments, to https:// became effective: August 22, 2008. The Associate Commissioner for Policy. www.regulations.gov will be posted to applicant claims September 26, 2009, as [FR Doc. 2018–23058 Filed 10–22–18; 8:45 am] the docket unchanged. Because your the date the investigational new drug BILLING CODE 4164–01–P comment will be made public, you are application (IND) became effective. solely responsible for ensuring that your However, FDA records indicate that the comment does not include any IND effective date was August 22, 2008, DEPARTMENT OF HEALTH AND confidential information that you or a which was 30 days after FDA receipt of HUMAN SERVICES third party may not wish to be posted, an earlier IND. such as medical information, your or Food and Drug Administration 2. The date the application was anyone else’s Social Security number, or initially submitted with respect to the [Docket No. FDA–2012–N–0386] confidential business information, such human biological product under section as a manufacturing process. Please note 351 of the Public Health Service Act (42 Agency Information Collection that if you include your name, contact U.S.C. 262): November 16, 2015. FDA Activities; Proposed Collection; information, or other information that has verified the applicant’s claim that Comment Request; Registration and identifies you in the body of your the biologics license application (BLA) Product Listing for Owners and comments, that information will be for SILIQ (BLA 761032) was initially Operators of Domestic Tobacco posted on https://www.regulations.gov. submitted on November 16, 2015. Product Establishments and Listing of • If you want to submit a comment 3. The date the application was Ingredients in Tobacco Products with confidential information that you approved: February 15, 2017. FDA has do not wish to be made available to the verified the applicant’s claim that BLA AGENCY: Food and Drug Administration, HHS. public, submit the comment as a 761032 was approved on February 15, written/paper submission and in the ACTION: 2017. Notice. manner detailed (see ‘‘Written/Paper This determination of the regulatory SUMMARY: The Food and Drug Submissions’’ and ‘‘Instructions’’). review period establishes the maximum Administration (FDA, Agency, or we) is potential length of a patent extension. Written/Paper Submissions announcing an opportunity for public However, the USPTO applies several Submit written/paper submissions as comment on the proposed collection of statutory limitations in its calculations follows: certain information by the Agency. of the actual period for patent extension. • Mail/Hand delivery/Courier (for Under the Paperwork Reduction Act of In its applications for patent extension, written/paper submissions): Dockets 1995 (PRA), Federal Agencies are this applicant seeks 1,156 days, 906 Management Staff (HFA–305), Food and required to publish notice in the days, or 847 days of patent term Drug Administration, 5630 Fishers Federal Register concerning each extension. Lane, Rm. 1061, Rockville, MD 20852. proposed collection of information, • For written/paper comments III. Petitions including each proposed extension of an submitted to the Dockets Management Anyone with knowledge that any of existing collection of information, and Staff, FDA will post your comment, as the dates as published are incorrect may to allow 60 days for public comment in well as any attachments, except for submit either electronic or written response to the notice. This notice information submitted, marked and comments and, under 21 CFR 60.24, ask solicits comments on ‘‘Registration and identified, as confidential, if submitted for a redetermination (see DATES). Product Listing for Owners and as detailed in ‘‘Instructions.’’ Furthermore, as specified in § 60.30 (21 Operators of Domestic Tobacco Product Instructions: All submissions received CFR 60.30), any interested person may Establishments and Listing of must include the Docket No. FDA– petition FDA for a determination Ingredients in Tobacco Products.’’ 2012–N–0386 for ‘‘Registration and regarding whether the applicant for DATES: Submit either electronic or Product Listing for Owners and extension acted with due diligence written comments on the collection of Operators of Domestic Tobacco Product during the regulatory review period. To information by December 24, 2018. Establishments and Listing of meet its burden, the petition must ADDRESSES: You may submit comments Ingredients in Tobacco Products.’’ comply with all the requirements of as follows. Please note that late, Received comments, those filed in a § 60.30, including but not limited to: untimely filed comments will not be timely manner (see ADDRESSES), will be must be timely (see DATES), must be considered. Electronic comments must placed in the docket and, except for filed in accordance with § 10.20, must be submitted on or before December 24, those submitted as ‘‘Confidential contain sufficient facts to merit an FDA 2018. The https://www.regulations.gov Submissions,’’ publicly viewable at investigation, and must certify that a electronic filing system will accept https://www.regulations.gov or at the

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Dockets Management Staff between 9 provide information to a third party. The Secretary of Health and Human a.m. and 4 p.m., Monday through Section 3506(c)(2)(A) of the PRA (44 Services (Secretary) has delegated to the Friday. U.S.C. 3506(c)(2)(A)) requires Federal Commissioner of Food and Drugs the • Confidential Submissions—To Agencies to provide a 60-day notice in responsibility for administering the submit a comment with confidential the Federal Register concerning each FD&C Act, including section 905. information that you do not wish to be proposed collection of information, Section 905 of the FD&C Act requires made publicly available, submit your including each proposed extension of an owners or operators of each comments only as a written/paper existing collection of information, establishment to register: (1) Their submission. You should submit two before submitting the collection to OMB name; (2) places of business; (3) a list of copies total. One copy will include the for approval. To comply with this all tobacco products which are information you claim to be confidential requirement, FDA is publishing notice manufactured by that person; (4) a copy with a heading or cover note that states of the proposed collection of of all labeling and a reference to the ‘‘THIS DOCUMENT CONTAINS information set forth in this document. authority for the marketing of any CONFIDENTIAL INFORMATION.’’ The With respect to the following tobacco product subject to a tobacco Agency will review this copy, including collection of information, FDA invites product standard under section 907 of the claimed confidential information, in comments on these topics: (1) Whether the FD&C Act (21 U.S.C. 387g) or to its consideration of comments. The the proposed collection of information premarket review under section 910 of second copy, which will have the is necessary for the proper performance the FD&C Act (21 U.S.C. 387j); (5) a claimed confidential information of FDA’s functions, including whether copy of all consumer information and redacted/blacked out, will be available the information will have practical other labeling; (6) a representative for public viewing and posted on utility; (2) the accuracy of FDA’s sampling of advertisements; (7) upon https://www.regulations.gov. Submit estimate of the burden of the proposed request made by the Secretary for good both copies to the Dockets Management collection of information, including the cause, a copy of all advertisements for Staff. If you do not wish your name and validity of the methodology and a particular tobacco product; and (8) contact information to be made publicly assumptions used; (3) ways to enhance upon request made by the Secretary, if available, you can provide this the quality, utility, and clarity of the the registrant has determined that a information on the cover sheet and not information to be collected; and (4) tobacco product contained in the in the body of your comments and you ways to minimize the burden of the product list is not subject to a tobacco must identify this information as collection of information on product standard established under ‘‘confidential.’’ Any information marked respondents, including through the use section 907 of the FD&C Act, a brief as ‘‘confidential’’ will not be disclosed of automated collection techniques, statement of the basis upon which the except in accordance with 21 CFR 10.20 when appropriate, and other forms of registrant made such determination. and other applicable disclosure law. For information technology. FDA collects the information more information about FDA’s posting submitted pursuant to section 905 of the of comments to public dockets, see 80 Registration and Product Listing for FD&C Act through an electronic portal, FR 56469, September 18, 2015, or access Owners and Operators of Domestic and through paper forms (Forms FDA the information at: https://www.gpo.gov/ Tobacco Product Establishments and 3741 and FDA 3741a) for those fdsys/pkg/FR-2015-09-18/pdf/2015- Listing of Ingredients in Tobacco individuals who choose not to use the 23389.pdf. Products electronic portal. FDA has also published a guidance Docket: For access to the docket to OMB Control Number 0910–0650— for industry entitled ‘‘Registration and read background documents or the Extension electronic and written/paper comments Product Listing for Owners and On June 22, 2009, the President received, go to https:// Operators of Domestic Tobacco Product signed the Family Smoking Prevention www.regulations.gov and insert the Establishments’’ (https://www.fda.gov/ and Tobacco Control Act (Tobacco docket number, found in brackets in the downloads/TobaccoProducts/Labeling/ Control Act) (Pub. L. 111–31) into law. heading of this document, into the RulesRegulationsGuidance/ The Tobacco Control Act amended the ‘‘Search’’ box and follow the prompts UCM191940.pdf). This guidance is Federal Food, Drug, and Cosmetic Act and/or go to the Dockets Management intended to assist persons making (FD&C Act) by adding, among other Staff, 5630 Fishers Lane, Rm. 1061, tobacco product establishment things, a chapter granting FDA Rockville, MD 20852. registration and product listing important authority to regulate the submissions to FDA. FOR FURTHER INFORMATION CONTACT: manufacture, marketing, and Section 904(a)(1) of the FD&C Act Amber Sanford, Office of Operations, distribution of tobacco products to requires that each tobacco product Food and Drug Administration, Three protect the public health generally and manufacturer or importer submit ‘‘a White Flint North, 10A–12M, 11601 to reduce tobacco use by minors. The listing of all ingredients, including Landsdown St., North Bethesda, MD Tobacco Control Act created new tobacco, substances, compounds, and 20852, 301–796–8867, PRAStaff@ requirements for the tobacco industry. additives that are, as of such date, added fda.hhs.gov. Section 101 of the Tobacco Control Act by the manufacturer to the tobacco, SUPPLEMENTARY INFORMATION: Under the amended the FD&C Act by adding paper, filter, or other part of each PRA (44 U.S.C. 3501–3520), Federal sections 905 and 904 (21 U.S.C. 387e tobacco product by brand and by Agencies must obtain approval from the and 387d). quantity in each brand and subbrand’’ Office of Management and Budget Section 905 of the FD&C Act requires by December 22, 2009. This section (OMB) for each collection of the annual registration of any applies only to those tobacco products information they conduct or sponsor. ‘‘establishment in any State engaged in manufactured and distributed before ‘‘Collection of information’’ is defined the manufacture, preparation, June 22, 2009, and which are still in 44 U.S.C. 3502(3) and 5 CFR compounding, or processing of a manufactured as of the date of the 1320.3(c) and includes Agency requests tobacco product or tobacco products.’’ ingredient listing submission. or requirements that members of the Section 905 requires this registration be Section 904(c) of the FD&C Act public submit reports, keep records, or completed by December 31 of each year. requires that a tobacco product

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manufacturer: (1) Provide all carcinogen, or otherwise harmful to deeming all other products that meet the information required under section health under intended conditions of statutory definition of a tobacco product 904(a) of the FD&C Act to FDA ‘‘at least use. to be subject to Chapter 9 of the FD&C 90 days prior to the delivery for FDA collects the information Act (section 901(b) (21 U.S.C. 387a(b)) introduction into interstate commerce of submitted pursuant to sections 904(a)(1) of the FD&C Act). On May 10, 2016, a tobacco product not on the market on and 904(c) of the FD&C Act through an FDA issued that rule, extending FDA’s the date of enactment’’ of the Tobacco electronic portal, and through a paper tobacco product authority to all Control Act; (2) advise FDA in writing form (Form FDA 3742) for those products that meet the definition of at least 90 days prior to adding any new individuals who choose not to use the tobacco product in the law (except for tobacco additive or increasing in electronic portal. accessories of newly regulated tobacco quantity an existing tobacco additive, In addition to the development of the products), including electronic nicotine except for those additives that have electronic portal and paper form, FDA been designated by FDA through published a guidance entitled ‘‘Listing delivery systems, cigars, hookah, pipe regulation as not a human or animal of Ingredients in Tobacco Products.’’ tobacco, nicotine gels, dissolvables that carcinogen, or otherwise harmful to This guidance is intended to assist were not already subject to the FD&C health under intended conditions of persons making tobacco product Act, and other tobacco products that use; and (3) advise FDA in writing at ingredient listing submissions. FDA also may be developed in the future (81 FR least 60 days prior to eliminating or provides a technical guide, embedded 28974 at 28976) (‘‘the final deeming decreasing an existing additive, or hints, and a web tutorial to the rule’’)). adding or increasing an additive that electronic portal. FDA estimates the burden of this has been designated by FDA through The Tobacco Control Act also gave collection of information as follows: regulation as not a human or animal FDA the authority to issue a regulation

TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1

Number of FDA form/activity/TCA section Number of responses per Total annual Hours per response Total hours respondents respondent responses

Tobacco Product Establishment Initial Registration 100 1 100 1.6...... 160 and Listing; Form FDA 3741 Registration and Product Listing for Owners and Operators of Do- mestic Establishments (Electronic and Paper submissions); Sections 905(b), 905(c), 905(d), 905(h), or 905(i). Tobacco Product Establishment Renewal Registra- 3,578 1 3,578 .16 (10 minutes) ...... 572 tion and Listing; Form FDA 3741 Registration and Product Listing for Owners and Operators of Domestic Establishments (Electronic and Paper submissions); Sections 905(b), 905(c), 905(d), 905(h), or 905(i). Tobacco Product Listing; Form FDA 3742 Listing 10 1 10 2...... 20 of Ingredients (Electronic and Paper submis- sions); Section 904(a)(1). Tobacco Product Listing; Form FDA 3742 Listing 35 2 70 0.40 (24 minutes) ...... 28 of Ingredients (Electronic and Paper submis- sions); Section 904(c). Obtaining a Dun and Bradstreet D–U–N–S Number 100 1 100 0.5 (30 minutes) ...... 50

Total ...... 830 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

The PRA burden estimates have been compounding, or processing of a As the deadline for initial updated to fully incorporate the use of tobacco product. This includes establishment registration and product an electronic system known as FURLS importers to the extent that they engage listing for both statutorily regulated and for submitting registration and product in the manufacture, preparation, deemed products has passed, FDA listing information to FDA. With the compounding, or processing of a estimates that few (up to 100) new FURLS, manufacturers can enter tobacco product, including repackaging establishments will submit one initial information quickly and easily. For or otherwise changing the container, establishment registration and product example, product label pictures can be wrapper, or labeling of any tobacco listing report each year. Such new uploaded directly. We anticipate that product package. Foreign establishments potentially include new most, if not all companies, already have establishments are not required to vape shop locations that mix or electronic versions of their labels for register and list until FDA issues assemble products on the market as of printing, sales, or marketing purposes. regulations establishing such the final deeming rule effective date. Product listing information is requirements in accordance with section The Agency estimates that up to 100 provided at the time of registration. 905(h) of the FD&C Act. To account for tobacco establishments will each submit Currently, registration and listing the foregoing, we include both domestic 1 initial establishment registration and requirements only apply to domestic manufacturing establishments and product listing report each year, which establishments engaged in the importers in our estimates. is expected to take 1.6 hours, for a total manufacture, preparation, 160 burden hours.

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FDA estimates that the confirmation to be for products subject to the Director of the U.S. Patent and or updating of establishment registration deeming compliance period. Trademark Office (USPTO), Department and product listing information as Based on FDA’s experience and the of Commerce, for the extension of a required by section 905 of the FD&C Act actual number of product ingredient patent which claims that human drug will take 10 minutes annually per listings submitted over the past 3 years, product. confirmation or update per FDA estimates that 35 establishments establishment. Based on FDA’s will each submit two reports (one every DATES: Anyone with knowledge that any experience with current establishment 6 months). FDA also estimates that the of the dates as published (see the registration and product listings confirmation or updating of product SUPPLEMENTARY INFORMATION section) are submitted to the Agency, the Agency (ingredient) listing information required incorrect may submit either electronic estimates that on average 3,578 by section 904(c) of the FD&C Act is or written comments and ask for a establishments will each submit one expected to take 0.40 hour (24 minutes) redetermination by December 24, 2018. confirmation or updated report each and will take 48 minutes annually for Furthermore, any interested person may year, which is expected to take 0.16 two confirmations or updates per petition FDA for a determination hour (10 minutes) for a total 572 burden establishment, for a total 28 burden regarding whether the applicant for hours. hours. FDA estimates that obtaining a extension acted with due diligence FDA estimates that we have received DUNS (data universal numbering during the regulatory review period by most tobacco product ingredient system) number will take 30 minutes. April 22, 2019. See ‘‘Petitions’’ in the submissions for large manufacturers of FDA assumes that all new establishment SUPPLEMENTARY INFORMATION section for deemed products. Small manufacturers’ facilities that will be required to more information. initially register under section 905 of deadline for ingredient submissions is ADDRESSES: You may submit comments the FD&C Act would obtain a DUNS November 2018. This is based on the as follows. Please note that late, counts we have to date (July 2018), number. FDA estimates that up to 100 establishments that would need to untimely filed comments will not be including statutorily regulated products considered. Electronic comments must (based on information in our tracking obtain this number each year. The total industry burden to obtain a DUNS be submitted on or before December 24, system). 2018. The https://www.regulations.gov FDA estimates that the submission of number is 50 hours. FDA estimates the total burden for electronic filing system will accept ingredient listings required by section this collection to be 830 hours. We have comments until 11:59 p.m. Eastern Time 904(a)(1) of the FD&C Act for each adjusted our burden estimate, which has at the end of December 24, 2018. establishment will take 2 hours initially. resulted in a decrease of 93,086 hours to Comments received by mail/hand Because this burden estimate covers a the currently approved burden. Based delivery/courier (for written/paper timeframe of 3 years, we anticipate on data we reviewed from the past 3 submissions) will be considered timely almost all section 904(a)(1) tobacco years and projecting the number of if they are postmarked or the delivery ingredient submissions to have been remaining establishments that have not service acceptance receipt is on or received before the expiration of the registered and submitted product before that date. current approval (prior to 11/8/2018 for ingredient listings, we revised the small manufacturers and large Electronic Submissions number of respondents and burden manufacturers, 5/8/18). We are hours in this information collection. Submit electronic comments in the estimating approximately 30 following way: manufacturers may miss their deadline. Dated: October 17, 2018. • This is based on estimates of how many Leslie Kux, Federal eRulemaking Portal: large manufacturers we are aware of that Associate Commissioner for Policy. https://www.regulations.gov. Follow the have missed their deadline. Because this [FR Doc. 2018–23056 Filed 10–22–18; 8:45 am] instructions for submitting comments. burden estimate covers 3 years, we are BILLING CODE 4164–01–P Comments submitted electronically, dividing by 3, to yield 10 respondents including attachments, to https:// as a yearly average for this estimate. www.regulations.gov will be posted to Therefore, FDA estimates that 10 DEPARTMENT OF HEALTH AND the docket unchanged. Because your establishments will initially submit one HUMAN SERVICES comment will be made public, you are report annually at 2 hours per report, for solely responsible for ensuring that your a total of 20 hours. Food and Drug Administration comment does not include any Submissions under 904(c) of the [Docket Nos. FDA–2017–E–3617, FDA– confidential information that you or a FD&C Act are for any new product that 2017–E–3619, and FDA–2017–E–3618] third party may not wish to be posted, is not yet on the market (e.g., if on the such as medical information, your or market due to deeming compliance Determination of Regulatory Review anyone else’s Social Security number, or period), newly deemed product Period for Purposes of Patent confidential business information, such manufacturers should have submitted Extension; NUPLAZID as a manufacturing process. Please note that if you include your name, contact under section 904(a)(1) of the FD&C Act. AGENCY: Food and Drug Administration, This includes any statutorily regulated information, or other information that HHS. identifies you in the body of your product that would receive a marketing ACTION: Notice. authorization and any new deemed comments, that information will be product not subject to the deeming SUMMARY: The Food and Drug posted on https://www.regulations.gov. compliance period. For deemed product Administration (FDA or the Agency) has • If you want to submit a comment categories, while we anticipate receiving determined the regulatory review period with confidential information that you a large number of premarket for NUPLAZID and is publishing this do not wish to be made available to the applications, there is a portion of these notice of that determination as required public, submit the comment as a applicants who will have reported their by law. FDA has made the written/paper submission and in the ingredients under section 904(a)(1) as determination because of the manner detailed (see ‘‘Written/Paper most of these submissions are expected submission of applications to the Submissions’’ and ‘‘Instructions’’).

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Written/Paper Submissions Docket: For access to the docket to applications for NUPLAZID (U.S. Patent read background documents or the Nos. 7,601,740; 7,659,285; and Submit written/paper submissions as electronic and written/paper comments 7,732,615) from ACADIA follows: received, go to https:// Pharmaceuticals Inc., and the USPTO • Mail/Hand delivery/Courier (for www.regulations.gov and insert the requested FDA’s assistance in written/paper submissions): Dockets docket number, found in brackets in the determining the patents’ eligibility for Management Staff (HFA–305), Food and heading of this document, into the patent term restoration. In a letter dated Drug Administration, 5630 Fishers ‘‘Search’’ box and follow the prompts September 20, 2017, FDA advised the Lane, Rm. 1061, Rockville, MD 20852. and/or go to the Dockets Management USPTO that this human drug product • For written/paper comments Staff, 5630 Fishers Lane, Rm. 1061, had undergone a regulatory review submitted to the Dockets Management Rockville, MD 20852. period and that the approval of Staff, FDA will post your comment, as FOR FURTHER INFORMATION CONTACT: NUPLAZID represented the first well as any attachments, except for Beverly Friedman, Office of Regulatory permitted commercial marketing or use information submitted, marked and Policy, Food and Drug Administration, of the product. Thereafter, the USPTO identified, as confidential, if submitted 10903 New Hampshire Ave., Bldg. 51, requested that FDA determine the as detailed in ‘‘Instructions.’’ Rm. 6250, Silver Spring, MD 20993, product’s regulatory review period. Instructions: All submissions received 301–796–3600. II. Determination of Regulatory Review must include the Docket Nos. FDA– SUPPLEMENTARY INFORMATION: Period 2017–E–3617, FDA–2017–E–3619, and FDA–2017–E–3618 for ‘‘Determination I. Background FDA has determined that the applicable regulatory review period for of Regulatory Review Period for The Drug Price Competition and NUPLAZID is 4,557 days. Of this time, Purposes of Patent Extension; Patent Term Restoration Act of 1984 4,315 days occurred during the testing NUPLAZID.’’ Received comments, those (Pub. L. 98–417) and the Generic phase of the regulatory review period, filed in a timely manner (see Animal Drug and Patent Term while 242 days occurred during the ADDRESSES), will be placed in the docket Restoration Act (Pub. L. 100–670) approval phase. These periods of time and, except for those submitted as generally provide that a patent may be were derived from the following dates: ‘‘Confidential Submissions,’’ publicly extended for a period of up to 5 years viewable at https://www.regulations.gov 1. The date an exemption under so long as the patented item (human section 505(i) of the Federal Food, Drug, or at the Dockets Management Staff drug product, animal drug product, between 9 a.m. and 4 p.m., Monday and Cosmetic Act (FD&C Act) (21 U.S.C. medical device, food additive, or color 355(i)) became effective: November 9, through Friday. additive) was subject to regulatory • 2003. FDA has verified the applicant’s Confidential Submissions—To review by FDA before the item was claim that the date the investigational submit a comment with confidential marketed. Under these acts, a product’s new drug application became effective information that you do not wish to be regulatory review period forms the basis was November 9, 2003. made publicly available, submit your for determining the amount of extension 2. The date the application was comments only as a written/paper an applicant may receive. initially submitted with respect to the submission. You should submit two A regulatory review period consists of human drug product under section copies total. One copy will include the two periods of time: A testing phase and 505(b) of the FD&C Act: September 1, information you claim to be confidential an approval phase. For human drug 2015. FDA has verified the applicant’s with a heading or cover note that states products, the testing phase begins when claim that the new drug application ‘‘THIS DOCUMENT CONTAINS the exemption to permit the clinical (NDA) for NUPLAZID (NDA 207–318) CONFIDENTIAL INFORMATION.’’ The investigations of the drug becomes was initially submitted on September 1, Agency will review this copy, including effective and runs until the approval 2015. the claimed confidential information, in phase begins. The approval phase starts 3. The date the application was its consideration of comments. The with the initial submission of an approved: April 29, 2016. FDA has second copy, which will have the application to market the human drug verified the applicant’s claim that NDA claimed confidential information product and continues until FDA grants 207–318 was approved on April 29, redacted/blacked out, will be available permission to market the drug product. 2016. for public viewing and posted on Although only a portion of a regulatory This determination of the regulatory https://www.regulations.gov. Submit review period may count toward the review period establishes the maximum both copies to the Dockets Management actual amount of extension that the potential length of a patent extension. Staff. If you do not wish your name and Director of USPTO may award (for However, the USPTO applies several contact information to be made publicly example, half the testing phase must be statutory limitations in its calculations available, you can provide this subtracted as well as any time that may of the actual period for patent extension. information on the cover sheet and not have occurred before the patent was In its applications for patent extension, in the body of your comments and you issued), FDA’s determination of the this applicant seeks 1,197 days, 1,256 must identify this information as length of a regulatory review period for days, or 1,316 days of patent term ‘‘confidential.’’ Any information marked a human drug product will include all extension. as ‘‘confidential’’ will not be disclosed of the testing phase and approval phase except in accordance with § 10.20 (21 as specified in 35 U.S.C. 156(g)(1)(B). III. Petitions CFR 10.20) and other applicable FDA has approved for marketing the Anyone with knowledge that any of disclosure law. For more information human drug product, NUPLAZID the dates as published are incorrect may about FDA’s posting of comments to (pimavanserin tartrate). NUPLAZID is submit either electronic or written public dockets, see 80 FR 56469, indicated for treatment of hallucinations comments and, under 21 CFR 60.24, ask September 18, 2015, or access the and delusions associated with for a redetermination (see DATES). information at: https://www.gpo.gov/ Parkinson’s disease psychosis. Furthermore, as specified in § 60.30 (21 fdsys/pkg/FR-2015-09-18/pdf/2015- Subsequent to this approval, the USPTO CFR 60.30), any interested person may 23389.pdf. received patent term restoration petition FDA for a determination

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regarding whether the applicant for planning to achieve these goals through Therefore, there is a need for a better extension acted with due diligence increased interactive engagement with understanding of premarket testing during the regulatory review period. To manufacturers of OCT devices. FDA expectations for OCT devices and meet its burden, the petition must intends to use the voluntary OCT 510(k) dialogue between FDA and OCT comply with all the requirements of Pilot Program to assess whether the manufacturers in order to reduce the § 60.30, including but not limited to: individual testing recommendations need for additional data requests during Must be timely (see DATES), must be provided through the pre-submission the 510(k) submission review. filed in accordance with § 10.20, must process and increased interactive II. Description of the Voluntary OCT contain sufficient facts to merit an FDA engagement improve the premarket 510(k) Pilot Program investigation, and must certify that a review process and reduce the overall true and complete copy of the petition total time to decision (TTD), a shared FDA intends to achieve the goals of has been served upon the patent FDA-industry commitment goal, in the voluntary OCT 510(k) Pilot Program, applicant. (See H. Rept. 857, part 1, 98th support of the Medical Device User Fee that are described in Section III, by: (1) Cong., 2d sess., pp. 41–42, 1984.) Amendments of 2017. Communicating and obtaining feedback Petitions should be in the format DATES: FDA is seeking participation in related to individual recommendations specified in 21 CFR 10.30. the voluntary OCT 510(k) Pilot Program regarding non-clinical and clinical Submit petitions electronically to beginning October 23, 2018. See the evaluation of OCT devices; and (2) https://www.regulations.gov at Docket ‘‘Voluntary OCT 510(k) Pilot Program facilitating discussion between FDA and No. FDA–2013–S–0610. Submit written Procedures’’ section for instructions on individual OCT device manufacturers petitions (two copies are required) to the how to submit a request to participate. regarding these risk-based testing Dockets Management Staff (HFA–305), The voluntary OCT 510(k) Pilot Program recommendations. Specifically, Food and Drug Administration, 5630 will select the first nine eligible participants in the voluntary OCT Fishers Lane, Rm. 1061, Rockville, MD participants. 510(k) Pilot Program will have the 20852. FOR FURTHER INFORMATION CONTACT: Brad opportunity to discuss premarket Dated: October 17, 2018. Cunningham, Center for Devices and performance testing recommendations for their OCT device in an interactive Leslie Kux, Radiological Health, Food and Drug format (by phone or in-person meeting) Associate Commissioner for Policy. Administration, 10903 New Hampshire Ave., Bldg. 66, Rm. 2430, Silver Spring, with the FDA review team, including [FR Doc. 2018–23057 Filed 10–22–18; 8:45 am] engineers, medical officers, and BILLING CODE 4164–01–P MD 20993, 301–796–6620, email: [email protected]. managers. FDA will interactively communicate and solicit feedback on its SUPPLEMENTARY INFORMATION: individual testing recommendations to DEPARTMENT OF HEALTH AND I. Background yield a mutual, clear understanding of HUMAN SERVICES OCT devices are devices for viewing, the information necessary to Food and Drug Administration imaging, measurement, and analysis of demonstrate substantial equivalence in ocular structures and may be used to aid a 510(k) submission for the OCT device [Docket No. FDA–2018–N–3623] in the detection and management of and to streamline 510(k) submission and various ocular diseases. These devices review. Fostering Medical Innovation: Participation eligibility in this Voluntary Pilot Program To Streamline are classified under 21 CFR 886.1570 and are assigned the product code OBO; voluntary OCT 510(k) Pilot Program is Review of Premarket Notification determined based on the factors listed (510(k)) Submissions for Ophthalmic they are Class II devices requiring premarket notification (510(k)) prior to in Section IV. Due to resource Optical Coherence Tomography constraints, we intend to limit this Devices marketing. In their 510(k) submission, for purposes of premarket clearance, voluntary pilot program to the first nine AGENCY: Food and Drug Administration, manufacturers must demonstrate eligible participants. HHS. substantial equivalence to a legally To evaluate success of the voluntary ACTION: Notice. marketed predicate in terms of intended OCT 510(k) Pilot Program, we intend to use, technological characteristics, and assess 510(k) TTD and feedback on the SUMMARY: The Food and Drug performance. This is typically achieved pre-submission and 510(k) processes Administration’s (FDA) Center for through evaluation of non-clinical and/ from participants in the pilot program. Devices and Radiological Health, Office or clinical data, among other This voluntary pilot program is of Device Evaluation recognizes that an information. limited to OCT devices, not already efficient, risk-based approach to Currently, there are no FDA- cleared for marketing through 510(k), regulating ophthalmic Optical recognized consensus standards or which could be classified under 21 CFR Coherence Tomography (OCT) published guidance documents 886.1570. technology will foster innovation available that describe performance III. Goals of the Voluntary OCT 510(k) designed to improve ophthalmic testing recommendations for OCT Pilot Program healthcare. To make premarket review devices. As such, 510(k) submissions, of OCT devices more efficient, we are when initially submitted to FDA, often FDA has the following goals for the announcing a new voluntary OCT do not include adequate testing to voluntary OCT 510(k) Pilot Program: Premarket Notification (510(k)) Pilot support substantial equivalence. This is 1. Improve consistency and Program, designed to develop and refine evidenced by consistent requests for predictability of the 510(k) premarket individual premarket testing additional information (including new review process for OCT devices. recommendations for OCT devices data and analyses) across OCT 510(k) 2. Reduce TTD for OCT 510(k) through the pre-submission process to submissions, which are unforeseen by submissions, noting that ‘‘FDA and yield more consistent premarket manufacturers and may greatly applicants share the responsibility for submissions and improve predictability contribute to an increase in TTD for an achieving this objective of reducing the of the 510(k) review process. We are individual 510(k) submission. average Total Time to Decision, while

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maintaining standards for safety and the manufacturer is enrolled as a stated in this guidance, ‘‘[a]n acceptance effectiveness’’ (Ref. 1). participant in the voluntary OCT 510(k) review will only begin for 510(k) 3. Increase collaboration between Pilot Program. Based on the intended submissions for which the appropriate FDA and individual manufacturers to use and critical technological user fee has been paid and a validated refine non-clinical and/or clinical characteristics of the OCT device and eCopy has been received.’’ As testing recommendations. the proposed predicate device, provided recommended in the guidance, the in the ‘‘statement of interest,’’ FDA also IV. Participation Eligibility 510(k) should include a separate section intends to provide initial feedback with information on the pre-submission Eligibility for participation in the regarding testing (non-clinical and/or under Section V.A., including the pre- voluntary OCT 510(k) Pilot Program will clinical) recommendations for the submission number, a copy of the FDA be based on the following factors: specific OCT device. feedback (e.g., letter, meeting minutes), 1. Intent to submit a Traditional 3. If eligible and enrolled as a 510(k) for an OCT device, that could be participant, the OCT manufacturer and a statement of how or where in the classified under 21 CFR 886.1570, should subsequently, yet in a timely 510(k) this prior feedback, including within 1 year of acceptance to the manner (e.g., three months from each of the testing recommendations, voluntary OCT 510(k) Pilot Program. notification of enrollment as a was addressed. Consistent with FDA’s 2. Commitment to support an participant), submit a pre-submission RTA policy as described in the interactive review process and to that includes applicable information guidance, FDA intends to complete the respond interactively and in a timely recommended in FDA’s Pre-submission acceptance review for the 510(k) manner, as requested, during the 510(k) guidance (Ref. 2), including specific submission within 15 calendar days. review, including response to any FDA questions for which the manufacturer is Once the OCT 510(k) has been requests for additional information. seeking FDA input, along with the accepted for review, FDA intends to 3. Based on pre-submission proposed testing plan for its OCT complete review of the 510(k) device, after considering FDA’s initial interactions, commitment to incorporate submission within a TTD of 90 calendar feedback, including recommendations, FDA feedback, including days. To help achieve this, during the recommendations provided on the provided in response to the ‘‘statement of interest.’’ 510(k) review, FDA intends to resolve testing plan, into the testing that will be any identified deficiencies through an conducted to support the Traditional 4. During the pre-submission phase of interactive process without placing the 510(k) submission. the pilot program, FDA intends to OCT 510(k) submission on hold. At its discretion, FDA may withdraw provide feedback on the proposed a manufacturer from the OCT 510(k) testing plan and any specific questions Consistent with the participation Pilot Program for not carrying out any included in the pre-submission within eligibility factors under Section IV, FDA of the commitments mentioned 35 calendar days. In addition, and if expects manufacturers to provide timely previously. requested by the manufacturer, FDA responses to FDA in response to intends to schedule a meeting to occur deficiencies identified as part of an V. Voluntary OCT 510(k) Pilot Program within one week after issuing feedback interactive review process. To facilitate Procedures to the manufacturer during the pre- FDA-industry interaction, we will A. Enrollment and Interaction for OCT submission phase to clarify or discuss provide a ‘‘point of contact’’ to ensure Pre-submission alternative testing approaches. As a goal open, continual interaction during the of the pilot program is to positively review process. Through the ‘‘point of To be considered for the voluntary impact and reduce TTD for OCT 510(k) OCT 510(k) Pilot Program, an OCT contact’’ person, the participants will be submissions, FDA expects that the OCT able to communicate with the FDA device manufacturer should submit a manufacturer will implement the testing review team (which intends to respond ‘‘statement of interest’’ for participation plan, including any modifications to the within two business days) to to [email protected]. plan based on feedback and dialogue, The ‘‘statement of interest’’ should discussed during this pre-submission expeditiously address any issues related include the following: (1) phase, during development of the 510(k) to the 510(k) submission. FDA will Manufacturer’s name and contact submission. FDA welcomes feedback on evaluate the 510(k) consistent with information; (2) explanation of why the our testing recommendations as part of existing 510(k) review processes and manufacturer believes it meets the the voluntary OCT 510(k) Pilot Program. procedures, including those outlined in participation eligibility factors outlined We recognize that manufacturers may FDA’s 510(k) Program Guidance (Ref. 4). in Section IV; and (3) the intended use propose appropriate alternatives to FDA C. Assessment of the Voluntary OCT (including indications for use) and recommendations, and we intend to 510(k) Pilot Program critical technological characteristics of provide feedback on any proposed the OCT device for which a Traditional alternatives in the context of a pre- Following completion of the review of 510(k) will be submitted under the pilot submission submitted per Section V.A., 510(k)s in the voluntary OCT 510(k) program as well as the proposed as part of the pilot program. Pilot Program, participating predicate device. manufacturers will have the opportunity The following captures the process for B. Refuse To Accept (RTA) and to provide individual feedback on the the enrollment and pre-submission Substantive 510(k) Review for OCT voluntary OCT 510(k) Pilot Program and phase of the voluntary OCT 510(k) Pilot 510(k)s its impact on consistency and Program: Once the 510(k) for an OCT device 1. Upon receiving a ‘‘statement of enrolled in the voluntary OCT 510(k) predictability of the 510(k) review interest,’’ FDA will determine eligibility Pilot Program is received by FDA, it will process and FDA/manufacturer based on the factors outlined in Section be screened to assess whether it meets collaboration during the pilot program. IV. a minimum threshold of acceptability FDA intends to solicit feedback from 2. FDA intends to notify the for substantive review, as described in pilot program participants electronically manufacturer via email whether the FDA’s guidance on its Refuse to Accept through an email questionnaire. TTD manufacturer is eligible and/or whether (RTA) Policy for 510(k)s (Ref. 3). As will also be evaluated.

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VI. Duration of the OCT 510(k) Pilot GuidanceDocuments/UCM284443. comment will be made public, you are Program Dated: October 17, 2018. solely responsible for ensuring that your FDA intends to accept requests for Leslie Kux, comment does not include any confidential information that you or a participation in the voluntary OCT Associate Commissioner for Policy. 510(k) Pilot Program from the date of third party may not wish to be posted, [FR Doc. 2018–23059 Filed 10–22–18; 8:45 am] such as medical information, your or publication in the Federal Register BILLING CODE 4164–01–P through one year, or until the time when anyone else’s Social Security number, or a total of nine participants have been confidential business information, such as a manufacturing process. Please note enrolled. DEPARTMENT OF HEALTH AND that if you include your name, contact HUMAN SERVICES VII. Paperwork Reduction Act of 1995 information, or other information that This notice refers to previously Food and Drug Administration identifies you in the body of your approved collections of information comments, that information will be [Docket No. FDA–2014–N–1533] posted on https://www.regulations.gov. found in FDA regulations and guidance. • These collections of information are If you want to submit a comment Agency Information Collection with confidential information that you subject to review by the Office of Activities; Proposed Collection; Management and Budget (OMB) under do not wish to be made available to the Comment Request; National Panel of public, submit the comment as a the Paperwork Reduction Act of 1995 Tobacco Consumer Studies (44 U.S.C. 3501–3520). The collections written/paper submission and in the of information in 21 CFR part 807, AGENCY: Food and Drug Administration, manner detailed (see ‘‘Written/Paper subpart E have been approved under HHS. Submissions’’ and ‘‘Instructions’’). OMB control number 0910–0120. The ACTION: Notice. Written/Paper Submissions collections of information in ‘‘Requests Submit written/paper submissions as for Feedback on Medical Device SUMMARY: The Food and Drug Administration (FDA, Agency, or we) is follows: Submissions: The Pre-Submission • Mail/Hand delivery/Courier (for announcing an opportunity for public Program and Meetings with Food and written/paper submissions): Dockets comment on the proposed collection of Drug Administration Staff’’ have been Management Staff (HFA–305), Food and certain information by the Agency. approved under OMB control number Drug Administration, 5630 Fishers Under the Paperwork Reduction Act of 0910–0756. Lane, Rm. 1061, Rockville, MD 20852. 1995 (PRA), Federal Agencies are • VIII. References For written/paper comments required to publish notice in the submitted to the Dockets Management The following references are on Federal Register concerning each Staff, FDA will post your comment, as display at the Dockets Management Staff proposed collection of information, well as any attachments, except for (HFA–305), Food and Drug including each proposed extension of an information submitted, marked and Administration, 5630 Fishers Lane, Rm. existing collection of information, and identified, as confidential, if submitted 1061, Rockville, MD 20852, and are to allow 60 days for public comment in as detailed in ‘‘Instructions.’’ available for viewing by interested response to the notice. This notice Instructions: All submissions received persons between 9 a.m. and 4 p.m., solicits comments on the National Panel must include the Docket No. FDA– Monday through Friday; they are also of Tobacco Consumer Studies. 2014–N–1533 for ‘‘Agency Information available electronically at https:// DATES: Submit either electronic or Collection Activities; Proposed www.regulations.gov. FDA has verified written comments on the collection of Collection; Comment Request; National the website addresses, as of the date this information by December 24, 2018. Panel of Tobacco Consumer Studies.’’ document publishes in the Federal ADDRESSES: You may submit comments Received comments, those filed in a Register, but websites are subject to as follows. Please note that late, timely manner (see ADDRESSES), will be change over time. untimely filed comments will not be placed in the docket and, except for 1. MDUFA IV Commitment Letter, available considered. Electronic comments must those submitted as ‘‘Confidential at https://www.fda.gov/downloads/ be submitted on or before December 24, Submissions,’’ publicly viewable at ForIndustry/UserFees/ 2018. The https://www.regulations.gov https://www.regulations.gov or at the MedicalDeviceUserFee/UCM535548.pdf. Dockets Management Staff between 9 2. FDA Guidance for Industry and FDA Staff electronic filing system will accept ‘‘Requests for Feedback on Medical comments until 11:59 p.m. Eastern Time a.m. and 4 p.m., Monday through Device Submissions: The Pre- at the end of December 24, 2018. Friday. Submission Program and Meetings with Comments received by mail/hand • Confidential Submissions—To Food and Drug Administration Staff’’ delivery/courier (for written/paper submit a comment with confidential dated September 29, 2017, available at submissions) will be considered timely information that you do not wish to be https://www.fda.gov/MedicalDevices/ if they are postmarked or the delivery made publicly available, submit your DeviceRegulationandGuidance/ service acceptance receipt is on or comments only as a written/paper GuidanceDocuments/UCM311176. submission. You should submit two 3. FDA Guidance for Industry and FDA Staff before that date. copies total. One copy will include the ‘‘Refuse to Accept Policy for 510(k)s’’ Electronic Submissions dated January 30, 2018, available at information you claim to be confidential https://www.fda.gov/MedicalDevices/ Submit electronic comments in the with a heading or cover note that states DeviceRegulationandGuidance/ following way: ‘‘THIS DOCUMENT CONTAINS GuidanceDocuments/UCM315014. • Federal eRulemaking Portal: CONFIDENTIAL INFORMATION.’’ The 4. FDA Guidance for Industry and FDA Staff https://www.regulations.gov. Follow the Agency will review this copy, including ‘‘The 510(k) Program: Evaluating instructions for submitting comments. the claimed confidential information, in Substantial Equivalence in Premarket Notifications [510(k)]’’ dated July 28, Comments submitted electronically, its consideration of comments. The 2014, available at: https://www.fda.gov/ including attachments, to https:// second copy, which will have the MedicalDevices/ www.regulations.gov will be posted to claimed confidential information DeviceRegulationandGuidance/ the docket unchanged. Because your redacted/blacked out, will be available

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for public viewing and posted on utility; (2) the accuracy of FDA’s individuals participate in tobacco- https://www.regulations.gov. Submit estimate of the burden of the proposed related studies will result in nationally both copies to the Dockets Management collection of information, including the representative and unbiased data Staff. If you do not wish your name and validity of the methodology and collection on matters of importance for contact information to be made publicly assumptions used; (3) ways to enhance FDA. available, you can provide this the quality, utility, and clarity of the With this submission, FDA seeks an information on the cover sheet and not information to be collected; and (4) extension on the currently approved in the body of your comments and you ways to minimize the burden of the information collection request from must identify this information as collection of information on OMB for remaining planned panel ‘‘confidential.’’ Any information marked respondents, including through the use maintenance and replenishment as ‘‘confidential’’ will not be disclosed of automated collection techniques, activities for the National Panel of except in accordance with 21 CFR 10.20 when appropriate, and other forms of Tobacco Consumer Studies. Data and other applicable disclosure law. For information technology. collection activities will involve mail more information about FDA’s posting National Panel of Tobacco Consumer and in-person household screening, in- of comments to public dockets, see 80 Studies person recruitment of tobacco users, FR 56469, September 18, 2015, or access enrollment of selected household OMB Control Number 0910–0815— the information at: https://www.gpo.gov/ members, and administration of a Extension fdsys/pkg/FR-2015-09-18/pdf/2015- baseline survey, following all required 23389.pdf. I. Background informed consent procedures for panel Docket: For access to the docket to members. Panel members will be asked read background documents or the FDA’s Center for Tobacco Products (CTP) established a national, primarily to participate in up to eight electronic and written/paper comments experimental and observational studies received, go to https:// web-based panel of about 4,000 tobacco users. The panel includes individuals over the 3-year panel commitment www.regulations.gov and insert the who can participate in up to eight period. The first of these panel studies, docket number, found in brackets in the studies over a 3-year period to assess Study A ‘‘Brands and Purchasing heading of this document, into the consumers’ responses to tobacco Behavior,’’ was included in the ‘‘Search’’ box and follow the prompts marketing, warning statements, product currently approved information and/or go to the Dockets Management labels, and other communications about collection request; approval for Studies Staff, 5630 Fishers Lane, Rm. 1061, tobacco products. CTP established the B, C, and D are included in this Rockville, MD 20852. panel of consumers because currently extension request. The first of these FOR FURTHER INFORMATION CONTACT: existing panels have a number of panel studies, Study A ‘‘Brands and Amber Sanford, Office of Operations, significant limitations. First, many Purchasing Behavior,’’ was included in Food and Drug Administration, Three existing consumer panels are drawn the currently approved information White Flint North, 10A–12M, 11601 from convenience samples that limit the collection request. Study B ‘‘Coupons Landsdown St., North Bethesda, MD generalizability of study findings (Ref. and Free Samples,’’ Study C ‘‘Consumer 20852, 301–796–8867, PRAStaff@ 1). Second, although at least two Perceptions of Product Standards,’’ and fda.hhs.gov. probability-based panels of consumers Study D ‘‘Hypothetical Purchasing of SUPPLEMENTARY INFORMATION: Under the exist in the United States, there is a Tobacco Products’’ are included in this PRA (44 U.S.C. 3501–3520), Federal concern that responses to the studies request for extension. Study B will be an Agencies must obtain approval from the using tobacco users in these panels may observational study offered to all Office of Management and Budget be biased due to panel conditioning panelists that will provide a more in- (OMB) for each collection of effects (Refs. 2 and 3). That is, depth examination of tobacco product information they conduct or sponsor. consumers in these panels complete promotions, namely free samples and ‘‘Collection of information’’ is defined surveys so frequently that their coupons, after the ban on distribution of in 44 U.S.C. 3502(3) and 5 CFR responses may not adequately represent free samples of tobacco products (with 1320.3(c) and includes Agency requests the population as a whole. Panel the exception of certain smokeless or requirements that members of the conditioning has been associated with tobacco exemptions) that went into public submit reports, keep records, or repeated measurement on the same effect when FDA finalized the ‘‘Deeming provide information to a third party. topic (Ref. 4), panel tenure (Ref. 2), and Rule’’ on August 8, 2016 (published Section 3506(c)(2)(A) of the PRA (44 frequency of the survey request (Ref. 3). May 10, 2016 (81 FR 28973)) that U.S.C. 3506(c)(2)(A)) requires Federal This issue is of particular concern for extended FDA’s regulatory authority to Agencies to provide a 60-day notice in tobacco users who represent a minority all tobacco products. Study C will be an the Federal Register concerning each of the members in the panels, and so experimental study examining how a proposed collection of information, may be more likely to be selected for hypothetical tobacco product standard including each proposed extension of an participation in experiments and/or may impact consumers’ perceptions, existing collection of information, surveys related to tobacco products. attitudes, and tobacco use behavioral before submitting the collection to OMB Third, a key benefit of the web panel intentions. Study D will be an for approval. To comply with this approach is that the surveys can include experimental study using behavioral requirement, FDA is publishing notice multimedia, such as images of tobacco economic methods that seeks to of the proposed collection of product packages, tobacco advertising, understand how the availability or lack information set forth in this document. new and existing warning statements of availability of menthol cigarettes With respect to the following and labels, and potential reduced harm potentially impacts adult cigarette collection of information, FDA invites claims in the form of labels and print smokers’ product purchasing choices. comments on these topics: (1) Whether advertisements. Establishing a primarily The current request also seeks approval the proposed collection of information web-based panel of tobacco users to update the estimated burden for an is necessary for the proper performance through in-person probability-based additional year of panel replenishment. of FDA’s functions, including whether recruitment of eligible adults and The overall purpose of the data the information will have practical limiting the number of times collection is to collect information from

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a national sample of tobacco users to noninstitutionalized group quarters in possible, provide insight into tobacco provide data that may be used to the 50 states and the District of users more generally. Replenishment develop and support FDA’s policies Columbia. A stratified four-stage sample will be conducted to maintain the panel related to tobacco products, including design was used, with a goal of with a constant number of members their labels, labeling, and advertising. recruiting 4,000 adult tobacco users into following existing panel recruitment The target population for the panel is the sample panel. The sample is and enrollment methods. tobacco users aged 18 years and older in designed to allow in-depth analysis of FDA estimates the burden of this housing units and in subgroups of interest and to the extent collection of information as follows:

TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1

No. of No. of Total annual Activity/respondent responses per Average burden per response Total hours 3 respondents responses 3 respondent 2

Household Screening Respondent 4 ...... 35,885 0.33 11,842 0.13 (8 minutes) ...... 1,539 Panel Member Enrollment Survey ...... 4,000 0.33 1,320 0.25 (15 minutes) ...... 330 Panel Member Baseline Survey ...... 0.33 1,320 0.25 (15 minutes) ...... 330 Study A ...... 0.33 1,320 0.33 (20 minutes) ...... 436 Study B ...... 0.33 1,320 0.33 (20 minutes) ...... 436 Study C ...... 0.33 1,320 0.33 (20 minutes) ...... 436 Study D ...... 0.33 1,320 0.33 (20 minutes) ...... 436 Panel Replenishment Household 30,855 0.33 10,182 0.13 (8 minutes) ...... 1,324 Screening Respondent. Panel Replenishment Enrollment Sur- 4,200 0.33 1,386 0.25 (15 minutes) ...... 347 vey 5. Panel Replenishment Baseline Survey 5 ...... 0.33 1,386 0.25 (15 minutes) ...... 347

Total ...... 5,961 1 There are no capital costs or operating and maintenance costs associated with this collection of information. 2 Assumes respondents will participate once over a 3-year period, or 0.33 responses annually. 3 Amounts are rounded to the nearest whole number. 4 Includes both mail and field screening. 5 Assumes 1,400 additional panel members will be recruited annually (4,200 total) as part of the panel replenishment effort.

FDA’s burden estimate is based on additional panel members recruited the American Association for Public timed-readings of each instrument, annually (4,200 total) as part of the Opinion Research 64th Annual including the mail and field screeners, panel replenishment effort. Conference. enrollment survey, baseline survey, and Dated: October 17, 2018. II. References Study A–D questionnaires. Of the total Leslie Kux, screening respondents, we expect 25 The following references are on Associate Commissioner for Policy. display at the Dockets Management Staff percent will respond only in the mail [FR Doc. 2018–23060 Filed 10–22–18; 8:45 am] (see ADDRESSES) and are available for screening (household deemed BILLING CODE 4164–01–P ineligible), 65 percent will respond only viewing by interested persons between in the field screening (mail screening 9 a.m. and 4 p.m., Monday through nonrespondents), and the remaining 10 Friday; they are also available DEPARTMENT OF HEALTH AND percent will respond in both the mail electronically at https:// HUMAN SERVICES screening and the field screening. The www.regulations.gov. FDA has verified latter includes eligible households from the website addresses, as of the date this Health Resources and Services the mail screening that are subsequently document publishes in the Federal Administration field-screened to sample the panel Register, but websites are subject to member, and the 10 percent quality change over time. Agency Information Collection control sample of households whose 1. Baker, R., Blumberg, S., Brick, M., et al., Activities: Proposed Collection: Public mail screening ineligibility is verified 2010, ‘‘American Association for Public Comment Request; Information through in-person screening. This Opinion Research Report on Online Collection Request Title: Children’s assumes an estimated 10,285 household Panels.’’ Public Opinion Quarterly, 74(4), Graduate Medical Education Quality screening respondent during yearly pp. 711–781. Bonus System (QBS) Initiative 2. Coen, T., Lorch, J. and Piekarski, L., 2005, panel replenishment (30,855 total). Response Form, OMB No. 0906–xxxx– ‘‘The Effects of Survey Frequency on New Replenishment panel members replace Panelists’ Responses. Worldwide Panel original panel members and become Research: Developments and Progress,’’ AGENCY: Health Resources and Services part of the 4,000-member panel that Amsterdam, European Society for Administration (HRSA), Department of receives experimental/observational and Opinion and Marketing Research. Health and Human Services (HHS). 3. Nancarrow, C. and Catwright, T., 2007, panel maintenance surveys. This ACTION: Notice. extension reflects an increase of 1,527 ‘‘Online Access Panels and Tracking Research, The Conditioning Issue,’’ hours due to an additional year of panel SUMMARY: In compliance with the International Journal of Market replenishment and fielding of Studies B, Research, 49(5), pp. 435–447. requirement for opportunity for public C, and D. The estimated burden assumes 4. Kruse, Y., Callegaro, M., Dennis, J. M., et comment on proposed data collection 10,285 household screening al., 2009, Panel Conditioning and projects of the Paperwork Reduction Act respondents during yearly panel Attrition in the AP-Yahoo! News of 1995, HRSA announces plans to replenishment (30,855 total) and 1,400 Election Panel Study, Paper presented at submit an Information Collection

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Request (ICR), described below, to the funds to the nation’s freestanding CHGME program that meet standards set Office of Management and Budget children’s hospitals to help them forth by the Secretary of HHS. To (OMB). Prior to submitting the ICR to maintain their graduate medical demonstrate the fulfillment of such OMB, HRSA seeks comments from the education (GME) programs that train standards, it will be necessary for public regarding the burden estimate, resident physicians and dentists. applicants to complete the QBS below, or any other aspect of the ICR. CHGME Support Reauthorization Act of Response Initiative form and submit it DATES: Comments on this ICR must be 2013 states that the Secretary may as an attachment to the FY 2019 received no later than December 24, establish a Quality Bonus System (QBS), reconciliation application released in 2018. whereby the Secretary distributes bonus April of 2019. This form will be used to payments to hospitals participating in gather information relating to the ADDRESSES: Submit your comments to the CHGME program that meet [email protected] or mail the HRSA hospitals’ engagement in quality standards specified by the Secretary. In Information Collection Clearance initiatives. order to qualify for the QBS payment in Officer, Room 14N136B, 5600 Fishers Likely Respondents: CHGME Program Fiscal Year (FY) 2019, CHGME award Lane, Rockville, MD 20857. award recipients. recipients must submit documentation FOR FURTHER INFORMATION CONTACT: To as an attachment in the FY 2019 Burden Statement: Burden in this request more information on the reconciliation application released in context means the time expended by proposed project or to obtain a copy of April 2019, describing the hospital’s persons to generate, maintain, retain, the data collection plans and draft initiatives, resident curriculum, and disclose or provide the information instruments, email [email protected] direct resident involvement in the requested. This includes the time or call Lisa Wright-Solomon, the HRSA following areas: needed to review instructions; to Information Collection Clearance Officer a. Integrated care models (e.g., develop, acquire, install and utilize at (301) 443–1984. integrated behavioral and mental health, technology and systems for the purpose SUPPLEMENTARY INFORMATION: When care coordination across providers and of collecting, validating and verifying submitting comments or requesting settings); information, processing and information, please include the b. Telehealth and/or Health maintaining information, and disclosing information request collection title for Information Technology; and providing information; to train reference. c. Population health; personnel and to be able to respond to Information Collection Request Title: d. Social determinants of health; and a collection of information; to search Quality Bonus System Initiative e. Additional initiatives to improve data sources; to complete and review Response Form OMB No. 0906–xxxx access and quality of care to rural and/ the collection of information; and to [New]. or underserved communities. transmit or otherwise disclose the Abstract: The Children’s Hospitals As specified in the CHGME statute, information. The total annual burden Graduate Medical Education (CHGME) the QBS payment shall be remitted to hours estimated for this ICR are Payment Program provides federal qualified hospitals participating in the summarized in the table below.

TOTAL ESTIMATED ANNUALIZED BURDEN HOURS

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

QBS Response Initiative Form ...... 58 1 58 32.41 1,880

Total ...... 58 ...... 58 ...... 1,880

HRSA specifically requests comments DEPARTMENT OF HEALTH AND Name of Committee: Interagency Pain on (1) the necessity and utility of the HUMAN SERVICES Research Coordinating Committee. proposed information collection for the Date: November 16, 2018. National Institutes of Health Time: 8:30 a.m. to 5:00 p.m. *Eastern proper performance of the agency’s Time*—Approximate end time. functions, (2) the accuracy of the National Institute of Neurological Agenda: The meeting will include estimated burden, (3) ways to enhance discussions of committee business items the quality, utility, and clarity of the Disorders and Stroke including an updated Federal Pain Portfolio information to be collected, and (4) the Analysis, an update on the Federal Pain Pursuant to section 10(a) of the use of automated collection techniques Research Strategy and information about the Federal Advisory Committee Act, as or other forms of information NIH HEAL Initiative. amended, notice is hereby given of an Place: National Institutes of Health, technology to minimize the information Interagency Pain Research Coordinating Building 35 A, Porter Neuroscience Center, collection burden. Committee (IPRCC) meeting. Room 620/630, 35 Convent Drive, Bethesda, MD 20892. Amy P. McNulty, The meeting will be open to the Webcast Live: http://videocast.nih.gov/. Acting Director, Division of the Executive public, with attendance limited to space Deadlines: Submission of intent to submit Secretariat. available. Individuals who plan to written/electronic statement for comments: [FR Doc. 2018–23133 Filed 10–22–18; 8:45 am] attend and need special assistance, such Friday, November 2, 2018. Submission of written/electronic statement for oral BILLING CODE 4165–15–P as sign language interpretation or other comments: Friday, November 9, 2018. reasonable accommodations, should Contact Person: Linda L. Porter, Ph.D., notify the Contact Person listed below Director, Office of Pain Policy & Planning, in advance of the meeting. Office of the Director, National Institute of

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Neurological Disorders and Stroke, NIH, 31 Time: 1:00 p.m. to 4:30 p.m. Dated: October 17, 2018. Center Drive, Room 8A31, Bethesda, MD Agenda: To review and evaluate grant Natasha M. Copeland, 20892, Phone: (301) 451–4460, Email: applications. Program Analyst, Office of Federal Advisory [email protected]. Place: National Institute on Aging, Committee Policy. Gateway Building, Suite 2W200, 7201 Please Note: Any member of the public [FR Doc. 2018–23034 Filed 10–22–18; 8:45 am] interested in submitting written comments to Wisconsin Avenue, Bethesda, MD 20892 the Committee must notify the Contact (Telephone Conference Call). BILLING CODE 4140–01–P Person listed on this notice by 5:00 p.m. ET Contact Person: Isis S. Mikhail, MD, MPH, on Friday, November 2, 2018, with their DRPH, National Institute on Aging, Gateway request. Interested individuals and Building, 7201 Wisconsin Avenue, Suite DEPARTMENT OF HEALTH AND representatives of organizations must submit 2C212, Bethesda, MD 20892, 301–402–7704, HUMAN SERVICES a written/electronic copy of the oral [email protected]. statement/comments including a brief National Institutes of Health description of the organization represented (Catalogue of Federal Domestic Assistance by 5:00 p.m. ET on Friday, November 9, Program Nos. 93.866, Aging Research, Government-Owned Inventions; 2018. Statements submitted will be shared National Institutes of Health, HHS) Availability for Licensing with the committee members and become a Dated: October 17, 2018. part of the public record. AGENCY: National Institutes of Health, Melanie J. Pantoja, The meeting will be open to the public and HHS. Program Analyst, Office of Federal Advisory accessible by live Webcast. Individuals who ACTION: Notice. participate in person or by using these Committee Policy. electronic services and who need special [FR Doc. 2018–23068 Filed 10–22–18; 8:45 am] SUMMARY: The invention listed below is assistance, such as captioning or other BILLING CODE 4140–01–P owned by an agency of the U.S. reasonable accommodations, should submit a Government and is available for request to the Contact Person listed on this notice at least seven days prior to the licensing to achieve expeditious meeting. DEPARTMENT OF HEALTH AND commercialization of results of As a part of security procedures, attendees HUMAN SERVICES federally-funded research and should be prepared to present a photo ID development. Foreign patent during the security process to get on the NIH National Institutes of Health applications are filed on selected campus. For a full description, please see: inventions to extend market coverage National Eye Institute; Notice of Closed http://www.nih.gov/about/ for companies and may also be available Meeting visitorsecurity.htm. for licensing. Information about the IPRCC is available on the website: http://iprcc.nih.gov/. Pursuant to section 10(d) of the FOR FURTHER INFORMATION CONTACT: Dr. Federal Advisory Committee Act, as Vince Contreras, 240–669–2823; Dated: October 16, 2018. amended, notice is hereby given of the [email protected]. Licensing Sylvia L. Neal, following meeting. information and copies of the U.S. Program Analyst, Office of Federal Advisory patent application listed below may be Committee Policy. The meeting will be closed to the obtained by communicating with the public in accordance with the [FR Doc. 2018–23032 Filed 10–22–18; 8:45 am] indicated licensing contact at the provisions set forth in sections BILLING CODE 4140–01–P Technology Transfer and Intellectual 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Property Office, National Institute of as amended. The grant applications and Allergy and Infectious Diseases, 5601 DEPARTMENT OF HEALTH AND the discussions could disclose Fishers Lane, Rockville, MD 20852; tel. HUMAN SERVICES confidential trade secrets or commercial 301–496–2644. A signed Confidential property such as patentable material, Disclosure Agreement will be required National Institutes of Health and personal information concerning to receive copies of unpublished patent individuals associated with the grant applications. National Institute on Aging; Notice of applications, the disclosure of which SUPPLEMENTARY INFORMATION: Closed Meeting would constitute a clearly unwarranted Technology description follows. invasion of personal privacy. Pursuant to section 10(d) of the Fusion Glycoprotein Vaccine for Federal Advisory Committee Act, as Name of Committee: National Eye Institute Human Metapneumovirus amended, notice is hereby given of the Special Emphasis Panel; Secondary Data following meeting. Analysis (R21) Grant Applications. Description of Technology: Human The meeting will be closed to the Date: November 19, 2018. metapneumovirus (hMPV), a negative, public in accordance with the Time: 3:00 p.m. to 5:00 p.m. single-stranded RNA virus, accounts for provisions set forth in sections Agenda: To review and evaluate grant approximately 5–15% of infant 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., applications. respiratory tract infections and poses a as amended. The grant applications and Place: National Institutes of Health, severe risk of disease and Rockledge 6700, 6700B Rockledge Drive, hospitalization in both the elderly and the discussions could disclose Bethesda, MD 20817 (Telephone Conference confidential trade secrets or commercial Call). the immunocompromised. Investigators property such as patentable material, Contact Person: Brian Hoshaw, Ph.D., at the Vaccine Research Center (VRC) of and personal information concerning Scientific Review Officer, National Eye the National Institute of Allergy and individuals associated with the grant Institute, National Institutes of Health, Infectious Diseases (NIAID) have applications, the disclosure of which Division of Extramural Research, 5635 generated an hMPV fusion glycoprotein would constitute a clearly unwarranted Fishers Lane, Suite 1300, Rockville, MD (‘‘F protein’’) stabilized in a prefusion invasion of personal privacy. 20892, 301–451–2020, hoshawb@ conformation. Name of Committee: National Institute on mail.nih.gov. Stabilizing this prefusion Aging Special Emphasis Panel; NIA AD/ (Catalogue of Federal Domestic Assistance conformation of the F protein reveals an ADRD Research Collaboratory. Program Nos. 93.867, Vision Research, immunodominant site which makes it Date: November 20, 2018. National Institutes of Health, HHS) an ideal vaccine immunogen. The

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prefusion stabilized F protein October 17, 2018 to October 17–18, Date: November 14, 2018. immunogen can be delivered as either 2018. The meeting is closed to the Time: 12:00 p.m. to 3:00 p.m. an isolated homotrimer or trimers public. Agenda: To review and evaluate grant displayed on a nanoparticle. These applications. Dated: October 17, 2018. Place: National Institutes of Health, 6701 immunogens elicit broad and potent Melanie J. Pantoja, Rockledge Drive, Bethesda, MD 20892 hMPV-neutralizing antibodies. (Telephone Conference Call). This technology is available for Program Analyst,Office of Federal Advisory Committee Policy. Contact Person: Nicholas J. Donato, Ph.D., licensing for commercial development Scientific Review Officer, Center for [FR Doc. 2018–23067 Filed 10–22–18; 8:45 am] in accordance with 35 U.S.C. 209 and 37 Scientific Review, National Institutes of CFR part 404. BILLING CODE 4140–01–P Health, 6701 Rockledge Drive, Room 4040, Potential Commercial Applications: Bethesda, MD 20892, 301–827–4810, • Vaccine for prevention of human [email protected]. DEPARTMENT OF HEALTH AND Name of Committee: Center for Scientific metapneumovirus infection HUMAN SERVICES Competitive Advantages: Review Special Emphasis Panel; • Cardiovascular and Surgical Devices. No human metapneumovirus vaccine National Institutes of Health Date: November 15–16, 2018. is currently available Time: 8:00 a.m. to 6:00 p.m. Development Stage: Center for Scientific Review; Notice of Agenda: To review and evaluate grant Closed Meetings • In vitro data available applications. • In vivo animal data available Pursuant to section 10(d) of the Place: Crystal Gateway Marriott, 1700 Jefferson Davis Highway, Arlington, VA Inventors: Peter D. Kwong, (NIAID), Federal Advisory Committee Act, as 22202. Michael Gordon Joyce (NIAID), Peter L. amended, notice is hereby given of the Contact Person: Jan Li, MD, Ph.D., Collins (NIAID), Ursula J. Buchholz following meetings. Scientific Review Officer, Center for (NIAID), Guillaume Stewart-Jones The meetings will be closed to the Scientific Review, National Institutes of (NIAID), Baoshan Zhang (NIAID), public in accordance with the Health, 6701 Rockledge Drive, Room 5106, Yongping Yang (NIAID), Davide Corti provisions set forth in sections Bethesda, MD 20892, 301.402.9607, (Institute for Research in Biomedicine), 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., [email protected]. Antonio Lanzavecchia (Institute for as amended. The grant applications and Name of Committee: Center for Scientific Research in Biomedicine). the discussions could disclose Review Special Emphasis Panel; Small Intellectual Property: HHS Reference confidential trade secrets or commercial Business: Instrumentation, Environmental, Number E–260–2014 includes U.S. property such as patentable material, and Occupational Safety. Date: November 15–16, 2018. Provisional Patent Application No. 62/ and personal information concerning 096,744, filed December 24, 2014; PCT Time: 8:00 a.m. to 12:00 p.m. individuals associated with the grant Agenda: To review and evaluate grant Application No. PCT/IB2015/059991, applications, the disclosure of which applications. filed December 24, 2015; U.S. Patent would constitute a clearly unwarranted Place: Courtyard by Marriott, 5520 Application No 15/539,640 filed June invasion of personal privacy. Wisconsin Avenue, Chevy Chase, MD 20815. 23, 2017; EPO Patent Application No. Name of Committee: AIDS and Related Contact Person: Marie-Jose Belanger, Ph.D., 15831073.0, filed 21 July 2017. Research Integrated Review Group; Scientific Review Officer, Center for Licensing Contact: Dr. Vince Population and Public Health Approaches to Scientific Review, National Institutes of Contreras, 240–669–2823; HIV/AIDS Study Section. Health, 6701 Rockledge Drive, Rm. 6188 MSC [email protected]. Date: November 8–9, 2018. 7804, Bethesda, MD 20892, 301–435–1267, [email protected]. Dated: October 10, 2018. Time: 8:00 a.m. to 6:00 p.m. Agenda: To review and evaluate grant Name of Committee: Center for Scientific Suzanne M. Frisbie, applications. Review Special Emphasis Panel; Member Deputy Director, Technology Transfer and Place: Sheraton Suites—Old Town Conflict: Respiratory Sciences. Intellectual Property Office, National Institute Alexandria, 801 N Saint Asaph St., Date: November 15–16, 2018. of Allergy and Infectious Diseases. Alexandria, VA 22314. Time: 9:00 a.m. to 5:00 p.m. [FR Doc. 2018–23066 Filed 10–22–18; 8:45 am] Contact Person: Jose H. Guerrier, Ph.D., Agenda: To review and evaluate grant BILLING CODE 4140–01–P Scientific Review Officer, Center for applications. Scientific Review, National Institutes of Place: National Institutes of Health, 6701 Health, 6701 Rockledge Drive, Room 5222, Rockledge Drive, Bethesda, MD 20892 DEPARTMENT OF HEALTH AND MSC 7852, Bethesda, MD 20892, 301–435– (Virtual Meeting). HUMAN SERVICES 1137, [email protected]. Contact Person: Ghenima Dirami, Ph.D., Name of Committee: Center for Scientific Scientific Review Officer, Center for National Institutes of Health Review Special Emphasis Panel; AIDS and Scientific Review, National Institutes of Related Research. Health, 6701 Rockledge Drive, Room 4122, National Institute on Aging; Amended Date: November 9, 2018. MSC 7814, Bethesda, MD 20892, 240–498– Notice of Meeting Time: 3:00 p.m. to 6:00 p.m. 7546, [email protected]. Agenda: To review and evaluate grant Name of Committee: Center for Scientific Notice is hereby given of a change in applications. Review Special Emphasis Panel; PAR Panel: the meeting of the National Institute on Place: National Institutes of Health, 6701 Animal/Biological and Related Resources. Aging Special Emphasis Panel, October Rockledge Drive, Bethesda, MD 20892 Date: November 15, 2018. 17, 2018, 09:00 a.m. to October 17, 2018, (Virtual Meeting). Time: 11:00 a.m. to 6:00 p.m. 01:00 p.m., Hyatt Regency Bethesda, Contact Person: Barna Dey, Ph.D., Agenda: To review and evaluate grant Scientific Review Officer, Center for One Bethesda Metro Center, 7400 applications. Scientific Review, National Institutes of Place: National Institutes of Health, 6701 Wisconsin Avenue, Bethesda, MD 20814 Health, 6701 Rockledge Drive, Room 3184, Rockledge Drive, Bethesda, MD 20892 which was published in the Federal Bethesda, MD 20892, 301–451–2796, (Telephone Conference Call). Register on September 20, 2018, 83 FR [email protected]. Contact Person: Baishali Maskeri, Ph.D., 47634. Name of Committee: Center for Scientific Scientific Review Officer, Center for The meeting notice is amended to Review Special Emphasis Panel; Member Scientific Review, National Institutes of change the date of the meeting from Conflict: Radiation Therapeutics and Biology. Health, 6701 Rockledge Drive, Room 2022,

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Bethesda, MD 20892, 301–827–2864, DEPARTMENT OF HEALTH AND Contact Person: Jennifer C. Schiltz, Ph.D., [email protected]. HUMAN SERVICES Scientific Review Officer, Special Review Name of Committee: Center for Scientific Branch, Division of Extramural Activities, National Cancer Institute, NIH, 9609 Medical Review Special Emphasis Panel; Member National Institutes of Health Center Drive, Room 7W112, Bethesda, MD Conflict: Biobehavioral Applications in National Institute of Diabetes and 20892–9750, 240–276–5864, jennifer.schiltz@ Ethology and Substance Abuse. nih.gov. Date: November 15, 2018. Digestive and Kidney Diseases; Amended Notice of Meeting Name of Committee: National Cancer Time: 12:00 p.m. to 4:30 p.m. Institute Special Emphasis Panel; Agenda: To review and evaluate grant Notice is hereby given of a change in Collaborative Human Tissue Network applications. the meeting of the Diabetes, (CHTN) (UM1). Place: National Institutes of Health, 6701 Endocrinology and Metabolic Diseases B Date: November 14, 2018. Rockledge Drive, Bethesda, MD 20892 Time: 10:30 a.m. to 1:30 p.m. Subcommittee, October 24, 2018, 05:30 Agenda: To review and evaluate grant (Virtual Meeting). p.m. to October 26, 2018, 04:00 p.m., Contact Person: Andrea B. Kelly, Ph.D., applications. Residence Inn Capital View, 2850 South Scientific Review Officer, Center for Place: National Cancer Institute, Shady Potomac Avenue, Arlington, VA, 22202 Grove, 9609 Medical Center Drive, Room Scientific Review, National Institutes of which was published in the Federal 7W122, Rockville, MD 20850 (Telephone Health, 6701 Rockledge Drive, Room 3182, Register on September 12, 2018, 64 FR Conference Call). MSC 7770, Bethesda, MD 20892, (301) 455– Contact Person: Sanita Bharti, Ph.D., 1761, [email protected]. 46178. The meeting is being amended to Scientific Review Officer, Research Program Name of Committee: Center for Scientific reflect location change. The new Review Branch, Division of Extramural Review Special Emphasis Panel; AREA Activities, National Cancer Institute, NIH, meeting location is the Renaissance 9609 Medical Center Drive, Room 7W122, Application Review. Washington DC Downtown, 999 9th Date: November 19, 2018. Bethesda, MD 20892–9750, 240–276–5909, Street NW, Washington, DC 20001. The Time: 3:00 p.m. to 5:00 p.m. [email protected]. meeting is closed to the public. Agenda: To review and evaluate grant Name of Committee: National Cancer applications. Dated: October 17, 2018. Institute Special Emphasis Panel; SBIR Phase Place: National Institutes of Health, 6701 David D. Clary, IIB Bridge Awards. Date: November 15, 2018. Rockledge Drive, Bethesda, MD 20892 Program Analyst, Office of Federal Advisory Time: 10:00 a.m. to 5:00 p.m. (Telephone Conference Call). Committee Policy. Agenda: To review and evaluate grant Contact Person: Katherine M. Malinda, [FR Doc. 2018–23033 Filed 10–22–18; 8:45 am] applications. Ph.D., Scientific Review Officer, Center for BILLING CODE 4140–01–P Place: National Cancer Institute, Shady Scientific Review, National Institutes of Grove, 9609 Medical Center Drive, Room Health, 6701 Rockledge Drive, Room 4140, 7W114, Rockville, MD 20850 (Telephone MSC 7814, Bethesda, MD 20892, 301–435– DEPARTMENT OF HEALTH AND Conference Call). 0912, [email protected]. HUMAN SERVICES Contact Person: Jeffrey E. DeClue, Ph.D., Scientific Review Officer, Research Name of Committee: Center for Scientific Technology and Contract Review Branch, Review Special Emphasis Panel; AREA National Institutes of Health Division of Extramural Activities, National Application Review. Cancer Institute, NIH, 9609 Medical Center Date: November 19, 2018. National Cancer Institute; Notice of Closed Meetings Drive, Room 7W114, Bethesda, MD 20892– Time: 3:00 p.m. to 5:00 p.m. 9750, 240–276–6371, [email protected]. Agenda: To review and evaluate grant Pursuant to section 10(d) of the Name of Committee: National Cancer applications. Federal Advisory Committee Act, as Institute Initial Review Group Subcommittee Place: National Institutes of Health, 6701 amended, notice is hereby given of the A—Cancer Centers. Rockledge Drive, Bethesda, MD 20892 following meetings. Date: November 29, 2018. (Telephone Conference Call). The meetings will be closed to the Time: 8:00 a.m. to 4:00 p.m. Agenda: To review and evaluate grant Contact Person: Larry Pinkus, Ph.D., public in accordance with the Scientific Review Officer, Center for applications. provisions set forth in sections Place: Bethesda Marriott Suites, 6711 Scientific Review, National Institutes of 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Health, 6701 Rockledge Drive, Room 4132, Democracy Boulevard, Bethesda, MD 20817. as amended. The grant applications and Contact Person: Shamala K. Srinivas, MSC 7802, Bethesda, MD 20892, (301) 435– the discussions could disclose Ph.D., Scientific Review Officer, Office of 1214, [email protected]. confidential trade secrets or commercial Referral, Review, and Program Coordination, (Catalogue of Federal Domestic Assistance property such as patentable material, Division of Extramural Activities, National Program Nos. 93.306, Comparative Medicine; and personal information concerning Cancer Institute, NIH, 9609 Medical Center 93.333, Clinical Research; 93.306, 93.333, individuals associated with grant Drive, Room 7W530, Bethesda, MD 20892– 9750, 240–276–6442, [email protected]. 93.337, 93.393–93.396, 93.837–93.844, applications, the disclosure of which 93.846–93.878, 93.892, 93.893, National would constitute a clearly unwarranted Name of Committee: National Cancer Institutes of Health, HHS) Institute Special Emphasis Panel; Cancer invasion of personal privacy. Center Support Grant (P30). Dated: October 17, 2018. Name of Committee: National Cancer Date: November 29, 2018. David D. Clary, Institute Special Emphasis Panel; SEP–2: NCI Time: 4:30 p.m. to 6:00 p.m. Program Analyst, Office of Federal Advisory Clinical and Translational R21 and Omnibus Agenda: To review and evaluate grant Committee Policy. R03. applications. Date: November 7, 2018. Place: Bethesda Marriott Suites, 6711 [FR Doc. 2018–23035 Filed 10–22–18; 8:45 am] Time: 11:00 a.m. to 4:00 p.m. Democracy Boulevard, Bethesda, MD 20817 BILLING CODE 4140–01–P Agenda: To review and evaluate grant (Telephone Conference Call). applications. Contact Person: Shamala K. Srinivas, Place: National Cancer Institute, Shady Ph.D., Scientific Review Officer, Office of Grove, 9609 Medical Center Drive, Room Referral, Review, and Program Coordination, 7W112, Rockville, MD 20850 (Telephone Division of Extramural Activities, National Conference Call). Cancer Institute, NIH, 9609 Medical Center

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Drive, Room 7W530, Bethesda, MD 20892– proposed projects. To request more covered by Medicaid, Medicare or 9750, 240–276–6442, [email protected]. information on the proposed projects or private insurance offered through the (Catalogue of Federal Domestic Assistance to obtain a copy of the information exchanges and that demonstrate success Program Nos. 93.392, Cancer Construction; collection plans, call the SAMHSA in improving outcomes and/or 93.393, Cancer Cause and Prevention Reports Clearance Officer on (240) 276– supporting recovery; (3) to fund Research; 93.394, Cancer Detection and 1243. universal, selective and targeted Diagnosis Research; 93.395, Cancer Comments are invited on: (a) Whether prevention activities and services; and Treatment Research; 93.396, Cancer Biology the proposed collections of information Research; 93.397, Cancer Centers Support; (4) to collect performance and outcome 93.398, Cancer Research Manpower; 93.399, are necessary for the proper data to determine the ongoing Cancer Control, National Institutes of Health, performance of the functions of the effectiveness of behavioral health HHS) agency, including whether the prevention, treatment and recovery information shall have practical utility; Dated: October 17, 2018. support services and to plan the (b) the accuracy of the agency’s estimate implementation of new services on a Melanie J. Pantoja, of the burden of the proposed collection nationwide basis. Program Analyst, Office of Federal Advisory of information; (c) ways to enhance the To help states meet the challenges of Committee Policy. quality, utility, and clarity of the 2020 and beyond, and to foster the [FR Doc. 2018–23069 Filed 10–22–18; 8:45 am] information to be collected; and (d) implementation and management of an BILLING CODE 4140–01–P ways to minimize the burden of the integrated physical health, mental collection of information on health and addiction service system, respondents, including through the use SAMHSA has established standards and DEPARTMENT OF HEALTH AND of automated collection techniques or expectations that will lead to an HUMAN SERVICES other forms of information technology. improved system of care for individuals with or at risk of mental and substance National Institutes of Health Proposed Project: Community Mental use disorders. Therefore, this Health Services Block Grant and application package continues to fully National Cancer Institute; Amended Substance Abuse Prevention and exercise SAMHSA’s existing authority Notice of Meeting Treatment Block Grant FY 2020–2021 regarding states’, territories’ and the Red Plan and Report Guidance and Notice is hereby given of a change in Lake Band of the Chippewa Tribe’s Instructions (OMB No. 0930–0168)— the meeting of the Frederick National (subsequently referred to as ‘‘states’’) Extension Laboratory Advisory Committee to the use of block grant funds as they fully National Cancer Institute, October 29, The Substance Abuse and Mental integrate behavioral health services into 2018, 09:30 a.m. to October 29, 2018, Health Services Administration the broader health care continuum. 04:30 p.m., National Cancer Institute (SAMHSA) is requesting approval from Consistent with previous Shady Grove, 9609 Medical Center the Office of Management and Budget applications, the FY 2020–2021 Drive, TE406, Rockville, MD, 20850 (OMB) for an extension of the 2018–19 application has sections that are which was published in the Federal Community Mental Health Services required and other sections where Register on October 11, 2018, 83 FR Block Grant (MHBG) and Substance additional information is requested. The 51468. Abuse Prevention and Treatment Block FY 2020–2021 application requires The meeting notice is amended to Grant (SABG) Plan and Report Guidance states to submit a face sheet, a table of change the start and end time of the and Instructions. contents, a behavioral health assessment meeting from 9:30 a.m.–4:30 p.m. to Currently, the SABG and the MHBG and plan, reports of expenditures and 9:00 a.m.–4:00 p.m. on October 29, differ on a number of their practices persons served, an executive summary, 2018. The meeting is open to the public. (e.g., data collection at individual or and funding agreements and aggregate levels) and statutory certifications. In addition, SAMHSA is Dated: October 17, 2018. authorities (e.g., method of calculating requesting information on key areas that Melanie J. Pantoja, MOE, stakeholder input requirements are critical to the states success in Program Analyst, Office of Federal Advisory for planning, set asides for specific addressing health care integration. Committee Policy. populations or programs, etc.). Therefore, as part of this block grant [FR Doc. 2018–23070 Filed 10–22–18; 8:45 am] Historically, the Centers within planning process, SAMHSA is asking BILLING CODE 4140–01–P SAMHSA that administer these block states to identify both their promising or grants have had different approaches to effective strategies as well as their application requirements and reporting. technical assistance needs to implement DEPARTMENT OF HEALTH AND To compound this variation, states have the strategies they identify in their plans HUMAN SERVICES different structures for accepting, for FYs 2020 and 2021. planning, and accounting for the block To facilitate an efficient application Substance Abuse and Mental Health grants and the prevention set aside process for states, SAMHSA utilized the Services Administration within the SABG. As a result, how these questions and requests for clarification Agency Information Collection dollars are spent and what is known from representatives from SMHAs and Activities: Proposed Collection; about the services and clients that SSAs to inform the proposed changes to Comment Request receive these funds varies by block grant the block grants. Based on these and by state. discussions with states, SAMHSA is In compliance with Section SAMHSA has conveyed that block proposing de minimis changes to the 3506(c)(2)(A) of the Paperwork grant funds must be directed toward block grant program, consisting of Reduction Act of 1995 concerning four purposes: (1) To fund priority updated dates and clarification to opportunity for public comment on treatment and support services for instructions. proposed collections of information, the individuals without insurance or who While the statutory deadlines and Substance Abuse and Mental Health cycle in and out of health insurance block grant award periods remain Services Administration (SAMHSA) coverage; (2) to fund those priority unchanged, SAMHSA encourages states will publish periodic summaries of treatment and support services not to turn in their application as early as

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possible to allow for a full discussion Estimates of Annualized Hour Burden 1 includes the estimates of burden for and review by SAMHSA. Applications the uniform application and annual for the MHBG-only is due no later than The estimated annualized burden for reporting. Year 2 includes the estimates September 3, 2019. The application for the uniform application remains of burden for the recordkeeping and SABG-only is due no later than October unchanged at 33,374 hours. Burden annual reporting. The reporting burden 1, 2019. A single application for MHBG estimates are broken out in the remains constant for both years. and SABG combined is due no later following tables showing burden than September 3, 2019. separately for Year 1 and Year 2. Year

TABLE 1—ESTIMATES OF APPLICATION AND REPORTING BURDEN FOR YEAR 1

Authorizing Authorizing Number of Number of legislation legislation Implementing Number of responses hours per Total hours SABG MHBG regulation respondent per year response

Substance Abuse Prevention and Treatment and Community Mental Health Services Block Grants

Reporting ...... Standard Form ...... and Content. 42 U.S.C...... § 300x–32(a). SABG ...... Annual Report ...... 11,160 42 U.S.C. 300x– ...... 45 CFR 60 1 ...... 52(a). 96.122(f). 42 U.S.C. 300x– ...... 5 1 ...... 30–b. 42 U.S.C. 300x– ...... 45 CFR 60 1 ...... 30(d)(2). 96.134(d). MHBG ...... Annual Report ...... 10,974 ...... 42 U.S.C...... 59 1 ...... § 300x–6(a)...... 42 U.S.C. 300x– ...... 52(a)...... 42 U.S.C. 300x– ...... 59 1 ...... 4(b)(3)B. State Plan (Cov- ...... ers 2 years). SABG elements 42 U.S.C. 300x– ...... 45 CFR 60 1 ...... 22(b). 96.124(c)()1). 42 U.S.C. 300x– ...... 45 CFR 60 1 ...... 23. 96.126(f). 42 U.S.C. 300x– ...... 45 CFR 60 1 ...... 27. 96.131(f). 42 U.S.C. 300x– ...... 45 CFR 60 1 120 7,200 32(b). 96.122(g). MHBG elements ...... 42 U.S.C. 300x– ...... 59 1 120 7,080 1(b)...... 42 U.S.C. 300x– ...... 59 1 ...... 1(b)(2)...... 42 U.S.C. 300x– ...... 59 1 ...... 2(a). Waivers ...... 3,240 42 U.S.C. 300x– ...... 20 1 ...... 24(b)(5)(B). 42 U.S.C. 300x– ...... 45 CFR 5 1 ...... 28(d). 96.132(d). 42 U.S.C. 300x– ...... 45 CFR 10 1 ...... 30(c). 96.134(b). 42 U.S.C. 300x– ...... 1 1 ...... 31(c). 42 U.S.C. 300x– ...... 7 1 ...... 32(c). 42 U.S.C. 300x– ...... 10 ...... 32(e)...... 42 U.S.C. 300x– ...... 10 ...... 2(a)(2)...... 42 U.S.C 300x– ...... 10 ...... 4(b)(3)...... 42 U.S.C 300x– ...... 7 ...... 6(b). Recordkeeping .. 42 U.S.C. 300x– 42 U.S.C. 300x– 45 CFR 60/59 1 20 1,200 23. 3. 96.126(c). 42 U.S.C. 300x– ...... 45 CFR 10 1 20 200 25. 96.129(a)(13).

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TABLE 1—ESTIMATES OF APPLICATION AND REPORTING BURDEN FOR YEAR 1—Continued

Authorizing Authorizing Number of Number of legislation legislation Implementing Number of responses hours per Total hours SABG MHBG regulation respondent per year response

42 U.S.C 300x– ...... 42 CFR Part 54 60 1 20 1,200 65.

Combined ...... 42,254 Burden.

Report 42 U.S.C. 300x–1(b)—Criteria for Plan 300x–31(c)—Restrictions on 300x–52(a)—Requirement of Reports 42 U.S.C. 300x–1(b)(2)—State Plan for Expenditure of Grant—Waiver and Audits by States—Report Comprehensive Community Mental Regarding Construction of Facilities 300x–30(b)—Maintenance of Effort Health Services for Certain 300x–32(c)—Certain Territories Regarding State Expenditures— Individuals—Criteria for Plan— 300x–32(e)—Waiver amendment for Exclusion of Certain Funds (SABG) Mental Health System Data and 1922, 1923, 1924 and 1927 300x–30(d)(2)—Maintenance of Effort— Epidemiology Waivers—MHBG Noncompliance—Submission of 300x–2(a)(2)—Allocations for Systems 42 U.S.C. 300x–2(a)—Certain Integrated Services for Children Information to Secretary (SABG) Agreements—Allocations for Systems State Plan—SABG 300x–6(b)—Waiver for Certain Integrated Services for Children 300x–22(b)—Allocations for Women Territories Waivers—SABG 300x–23—Intravenous Substance Abuse Recordkeeping 300x–27—Priority in Admissions to 300x–24(b)(5)(B)—Human Treatment Immunodeficiency Virus— 300x–23—Waiting list 300x–29—Statewide Assessment of Requirement regarding Rural Areas 300x–25—Group Homes for Persons in Need Recovery from Substance Use 300x–32(b)—State Plan 300x–28(d)—Additional Agreements Disorders State Plan—MHBG 300x–30(c)—Maintenance of Effort 300x–65—Charitable Choice

TABLE 2—ESTIMATES OF APPLICATION AND REPORTING BURDEN FOR YEAR 2

Number of Number of Number of responses hours per Total hours respondent per year response

Reporting: ...... SABG ...... 60 1 186 11.160 MHBG ...... 59 1 186 10,974 ...... Recordkeeping ...... 60/59 1 40 2,360

Combined Burden ...... 24,494

The total annualized burden for the DEPARTMENT OF HOMELAND to 5 p.m., and on Friday, November 16, application and reporting is 33,374 SECURITY 2018 from 8 a.m. to 5 p.m. The meeting hours (42,254 + 24,494 = 66,748/2 years may close early if all business is = 33,374). Coast Guard finished. Link for the application: http:// [Docket No. USCG–2018–0878] Comments and supporting www.samhsa.gov/grants/block-grants documentation: To ensure your Commercial Fishing Safety Advisory comments are reviewed by Committee Send all comments via email to Committee members before the meetings, submit [email protected]. your written comments no later than AGENCY: Comments should be received by U.S. Coast Guard, Department November 7, 2018. December 24, 2018. of Homeland Security. ADDRESSES: ACTION: Notice of Federal Advisory The Committee will meet at Summer King, Committee Meeting. the United States Federal Center South Statistician. at 4735 East Marginal Way South, SUMMARY: Seattle, Washington, 98134. [FR Doc. 2018–23134 Filed 10–22–18; 8:45 am] The Commercial Fishing Safety Advisory Committee will meet in If you are planning to attend the BILLING CODE 4162–20–P Seattle, Washington to discuss various meeting, you will be required to pass issues relating to safety in the through a security checkpoint. You will commercial fishing industry. All be required to show valid government meetings will be open to the public. identification. Please arrive at least 30 DATES: minutes before the planned start of the Meetings: The Committee will meet meeting in order to pass through on Thursday, November 15 from 10 a.m. security.

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For information on facilities or (1) 10 a.m. Introductions, swearing-in following the last call for comments. services for individuals with disabilities of new members, election of Chair and Contact the individual listed in the FOR or to request special assistance at the Vice-Chair. FURTHER INFORMATION CONTACT section meeting, contact the person listed in the (2) Status of Commercial Fishing above to register as a speaker. FOR FURTHER INFORMATION CONTACT Vessel Safety Rulemaking projects A copy of available meeting section, as soon as possible. resulting from requirements set forth in documentation will be posted to the Instructions: You are free to submit the U.S. Coast Guard Authorization Act docket, as noted above, and at https:// comments at any time, including orally of 2010 and the U.S. Coast Guard and www.dco.uscg.mil/Our-Organization/ at the meetings, but if you want Maritime Transportation Act of 2012. Assistant-Commandant-for-Prevention- Committee members to review your (3) U.S. Coast Guard District Policy-CG-5P/Inspections-Compliance- comments before the meeting, please Commercial Fishing Vessel Safety CG-5PC-/Commercial-Vessel- submit your comments no later than Coordinator reports on activities and Compliance/Fishing-Vessel-Safety- November 7, 2018. We are particularly initiatives. Division/cfsac/ by October 29, 2018. interested in the comments on the (4) Industry Updates. Post-meeting documentation will be issues in the ‘‘Agenda’’ section below. (5) U.S. Coast Guard/National Oceanic posted to the website, noted above, You must include ‘‘Department of Atmospheric Administration National within 30 days after the meeting, or as Homeland Security’’ and the docket Marine Fisheries Service, Memorandum soon as possible. number USCG–2018–0878. Comments of Agreement Charter update. Dated: October 17, 2018. received will be posted without (6) Presentation and discussion on Jennifer F. Williams, alteration at http://www.regulations.gov, casualties, by regions and fisheries, and including any personal information an update on safety and risk-reduction- Captain, U.S. Coast Guard, Director of Inspections and Compliance. provided. For more information about related projects by the National Institute the privacy and docket, review the for Occupational Safety and Health. [FR Doc. 2018–23061 Filed 10–22–18; 8:45 am] Privacy and Security Notice for the (7) Discussion on Fire Extinguishers BILLING CODE 9110–04–P Federal Docket Management System at and Survival Craft. https://regulations.gov/privacyNotice. (8) Public Comment Period. Docket Search: For access to the (9) Adjournment of meeting. DEPARTMENT OF THE INTERIOR docket to read documents or comments Day 2 related to this notice, go to http:// Fish and Wildlife Service The meeting will primarily be www.regulations.gov, and use the [FWS–R7–ES–2018–N113; docket number in the ‘‘SEARCH’’ box, dedicated to information passing to FXES11140700000–178–FF07CAAN00] press Enter, and then click on the item include the topics: you wish to view. (1) U.S. Coast Guard/National Endangered and Threatened Wildlife Institute for Occupational Safety and FOR FURTHER INFORMATION CONTACT: Mr. and Plants; Initiation of a 5-Year Status Health Training and research grant Joseph Myers, Alternate Designated Review of the Wood Bison programs. Federal Officer for the Commercial (2) Update on Training Requirements AGENCY: Fish and Wildlife Service, Fishing Safety Advisory Committee, for Operators 46 U.S.C. 4502(g) and Interior. Commandant (CG–CVC–3), United 4502(g)(3). ACTION: Notice; request for information. States Coast Guard Headquarters, 2703 (3) New Construction option for Martin Luther King Junior Avenue, vessels 50–79 feet under Title 46 U.S.C SUMMARY: We, the U.S. Fish and South East, Mail Stop 7501, section 4503. Wildlife Service (Service), are initiating Washington, DC 20593–7501; telephone (4) STCW–F International Maritime a 5-year status review of the wood bison 202–372–1249, facsimile 202–372–8385, Organization summary update. under the Endangered Species Act electronic mail: joseph.d.myers@ (5) Automatic and Identification (ESA). A 5-year status review is based uscg.mil. System and ‘‘Fish Pingers’’. on the best scientific and commercial SUPPLEMENTARY INFORMATION: Notice of (6) Global Maritime Distress Safety data available at the time of the review; this meeting is in compliance with the System update. therefore, we are requesting submission Federal Advisory Committee Act, Title 5 (7) Discussion on Presidential of any new information on this species U.S.C., Appendix. Executive Orders 13771 and 13783 that has become available since the The Commercial Fishing Safety De-Regulation Project. species was reclassified under the ESA Advisory Committee is authorized by (8) Discussion and Final comments as threatened throughout its range, in Title 46 United States Code Section from public. 2012. (9) Discussion and motions from the 4508. The Committee’s purpose is to DATES: To ensure consideration of your Committee. provide advice and recommendations to comments in our preparation of this 5- (10) Future plans and goals for the the United States Coast Guard and the year status review, we must receive your Committee. Department of Homeland Security on comments and information by December (11) Next Committee meeting, plans matters relating to the safe operation of 24, 2018. However, we will accept commercial fishing industry vessels. and recommended location. (12) Comments on the meeting from information about the species at any Agenda Committee members. time. The Commercial Fishing Safety (13) Adjournment of meeting. ADDRESSES: Please submit your Advisory Committee will meet to review Public oral comment periods will be information by one of the following and discuss topics contained in the held during the meeting after each methods: agenda. presentation and at the end of each day. • Email: [email protected]; or Speakers are requested to limit their • U.S. mail or hand delivery: U.S. Day 1 comments to 3 minutes. Please note that Fish and Wildlife Service, Attn: Wood The meeting will include, reports, the public oral comment periods may Bison, 4700 BLM Road, Anchorage, AK presentations, discussions, as follows: end before the prescribed ending time 99507.

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For more about submitting (4) Threat status and trends in relation of 1973, as amended (16 U.S.C. 1531 et information, see Request for Information to the five listing factors (as defined in seq.). in the SUPPLEMENTARY INFORMATION section 4(a)(1) of the ESA); and Dated: October 10, 2018. (5) Other new information, data, or section. Mary Colligan, corrections, including but not limited to FOR FURTHER INFORMATION CONTACT: taxonomic or nomenclatural changes, Assistant Regional Director, Alaska Region. Kevin Foley, Anchorage Fish and identification of erroneous information [FR Doc. 2018–23078 Filed 10–22–18; 8:45 am] Wildlife Conservation Office, by contained in the List, and improved BILLING CODE 4333–15–P telephone at 907–271–2788. Individuals analytical methods. who are hearing impaired or speech Any new information will be impaired may call the Federal Relay considered during the 5-year review and DEPARTMENT OF THE INTERIOR Service at 800–877–8339 for TTY will also be useful in evaluating the Fish and Wildlife Service assistance. ongoing recovery programs for the species. [FWS–R1–ES–2018–N124; SUPPLEMENTARY INFORMATION: We, the FXES11130600000–189–FF01E00000] U.S. Fish and Wildlife Service (Service), Species Under Review are initiating a 5-year status review of Entity listed: Wood bison (Bison bison Endangered Species; Receipt of the wood bison (Bison bison athabascae). Recovery Permit Application athabascae) under the Endangered Where listed: Wherever found. AGENCY: Species Act of 1973, as amended (ESA; Classification: Threatened. Fish and Wildlife Service, 16 U.S.C. 1531 et seq.). A 5-year status Date listed (publication date for final Interior. review is based on the best scientific listing rule): June 2, 1970. ACTION: Notice of receipt of a permit and commercial data available at the Federal Register citation for final application; request for comments. time of the review; therefore, we are listing rule: 35 FR 8491. SUMMARY: We, the U.S. Fish and requesting submission of any new Request for Information Wildlife Service, have received an information on this species that has application for a permit to conduct become available since the species was To ensure that a 5-year review is complete and based on the best activities intended to enhance the reclassified under the ESA as threatened propagation and survival of an throughout its range, in 2012. available scientific and commercial information, we request new endangered species under the Why do we conduct 5-year reviews? information from all sources. See What Endangered Species Act of 1973, as Information Do We Consider in Our amended. We invite the public and Under the ESA, we maintain Lists of Review? for specific criteria. If you local, State, Tribal, and Federal agencies Endangered and Threatened Wildlife submit information, please support it to comment on this application. Before and Plants (which we collectively refer with documentation such as maps, issuing the requested permit, we will to as the List) in the Code of Federal bibliographic references, methods used take into consideration any information Regulations (CFR) at 50 CFR 17.11 (for to gather and analyze the data, and/or that we receive during the public animals) and 17.12 (for plants). Section copies of any pertinent publications, comment period. 4(c)(2)(A) of the ESA requires us to reports, or letters by knowledgeable DATES: We must receive your written review each listed species’ status at least sources. If you submit purported comments on or before November 23, once every 5 years. Further, our sightings of the species, please also 2018. regulations at 50 CFR 424.21 require provide supporting documentation in that we publish a notice in the Federal ADDRESSES: Document availability and any form to the extent that it is comment submission: Submit requests Register announcing those species available. under active review. For additional for a copy of the application and related information about 5-year reviews, go to Public Availability of Comments documents and submit any comments by one of the following methods. All http://www.fws.gov/endangered/what- Before including your address, phone requests and comments should specify we-do/recovery-overview.html, scroll number, email address, or other the applicant name and application down to ‘‘Learn More about 5-Year personal identifying information in your number (i.e., U.S. Geological Survey Reviews,’’ and click on the ‘‘5-Year comments, you should be aware that Reviews’’ link. TE–003483–33): your entire comment—including your • Email: [email protected]. What information do we consider in personal identifying information—may • U.S. Mail: Marilet Zablan, Program our review? be made publicly available at any time. Manager, Restoration and Endangered While you can ask us in your comment Species Classification, Ecological In conducting these reviews, we to withhold your personal identifying Services, U.S. Fish and Wildlife Service, consider the best scientific and information from public review, we Pacific Regional Office, 911 NE 11th commercial data that have become cannot guarantee that we will be able to Avenue, Portland, OR 97232–4181. available since the listing determination do so. FOR FURTHER INFORMATION CONTACT: or most recent status review, such as: Completed and Active Reviews Colleen Henson, Recovery Permit (1) The biology of the species, Coordinator, Ecological Services, (503) including but not limited to population A list of all completed and currently active 5-year reviews addressing species 231–6131 (phone); permitsR1ES@ trends, distribution, abundance, fws.gov (email). Individuals who are demographics, and genetics; for which the Alaskan Region of the Service has lead responsibility is hearing or speech impaired may call the (2) Habitat conditions, including but available at http://www.fws.gov/alaska/ Federal Relay Service at 1–800–877– not limited to amount, distribution, and fisheries/endangered/reviews.htm. 8339 for TTY assistance. suitability; SUPPLEMENTARY INFORMATION: We, the (3) Conservation measures that have Authority U.S. Fish and Wildlife Service, invite been implemented that benefit the This document is published under the the public to comment on an species; authority of the Endangered Species Act application for a permit under section

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10(a)(1)(A) of the Endangered Species activities with endangered or threatened Island Ecosystems Research Center in Act, as amended (ESA; 16 U.S.C. 1531 species for scientific purposes that June 2018; that entity now requests an et seq.). The requested permit would promote recovery or for enhancement of amendment to the permit. Proposed allow the applicant to conduct activities propagation or survival of the species. activities in the following permit intended to promote recovery of a These activities often include such request are for the recovery and species that is listed as endangered prohibited actions as capture and enhancement of propagation or survival under the ESA. collection. Our regulations of the species in the wild. The ESA Background implementing section 10(a)(1)(A) for requires that we invite public comment these permits are found in the Code of before issuing this permit. Accordingly, With some exceptions, the ESA Federal Regulations at 50 CFR 17.22 for prohibits activities that constitute take we invite local, State, Tribal, and endangered wildlife species, 50 CFR of listed species unless a Federal permit Federal agencies and the public to 17.32 for threatened wildlife species, 50 is issued that allows such activity. The submit written data, views, or CFR 17.62 for endangered plant species, ESA’s definition of ‘‘take’’ includes such arguments with respect to this and 50 CFR 17.72 for threatened plant activities as pursuing, harassing, application. The comments and trapping, capturing, or collecting in species. recommendations that will be most addition to hunting, shooting, harming, Permit Application Available for useful and likely to influence agency wounding, or killing. Review and Comment decisions are those supported by A recovery permit issued by us under quantitative information or studies. section 10(a)(1)(A) of the ESA We issued permit TE–003483–32 to authorizes the permittee to conduct the U.S. Geological Survey Pacific

Permit Application No. Applicant, city, state Species Location Take activity action

TE–003483–33 ...... U.S. Geological Survey, Pa- Add the following species to Guam ..... Capture, handle, hold, Amend. cific Island Ecosystems the current permit: band, attach radio trans- Research Center, Hono- Mariana gray swiftlet mitter, biosample, re- lulu, HI. (Aerodramus vanikorensis lease, survey, monitor bartschi). nests, and salvage.

Public Availability of Comments 1973, as amended (16 U.S.C. 1531 et Public Lands Center, 2465 S. Townsend seq.). Ave., Montrose, CO 81401. The March Written comments we receive become 8, 2019, meeting will be held at the Rolland White, part of the administrative record Dolores Public Lands Center, 29211 associated with this action. Before Assistant Regional Director—Ecological Hwy. 184, Dolores, CO 81323. Services, Pacific Region. including your address, phone number, FOR FURTHER INFORMATION CONTACT: [FR Doc. 2018–23104 Filed 10–22–18; 8:45 am] email address, or other personal Stephanie Connolly, Acting Public identifying information in your BILLING CODE 4333–15–P Affairs Specialist, Southwest District, comment, you should be aware that BLM Grand Junction Field Office, 2815 your entire comment—including your DEPARTMENT OF THE INTERIOR H Road, Grand Junction, CO 81506. personal identifying information—may Phone: (970) 240–5315. Email: be made publicly available at any time. Bureau of Land Management [email protected]. Persons who use a While you can request in your comment telecommunications device for the deaf that we withhold your personal [LLCOS00000–L11100000.DF0000–18X] (TDD) may call the Federal Relay identifying information from public Notice of Public Meetings, Southwest Service (FRS) at 1–800–877–8339 to review, we cannot guarantee that we Resource Advisory Council, Colorado contact the above individual during will be able to do so. All submissions normal business hours. from organizations or businesses, and AGENCY: Bureau of Land Management, The FRS is available 24 hours a day, from individuals identifying themselves Interior. seven days a week, to leave a message as representatives or officials of ACTION: Notice. or question with the above individual. organizations or businesses, will be You will receive a reply during normal SUMMARY: In accordance with the business hours. made available for public disclosure in Federal Land Policy and Management SUPPLEMENTARY INFORMATION: The 15- their entirety. Act of 1976, and the Federal Advisory member RAC advises the Secretary of Committee Act of 1972, the U.S. Next Steps the Interior, through the BLM, on a Department of the Interior, Bureau of variety of public land issues in the If we decide to issue a permit to the Land Management (BLM) Southwest Southwest District, which includes the applicant listed in this notice, we will Resource Advisory Council (RAC) is Grand Junction, Uncompahgre and Tres scheduled to meet as indicated below. publish a notice in the Federal Register. Rios field offices, as well as Canyons of DATES: The meetings will be held on Authority the Ancients National Monument in January 11, 2019 and March 8, 2019 Colorado. Agenda items for the January We publish this notice under section from 9 a.m. to 4 p.m. A public comment 2019 meeting include recreation fee 10(c) of the Endangered Species Act of period regarding matters on the agenda proposals, the close-out of the will be held at 11:30 a.m. at each Dominguez-Escalante Advisory Council, meeting. and forming a subcommittee dedicated ADDRESSES: The January 11, 2019, to partnership-based trail construction meeting will be held at the Montrose in the Grand Junction area. A training

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session for the Recreation RAC is also ADDRESSES: The complaint, except for ‘reticle’ onto a photoresist on a silicon planned. Agenda items for the March any confidential information contained wafer, components of the lithography 2019 meeting will be announced prior therein, is available for inspection machines, and systems related to the to the meeting. The public is during official business hours (8:45 a.m. operation of the lithography machines’’; encouraged to make oral comments to to 5:15 p.m.) in the Office of the (3) For the purpose of the the RAC at either or both meetings at Secretary, U.S. International Trade investigation so instituted, the following 11:30 a.m., or written statements may be Commission, 500 E Street SW, Room are hereby named as parties upon which submitted at the meeting for the RAC’s 112, Washington, DC 20436, telephone this notice of investigation shall be consideration (see contact information (202) 205–2000. Hearing impaired served: above). Before including your address, individuals are advised that information (a) The complainants are: ASML phone number, email address, or other on this matter can be obtained by Netherlands B.V., De Run 6501, 5504 personally identifiable information in contacting the Commission’s TDD DR, Veldhoven, The Netherlands, ASML your comment, you should be aware terminal on (202) 205–1810. Persons US, L.P., 2650 W Geronimo Place, that your entire comment—including with mobility impairments who will Chandler, AZ 85224, ASML US, LLC, your personally identifiable need special assistance in gaining access 2650 W Geronimo Place, Chandler, AZ information—may be made publicly to the Commission should contact the 85224. available at any time. While you can ask Office of the Secretary at (202) 205– (b) The respondents are the following the BLM in your comment to withhold 2000. General information concerning entities alleged to be in violation of your personally identifiable information the Commission may also be obtained section 337, and are the parties upon from public review, we cannot by accessing its internet server at which the complaint is to be served: guarantee that we will be able to do so. https://www.usitc.gov. The public Nikon Corporation, Shinagawa Intercity record for this investigation may be Tower C, 2–15–3, Konan, Minato-ku, Gregory P. Shoop, viewed on the Commission’s electronic Tokyo 108–6290, Japan, Nikon Precision Acting BLM Colorado State Director. docket (EDIS) at https://edis.usitc.gov. Inc., 1399 Shoreway Road, Belmont, CA [FR Doc. 2018–23102 Filed 10–22–18; 8:45 am] 94002–4107, Nikon Research FOR FURTHER INFORMATION CONTACT: BILLING CODE 4310–JB–P Corporation of America, 1399 Shoreway Katherine Hiner, The Office of the Road, Belmont, CA 94002–4107. Secretary, Docket Services Division, (4) For the investigation so instituted, U.S. International Trade Commission, the Chief Administrative Law Judge, telephone (202) 205–1802. INTERNATIONAL TRADE U.S. International Trade Commission, COMMISSION SUPPLEMENTARY INFORMATION: shall designate the presiding Authority: The authority for Administrative Law Judge. Certain Semiconductor Lithography institution of this investigation is The Office of Unfair Import Systems and Components Thereof; contained in section 337 of the Tariff Investigations will not participate as a Institution of Investigation Act of 1930, as amended, 19 U.S.C. party in this investigation. 1337, and in section 210.10 of the The Chief Administrative Law Judge AGENCY: U.S. International Trade Commission’s Rules of Practice and is authorized to consolidate Inv. No. Commission. Procedure, 19 CFR 210.10 (2018). 337–TA–1137 with Inv. No. 337–TA– ACTION: Notice. Scope of Investigation: Having 1128 and/or Inv. No. 337–TA–1129 if he considered the complaint, the U.S. deems it appropriate. SUMMARY: Notice is hereby given that a International Trade Commission, on Responses to the complaint and the complaint was filed with the U.S. October 9, 2018, ordered that— notice of investigation must be International Trade Commission on (1) Pursuant to subsection (b) of submitted by the named respondents in September 12, 2018, under section 337 section 337 of the Tariff Act of 1930, as accordance with section 210.13 of the of the Tariff Act of 1930, as amended, amended, an investigation be instituted Commission’s Rules of Practice and on behalf of ASML Netherlands B.V. of to determine whether there is a Procedure, 19 CFR 210.13. Pursuant to the Netherlands; ASML US, L.P. of violation of subsection (a)(1)(B) of 19 CFR 201.16(e) and 210.13(a), such Chandler, Arizona; and ASML US, LLC section 337 in the importation into the responses will be considered by the of Chandler, Arizona. The complaint United States, the sale for importation, Commission if received not later than 20 alleges violations of section 337 based or the sale within the United States after days after the date of service by the upon the importation into the United importation of certain products Commission of the complaint and the States, the sale for importation, and the identified in paragraph (2) by reason of notice of investigation. Extensions of sale within the United States after infringement of one or more of claims 1, time for submitting responses to the importation of certain semiconductor 2, 5–9, 15, 16, 18–22, 25, and 27 of the complaint and the notice of lithography systems and components ’283 patent; claims 1–3, 5, and 6 of the investigation will not be granted unless thereof by reason of infringement of ’264 patent; and claims 1, 3, 4, 7–12, 22, good cause therefor is shown. certain claims of U.S. Patent No. 23, and 25–27 of the ’880 patent; and Failure of a respondent to file a timely 7,295,283 (‘‘the ’283 patent’’); U.S. whether an industry in the United response to each allegation in the Patent No. 7,403,264 (‘‘the ’264 patent’’); States exists as required by subsection complaint and in this notice may be and U.S. Patent No. 9,188,880 (‘‘the ’880 (a)(2) of section 337; deemed to constitute a waiver of the patent’’). The complaint further alleges (2) Pursuant to section 210.10(b)(1) of right to appear and contest the that an industry in the United States the Commission’s Rules of Practice and allegations of the complaint and this exists as required by the applicable Procedure, 19 CFR 210.10(b)(1), the notice, and to authorize the Federal Statute. plain language description of the administrative law judge and the The complainants requests that the accused products or category of accused Commission, without further notice to Commission institute an investigation products, which defines the scope of the the respondent, to find the facts to be as and, after the investigation, issue a investigation, is ‘‘lithography machines alleged in the complaint and this notice limited exclusion order and cease and that use a projection system to project and to enter an initial determination desist orders. circuit patterns drawn on a ‘mask’ or and a final determination containing

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such findings, and may result in the L.P., Round Rock, TX; DLT Solutions, Solutions LLC, Sewell, NJ; Pillar Global issuance of an exclusion order or a cease LLC, Herndon, VA; DroneShield LLC, Solutions, Inc., Stafford, VA; PortOne and desist order or both directed against Warrenton, VA; Dynetics, Inc., Technology Group LLC, Summerville, the respondent. Huntsville, AL; ECS Federal, LLC, SC; Product Data Integration By order of the Commission. Fairfax, VA; Engineering Science Technologies Inc. dba Modulant Inc., Issued: October 9, 2018. Analysis Corp., Tempe, AZ; Enveil, Inc., North Charleston, SC; RAM Fulton, MD; Epoch Concepts, LLC, Laboratories, Inc., San Diego, CA; Real- Katherine Hiner, Highlands Ranch, CO; EWA- Time Innovations, Inc., Sunnyvale, CA; Supervisory Attorney. Government Systems, Inc., Herndon, Research Innovations Incorporated, [FR Doc. 2018–23040 Filed 10–22–18; 8:45 am] VA; FGS, LLC, La Plata, MD; ForgeAi, Alexandria, VA; Reservoir Labs, Inc., BILLING CODE 7020–02–P Inc., Cambridge, MA; Frontier New York, NY; Rite-Solutions, Inc., Technology, Inc., Beavercreek, OH; G2 Pawcatuck, CT; Rockwell Collins, Inc., Ops, Inc., Virginia Beach, VA; General Cedar Rapids, IA; RPI Group, Inc., DEPARTMENT OF JUSTICE Dynamics Information Technology, Inc., Fredericksburg, VA; Scientific Research Fairfax, VA; General Dynamics Mission Corporation (SRC), Atlanta, GA; Secure Antitrust Division Systems, Inc., Fairfax, VA; General Channels, Inc., Irvine, CA; Segue Notice Pursuant to the National Electric Company, Lynn, MA; Technologies, Inc., Arlington, VA; Cooperative Research and Production GenXComm Inc., Austin, TX; Geocent Sellers & Associates LLC, Chesapeake, Act of 1993—Information Warfare LLC, Metairie, LA; Geon Technologies VA; Semper Fortis Solutions, Leesburg, Research Project Consortium LLC, Columbia, MD; George Consulting VA; Semper Valens Solutions, Inc., Ltd., Charleston, SC; Georgia Tech Canyon Lake, TX; Sentar, Inc., Notice is hereby given that, on Research Corporation, Atlanta, GA; GPS Huntsville, AL; Sentient Science October 15, 2018, pursuant to Section Source, Inc., Pueblo, CO; Grey Matters Corporation, Buffalo, NY; Service 6(a) of the National Cooperative Defense Solutions LLC, Castle Rock, CO; Robotics & Technologies, Arlington, VA; Research and Production Act of 1993, Grove Resource Solutions, Inc. (GRSi), Shadow-Soft LLC, Sandy Springs, GA; 15 U.S.C. 4301 et seq. (‘‘the Act’’), Frederick, MD; Hamilton Consulting Si2 Technologies, Inc., N. Billerica, MA; Information Warfare Research Project Solutions Corporation (HCSC), Sierra Nevada Corporation, Sparks, NV; Consortium (‘‘IWRP’’) has filed written Chesapeake, VA; Hegarty Research LLC, SIFT LLC, Minneapolis, MN; notifications simultaneously with the McLean, VA; Home2Office Computing SimVentions Inc., Fredericksburg, VA; Attorney General and the Federal Trade Solutions, Inc. dba C3 Networx, San SIPPA Solutions LLC, Bayside, NY; Soar Commission disclosing (1) the identities Diego, CA; IBM Federal Department of Technology, Inc., Ann Arbor, MI; Solers, of the parties to the venture and (2) the the Navy, Armonk, NY; Indiana Inc., Arlington, VA; Solute, Inc., San nature and objectives of the venture. Microelectronics LLC, West Lafayette, Diego, CA; Space Sciences Corporation, The notifications were filed for the IN; Intelligent Automation, Inc., Lemitar, NM; Specialty Systems, Inc., purpose of invoking the Act’s provisions Rockville, MD; Intelligent Decision Toms River, NJ; Spectral Analytics LLC, limiting the recovery of antitrust Systems, Inc., Centreville, VA; San Diego, CA; Spin Systems, Inc., Falls plaintiffs to actual damages under Interclypse, Inc., Annapolis Junction, Church, VA; Stardog Union, Arlington, specified circumstances. MD; IOMAXIS LLC, Lorton, VA; VA; SURVICE Engineering Company Pursuant to Section 6(b) of the Act, Keysight Technologies, Inc., Santa Rosa, LLC, Belcamp, MD; Symantec the identities of the parties to the CA; KinetX Aerospace, Inc., Tempe, AZ; Corporation, Mountain View, CA; venture are: 2 Twelve Solutions, King Technologies, Inc., San Diego, CA; Syncopated Engineering, Inc., Ellicott Arlington, VA; Aeronix, Inc., Life Cycle Engineering, Inc., North City, MD; Systematic, Inc., Centreville, Melbourne, FL; Applied Engineering Charleston, SC; Lone Star Analysis, VA; Technology Unlimited Group Concepts, Inc., Eldersburg, MD; Applied Addison, TX; McKean Defense Group (TUG), San Diego, CA; Teradata Signals Intelligence, Inc., Sterling, VA; LLC, Philadelphia, PA; Metron, Inc., Government Systems, Annapolis, MD; Applied Technical Systems, Inc., Reston, VA; Metronome LLC, Fairfax, The Cameron Bell Corporation dba Gov Silverdale, WA; Aquabotix Technology VA; Microsoft Corporation (Microsoft Solutions Group, Charleston, SC; The Corporation, Fall River, MA; Aspen Corporation Sitz in Redmond Hard Yards LLC, Arlington, VA; The Consulting Group, Inc., Point Pleasant, Corporation), Redmond, WA; Minerva Informatics Applications Group, Inc. NJ; AT&T Government Solutions, Inc., Systems & Technologies LLC, (TIAG), Reston, VA; The Metamorphosis Vienna, VA; Atlantic CommTech Corp., Lexington, KY; Mission Solutions Group, Inc., Vienna, VA; The Regents of Norfolk, VA; Avineon, Inc., McLean, Group, Mt. Pleasant, SC; Modus21 LLC, the University of California, La Jolla, VA; BAE Systems Information & Mount Pleasant, SC; NEANY Inc., CA; The Samraksh Company, Dublin, Electronic Systems Integration, Inc., Hollywood, MD; NexGen Data Systems, OH; Toyon Research Corporation, Nashua, NH; BCF Solutions, Inc., Inc., Goose Creek, SC; NineFX, Inc., Goleta, CA; Trace Systems, Inc., Vienna, Chantilly, VA; BioRankings, St. Louis, Columbia, SC; Norseman, Inc., Elkridge, VA; Trewon Technologies LLC, Stafford, MO; Boarhog LLC, San Diego, CA; Booz MD; Novetta, Inc., McLean, VA; Octo VA; TrustedQA, Inc., Reston, VA; Allen Hamilton, Inc., McLean, VA; Consulting Group, Inc., Reston, VA; Unisys Corporation, Reston, VA; Brandywine Communications, Tustin, Omega-KR LLC, Austin, TX; Open University of Florida (UF), Gainesville, CA; Burke Consortium, Incorporated, Source Systems LLC, Charleston, SC; FL; UtopiaCompression Corporation, Alexandria, VA; CACI, Inc. Federal, Oracle America, Inc., Reston, VA; Los Angeles, CA; Valkyrie Enterprises, Sterling, VA; Cirrus, LLC, Walla Walla, Pacific Aerospace Consulting, Inc., San Inc., Virginia Beach, VA; Vencore Inc. a WA; COLSA Corporation, Huntsville, Diego, CA; Pacific Science & Perspecta Company, Chantilly, VA; AL; Colvin Run Networks, LLC, Great Engineering Group, Inc., San Diego, CA; Ventech Solutions, Inc., Columbus, OH; Falls, VA; Craig Technologies, Cape Parsons Government Services, Inc., Vigilant Technologies, Chandler, AZ; Canaveral, FL; DataSoft Corp., Tempe, Pasadena, CA; PEMCCO Inc., Virginia Virginia Polytechnic Institute and State AZ; Decisive Analytics Corporation, Beach, VA; Peregrine Technical University, Blacksburg, VA; Vista Arlington, VA; Dell Federal Systems Solutions, LLC, Yorktown, VA; PGFM Defense Technologies LLC, Rock Island,

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IL; Vitech Corporation, Blacksburg, VA; Department of Justice, Community requirements for their grant/cooperative VMware, Inc., Palo Alto, CA; Wang Oriented Policing Services (COPS) agreement award. Requesting and/or Electro-Opto Corporation, Marietta, GA; Office, 145 N Street NE, Washington, DC receiving a time extension will not World Wide Technology, Maryland 20530 (202–514–6563). Written provide additional funding. Heights, MO; Wyle Laboratories, Inc., comments and/or suggestions can also 5. An estimate of the total number of Lexington Park, MD; and X-Feds, Inc., be directed to the Office of Management respondents and the amount of time San Diego, CA. and Budget, Office of Information and estimated for an average respondent to The general area of IWRP’s planned Regulatory Affairs, Attention respond: It is estimated that activity is conduct research, Department of Justice Desk Officer, approximately 2,700 respondents development, and prototyping of Washington, DC 20503 or sent to OIRA_ annually will complete the form within projects and programs in the following [email protected]. 30 minutes. technology areas: Cyber Warfare; Data SUPPLEMENTARY INFORMATION: Written 6. An estimate of the total public Science/Analytics Technologies; comments and suggestions from the burden (in hours) associated with the Assured Communications; Cloud public and affected agencies concerning collection: 1,350 total annual burden Computing; Enterprise Resource Tools; the proposed collection of information hours (0.5 hours × 2700 respondents + Collaboration and Social Networking; are encouraged. Your comments should 1,350 total burden hours). Autonomy; Internet of Things (IoT) address one or more of the following If additional information is required Embedded Systems; Mobility, Model four points: contact: Melody Braswell, Department Based Systems Engineering (MBSE); On- —Evaluate whether the proposed Clearance Officer, United States Demand Manufacturing; Assured collection of information is Department of Justice, Justice Command and Control (AC2); Integrated necessary for the proper Management Division, Policy and Fires (IF); and Battlespace Awareness performance of the functions of the Planning Staff, Two Constitution (BA). Bureau of Justice Statistics, Square, 145 N Street NE, Washington, Suzanne Morris, including whether the information DC 20530. Chief, Premerger and Division Statistics Unit, will have practical utility; Dated: October 17, 2018. Antitrust Division. —Evaluate the accuracy of the agency’s Melody Braswell, [FR Doc. 2018–23092 Filed 10–22–18; 8:45 am] estimate of the burden of the Department Clearance Officer for PRA, U.S. BILLING CODE 4410–11–P proposed collection of information, Department of Justice. including the validity of the [FR Doc. 2018–23022 Filed 10–22–18; 8:45 am] methodology and assumptions BILLING CODE 4410–AT–P DEPARTMENT OF JUSTICE used; —Evaluate whether and if so how the [OMB Number 1103–0093] quality, utility, and clarity of the DEPARTMENT OF LABOR Agency Information Collection information to be collected can be Activities; Proposed eCollection enhanced; and —Minimize the burden of the collection Employee Benefits Security eComments Requested; Revision of a Administration Previously Approved Collection; COPS of information on those who are to Extension Request Form respond, including through the use Proposed Extension of Information of appropriate automated, Collection Requests for Public AGENCY: Community Oriented Policing electronic, mechanical, or other Comment Services (COPS) Office, Department of technological collection techniques Justice. or other forms of information AGENCY: Employee Benefits Security ACTION: 30-Day notice. technology, e.g., permitting Administration, Department of Labor. electronic submission of responses. ACTION: Notice. SUMMARY: The Department of Justice Overview of this information (DOJ), Community Oriented Policing collection: SUMMARY: The Department of Labor (the Services (COPS) Office, will be 1. Type of Information Collection: Department), in accordance with the submitting the following information Revision of a currently approved Paperwork Reduction Act of 1995, collection request to the Office of collection, with change; comments provides the general public and Federal Management and Budget (OMB) for requested. agencies with an opportunity to review and approval in accordance with 2. The Title of the Form/Collection: comment on proposed and continuing the Paperwork Reduction Act of 1995. COPS Extension Request Form. collections of information. This helps The proposed information collection 3. The agency form number, if any, the Department assess the impact of its was previously published in the Federal and the applicable component of the information collection requirements and Register, on August 20, 2018, allowing Department sponsoring the collection: minimize the public’s reporting burden. for a 60-day comment period. None. U.S. Department of Justice, It also helps the public understand the DATES: Comments are encouraged and Community Oriented Policing Services Department’s information collection will be accepted for 30 days until (COPS) Office. requirements and provide the requested November 23, 2018. 4. Affected public who will be asked data in the desired format. The FOR FURTHER INFORMATION CONTACT: If or required to respond, as well as a brief Employee Benefits Security you have additional comments abstract: Law enforcement agencies and Administration (EBSA) is soliciting especially on the estimated public other COPS grants recipients that have comments on the proposed extension of burden or associated response time, grants expiring within 90 days of the the information collection requests suggestions, or need a copy of the date of the form/request. The extension (ICRs) contained in the documents proposed information collection request form will allow recipients of described below. A copy of the ICRs instrument with instructions or COPS grants the opportunity to request may be obtained by contacting the office additional information, please contact a ‘‘no-cost’’ time extension in order to listed in the ADDRESSES section of this Lashon M. Hilliard, Policy Analyst, complete the federal funding period and notice. ICRs also are available at

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reginfo.gov (http://www.reginfo.gov/ provide a research exception to the Type of Review: Extension of a public/do/PRAMain). limitations on requesting or requiring currently approved collection of DATES: Written comments must be genetic testing that allow a group health information. submitted to the office shown in the plan or group health insurance issuer to OMB Number: 1210–0100. ADDRESSES section on or before request, but not require, a participant or Affected Public: Businesses or other December 24, 2018. beneficiary to undergo a genetic test if for-profits. Respondents: 1. ADDRESSES: G. Christopher Cosby, all of the following conditions of the Responses: 251. Department of Labor, Employee Benefits research exception are satisfied: • The request must be made pursuant Estimated Total Burden Hours: 8. Security Administration, 200 to research that complies with 45 CFR Estimated Total Burden Cost Constitution Avenue NW, Room N– part 46 (or equivalent Federal (Operating and Maintenance): $1,464. 5718, Washington, DC 20210, ebsa.opr@ regulations) and any applicable State or Description: The regulation dol.gov, (202) 693–8410, FAX (202) local law or regulations for the concerning plan assets and participant 219–4745 (these are not toll-free protection of human subjects in contributions provides guidance for numbers). research. To comply with the informed fiduciaries, participants, and SUPPLEMENTARY INFORMATION: This consent requirements of 45 CFR 46.116 beneficiaries of employee benefit plans notice requests public comment on the (a)(8), a participant must receive a regarding how participant contributions Department’s request for extension of disclosure that participation in the to pension plans must be handled when the Office of Management and Budget’s research is voluntary, refusal to they are either paid to the employer by (OMB) approval of ICRs contained in participate cannot involve any penalty the participant or directly withheld by the rules and prohibited transaction or loss of benefits to which the the employer from the employee’s exemptions described below. The participant is otherwise entitled, and wages for transmission to the pension Department is not proposing any the participant may discontinue plan. For those employers who may changes to the existing ICRs at this time. participation at any time without have difficulty meeting the regulation’s An agency may not conduct or sponsor, penalty or loss of benefits to which the deadlines for transmitting participant and a person is not required to respond participant is entitled (the Participant contribution, the regulation (29 CFR to, an information collection unless it Disclosure). The interim final 2510.3–102(d)) provides an opportunity displays a valid OMB control number. A regulations provide that when the for the employer to obtain an extension summary of the ICRs and the current Participant Disclosure is received by of the time limit by providing burden estimates follows: participants seeking their informed participants and the Department with a Agency: Employee Benefits Security consent, no additional disclosures are notice that contains specified Administration, Department of Labor. required for purposes of the GINA information. The ICR pertains to this Title: Genetic Information research exception. notice requirement. The Department Nondiscrimination Act of 2008 Research • The plan or issuer must make the previously requested review of this ICR Exception Notice. request in writing and must clearly and obtained approval from OMB under Type of Review: Extension of a indicate to each participant or OMB control number 1210–0100. That currently approved collection of beneficiary (or in the case of a minor approval is scheduled to expire on information. child, to the legal guardian of such February 28, 2019. OMB Number: 1210–0136. beneficiary) to whom the request is Agency: Employee Benefits Security Affected Public: Businesses or other made that compliance with the request Administration, Department of Labor. for-profits; Not-for-profit institutions. is voluntary and noncompliance will Title: Disclosures for Participant- Respondents: 3. have no effect on eligibility for benefits Directed Individual Account Plans. Responses: 3. or premium or contribution amounts. Type of Review: Extension of a Estimated Total Burden Hours: 1. • None of the genetic information currently approved collection of Estimated Total Burden Cost collected or acquired as a result of the information. (Operating and Maintenance): $16. research may be used for underwriting OMB Number: 1210–0090. Description: The Genetic Information purposes. Affected Public: Businesses or other Nondiscrimination Act of 2008 (GINA), • The plan or issuer must complete a for-profits. Public Law 110–233, was enacted on copy of the ‘‘Notice of Research Respondents: 518,282. May 21, 2008. Title I of GINA amended Exception under the Genetic Responses: 713,900,000. the Employee Retirement Income Information Nondiscrimination Act’’ Estimated Total Burden Hours: Security Act of 1974 (ERISA), the Public (the Notice) and provide it to the 7,300,000. Health Service Act (PHS Act), the address specified in its instructions. The Estimated Total Burden Cost Internal Revenue Code of 1986 (Code), Notice and instructions are available on (Operating and Maintenance): and the Social Security Act (SSA) to the Department of Labor’s website $274,000,000. prohibit discrimination in health (http://www.dol.gov/ebsa). Description: Plan administrators are coverage based on genetic information. The Participant Disclosure and the required to provide plan- and Sections 101 through 103 of Title I of Notice are the ICRs contained in the investment-related fee and expense GINA prevent employment-based group interim final rules. The Department information to participants and health plans and health insurance previously requested review of this beneficiaries in all participant directed issuers in the group and individual information collection and obtained individual account plans (e.g., 401(k) markets from discriminating based on approval OMB under OMB control plans) for plan years beginning on or genetic information, and from collecting number 1210–0136. The ICRs are after January 1, 2011. The Department such information. The interim final scheduled to expire on February 28, previously requested review of this regulations, which are codified at 29 2019. information collection and obtained CFR 2590.702–1, only interpret Sections Agency: Employee Benefits Security approval from OMB under OMB control 101 through 103 of Title I of GINA. Administration, Department of Labor. number 1210–0090. The ICR is GINA and the interim final Title: Definition of Plan Assets— scheduled to expire on February 28, regulations (29 CFR 2590.702–1(c)(5)) Participant Contributions. 2019.

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Agency: Employee Benefits Security Title: Prohibited Transaction Class Estimated Total Burden Hours: 200. Administration, Department of Labor. Exemption 97–41; Collective Investment Estimated Total Burden Cost Title: Bank Collective Investment Funds Conversion Transactions. (Operating and Maintenance): $0. Funds; Prohibited Transaction Class Type of Review: Extension of a Description: PTE 94–20 permits the Exemption 1991–38. currently approved collection of purchase and sale of foreign currencies Type of Review: Extension of a information. between an employee benefit plan and currently approved collection of OMB Number: 1210–0104. a bank, broker-dealer, or an affiliate information. Affected Public: Businesses or other thereof, that is a trustee, custodian, for-profits; Not-for-profit institutions. OMB Number: 1210–0082. fiduciary, or other party in interest with Respondents: 50. respect to the plan. The exemption is Affected Public: Businesses or other Responses: 105. available provided that the transaction for-profits; Not-for-profit institutions. Estimated Total Burden Hours: 1,760. is directed (within the meaning of Respondents: 6,000. Estimated Total Burden Cost section IV(e) of the exemption) by a plan Responses: 6,000. (Operating and Maintenance): $508,282. fiduciary that is independent of the Estimated Total Burden Hours: 1,000. Description: Prohibited Transaction bank, broker-dealer, or affiliate and all Estimated Total Burden Cost Exemption (PTE) 97–41 provides an other conditions of the exemption are (Operating and Maintenance): $0. exemption from the prohibited satisfied. Without this exemption, Description: PTE 91–38 provides an transaction provisions of the certain aspects of these transactions exemption from the prohibited Employment Retirement Income might be prohibited by ERISA section transaction provisions of the Employee Security Act of 1974 (ERISA) and from 406(a). Retirement Income Security Act of 1974 certain taxes imposed by the Internal To protect the interests of participants (ERISA) for certain transactions between Revenue Code of 1986. The exemption and beneficiaries of the employee a bank collective investment fund and permits employee benefit plans to benefit plan, the exemption requires persons who are parties in interest with purchase shares of one or more open- that the party wishing to take advantage respect to an employee benefit plan. end investment companies (the funds) of the exemption (1) develop written Without the exemption, ERISA sections registered under the Investment policies and procedures applicable to 406 and 407(a) and Internal Revenue Advisers Act of 1940 by transferring in- trading in foreign currencies on behalf Code section 4975(c)(1) may prohibit kind, to the investment company, assets of an employee benefit plan; (2) provide transactions between the collective of the plan that are part of a collective a written confirmation with respect to investment fund (CIF) and a party in investment fund (CIF) maintained by a each transaction in foreign currency to interest to one or more of the employee bank or plan advisor that is both a the independent plan fiduciary, benefit plans participating in the fiduciary of the plan and an investment disclosing specified information; and (3) collective investment fund. advisor to the investment company maintain records pertaining to the Under PTE 91–38, a collective offering the fund. transaction for a period of six years. The exemption requires that an investment fund generally may engage This ICR relates to the foregoing independent fiduciary receive advance in transactions with parties in interest to disclosure and recordkeeping written notice of any covered a plan that invests in the fund as long requirements. transaction, as well as specific written as the plan’s total investment in the EBSA previously submitted the information concerning the funds to be fund does not exceed a specified information collection provisions of purchased. The independent fiduciary percentage of the total assets of the PTE 94–20 to OMB for review in must also provide written advance fund. PTE 91–38 also contains more connection with promulgation of the approval of conversion transactions and limited or differently defined relief for prohibited transaction exemption. OMB receive written confirmation of each funds holding more than the specified approved the ICR under OMB Control transaction, as well as additional on- percentage for multiemployer plans, and No. 1210–0085. The ICR approval is going disclosures as defined in PTE 97– for transactions involving employer currently scheduled to expire on 41. These disclosures are the basis for securities and employer real property. February 28, 2019. this ICR. In order to ensure that the rights of Agency: Employee Benefits Security EBSA previously submitted the participants and beneficiaries are Administration, Department of Labor. information collection provisions of protected, and that bank collective Title: Affordable Care Act Internal PTE 97–41 to OMB for review in investment funds can demonstrate Claims and Appeals and External connection with promulgation of the compliance with the terms of the Review Procedures for Non- prohibited transaction exemption. OMB exemption, the Department requires a Grandfathered Plans. approved the ICR under OMB Control bank to maintain records regarding the Type of Review: Extension of a No. 1210–0104. The ICR approval is exempted transactions and make them currently approved collection of currently scheduled to expire on available for inspection to specified information. February 28, 2019. OMB Number: 1210–0144. interested persons (including the Agency: Employee Benefits Security Affected Public: Businesses or other Department and the Internal Revenue Administration, Department of Labor. for-profits; Not-for-profit institutions. Service) on request for a period of six Title: Foreign Currency Transactions; Respondents: 1,801,225. years. Prohibited Transaction Class Exemption Responses: 278,413. EBSA previously submitted the 1994–20. Estimated Total Burden Hours: 2,271. information collection provisions of Type of Review: Extension of a Estimated Total Burden Cost PTE 91–38 to OMB for review in an ICR currently approved collection of (Operating and Maintenance): that was approved under the OMB information. $1,143,236. Control No. 1210–0082. The current OMB Number: 1210–0085. Description: The Patient Protection approval is scheduled to expire on Affected Public: Businesses or other and Affordable Care Act, Public Law February 28, 2019. for-profits; Not-for-profit institutions. 111–148, (the Affordable Care Act) was Agency: Employee Benefits Security Respondents: 248. enacted by President Obama on March Administration, Department of Labor. Responses: 1,240. 23, 2010. As part of the Act, Congress

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added Public Health Service Act (PHS based on the number of employees at a regardless of whether the rescission is of Act) section 2719, which provides rules firm. The new rule is based on whether group or individual coverage; or relating to internal claims and appeals a participant or beneficiary resides in a whether, in the case of group coverage, and external review processes. The county where ten percent or more of the the coverage is insured or self-insured, Department, in conjunction with the population residing in the county is or the rescission applies to an entire Departments of the Treasury and literate only in the same non-English group or only to an individual within Department of Health and Human language. The ICR was approved by the group. The ICR was approved by Services (collectively, the Departments), OMB under OMB Control Number OMB under OMB Control Number issued interim final regulations on July 1210–0144 and is scheduled to expire 1210–0141 and is scheduled to expire 23, 2010 (75 FR 43330), which set forth on March 31, 2019. on March 31, 2019. rules implementing PHS Act section Agency: Employee Benefits Security Agency: Employee Benefits Security 2719 for internal claims and appeals Administration, Department of Labor. Administration, Department of Labor. and external review processes. With Title: Affordable Care Act Advance Title: Affordable Care Act respect to internal claims and appeals Notice of Rescission. Grandfathered Health Plan Disclosure, processes for group health coverage, Type of Review: Extension of a Recordkeeping Requirement, and PHS Act section 2719 and paragraph currently approved collection of Change in Carrier Disclosure. (b)(2)(i) of the interim final regulations information. Type of Review: Extension of a provide that group health plans and OMB Number: 1210–0141. currently approved collection of health insurance issuers offering group Affected Public: Businesses or other information. health insurance coverage must comply for-profits; Not-for-profit institutions. OMB Number: 1210–0140. with the internal claims and appeals Respondents: 100. Affected Public: Businesses or other processes set forth in 29 CFR 2560.503– Responses: 1,533. for-profits; Not-for-profit institutions. 1 (the DOL claims procedure regulation) Estimated Total Burden Hours: 20. Respondents: 983,923. and update such processes in Estimated Total Burden Cost Responses: 18,143,918. accordance with standards established (Operating and Maintenance): $250. Estimated Total Burden Hours: 2,220. by the Secretary of Labor in paragraph Description: Section 2712 of the PHS Estimated Total Burden Cost (b)(2)(ii) of the regulations. Act, as added by the Affordable Care (Operating and Maintenance): $366,791. Also, PHS Act section 2719 and the Act, and the Department’s interim final Description: Section 1251 of the interim final regulations provide that regulation (26 CFR 54.9815–2712, 29 Patient Protection and Affordable Care group health plans and issuers offering CFR 2590.715–2712, 45 CFR 147.2712) Act provides that certain plans and group health insurance coverage must provides rules regarding rescissions of health insurance coverage in existence comply either with a State external health coverage for group health plans as of March 23, 2010, known as review process or a Federal review and health insurance issuers offering grandfathered health plans, are not process. The regulations provide a basis group or individual health insurance required to comply with certain for determining when plans and issuers coverage. Under the statute and the statutory provisions in the Act. To must comply with an applicable State interim final regulations, a group health maintain its status as a grandfathered external review process and when they plan, or a health insurance issuer health plan, the interim final regulations must comply with the Federal external offering group or individual health (29 CFR 2590.715–1251(a)(3)) require review process. insurance coverage, generally must not the plan to maintain records The claims procedure regulation rescind coverage except in the case of documenting the terms of the plan in imposes information collection fraud or an intentional effect on March 23, 2010, and any other requirements as part of the reasonable misrepresentation of a material fact. documents that are necessary to verify, procedures that an employee benefit This standard applies to all rescissions, explain or clarify status as a plan must establish regarding the whether in the group or individual grandfathered health plan. The plan handling of a benefit claim. These insurance market, or self-insured must make such records available for requirements include third-party notice coverage. The rules also apply examination upon request by and disclosure requirements that the regardless of any contestability period of participants, beneficiaries, individual plan must satisfy by providing the plan or issuer. policy subscribers, or a State or Federal information to participants and PHS Act section 2712 adds a new agency official. beneficiaries of the plan. advance notice requirement when The interim final regulations (29 CFR On June 24, 2011, the Department coverage is rescinded where still 2590.715–1251(a)(2)) also require a amended the interim final regulations. permissible. Specifically, the second grandfathered health plan to include a Two amendments revised the ICR. The sentence in section 2712 provides that statement in any plan material provided first amendment provides that plans no coverage may not be cancelled unless to participants or beneficiaries longer are required to include diagnosis prior notice is provided, and then only describing the benefits provided under and treatment codes on notices of as permitted under PHS Act sections the plan or health insurance coverage, adverse benefit determination and final 2702(c) and 2742(b). Under the interim that the plan or coverage believes it is internal adverse benefit determination. final regulations, even if prior notice is a grandfathered health plan within the Instead, they must notify claimants of provided, rescission is only permitted in meaning of section 1251 of the Act, that the opportunity to receive the codes on cases of fraud or an intentional being a grandfathered health plan means request and plans and issuers must misrepresentation of a material fact as that the plan does not include certain provide the codes upon request. permitted under the cited provisions. consumer protections of the Act, and The second amendment also changes The interim final regulations provide providing contact information for the method plans and issuers must use that a group health plan, or a health participants to direct questions to determine who is eligible to receive insurance issuer offering group health regarding which protections apply and a notice in a culturally and insurance coverage, must provide at which protections do not apply to a linguistically appropriate manner, and least 30 days advance notice to an grandfathered health plan and what the information that must be provided individual before coverage may be might cause a plan to change from to such persons. The previous rule was rescinded. The notice must be provided grandfathered health plan status and to

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file complaints. The ICR contained in Title: Employee Retirement Income of stakeholders, to ‘‘develop standards this interim final rule was approved by Security Act Summary Annual Report for use by a group health plan and a OMB under OMB Control Number Requirement. health insurance issuer in compiling 1210–0140, which is currently Type of Review: Extension of a and providing to applicants, enrollees, scheduled to expire on March 31, 2019. currently approved collection of and policyholders and certificate Agency: Employee Benefits Security information. holders a summary of benefits and Administration, Department of Labor. OMB Number: 1210–0040. coverage explanation that accurately Title: Patient Protection and Affected Public: Not-for-profit describes the benefits and coverage Affordable Care Act Patient Protection institutions, Businesses or other for- under the applicable plan or coverage.’’ Notice. profits. To implement these disclosure Respondents: 721,000. requirements, collection of information Type of Review: Extension of a Responses: 168,200,000. currently approved collection of requests relate to the provision of the Estimated Total Burden Hours: following: Summary of benefits and information. 2,300,000. OMB Number: 1210–0142. coverage, which includes coverage Estimated Total Burden Cost examples; a uniform glossary of health Affected Public: Businesses or other (Operating and Maintenance): coverage and medical terms; and a for-profits; Not-for-profit institutions. $62,500,000. notice of modifications. The ICR was Respondents: 41,386. Description: ERISA Section 104(b)(3) approved by OMB under OMB Control Responses: 693,007. and the regulation published at 29 CFR Number 1210–0147 and is scheduled to Estimated Total Burden Hours: 5,173. 2520.104b–10 require, with certain expire on April 30, 2019. Estimated Total Burden Cost exceptions, that administrators of Agency: Employee Benefits Security (Operating and Maintenance): $5,371. employee benefit plans furnish annually Administration, Department of Labor. to each participant and certain Description: Section 2719A of the Title: Annual Report for Multiple beneficiaries a summary annual report PHS Act, as added by the Affordable Employer Welfare Arrangements (Form (SAR) meeting the requirements of the Care Act, and the Department’s interim M–1). statute and regulation. The regulation final regulation (29 CFR 2590.715– Type of Review: Extension of a prescribes the content and format of the 2719A), states that if a group health currently approved collection of SAR and the timing of its delivery. The plan, or a health insurance issuer information. SAR provides current information about offering group or individual health OMB Number: 1210–0116. the plan and assists those who receive Affected Public: Businesses or other insurance coverage, requires or provides it in understanding the plan’s current for-profits, not-for-profit institutions. for designation by a participant, financial operation and condition. It Respondents: 456. beneficiary, or enrollee of a also explains participants’ and Responses: 456. participating primary care provider, beneficiaries’ rights to receive further Estimated Total Burden Hours: 97. then the plan or issuer must permit each information on these issues. Estimated Total Burden Cost participant, beneficiary, or enrollee to EBSA previously submitted the ICR (Operating and Maintenance): $81,900. designate any participating primary care provisions in the regulation at 29 CFR Description: The Health Insurance provider who is available to accept the 2520.104b–10 to OMB, and OMB Portability and Accountability Act of participant, beneficiary, or enrollee. approved the ICR under OMB Control 1996 (HIPAA), codified as Part 7 of Title When applicable, it is important that No. 1210–0040. The ICR approval is I of the Employee Retirement Security individuals enrolled in a plan or health scheduled to expire on April 30, 2019. Act of 1974 (ERISA), was enacted to insurance coverage know of their rights Agency: Employee Benefits Security improve the portability and continuity to (1) choose a primary care provider or Administration, Department of Labor. of health care coverage for participants a pediatrician when a plan or issuer Title: Summary of Benefits and and beneficiaries of group health plans. requires participants or subscribers to Coverage and Uniform Glossary In the interest of assuring compliance designate a primary care physician; or Required Under the Affordable Care with Part 7, section ERISA 101(g), added (2) obtain obstetrical or gynecological Act. by HIPAA, further permits the Secretary care without prior authorization. Type of Review: Extension of a of Labor (the Secretary) to require Accordingly, paragraph (a)(4) of the currently approved collection of multiple employer welfare arrangements interim final regulations requires such information. (MEWAs), as defined in ERISA section plans and issuers to provide a notice to OMB Number: 1210–0147. 3(40), to report to the Secretary in such participants (in the individual market, Affected Public: Businesses or other form and manner as the Secretary might primary subscribers) of these rights for-profits; Not-for-profit institutions. determine. The Department published a when applicable. Model language is Respondents: 4,644,924. final rule providing for such reporting provided in the interim final Responses: 71,252,236. on an annual basis, together with a form regulations. The notice must be Estimated Total Burden Hours: (Form M–1) to be used by MEWAs for provided whenever the plan or issuer 431,552. the annual report. The reporting provides a participant with a summary Estimated Total Burden Cost requirement enables the Secretary to plan description or other similar (Operating and Maintenance): determine whether the requirements of description of benefits under the plan or $9,273,266. Part 7 of ERISA are being carried out. health insurance coverage, or in the Description: Section 2715 of the PHS The Patient Protection and Affordable individual market, provides a primary Act directs the Department of Health Care Act (Pub. L. 111–148, 124 Stat. subscriber with a policy, certificate, or and Human Services (HHS), the 119) and the Health Care and Education contract of health insurance. The ICR Department of Labor (DOL), and the Reconciliation Act of 2010 (Pub. L. 111– was approved by OMB under OMB Department of the Treasury 152, 124 Stat. 1029) (these are Control Number 1210–0142 and is (collectively, the Departments), in collectively known as the ‘‘Affordable scheduled to expire on March 31, 2019. consultation with the National Care Act’’) amended ERISA section Agency: Employee Benefits Security Association of Insurance Commissioners 101(g). Under this amendment, MEWAs Administration, Department of Labor. (NAIC) and a working group comprised providing benefits consisting of medical

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care (within the meaning of ERISA exemptions cover transactions that were Title: Multiple Employer Welfare section 733(a)(2) that are not group recognized by the Department as being Arrangement Administrative Law Judge health plans must now register with the well-established, reasonable, and Administrative Hearing Procedures. Secretary prior to operating in a State. customary transactions in which Type of Review: Extension of a EBSA previously submitted an ICR for collectively bargained multiple currently approved collection of the information collection in Form M– employer plans (principally, information. 1 to OMB for review under the PRA and multiemployer plans, but also including OMB Number: 1210–0148. received approval under OMB control other collectively bargained multiple Affected Public: Businesses or other number 1210–0116. This current employer plans) frequently engage in for-profits. approval is scheduled to expire on June order to carry out their purposes. Respondents: 10. 30, 2019. PTE 76–1 provides relief, under Responses: 10. Agency: Employee Benefits Security specified conditions, for three types of Estimated Total Burden Hours: 20. Administration, Department of Labor. transactions: (1) Part A of PTE 76–1 Estimated Total Burden Cost Title: Notice of Special Enrollment permits collectively bargained multiple (Operating and Maintenance): $595,700. Description: Congress enacted section Rights Under Group Health Plans. employer plans to take several types of 6605 of the Affordable Care Act, Public Type of Review: Extension of a actions regarding delinquent or Law 111–148, 124 Stat. 119, 780 (2010), currently approved collection of uncollectible employer contributions; which adds section 521 to ERISA, to information. (2) Part B of PTE 76–1 permits provide the Secretary with additional OMB Number: 1210–0101. collectively bargained multiple enforcement authority to protect plan Affected Public Businesses or other employer plans, under specified participants, beneficiaries, employees or for-profits, not-for-profit institutions. conditions, to make construction loans employee organizations, or other Respondents: 2,300,000. to participating employers; and (3) Part members of the public against Responses: 8,600,000. C of PTE 76–1 permits collectively fraudulent, abusive, or financially Estimated Total Burden Hours: 1. bargained multiple employer plans to hazardous Multiple Employer Welfare Estimated Total Burden Cost share office space and administrative Arrangements (MEWAs). This section (Operating and Maintenance): $75,000. services, and the costs associated with Description: Subsection (c) of 29 CFR authorizes the Secretary to issue ex such office space and services, with 2590.701–6 requires group health plans parte cease and desist orders when it parties in interest. PTE 77–10 to provide a notice describing the plan’s appears to the Secretary that the alleged complements Part C of PTE 76–1 by special enrollment rules to each conduct of a MEWA is ‘‘fraudulent, or providing relief from the prohibitions of employee who is offered an initial creates an immediate danger to the ERISA section 406(b)(2) with respect to opportunity to enroll in the group public safety or welfare, or is causing or collectively bargained multiple health plan. The special enrollment can be reasonably expected to cause employer plans sharing office space and rules described in the notice of special significant, imminent, and irreparable administrative services with parties in enrollment generally provide public injury.’’ A person that is interest if specific conditions are met. enrollment rights to employees and adversely affected by the issuance of a PTE 78–6 provides an exemption to their dependents in specified cease and desist order may request an collectively bargained multiple circumstances occurring after the administrative hearing regarding the employer apprenticeship plans for the employee or dependent initially order. This request for an administrative purchase or leasing of personal property declines to enroll in the plan. EBSA hearing is an information collection from a contributing employer (or its previously submitted an ICR concerning under the Paperwork Reduction Act. wholly owned subsidiary) and for the the notice of special enrollment to OMB The Department previously submitted leasing of real property (other than for review under the PRA and received this information collection to OMB in office space within the contemplation of approval under OMB Control No. 1210– an ICR that was approved under OMB ERISA section 408(b)(2)) from a 0101. The current ICR approval is Control Number 1210–0148. The current contributing employer (or its wholly scheduled to expire on June 30, 2019. approval is scheduled to expire on June owned subsidiary) or an employee Agency: Employee Benefits Security 30, 2019. organization any of whose members’ Administration, Department of Labor. work results in contributions being II. Focus of Comments Title: Prohibited Transaction Class made to the plan. Exemptions for Multiple Employer The Department is particularly Plans and Multiple Employer Each of these PTEs requires, as part of interested in comments that: Apprenticeship Plans, PTE 76–1, PTE its conditions, either written • Evaluate whether the collections of 77–10, PTE 78–6. agreements, recordkeeping, or both. The information are necessary for the proper Type of Review: Extension of a Department has combined the performance of the functions of the currently approved collection of information collection provisions of the agency, including whether the information. three PTEs into one ICR because it information will have practical utility; OMB Number: 1210–0058. believes that the public benefits from • Evaluate the accuracy of the Affected Public Businesses or other having the opportunity to collectively agency’s estimate of the collections of for-profits, not-for-profit institutions. review these closely related exemptions information, including the validity of Respondents: 3,625. and their similar information the methodology and assumptions used; Responses: 3,625. collections. The Department previously • Enhance the quality, utility, and Estimated Total Burden Hours: 906. submitted an ICR to OMB for approval clarity of the information to be Estimated Total Burden Cost of the information collections in PTEs collected; and (Operating and Maintenance): $0. 76–1, 77–10, and 78–6 and received • Minimize the burden of the Description: This ICR covers OMB approval under OMB Control No. collection of information on those who information collections contained in 1210–0058. The current approval is are to respond, including through the three related prohibited transaction scheduled to expire on June 30, 2019. use of appropriate automated, class exemptions: PTE 76–1, PTE 77–10, Agency: Employee Benefits Security electronic, mechanical, or other and PTE 78–6. All three of these Administration, Department of Labor. technological collection techniques or

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other forms of information technology, VETS Ivan Denton, Director, National (TTY number is (877) 889–5627). e.g., by permitting electronic Programs OSHA’s Docket Office accepts deliveries submissions of responses. WHD Patrice Torres, Assistant (hand deliveries, express mail, and Comments submitted in response to Administrator, Office of messenger/courier service) from 10 a.m. this notice will be summarized and/or Administration to 3 p.m. ET. included in the ICRs for OMB approval FOR FURTHER INFORMATION CONTACT: Ms. FOR FURTHER INFORMATION CONTACT: For of the extension of the information Lucy Cunningham, Director, Office of press inquiries: Mr. Francis Meilinger, collection; they will also become a Executive Resources, Room N2453, U.S. Director, OSHA Office of matter of public record. Department of Labor, Frances Perkins Communications, U.S. Department of Dated: October 17, 2018. Building, 200 Constitution Ave. NW, Labor; telephone: (202) 693–1999 (TTY Joseph S. Piacentini, Washington, DC 20210, telephone: (202) 877–889–5627); email: Director, Office of Policy and Research, 693–6624. [email protected]. For general information: Ms. Michelle Employee Benefits Security Administration. Signed at Washington, DC, on the 17th day [FR Doc. 2018–23079 Filed 10–22–18; 8:45 am] of October, 2018. Walker, Director, OSHA Technical Data Center, Directorate of Technical Support BILLING CODE 4510–29–P Bryan Slater, and Emergency Management; telephone: Assistant Secretary for Administration, And (202) 693–2350 (TTY 877–889–5627); Management. email: [email protected]. DEPARTMENT OF LABOR [FR Doc. 2018–23062 Filed 10–22–18; 8:45 am] SUPPLEMENTARY INFORMATION: The BILLING CODE 4510–04–P Office of the Assistant Secretary for Secretary of Labor (Secretary) invites Administration and Management; interested individuals to submit Senior Executive Service; Appointment DEPARTMENT OF LABOR nominations for membership on of Members to the Performance NACOSH. Review Board Occupational Safety and Health The Occupational Safety and Health Title 5 U.S.C. 4314(c)(4) provides that Administration Act of 1970 (OSH Act) (29 U.S.C. 651, 656) established NACOSH to advise, Notice of the Appointment of the [Docket No. OSHA–2018–0007] individual to serve as a member of the consult with, and make Performance Review Board of the Senior National Advisory Committee on recommendations to the Secretary and Executive Service shall be published in Occupational Safety and Health the Secretary of Health and Human the Federal Register. (NACOSH); Request for Nominations Services (HHS Secretary) on matters The following individuals are hereby relating to the administration of the AGENCY: Occupational Safety and Health appointed to serve on the Department’s OSH Act. NACOSH is a continuing Administration (OSHA), Labor. Performance Review Board: advisory committee of indefinite ACTION: Request for nominations to duration. Permanent Membership serve on NACOSH. NACOSH operates in accordance with Chair—Deputy Secretary the Federal Advisory Committee Act SUMMARY: The Secretary of Labor Vice-Chair—Assistant Secretary for (FACA) (5 U.S.C. App. 2), implementing requests nominations for membership Administration and Management regulations (41 CFR part 102–3), the on NACOSH. Alternate Vice-Chair—Chief Human OSH Act, and OSHA’s regulations on Capital Officer DATES: Nominations for NACOSH NACOSH (29 CFR part 1912a). membership must be submitted NACOSH is comprised of 12 Rotating Membership—Appointments (postmarked, sent or received) by members, all of whom the Secretary Expire on 09/30/21 December 24, 2018. appoints. The terms of six NACOSH BLS Nancy Ruiz De Gamboa, Associate ADDRESSES: You may submit members expired on December 31, 2017, Commissioner for Administration nominations for NACOSH, which must and the remaining six NACOSH EBSA Amy Turner, Director, Health include the docket number for this members’ terms expire on December 31, Plan Standards and Compliance Federal Register notice (Docket No. 2018. OSHA invites nominations for all Assistance OSHA–2018–0007), by one of the of the NACOSH positions: ETA Thomas Dowd, Deputy Assistant following methods: • Four (4) public representatives; Secretary Electronically: You may submit • Two (2) management ETA Nicholas Lalpuis, Regional nominations, including attachments, representative; Administrator, Dallas electronically at http:// • Two (2) labor representative; ILAB Martha Newton, Deputy www.regulations.gov, which is the • Two (2) occupational safety Undersecretary for International Labor Federal eRulemaking Portal. Follow the professional representatives; and Affairs online instructions for making • Two (2) occupational health MSHA Patricia Silvey, Deputy submissions. professional representatives. Assistant Secretary Facsimile: If your nomination, Pursuant to 29 CFR 1912a.2, the HHS OASAM Geoffrey Kenyon, Director, including attachments, does not exceed Secretary designates both of the Departmental Budget Center 10 pages, you may fax it to the OSHA occupational health professional OLMS Stephen Willertz, Director, Docket Office at (202) 693–1648. representatives and two of the four Office of Enforcement and Regular mail, express delivery, hand public representatives for the International Union Audits delivery, messenger/courier service Secretary’s consideration and OSHA Galen Blanton, Regional (hard copy): You may submit your appointment. OSHA will provide to Administrator, Boston materials to the OSHA Docket Office, HHS all nominations and supporting OSHA Loren Sweatt, Deputy Assistant Docket No. OSHA–2018–0007, Room N– materials for the membership categories Secretary 3653, U.S. Department of Labor, 200 the HHS Secretary designates. SOL Kate O’Scannlain, Solicitor of Constitution Avenue NW, Washington, NACOSH members serve staggered Labor DC 20210; telephone (202) 693–2350 terms, unless the member becomes

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unable to serve, resigns, ceases to be docket number for this Federal Register Foundation (NSF) announces the qualified to serve, or is removed by the notice (Docket No. OSHA–2018–0007). following meeting: Secretary. Accordingly, the Secretary Due to security-related procedures, Name and Committee Code: Proposal will appoint six members to a two-year receipt of submissions by regular mail Review Panel for International Science term and six to a three-year term. If a may experience significant delay. Please and Engineering—PIRE ‘‘Coastal Flood vacancy occurs before a term expires, contact the OSHA Docket Office for Risk Reduction Program: Integrated, the Secretary may appoint a new information about security procedures multi-scale approaches for member who represents the same for making submissions by hand, understanding how to reduce interest as the predecessor to serve the express delivery, or messenger/courier vulnerability to damaging events’’ Site remainder of the unexpired term. The service. Visit (#10749). Committee shall meet at least two times OSHA posts submissions without Date and Time: November 19, 2018; a year (29 U.S.C. 656(a)(2)). change at http://www.regulations.gov. 8:00 a.m.—8:30 p.m.; November 20, Any individual or organization may Therefore, OSHA cautions interested 2018; 8:30 a.m.–1:30 p.m. nominate one or more qualified persons parties about submitting personal Place: Texas A&M University at for membership on NACOSH. information, such as Social Security Galveston, Ocean and Coastal Studies Nominations must include: Numbers and birth dates. Although all Building, 1001 Texas Clipper Road, • The nominee’s name and contact submissions are listed in the http:// Galveston TX 77554. information; www.regulations.gov index, some Type of Meeting: Part Open. • The nominee’s occupation or information (e.g., copyrighted material) Contact Person: Charles Estabrook, current position; is not publicly available to read or PIRE Program Manager, National • The categories that the nominee is download through that website. All Science Foundation, 2415 Eisenhower qualified to represent; submissions, including copyrighted Avenue, Alexandria, Virginia 22314; • The nominee’s resume or material, are available for inspection Telephone 703/292–7222. curriculum vitae; and copying, if permissible, at the Purpose of Meeting: NSF site visit to • Membership in relevant OSHA Docket Office. Information on conduct a review during year 2 of the organizations and associations; using http://www.regulations.gov to five-year award period. To conduct an • A summary of the nominee’s submit comments and access the docket in depth evaluation of performance, to background, experience, and is available on that website. Please assess progress towards goals, and to qualifications to serve on NACOSH; contact the OSHA Docket Office for provide recommendations. • A list of articles or other documents information about materials not Agenda: See attached. the nominee has authored that indicates available through that website and for Reason for Closing: Topics to be the nominee’s experience in worker assistance in using the internet to locate discussed and evaluated during closed safety and health; docket submissions. portions of the site review will include • A statement that the nominee has Electronic copies of this Federal information of a proprietary or no conflicts of interest that would Register notice are available at http:// confidential nature, including technical preclude membership on NACOSH; and www.regulations.gov. This notice, as information; and information on • A statement that the nominee is well as news releases and other relevant personnel. These matters are exempt aware of the nomination and is willing information, also are available on under 5 U.S.C. 552b(c), (4) and (6) of the to serve and regularly attend NACOSH OSHA’s web page at http:// Government in the Sunshine Act. meetings. www.osha.gov. The Secretary will appoint NACOSH Dated: October 17, 2018. members on the basis of their Authority and Signature Crystal Robinson, experience and competence in the field Loren Sweatt, Deputy Assistant of Committee Management Officer. of occupational safety and health (29 Labor for Occupational Safety and PIRE NSF Site Visit Agenda—TAMUG CFR 1912a.2). The information OSHA Health, directed the preparation of this receives through this nomination notice under the authority granted by 29 Day 1 Monday, November 19, 2018 process, in addition to other relevant U.S.C. 656; 5 U.S.C. App. 2; 29 CFR part 8:00 a.m.–9:00 a.m. Meet & Greet over sources of information, will assist the 1912a; 41 CFR part 102–3; and Secretary continental breakfast (OPEN) Secretary in appointing members to of Labor’s Order No. 1–2012 (77 FR 9:00 a.m.–9:30 a.m. PIRE overview serve on NACOSH. In appointing 3912 (1/25/2012)) and 04–2018 (6/1/ (OPEN) NACOSH members, the Secretary will 2018). —PIRE Rationale and Goals, consider individuals nominated in Signed at Washington, DC, on October 17, accomplishments and future plans response to this Federal Register notice, 2018. —Administration, Management, and as well as other qualified individuals. Loren Sweatt, Budget Plans The U.S. Department of Labor Deputy Assistant Secretary of Labor for —Facilities and Physical (Department) is committed to equal Occupational Safety and Health. Infrastructure opportunity in the workplace and seeks [FR Doc. 2018–23076 Filed 10–22–18; 8:45 am] —Developing Human Resources a broad-based and diverse NACOSH 9:30 a.m.–10:00 a.m. Review of BILLING CODE 4510–26–P membership. The Department will Responses to Issues by Past conduct a public records check of Reviewers (OPEN) nominees before their appointment 10:10 a.m.–10:30 a.m. NSF Executive NATIONAL SCIENCE FOUNDATION using publicly available sources. Session/Break (CLOSED) Proposal Review Panel for 10:30 a.m.–10:40 a.m. Break Public Participation, Submissions and 10:40 a.m.–11:30 a.m. Research Access to Public Record International Science and Engineering; Notice of Meeting (OPEN) You may submit nominations using 11:30 a.m.–Noon Students’ Research one of the methods listed in the In accordance with the Federal Travel to the Netherlands (OPEN) ADDRESSES section. Your submission Advisory Committee Act (Pub., L. 92– Noon–12:30 p.m. NSF Executive must include the Agency name and 463, as amended), the National Science Session (CLOSED)

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12:30 p.m.–1:30 p.m. Lunch– of the five-year award period. To NATIONAL SCIENCE FOUNDATION Discussion with Students (CLOSED) conduct an in depth evaluation of 1:30 p.m.–2:00 p.m. Education (OPEN) performance, to assess progress towards Proposal Review Panel for 2:00 p.m.–2:30 p.m. Integrating goals, and to provide recommendations. International Science and Engineering; Research and Education (OPEN) Agenda: See attached. Notice of Meeting 2:30 p.m.–3:00 p.m. Integrating Reason for Late Notice: Due to In accordance with the Federal Diversity (OPEN) unforeseen scheduling complications Advisory Committee Act (Pub., L. 92– 3:00 p.m.–3:30 p.m. NSF Executive and the necessity to proceed with the 463, as amended), the National Science Session/Break (CLOSED) review of the program. Foundation (NSF) announces the 3:30 p.m.–4:15 p.m. Partnerships following meeting: (OPEN) Reason for Closing: Topics to be Name and Committee Code: Proposal 4:15 p.m.–5:15 p.m. Wrap up (OPEN) discussed and evaluated during closed Review Panel for International Science 5:15 p.m.–6:15 p.m. Executive portions of the reverse site review will and Engineering—PIRE ‘‘Advanced Session/Break-Develop issues for include information of a proprietary or Artificial Muscles for International and clarification (CLOSED) confidential nature, including technical Globally Competitive Research and 6:15 p.m.–6:30 p.m. Critical Feedback information; and information on Education in Soft Robotics’’ Reverse Site Provided to PI (CLOSED) personnel. These matters are exempt Visit (#10749). 7:00 p.m.–8:30 p.m. NSF Executive under 5 U.S.C. 552b(c), (4) and (6) of the Date and Time: November 16, 2018; Session/Working Dinner (CLOSED) Government in the Sunshine Act. 8:00 a.m.–5:00 p.m. Day 2 Tuesday, November 20, 2018 Dated: October 17, 2018. Place: National Science Foundation, Crystal Robinson, Room W3190, 2415 Eisenhower 8:30 a.m.–9:30 a.m. Institutional Committee Management Officer. Support (Administrators and PI/Co- Avenue, Alexandria, Virginia 22314. Type of Meeting: Part Open. PIs) (OPEN) PIRE NSF Reverse Site Visit Agenda— Contact Person: Charles Estabrook, 9:30 a.m.–10:30 a.m. Summary/ Yoon University of Michigan PIRE Program Manager, National Proposing Team Response to NSF Headquarters in Alexandria, Science Foundation, 2415 Eisenhower Critical Feedback (CLOSED) Virginia Avenue, Alexandria, Virginia 22314; 10:30 a.m.–10:40 a.m. Break Telephone 703–292–7222. 10:40 a.m.–1:00 p.m. Site Review Tuesday, November 13, 2018 Purpose of Meeting: NSF reverse site Team Prepares Site Visit Report 8:00 a.m. Panelists arrive. Coffee/light visit to conduct a review during year 2 (CLOSED) (11:45 a.m. Brown Bag refreshments available. of the five-year award period. To Lunch Provided) conduct an in depth evaluation of 1:00 p.m.–1:30 p.m. Presentation of 8:15 a.m.–8:45 a.m. Panel Orientation performance, to assess progress towards Site Visit Report to Principal (CLOSED) goals, and to provide recommendations. Investigator (CLOSED) PIRE Rationale and Goals, Charge to Panel Agenda: See attached. [FR Doc. 2018–23023 Filed 10–22–18; 8:45 am] Reason for Late Notice: Due to BILLING CODE 7555–01–P 8:45 a.m. PIs arrive. Introductions unforeseen scheduling complications (OPEN) and the necessity to proceed with the 9:00 a.m.–11:30 a.m. PIRE Project review of the program. NATIONAL SCIENCE FOUNDATION Presentation (OPEN) Reason for Closing: Topics to be discussed and evaluated during closed Proposal Review Panel for Research portions of the reverse site review will International Science and Engineering; Integrating Research & Education include information of a proprietary or Notice of Meeting Students (e.g. involvement in project, confidential nature, including technical recruitment, diversity) In accordance with the Federal information; and information on Advisory Committee Act (Pub., L. 92– Project Management and personnel. These matters are exempt 463, as amended), the National Science Communication under 5 U.S.C. 552b(c), (4) and (6) of the Foundation (NSF) announces the Evaluation & Assessment Government in the Sunshine Act. following meeting: Institutional Support Dated: October 17, 2018. Name and Committee Code: Proposal International Partnerships Crystal Robinson, Review Panel for International Science 11:30 a.m.–12:30 p.m. Questions and Committee Management Officer. and Engineering—PIRE ‘‘International Answers (OPEN) Program for the Advancement of PIRE NSF Reverse Site Visit Agenda— Neurotechnology’’ Reverse Site Visit 12:30 p.m.–2:00 p.m. Working Lunch– Kim—University of Nevada Las Vegas Panel Discussion (CLOSED) (#10749). NSF Headquarters in Alexandria, Date and Time: November 13, 2018; 2:00 p.m.–2:30 p.m. Initial Feedback to Virginia 8:00 a.m.–5:00 p.m. PIRE PI and presenters (CLOSED) Place: National Science Foundation, 2:30 p.m. PIRE PI and presenters are Friday, November 16, 2018 Room W3170, 2415 Eisenhower dismissed 8:00 a.m. Panelists arrive. Coffee/light Avenue, Alexandria, Virginia 22314. 2:30 p.m.–4:45 p.m. Panel Prepares refreshments available. Type of Meeting: Part Open. Reverse Site Visit Report (CLOSED) 8:15 a.m.–8:45 a.m. Panel Orientation Contact Person: Charles Estabrook, 4:45 p.m.–5:00 p.m. Report presented (CLOSED) PIRE Program Manager, National to and discussion held with NSF PIRE Rationale and Goals, Charge to Science Foundation, 2415 Eisenhower staff (CLOSED) Panel Avenue, Alexandria, Virginia 22314; 8:45 a.m. PIs arrive. Introductions Telephone 703–292–7222. 5:00 p.m. End of Reverse Site Visit (OPEN) Purpose of Meeting: NSF reverse site [FR Doc. 2018–23025 Filed 10–22–18; 8:45 am] 9:00 a.m.–11:30 a.m. PIRE Project visit to conduct a review during year 2 BILLING CODE 7555–01–P Presentation (OPEN)

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Research ADDRESSES: You may submit comments B. Submitting Comments Integrating Research & Education by any of the following methods Please include Docket ID NRC–2018– Students (e.g. involvement in project, • Federal Rulemaking website: Go to 0231 facility name, unit number(s), recruitment, diversity) http://www.regulations.gov and search Project Management and plant docket number, application date, for Docket ID NRC–2018–0231. Address and subject in your comment Communication questions about Docket IDs in Evaluation & Assessment submission. Regulations.gov to Jennifer Borges; The NRC cautions you not to include Institutional Support telephone: 301–287–9127; email: International Partnerships identifying or contact information that [email protected]. For technical 11:30 a.m.–12:30 p.m. Questions and you do not want to be publicly questions, contact the individual listed Answers (OPEN) disclosed in your comment submission. 12:30 p.m.–2:00 p.m. Working Lunch– in the FOR FURTHER INFORMATION The NRC will post all comment CONTACT section of this document. submissions at http:// Panel Discussion (CLOSED) • 2:00 p.m.–2:30 p.m. Initial Feedback to Mail comments to: May Ma, Office www.regulations.gov as well as enter the PIRE PI and presenters (CLOSED) of Administration, Mail Stop: TWFN–7– comment submissions into ADAMS. 2:30 p.m. PIRE PI and presenters are A60M, U.S. Nuclear Regulatory The NRC does not routinely edit dismissed Commission, Washington, DC 20555– comment submissions to remove 2:30 p.m.–4:45 p.m. Panel Prepares 0001. identifying or contact information. Reverse Site Visit Report (CLOSED) For additional direction on obtaining If you are requesting or aggregating 4:45 p.m.–5:00 p.m. Report presented information and submitting comments, comments from other persons for to and discussion held with NSF see ‘‘Obtaining Information and submission to the NRC, then you should staff (CLOSED) Submitting Comments’’ in the inform those persons not to include 5:00 p.m. End of Reverse Site Visit SUPPLEMENTARY INFORMATION section of identifying or contact information that [FR Doc. 2018–23024 Filed 10–22–18; 8:45 am] this document. they do not want to be publicly BILLING CODE 7555–01–P FOR FURTHER INFORMATION CONTACT: disclosed in their comment submission. Shirley Rohrer, Office of Nuclear Your request should state that the NRC Reactor Regulation, U.S. Nuclear does not routinely edit comment NUCLEAR REGULATORY Regulatory Commission, Washington, submissions to remove such information COMMISSION DC 20555–0001; telephone: 301–415– before making the comment 5411, email: [email protected]. submissions available to the public or [NRC–2018–0231] SUPPLEMENTARY INFORMATION: entering the comment into ADAMS. Biweekly Notice; Applications and I. Obtaining Information and II. Notice of Consideration of Issuance Amendments to Facility Operating Submitting Comments of Amendments to Facility Operating Licenses and Combined Licenses Licenses and Combined Licenses and Involving No Significant Hazards A. Obtaining Information Proposed No Significant Hazards Considerations Please refer to Docket ID NRC–2018– Consideration Determination AGENCY: Nuclear Regulatory 0231 facility name, unit number(s), The Commission has made a Commission. plant docket number, application date, proposed determination that the ACTION: Biweekly notice. and subject when contacting the NRC following amendment requests involve about the availability of information for no significant hazards consideration. SUMMARY: Pursuant to Section 189a.(2) this action. You may obtain publicly- Under the Commission’s regulations in of the Atomic Energy Act of 1954, as available information related to this section 50.92 of title 10 of the Code of amended (the Act), the U.S. Nuclear action by any of the following methods: Federal Regulations (10 CFR), this Regulatory Commission (NRC) is • Federal Rulemaking website: Go to means that operation of the facility in publishing this regular biweekly notice. http://www.regulations.gov and search accordance with the proposed The Act requires the Commission to for Docket ID NRC–2018–0231. amendment would not (1) involve a publish notice of any amendments • NRC’s Agencywide Documents significant increase in the probability or issued, or proposed to be issued, and Access and Management System consequences of an accident previously grants the Commission the authority to (ADAMS): You may obtain publicly- evaluated, or (2) create the possibility of issue and make immediately effective available documents online in the a new or different kind of accident from any amendment to an operating license ADAMS Public Documents collection at any accident previously evaluated; or or combined license, as applicable, http://www.nrc.gov/reading-rm/ (3) involve a significant reduction in a upon a determination by the adams.html. To begin the search, select margin of safety. The basis for this Commission that such amendment ‘‘Begin Web-based ADAMS Search.’’ For proposed determination for each involves no significant hazards problems with ADAMS, please contact amendment request is shown below. consideration, notwithstanding the the NRC’s Public Document Room (PDR) The Commission is seeking public pendency before the Commission of a reference staff at 1–800–397–4209, 301– comments on this proposed request for a hearing from any person. 415–4737, or by email to pdr.resource@ determination. Any comments received This biweekly notice includes all nrc.gov. For the convenience of the within 30 days after the date of notices of amendments issued, or reader, instructions about obtaining publication of this notice will be proposed to be issued, from September materials referenced in this document considered in making any final 25, 2018 to October 5, 2018. The last are provided in the ‘‘Availability of determination. biweekly notice was published on Documents’’ section. Normally, the Commission will not October 9, 2018. • NRC’s PDR:You may examine and issue the amendment until the DATES: Comments must be filed by purchase copies of public documents at expiration of 60 days after the date of November 23, 2018. A request for a the NRC’s PDR, Room O1–F21, One publication of this notice. The hearing must be filed by December 24, White Flint North, 11555 Rockville Commission may issue the license 2018. Pike, Rockville, Maryland 20852. amendment before expiration of the 60-

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day period provided that its final proceeding. Each contention must amendment request involves a determination is that the amendment consist of a specific statement of the significant hazards consideration, then involves no significant hazards issue of law or fact to be raised or any hearing held would take place consideration. In addition, the controverted. In addition, the petitioner before the issuance of the amendment Commission may issue the amendment must provide a brief explanation of the unless the Commission finds an prior to the expiration of the 30-day bases for the contention and a concise imminent danger to the health or safety comment period if circumstances statement of the alleged facts or expert of the public, in which case it will issue change during the 30-day comment opinion which support the contention an appropriate order or rule under 10 period such that failure to act in a and on which the petitioner intends to CFR part 2. timely way would result, for example in rely in proving the contention at the A State, local governmental body, derating or shutdown of the facility. If hearing. The petitioner must also Federally-recognized Indian Tribe, or the Commission takes action prior to the provide references to the specific agency thereof, may submit a petition to expiration of either the comment period sources and documents on which the the Commission to participate as a party or the notice period, it will publish in petitioner intends to rely to support its under 10 CFR 2.309(h)(1). The petition the Federal Register a notice of position on the issue. The petition must should state the nature and extent of the issuance. If the Commission makes a include sufficient information to show petitioner’s interest in the proceeding. final no significant hazards that a genuine dispute exists with the The petition should be submitted to the consideration determination, any applicant or licensee on a material issue Commission no later than 60 days from hearing will take place after issuance. of law or fact. Contentions must be the date of publication of this notice. The Commission expects that the need limited to matters within the scope of The petition must be filed in accordance to take this action will occur very the proceeding. The contention must be with the filing instructions in the infrequently. one which, if proven, would entitle the ‘‘Electronic Submissions (E-Filing)’’ petitioner to relief. A petitioner who section of this document, and should A. Opportunity To Request a Hearing fails to satisfy the requirements at 10 meet the requirements for petitions set and Petition for Leave To Intervene CFR 2.309(f) with respect to at least one forth in this section, except that under Within 60 days after the date of contention will not be permitted to 10 CFR 2.309(h)(2) a State, local publication of this notice, any persons participate as a party. governmental body, or Federally- (petitioner) whose interest may be Those permitted to intervene become recognized Indian Tribe, or agency affected by this action may file a request parties to the proceeding, subject to any thereof does not need to address the for a hearing and petition for leave to limitations in the order granting leave to standing requirements in 10 CFR intervene (petition) with respect to the intervene. Parties have the opportunity 2.309(d) if the facility is located within action. Petitions shall be filed in to participate fully in the conduct of the its boundaries. Alternatively, a State, accordance with the Commission’s hearing with respect to resolution of local governmental body, Federally- ‘‘Agency Rules of Practice and that party’s admitted contentions, recognized Indian Tribe, or agency Procedure’’ in 10 CFR part 2. Interested including the opportunity to present thereof may participate as a non-party persons should consult a current copy evidence, consistent with the NRC’s under 10 CFR 2.315(c). of 10 CFR 2.309. The NRC’s regulations regulations, policies, and procedures. If a hearing is granted, any person are accessible electronically from the Petitions must be filed no later than who is not a party to the proceeding and NRC Library on the NRC’s website at 60 days from the date of publication of is not affiliated with or represented by http://www.nrc.gov/reading-rm/doc- this notice. Petitions and motions for a party may, at the discretion of the collections/cfr/. Alternatively, a copy of leave to file new or amended presiding officer, be permitted to make the regulations is available at the NRC’s contentions that are filed after the a limited appearance pursuant to the Public Document Room, located at One deadline will not be entertained absent provisions of 10 CFR 2.315(a). A person White Flint North, Room O1–F21, 11555 a determination by the presiding officer making a limited appearance may make Rockville Pike (first floor), Rockville, that the filing demonstrates good cause an oral or written statement of his or her Maryland 20852. If a petition is filed, by satisfying the three factors in 10 CFR position on the issues but may not the Commission or a presiding officer 2.309(c)(1)(i) through (iii). The petition otherwise participate in the proceeding. will rule on the petition and, if must be filed in accordance with the A limited appearance may be made at appropriate, a notice of a hearing will be filing instructions in the ‘‘Electronic any session of the hearing or at any issued. Submissions (E-Filing)’’ section of this prehearing conference, subject to the As required by 10 CFR 2.309(d) the document. limits and conditions as may be petition should specifically explain the If a hearing is requested, and the imposed by the presiding officer. Details reasons why intervention should be Commission has not made a final regarding the opportunity to make a permitted with particular reference to determination on the issue of no limited appearance will be provided by the following general requirements for significant hazards consideration, the the presiding officer if such sessions are standing: (1) The name, address, and Commission will make a final scheduled. telephone number of the petitioner; (2) determination on the issue of no the nature of the petitioner’s right under significant hazards consideration. The B. Electronic Submissions (E-Filing) the Act to be made a party to the final determination will serve to All documents filed in NRC proceeding; (3) the nature and extent of establish when the hearing is held. If the adjudicatory proceedings, including a the petitioner’s property, financial, or final determination is that the request for hearing and petition for other interest in the proceeding; and (4) amendment request involves no leave to intervene (petition), any motion the possible effect of any decision or significant hazards consideration, the or other document filed in the order which may be entered in the Commission may issue the amendment proceeding prior to the submission of a proceeding on the petitioner’s interest. and make it immediately effective, request for hearing or petition to In accordance with 10 CFR 2.309(f), notwithstanding the request for a intervene, and documents filed by the petition must also set forth the hearing. Any hearing would take place interested governmental entities that specific contentions which the after issuance of the amendment. If the request to participate under 10 CFR petitioner seeks to have litigated in the final determination is that the 2.315(c), must be filed in accordance

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with the NRC’s E-Filing rule (72 FR have advised the Office of the Secretary have an NRC-issued digital ID certificate 49139; August 28, 2007, as amended at that they wish to participate in the as described above, click cancel when 77 FR 46562; August 3, 2012). The E- proceeding, so that the filer need not the link requests certificates and you Filing process requires participants to serve the document on those will be automatically directed to the submit and serve all adjudicatory participants separately. Therefore, NRC’s electronic hearing dockets where documents over the internet, or in some applicants and other participants (or you will be able to access any publicly cases to mail copies on electronic their counsel or representative) must available documents in a particular storage media. Detailed guidance on apply for and receive a digital ID hearing docket. Participants are making electronic submissions may be certificate before adjudicatory requested not to include personal found in the Guidance for Electronic documents are filed so that they can privacy information, such as social Submissions to the NRC and on the NRC obtain access to the documents via the security numbers, home addresses, or website at http://www.nrc.gov/site-help/ E-Filing system. personal phone numbers in their filings, e-submittals.html. Participants may not A person filing electronically using unless an NRC regulation or other law submit paper copies of their filings the NRC’s adjudicatory E-Filing system requires submission of such unless they seek an exemption in may seek assistance by contacting the information. For example, in some accordance with the procedures NRC’s Electronic Filing Help Desk instances, individuals provide home described below. through the ‘‘Contact Us’’ link located addresses in order to demonstrate To comply with the procedural on the NRC’s public website at http:// proximity to a facility or site. With requirements of E-Filing, at least 10 www.nrc.gov/site-help/e- respect to copyrighted works, except for days prior to the filing deadline, the submittals.html, by email to limited excerpts that serve the purpose participant should contact the Office of [email protected], or by a toll- of the adjudicatory filings and would the Secretary by email at free call at 1–866–672–7640. The NRC constitute a Fair Use application, [email protected], or by telephone Electronic Filing Help Desk is available participants are requested not to include at 301–415–1677, to (1) request a digital between 9 a.m. and 6 p.m., Eastern copyrighted materials in their identification (ID) certificate, which Time, Monday through Friday, submission. allows the participant (or its counsel or excluding government holidays. For further details with respect to representative) to digitally sign Participants who believe that they these license amendment application(s), submissions and access the E-Filing have a good cause for not submitting see the application for amendment system for any proceeding in which it documents electronically must file an which is available for public inspection is participating; and (2) advise the exemption request, in accordance with in ADAMS and at the NRC’s PDR. For Secretary that the participant will be 10 CFR 2.302(g), with their initial paper additional direction on accessing submitting a petition or other filing stating why there is good cause for information related to this document, adjudicatory document (even in not filing electronically and requesting see the ‘‘Obtaining Information and instances in which the participant, or its authorization to continue to submit Submitting Comments’’ section of this counsel or representative, already holds documents in paper format. Such filings document. an NRC-issued digital ID certificate). must be submitted by: (1) First class Duke Energy Carolinas, LLC, Docket Based upon this information, the mail addressed to the Office of the Nos. 50–413 and 50–414, Catawba Secretary will establish an electronic Secretary of the Commission, U.S. Nuclear Station (Catawba), Units 1 and docket for the hearing in this proceeding Nuclear Regulatory Commission, 2 (CNS), York County, South Carolina if the Secretary has not already Washington, DC 20555–0001, Attention: established an electronic docket. Rulemaking and Adjudications Staff; or Duke Energy Carolinas, LLC, Docket Information about applying for a (2) courier, express mail, or expedited Nos. 50–369 and 50–370, McGuire digital ID certificate is available on the delivery service to the Office of the Nuclear Station (McGuire), Units 1 and NRC’s public website at http:// Secretary, 11555 Rockville Pike, 2 (MNS), Mecklenburg County, North www.nrc.gov/site-help/e-submittals/ Rockville, Maryland 20852, Attention: Carolina getting-started.html. Once a participant Rulemaking and Adjudications Staff. Duke Energy Progress, LLC, Docket No. has obtained a digital ID certificate and Participants filing adjudicatory 50–400, Shearon Harris Nuclear Power a docket has been created, the documents in this manner are Plant (Harris), Unit 1 (HNP), Wake participant can then submit responsible for serving the document on County, North Carolina adjudicatory documents. Submissions all other participants. Filing is must be in Portable Document Format considered complete by first-class mail Duke Energy Progress, LLC, Docket No. (PDF). Additional guidance on PDF as of the time of deposit in the mail, or 50–261, H. B. Robinson Steam Electric submissions is available on the NRC’s by courier, express mail, or expedited Plant (Robinson), Unit No. 2 (RNP), public website at http://www.nrc.gov/ delivery service upon depositing the Darlington County, South Carolina site-help/electronic-sub-ref-mat.html. A document with the provider of the Date of amendment request: May 10, filing is considered complete at the time service. A presiding officer, having 2018. A publicly-available version is in the document is submitted through the granted an exemption request from ADAMS under Accession No. NRC’s E-Filing system. To be timely, an using E-Filing, may require a participant ML18131A068. electronic filing must be submitted to or party to use E-Filing if the presiding Description of amendment request: the E-Filing system no later than 11:59 officer subsequently determines that the The amendments would revise the p.m. Eastern Time on the due date. reason for granting the exemption from technical specifications (TSs) for Upon receipt of a transmission, the E- use of E-Filing no longer exists. Catawba and McGuire to remove Filing system time-stamps the document Documents submitted in adjudicatory ventilation system heaters. Specifically, and sends the submitter an email notice proceedings will appear in the NRC’s ventilation system heaters will be confirming receipt of the document. The electronic hearing docket which is removed from Catawba TSs 3.6.10, E-Filing system also distributes an email available to the public at https:// ‘‘Annulus Ventilation System (AVS),’’ notice that provides access to the adams.nrc.gov/ehd, unless excluded and 3.7.10, ‘‘Control Room Area document to the NRC’s Office of the pursuant to an order of the Commission Ventilation System (CRAVS),’’ 3.7.12, General Counsel and any others who or the presiding officer. If you do not ‘‘Auxiliary Building Filtered Ventilation

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Exhaust System (ABFVES),’’ 3.7.13, made to require the testing be conducted at electric heater output test is proposed to be ‘‘Fuel Handling Ventilation Exhaust a humidity of at least 95% RH [relative deleted and a corresponding change in the System (FHVES),’’ and 3.9.3, humidity], which is more stringent than the charcoal filter testing to be made to require ‘‘Containment Penetrations,’’ 5.5.11, current testing requirement of 70% RH. the testing be conducted at a humidity of at These systems are not accident initiators ‘‘Ventilation Filter Testing Program least 95% RH, which is more stringent than and therefore, these changes do not involve the current testing requirement of 70% RH. (VFTP),’’ and 5.6.6, ‘‘Ventilation a significant increase in the probability of an The proposed increase to 95% RH in the Systems Heater Report,’’ and McGuire accident. The proposed system and filter required testing of the charcoal filters for TSs 3.6.10, ‘‘Annulus Ventilation testing changes are consistent with current HNP and RNP, compensates for the function System (AVS),’’ 3.7.9, ‘‘Control Room regulatory guidance for these systems and of the heaters, which was to reduce the Area Ventilation System (CRAVS),’’ will continue to assure that these systems humidity of the incoming air to below the 5.5.11, ‘‘Ventilation Filter Testing perform their design function, which may currently-specified value of 70% RH for the Program (VFTP),’’ and 5.6.6, include mitigating accidents. Thus the charcoal. The proposed change is consistent ‘‘Ventilation Systems Heater Failure change does not involve a significant with regulatory guidance and continues to increase in the consequences of an accident. Report.’’ The specified relative humidity ensure that the performance of the charcoal Therefore, it is concluded that this change filters is acceptable. for charcoal testing in the ventilation does not involve a significant increase in the The CNS and MNS ventilation systems are system Surveillance Requirement (for probability or consequences of an accident tested at 95% relative humidity, and, Harris) and Ventilation Filter Testing previously evaluated. therefore, do not require heaters to heat the Program (for Robinson) is revised from 2. Does the proposed change create the incoming air and reduce the relative 70% to 95% and the ventilation system possibility of a new or different kind of humidity. The proposed change eliminates heaters will be removed from the Harris accident from any accident previously Technical Specification requirements for evaluated? TSs 3⁄4.7.6, ‘‘Control Room Emergency testing of heater operation, and removes Response: No. Filtration System,’’ 3⁄4.7.7, ‘‘Reactor administrative actions for heater The proposed change affects various CNS, inoperability. Auxiliary Building (RAB) Emergency MNS, HNP, and RNP ventilation system TS. 3 The proposed changes are consistent with Exhaust System,’’ and ⁄4.9.12, ‘‘Fuel For both CNS and MNS, the proposed change the regulatory guidance and do not involve Handling Building Emergency Exhaust removes the requirement to test the heaters a significant reduction in a margin of safety. System,’’ and Robinson TSs 3.7.11, in these systems, and removes the Conditions ‘‘Fuel Building Air Cleanup System in the associated TS which provide Required The NRC staff has reviewed the (FBACS),’’ and 5.5.11, ‘‘Ventilation Actions, including reporting requirements, licensee’s analysis and, based on this Filter Testing Program (VFTP).’’ The for inoperable heaters. In addition, the review, it appears that the three proposed changes are consistent with proposed change revises the CNS standards of 10 CFR 50.92(c) are Surveillance Requirement (SR) 3.9.3.2 to Technical Specifications Task Force satisfied. Therefore, the NRC staff operate for 15 continuous minutes without proposes to determine that the (TSTF) Traveler TSTF–522, ‘‘Revise heaters running. For HNP and RNP, the Ventilation System Surveillance requested amendments involve no proposed change removes the operability of significant hazards consideration. Requirements to Operate for 10 Hours the heaters from the SR. In addition, the per Month,’’ Revision 0. Additionally, electric heater output test is proposed to be Attorney for licensee: Kathryn B. an administrative error is being deleted and a corresponding change in the Nolan, Deputy General Counsel, Duke corrected in McGuire’s TS 5.5.11, charcoal filter testing to be made to require Energy Corporation, 550 South Tryon ‘‘Ventilation Filter Testing Program the testing be conducted at a humidity of at Street, Mail Code DEC45A, Charlotte, (VFTP).’’ least 95% RH, which is more stringent than NC 28202. Basis for proposed no significant the current testing requirement of 70% RH. NRC Branch Chief: Michael Markley. The change proposed for these ventilation hazards consideration determination: systems do not change any system operations Duke Energy Progress, LLC (Duke As required by 10 CFR 50.91(a), the or maintenance activities. Testing Energy), Docket No. 50–261, H. B. licensee has provided its analysis of the requirements will be revised and will Robinson Steam Electric Plant, Unit No. issue of no significant hazards continue to demonstrate that the Limiting 2, Darlington County, South Carolina consideration, which is presented Conditions for Operation are met and the Date of amendment request: April 16, below: system components are capable of performing their intended safety functions. 2018, as supplemented by letter dated 1. Does the proposed change involve a The change does not create new failure September 25, 2018. Publicly-available significant increase in the probability or modes or mechanisms and no new accident versions are in ADAMS under consequences of an accident previously precursors are generated. evaluated? Accession Nos. ML18117A006 and Therefore, it is concluded that this change Response: No. ML18269A009, respectively. The proposed change affects various CNS does not create the possibility of a new or Description of amendment request: [Catawba Nuclear Station], MNS [McGuire different kind of accident from any accident The proposed amendment would Nuclear Station], HNP [Shearon Harris previously evaluated. modify the Technical Specifications Nuclear Power Plant], and RNP [H. B. 3. Does the proposed change involve a (TSs) by relocating specific TS Robinson Steam Electric Plant] ventilation significant reduction in a margin of safety? Response: No. surveillance frequencies to a licensee- system TS. For both CNS and MNS, the controlled program with the adoption of proposed change removes the requirement to The proposed change affects various CNS, test the heaters in these systems, and MNS, HNP, and RNP ventilation system TS. Technical Specification Task Force removes the Conditions in the associated TS For both CNS and MNS, the proposed change (TSTF) Traveler TSTF–425, Revision 3, which provide Required Actions, including removes the requirement to test the heaters ‘‘Relocate Surveillance Frequencies to reporting requirements, for inoperable in these systems, and removes the Conditions Licensee Control—Risk Informed heaters. In addition, the proposed change in the associated TS which provide Required Technical Specification Task Force revises the CNS Surveillance Requirement Actions, including reporting requirements, (RITSTF) Initiative 5b.’’ Additionally, (SR) 3.9.3.2 to operate for 15 continuous for inoperable heaters. In addition, the the change would add a new program, proposed change revises the CNS minutes without heaters running. For HNP the Surveillance Frequency Control and RNP, the proposed change removes the Surveillance Requirement (SR) 3.9.3.2 to operability of the heaters from the SR. In operate for 15 continuous minutes without Program, to TS Section 5, addition, the electric heater output test is heaters running. For HNP and RNP, the Administrative Controls. proposed to be deleted and a corresponding proposed change removes the operability of Basis for proposed no significant change in the charcoal filter testing to be the heaters from the SR. In addition, the hazards consideration determination:

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As required by 10 CFR 50.91(a), the Surveillance Frequency Control Program. NEI different than the consequences of an licensee has provided its analysis of the 04–10, Revision 1 methodology provides accident under the same plant issue of no significant hazards reasonable acceptance guidelines and conditions while relying on the existing consideration, which is presented methods for evaluating the risk increase of TS supported system Actions. proposed changes to surveillance frequencies below: consistent with Regulatory Guide 1.177, ‘‘An Therefore, the consequences of an 1. Does the proposed change involve a Approach for Plant-Specific, Risk Informed accident previously evaluated are not significant increase in the probability or Decision making: Technical Specifications.’’ significantly increased by this change. consequences of an accident previously Therefore, the proposed change does not Therefore, the proposed change does not evaluated? involve a significant reduction in a margin of involve a significant increase in the Response: No. safety. probability or consequences of an The proposed change relocates the accident previously evaluated. specified frequencies for periodic The NRC staff has reviewed the licensee’s analysis and, based on this 2. Does the proposed change create surveillance requirements to licensee control the possibility of a new or different kind under a new Surveillance Frequency Control review, it appears that the three Program. Surveillance frequencies are not an standards of 10 CFR 50.92(c) are of accident from any accident initiator to any accident previously satisfied. Therefore, the NRC staff previously evaluated? evaluated. As a result, the probability of any proposes to determine that the Response: No. The proposed change allows a delay accident previously evaluated is not amendment request involves no time before declaring supported TS significantly increased. The systems and significant hazards consideration. components required by the technical systems inoperable when the associated Attorney for licensee: Kathryn B. specifications for which the surveillance snubber(s) cannot perform its required Nolan, Deputy General Counsel, Duke frequencies are relocated are still required to safety function. The proposed change Energy Corporation, 550 South Tryon be operable, meet the acceptance criteria for does not involve a physical alteration of the surveillance requirements and be capable Street, DEC45A, Charlotte, NC 28202. the plant (no new or different type of of performing any mitigation function NRC Branch Chief: Undine Shoop. assumed in the accident analysis. As a result, equipment will be installed) or a change the consequences of any accident previously Exelon Generation Company, LLC, in the methods governing normal plant evaluated are not significantly increased. Docket Nos. 50–352 and 50–353, operation. Therefore, the proposed Therefore, the proposed change does not Limerick Generating Station, Units 1 change does not create the possibility of involve a significant increase in the and 2, Montgomery County, a new or different kind of accident from probability or consequences of an accident Pennsylvania any accident previously evaluated. previously evaluated. 3. Does the proposed change involve Date of amendment request: August 2. Does the proposed change create the a significant reduction in a margin of 23, 2018. A publicly-available version is possibility of a new or different kind of safety? accident from any accident previously in ADAMS under Accession No. Response: No. evaluated? ML18235A109. The current LGS TS 3.7.4 allows a Response: No. Description of amendment request: No new or different accidents result from delay time before declaring supported The amendments would revise the TS systems inoperable when the utilizing the proposed change. The changes Limerick Generating Station (LGS), do not involve a physical alteration of the associated snubber(s) cannot perform its plant (that is, no new or different type of Units 1 and 2, Technical Specifications. required safety function. The proposed equipment will be installed) or a change in The proposed changes would revise the TS 3.0.8 provides a similar allowance. the methods governing normal plant TS requirements for inoperable dynamic The current LGS TS 3.7.4 provides operation. In addition, the changes do not restraints (snubbers) by adding a new adequate margin of safety for plant impose any new or different requirements. Limiting Condition for Operation 3.0.8. operation, as does TS 3.0.8. Therefore, The changes do not alter assumptions made Basis for proposed no significant the proposed change does not involve a in the safety analysis. The proposed changes hazards consideration determination: are consistent with the safety analysis significant reduction in a margin of As required by 10 CFR 50.91(a), the safety. assumptions and current plant operating licensee has provided its analysis of the practice. Therefore, the proposed change does not issue of no significant hazards The NRC staff has reviewed the create the possibility of a new or different consideration, which is presented licensee’s analysis and, based on this kind of accident from any accident below: review, it appears that the three previously evaluated. 1. Does the proposed change involve standards of 10 CFR 50.92(c) are 3. Does the proposed change involve a a significant increase in the probability satisfied. Therefore, the NRC staff significant reduction in a margin of safety? or consequences of an accident proposes to determine that the Response: No. previously evaluated? amendment request involves no The design, operation, testing methods and Response: No. significant hazards consideration. acceptance criteria for systems, structures The proposed change allows a delay Attorney for licensee: Tamra Domeyer, and components (SSCs), specified in applicable codes and standards (or time before declaring supported Associate General Counsel, Exelon alternatives approved for use by the NRC) Technical Specification (TS) systems Generation Company, LLC, 4300 will continue to be met as described in the inoperable when the associated Winfield Road, Warrenville, IL 60555. plant licensing basis (including the final snubber(s) cannot perform its required NRC Branch Chief: James G. Danna. safety analysis report and bases to the TS), safety function. Entrance into Actions or Exelon Generation Company, LLC, since these are not affected by changes to the delaying entrance into Actions is not an Docket Nos. 50–317 and 50–318, Calvert surveillance frequencies. Similarly, there is initiator of any accident previously Cliffs Nuclear Power Plant, Units 1 and no impact to safety analysis acceptance evaluated. Consequently, the probability 2, Calvert County, Maryland criteria as described in the plant licensing of an accident previously evaluated is Date of amendment request: August basis. To evaluate a change in the relocated surveillance frequency, Duke Energy will not significantly increased. The 23, 2018. A publicly available version is perform a probabilistic risk evaluation using consequences of an accident while in ADAMS under Accession No. the guidance contained in NRC approved relying on the delay time allowed before ML18235A199. Nuclear Energy Institute (NEI) 04–10, declaring a TS supported system Description of amendment request: Revision 1, in accordance with the TS inoperable and taking its Actions are no The amendments would revise the

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Calvert Cliffs Nuclear Power Plant, Therefore, the proposed changes do not for situations applicable to those in the Units 1 and 2 (Calvert Cliffs or CCNPP) involve a significant increase in the proposed CTs. Technical Specifications (TS) to permit probability or consequences of an accident Therefore, the proposed changes do not a one-time extension to the completion previously evaluated. involve a significant reduction in a margin of 2. Do the proposed changes create the safety. times (CTs) for two required actions in possibility of a new or different kind of The NRC staff has reviewed the Section 3.8.1, ‘‘AC [Alternating Current] accident from any accident previously Sources-Operating,’’ of the Calvert Cliffs evaluated? licensee’s analysis and, based on this TSs. The one-time extensions up to 14 Response: No. review, it appears that the three days would apply to Required Action The proposed TS changes will not create standards of 10 CFR 50.92(c) are A.3, ‘‘Restore required offsite circuit to the possibility of a new or different type of satisfied. Therefore, the NRC staff OPERABLE status,’’ and Required accident since they will only extend the time proposes to determine that the Action D.3, ‘‘Declare CREVS [Control period that one of the offsite circuits can be amendment request involves no Room Emergency Ventilation System] out of service. The extension of the time significant hazards consideration. duration that one offsite circuit can be out of and CRETS [Control Room Emergency Attorney for licensee: Tamra Domeyer, service has no direct physical impact on the Associate General Counsel, Exelon Temperature Control System] supported plant and does not create any new accident by the inoperable offsite circuit initiators. The systems involved are accident Generation Company, LLC, 4300 inoperable.’’ mitigation systems. All of the possible Winfield Road, Warrenville, IL 60555. Basis for proposed no significant impacts that the inoperable equipment may NRC Branch Chief: James G. Danna. hazards consideration determination: have on its supported systems were Southern Nuclear Operating Company, As required by 10 CFR 50.91(a), the previously analyzed in the UFSAR and are the basis for the present TS Action Docket Nos. 52–025 and 52–026, Vogtle licensee has provided its analysis of the Electric Generating Plant, Units 3 and 4, issue of no significant hazards statements and CTs. The impact of inoperable support systems for a given time Burke County, Georgia consideration, which is presented duration was previously evaluated and any Date of amendment request: August below: accident initiators created by the inoperable 31, 2018. A publicly-available version is 1. Do the proposed changes involve a systems was evaluated. The lengthening of significant increase in the probability or the time duration does not create any in ADAMS under Accession No. consequences of an accident previously additional accident initiators for the plant. ML18243A459. evaluated? Therefore, the proposed changes do not Description of amendment request: Response: No. create the possibility of a new or different The amendment request includes a The proposed TS changes will not increase kind of accident from any accident departure from information in the the probability of an accident since they will previously evaluated. Updated Final Safety Analysis Report only extend the time period that one 3. Do the proposed changes involve a (UFSAR) (which includes the plant- qualified offsite circuit can be out of service. significant reduction in a margin of safety? specific Design Control Document The extension of the time duration that one Response: No. (DCD) Tier 2 information and involves qualified offsite circuit is out of service has The present offsite circuit TS CT limits no direct physical impact on the plant. The were set to ensure that sufficient safety- related changes to plant-specific Tier 1 proposed inoperable offsite circuit limits the related equipment is available for response to information, with corresponding available redundancy of the offsite electrical all accident conditions and that sufficient changes to the associated combined system to a period not to exceed 14 days per decay heat removal capability is available for license (COL) appendix C information. each Unit. Therefore, the proposed TS a loss-of-coolant accident (LOCA) coincident Specifically, the changes are proposed changes do not have a direct impact on the with a loss of offsite power (LOOP) on one for reactor coolant system flow coast plant that would make an accident more unit and simultaneous safe shutdown of the down curves in UFSAR and COL likely to occur due to their extended other unit. A slight reduction in the margin completion times. appendix C. Pursuant to the provisions of safety is incurred during the proposed of 10 CFR 52.63(b)(1), an exemption During transients or events which require extended CT due to the increased risk that an these subsystems to be operating, there is event could occur in a 14-day period versus from elements of the design as certified sufficient capacity in the operable loops/ a 72-hour period. This increased risk is in the 10 CFR part 52, appendix D, subsystems and available but inoperable judged to be minimal due to the low design certification rule is also equipment to support plant operation or probability of an event occurring during the requested for the plant-specific DCD shutdown. Therefore, failures that are extended CT and maintaining the minimum Tier 1 material departures. accident initiators will not occur more ECCS [emergency core cooling system]/decay frequently than previously postulated as a Basis for proposed no significant heat removal requirements. result of the proposed changes. hazards consideration determination: The slight reduction in the margin of safety In addition, the consequences of an As required by 10 CFR 50.91(a), the accident previously evaluated in the Updated from the extension of one offsite circuit licensee has provided its analysis of the Final Safety Analysis Report (UFSAR) will current CT limit is not significant since the issue of no significant hazards not be increased. With one offsite circuit remaining operable offsite circuit, the emergency diesel generators, the Station consideration, which is presented inoperable, the consequences of any below: postulated accidents occurring on Unit 1 or Blackout (SBO) Diesel, the Southern Unit 2 during these CT extensions was found Maryland Electric Cooperative (SMECO) 1. Does the proposed amendment involve to be bounded by the previous analyses as delayed offsite circuit, and the FLEX diesel a significant increase in the probability or described in the UFSAR. generators provide an effective defense-in- consequences of an accident previously The minimum equipment required to depth plan to support the station electrical evaluated? mitigate the consequences of an accident plant configurations during the extended 14- Response: No. and/or safely shut down the plant will be day CT periods. The proposed changes do not adversely operable or available. Therefore, by Operations personnel are fully qualified by affect the operation of any systems or extending certain CTs and extending the normal periodic training to respond to, and equipment that initiate an analyzed accident assumptions concerning the combinations of mitigate, a Design Basis Accident, including or alter any structures, systems, and events for the longer duration of each the actions needed to ensure decay heat components (SSC) accident initiator or extended CT, Exelon concludes that at least removal while CCNPP Unit 1 and Unit 2 are initiating sequence of events. The proposed the minimum equipment required to mitigate in the operational electrical configurations changes do not adversely affect the physical the consequences of an accident and/or described within this submittal. Accordingly, design and operation of the RCPs [reactor safely shut down the plant will still be existing procedures are in place that address coolant pumps] including as-installed operable or available during the extended CT. safe plant shutdown and decay heat removal inspections, testing, and maintenance

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requirements, as described in the UFSAR. standards of 10 CFR 50.92(c) are The proposed change emends the STA role Therefore, the operation of the RCPs is not satisfied. Therefore, the NRC staff as a function in lieu of a position and reduces adversely affected. A CLOF [complete loss of proposes to determine that the the minimum required on-shift EP flow] event is identified as an event that is amendment request involves no [emergency plan] staffing for [Hatch] and sensitive to RCP coastdown. However, the [Farley] by one. Minimum staffing studies proposed changes do not adversely affect the significant hazards consideration. were re-performed and confirmed on-shift probability of a CLOF occurring. Therefore, Attorney for licensee: M. Stanford staffing continues to be adequate to perform the probabilities of the accidents previously Blanton, Balch & Bingham LLP, 1710 critical functions until relieved by the evaluated in the UFSAR are not affected. Sixth Avenue North, Birmingham, AL augmented emergency response organization The proposed changes do not adversely 35203–2015. (ERO) as required by 10 CFR 50.47(b)(2) and affect the ability of the RCPs to perform its NRC Branch Chief: Jennifer Dixon- 10 CFR 50, Appendix E, Paragraph IV.A.9. As design functions. The design of the RCPs Herrity. a result, manual operator action necessary to continues to meet the same regulatory mitigate previously evaluated accidents acceptance criteria, codes, and standards as Southern Nuclear Operating Company, continue to be persevered. Thus, the required by the UFSAR. The proposed Inc., Docket Nos. 50–348 and 50–364, consequences of any accident are not affected changes do not adversely affect the Joseph M. Farley Nuclear Plant (Farley), by the proposed change. prevention and mitigation of other abnormal Units 1 and 2, Houston County, Therefore, the proposed change does not events, e.g., anticipated operational Alabama involve a significant increase in the occurrences, earthquakes, floods and turbine probability or consequences of an accident missiles, or their safety or design analyses. Southern Nuclear Operating Company, previously evaluated. Therefore, the consequences of the accidents Inc., Docket Nos. 50–321 and 50–366, 2. Does the proposed amendment create evaluated in the UFSAR are not affected. Edwin I. Hatch Nuclear Plant (Hatch), the possibility of a new or different kind of Therefore, the proposed amendment does Unit Nos. 1 and 2, City of Dalton, accident from any accident previously not involve a significant increase in the Georgia evaluated? probability or consequences of an accident Response: No. previously evaluated. Southern Nuclear Operating Company, The proposed change emends the STA role 2. Does the proposed amendment create Inc., (SNC) Docket Nos. 50–424, 50–425, as a function in lieu of a position and reduces the possibility of a new or different kind of 52–025, 52–026, Vogtle Electric the minimum required on-shift EP staffing for accident from any accident previously Generating Plant (VEGP), Units 1, and 2, [Hatch] and [Farley] by one. The proposed evaluated? change does not involve a physical alteration Response: No. Burke County, Georgia of the plant (i.e., no new or different type of The proposed changes would not introduce Date of amendment request: August 9, equipment will be installed), a change in the a new failure mode, fault, or sequence of 2018. A publicly-available version is in method of plant operation, or new operator events that could result in a radioactive ADAMS under Accession No. actions. The proposed change does not material release. The proposed changes do ML18226A094. introduce failure modes that could result in not alter the design, configuration, or method Description of amendment request: a new accident, and the change does not alter of operation of the plant beyond standard assumptions made in the safety analysis. As functional capabilities of the equipment. The amendments would modify a result, there are no new accident scenarios, Therefore, this activity does not allow for a technical specification (TS) 5.2.2.g to failure mechanisms, including no new single new fission product release path, result in a eliminate a dedicated shift technical new fission product barrier failure mode, or advisor (STA) position at Farley and failures, introduced as a result of the create a new sequence of events which Hatch by allowing the STA functions to proposed change. Therefore, the proposed change does not results in significant fuel cladding failures. be combined with one or more of the Therefore, the proposed amendment does create the possibility of a new or different required senior licensed operator kind of accident from any previously not create the possibility of a new or different positions. The Vogtle TS change aligns kind of accident from any accident evaluated. previously evaluated. the facilities with equivalent wording. 3. Does the proposed amendment involve 3. Does the proposed amendment involve This proposed change also incorporates a significant reduction in a margin of safety? a significant reduction in a margin of safety? wording related to the modes of Response: No. Response: No. operation during which the individual Safety margins are applied to the design Safety margins are applied at many levels meeting the requirements in TS 5.2.2.g and licensing basis functions and to the to the design and licensing basis functions is required and provides guidance that controlling values of parameters to account and to the controlling values of parameters to for various uncertainties and to avoid the same individual may provide exceeding regulatory or licensing limits. The account for various uncertainties and to advisory technical support for both avoid exceeding regulatory or licensing proposed change emends the STA role as a limits. The proposed changes maintain units. function in lieu of a position and reduces the existing safety margins, and in some cases, Basis for proposed no significant minimum required on-shift EP staffing for provide additional margin. The proposed hazards consideration determination: [Hatch] and [Farley] by one. The change does changes maintain the capabilities of the RCPs As required by 10 CFR 50.91(a), the not impact any specific values that define to perform its design functions. Therefore, licensee has provided its analysis of the margin established in each plant’s licensing the proposed changes satisfy the same design issue of no significant hazards basis and, as a result, does not result in functions in accordance with the same codes consideration, which is presented exceeding or altering a design basis or safety and standards as stated in the UFSAR. These below: limit (i.e., the controlling numerical value for changes do not adversely affect any design a parameter established in the [updated final code, function, safety analysis, safety 1. Does the proposed amendment involve safety analysis report] or the licenses). On- analysis input or results, or design/safety a significant increase in the probability or shift staffing continues to be adequate to margin. No safety analysis or design basis consequences of an accident previously perform critical functions until relieved by acceptance limit/criterion is challenged or evaluated? the augmented ERO as required by 10 CFR exceeded by the proposed changes, and no Response: No. 50.47(b)(2) and 10 CFR 50, Appendix E, margin of safety is reduced. The advisory technical support function Paragraph IV.A.9. Therefore, the proposed changes do not and on-shift staffing requirements are not Therefore, the proposed change does not involve a significant reduction in the margin associated with an initiator of any accident involve a significant reduction in a margin of of safety. previously evaluated, so the probability of safety. accidents previously evaluated is unaffected The NRC staff has reviewed the by the proposed change. In addition, the The NRC staff has reviewed the licensee’s analysis and, based on this proposed change does not alter the design or licensee’s analysis and, based on this review, it appears that the three safety function of any safety related system. review, it appears that the three

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standards of 10 CFR 50.92(c) are Dominion Nuclear Connecticut, Inc., plant operation from the currently satisfied. Therefore, the NRC staff Docket No. 50–336, Millstone Power licensed Maximum Extended Load Line proposes to determine that the Station, Unit No. 2, New London Limit Analysis (MELLLA) domain to amendment request involves no County, Connecticut operate in the expanded MELLLA Plus significant hazards consideration. Date of amendment request: October domain under the previously approved Extended Power Uprate conditions, Attorney for licensee: Millicent 4, 2017, as supplemented by letters including a 2923 megawatt thermal Ronnlund, Vice President and General dated May 24, 2018, and June 14, 2018. rated core thermal power. The Counsel, Southern Nuclear Operating Brief description of amendment: The amendment revised Millstone Power amendments expand the operating Co., Inc., P.O. Box 1295, Birmingham, boundary without changing the AL 35201–1295. Station, Unit No. 2, Technical Specification 6.19, ‘‘Containment maximum licensed core power and NRC Branch Chief: Michael T. Leakage Rate Testing Program.’’ maximum licensed core flow. Markley. Specifically, the amendment extends Date of issuance: September 18, 2018. Effective date: As of the date of III. Notice of Issuance of Amendments the Type A primary containment integrated leak rate test interval for issuance and shall be implemented no to Facility Operating Licenses and later than 60 days following startup Combined Licenses Millstone Power Station, Unit No. 2, from 10 years to 15 years and the Type from the 2019 Unit 2 refueling outage. During the period since publication of C local leak rate test interval to 75 Amendment Nos.: 285 (Unit 1) and the last biweekly notice, the months, and incorporates the regulatory 313 (Unit 2). A publicly-available Commission has issued the following positions stated in Regulatory Guide version is in ADAMS under Accession No. ML18172A258; documents related amendments. The Commission has 1.163, ‘‘Performance-Based Containment to these amendments are listed in the determined for each of these Leak-Test Program.’’ Safety Evaluation enclosed with the amendments that the application Date of issuance: September 25, 2018. amendments. complies with the standards and Effective date: As of the date of issuance and shall be implemented Renewed Facility Operating License requirements of the Atomic Energy Act Nos. DPR–71 and DPR–62: Amendments of 1954, as amended (the Act), and the within 60 days of issuance. Amendment No.: 335. A publicly- revised the Renewed Facility Operating Commission’s rules and regulations. Licenses and TSs. The Commission has made appropriate available version is in ADAMS under Accession No. ML18246A007; Date of initial notice in Federal findings as required by the Act and the documents related to this amendment Register: January 3, 2017 (82 FR 158). Commission’s rules and regulations in are listed in the Safety Evaluation The supplemental letters dated 10 CFR chapter I, which are set forth in enclosed with the amendment. November 9, 2016; April 6 and the license amendment. Renewed Facility Operating License November 1, 2017; and February 5, A notice of consideration of issuance No. DPR–65: The Amendment revised February 14, March 1, March 14, March of amendment to facility operating the Renewed Facility Operating License 29 and April 10, 2018, provided license or combined license, as and Technical Specifications. additional information that clarified the applicable, proposed no significant Date of initial notice in Federal application, did not expand the scope of hazards consideration determination, Register: January 2, 2018 (83 FR 163). the application as originally noticed, and opportunity for a hearing in The supplemental letters dated May 24, and did not change the NRC staff’s original proposed no significant hazards connection with these actions, was 2018, and June 14, 2018, provided consideration determination as published in the Federal Register as additional information that clarified the published in the Federal Register. indicated. application, did not expand the scope of the application as originally noticed, The Commission’s related evaluation Unless otherwise indicated, the and did not change the NRC staff’s of the amendments is contained in a Commission has determined that these original proposed no significant hazards Safety Evaluation dated September 18, amendments satisfy the criteria for consideration determination as 2018. categorical exclusion in accordance published in the Federal Register. No significant hazards consideration with 10 CFR 51.22. Therefore, pursuant The Commission’s related evaluation comments received: No. to 10 CFR 51.22(b), no environmental of the amendment is contained in a Duke Energy Progress, LLC, Docket Nos. impact statement or environmental Safety Evaluation dated September 25, 50–325 and 50–324, Brunswick Steam assessment need be prepared for these 2018. Electric Plant, Units 1 and 2, Brunswick amendments. If the Commission has No significant hazards consideration County, North Carolina prepared an environmental assessment comments received: No. under the special circumstances Date of amendment request: October Duke Energy Progress, LLC, Docket Nos. provision in 10 CFR 51.22(b) and has 3, 2017. 50–325 and 50–324, Brunswick Steam Brief description of amendments: The made a determination based on that Electric Plant, Units 1 and 2 assessment, it is so indicated. amendments revised Surveillance (Brunswick), Brunswick County, North Requirement (SR) 3.8.4.5 contained in For further details with respect to the Carolina Technical Specification (TS) 3.8.4, ‘‘DC action see (1) the applications for Date of amendment request: Sources—Operating.’’ amendment, (2) the amendment, and (3) September 6, 2016, as supplemented by Date of issuance: September 27, 2018. the Commission’s related letter, Safety letters dated November 9, 2016; April 6 Effective date: As of the date of Evaluation and/or Environmental and November 1, 2017; and February 5, issuance and shall be implemented Assessment as indicated. All of these February 14, March 1, March 14, March within 120 days. items can be accessed as described in 29 and April 10, 2018. Amendment Nos.: 286 and 314. A the ‘‘Obtaining Information and Brief description of amendments: The publicly-available version is in ADAMS Submitting Comments’’ section of this amendments approve a revision to the under Accession No. ML18243A298; document. Technical Specifications (TSs) to allow documents related to these amendments

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are listed in the Safety Evaluation Date of amendment request: Brief description of amendment: This enclosed with the amendments. September 29, 2017, as supplemented amendment changes Technical Renewed Facility Operating License by letters dated August 1, August 14, Specification Table 4.3–1, ‘‘Reactor Trip Nos. DPR–71 and DPR–62: Amendments and September 14, 2018. System Instrumentation Surveillance revised the Renewed Facility Operating Brief description of amendments: The Requirements’’ Functional Units 17.A, Licenses and TSs. amendments added new actions for an Turbine Trip—Low Fluid Oil Pressure, Date of initial notice in Federal inoperable battery, battery charger, and and 17.B, Turbine Trip—Turbine Stop Register: March 13, 2018 (83 FR alternate battery charger testing criteria. Valve Closure. Specifically, the Trip 10915). A longer completion time for an Actuating Device Operational Test The Commission’s related evaluation inoperable battery charger will allow column of Table 4.3–1 is revised to of the amendments is contained in a additional time for maintenance and delete performing the 17.A and 17.B Safety Evaluation dated September 27, testing. Additionally, a number of surveillance requirements prior to 2018. surveillance requirements are relocated reactor startup (S/U) and replacing this No significant hazards consideration to licensee control. Monitoring of requirement with a reference to Table comments received: No. battery cell parameter requirements and Notation (8), that states 17.A and 17.B Entergy Nuclear Operations, Inc., performance of battery maintenance surveillance requirements will be Docket No. 50–255, Palisades Nuclear activities are relocated to a licensee- conducted ‘‘Prior to entering MODE 1 Plant, Van Buren County, Michigan controlled program, the Peach Bottom whenever the unit has been in MODE Atomic Power Station, Units 2 and 3, 3.’’ Date of amendment request: August Technical Requirements Manual. The Date of issuance: October 5, 2018. 31, 2017, as supplemented by letter changes in the Technical Specification Effective date: As of the date of dated April 16, 2018. requirements are consistent with NRC- issuance and shall be implemented Brief description of amendment: The approved Technical Specifications Task within 7 days of issuance. amendment revised the Palisades Force (TSTF) Traveler TSTF–500, Amendment No.: 212. A publicly- Nuclear Plant (PNP) Site Emergency Revision 2, ‘‘DC Electrical Rewrite— available version is in ADAMS under Plan (SEP) for the permanently shut Update to TSTF–360.’’ Accession No. ML18253A115, down and defueled condition. The Date of issuance: September 28, 2018. documents related to this amendment proposed PNP SEP changes would Effective date: As of the date of are listed in the Safety Evaluation revise the shift staffing and Emergency issuance and shall be implemented by enclosed with the amendment. Response Organization (ERO) staffing. no later than September 30, 2019. Renewed Facility Operating License Date of issuance: September 24, 2018. Amendment Nos.: 320 (Unit 2) and No. NPF–12: Amendment revised the Effective date: Upon the licensee’s 323 (Unit 3). A publicly-available Renewed Facility Operating License and submittal of the certifications required version is in ADAMS under Accession the TS. by Title 10 of the Code of Federal No. ML18249A240; documents related Date of initial notice in Federal Regulations, Part 50, Section 82(a)(1) to these amendments are listed in the Register: May 22, 2018 (83 FR 23736). and shall be implemented within 90 Safety Evaluation enclosed with the The supplemental letter dated August days from the amendment effective date. amendments. 22, 2018, provided additional Amendment No.: 267. A publicly- Renewed Facility Operating License information that clarified the available version is in ADAMS under Nos. DPR–44 and DPR–56: The application, did not expand the scope of Accession No. ML18170A219; amendments revised the Renewed the application as originally noticed, documents related to this amendment Facility Operating Licenses and and did not change the staff’s original are listed in the Safety Evaluation Technical Specifications. proposed no significant hazards enclosed with the amendment. Date of initial notice in Federal consideration determination as Renewed Facility Operating License Register: November 21, 2017 (82 FR published in the Federal Register. No. DPR–20: Amendment revised the 55405), The supplemental letters dated The Commission’s related evaluation Renewed Facility Operating License. letters dated August 1, August 14, and of the amendment is contained in a Date of initial notice in Federal September 14, 2018, provided Safety Evaluation dated October 5, 2018. Register: November 21, 2017 (82 FR additional information that clarified the No significant hazards consideration 55403). The supplemental letter dated application, did not expand the scope of comments received: No. April 16, 2018, provided additional the application as originally noticed, Southern Nuclear Operating Company, information that clarified the and did not change the NRC staff’s Docket Nos. 52–025 and 52–026, Vogtle application, did not expand the scope of original proposed no significant hazards Electric Generating Plant (VEGP), Units the application as originally noticed, consideration determination as 3 and 4, Burke County, Georgia and did not change the staff’s original published in the Federal Register. proposed no significant hazards The Commission’s related evaluation Date of amendment request: consideration determination as of the amendments is contained in a November 17, 2017, as supplemented by published in the Federal Register. Safety Evaluation dated September 28, letter dated June 8, 2018. The Commission’s related evaluation 2018. Brief description of amendment: The of the amendment is contained in a No significant hazards consideration amendment authorized changes to the Safety Evaluation dated September 24, comments received: No. VEGP Units 3 and 4 Updated Final 2018. Safety Analysis Report (UFSAR) in the South Carolina Electric & Gas Company, No significant hazards consideration form of departures from the South Carolina Public Service comments received: No. incorporated plant-specific Design Authority, Docket No. 50–395, Virgil C. Control Document Tier 2* and Exelon Generation Company, LLC, Summer Nuclear Station, Unit No. 1, associated Tier 2 information and a Docket Nos. 50–277 and 50–278, Peach Fairfield County, South Carolina Combined License (COL) License Bottom Atomic Date of amendment request: April 3, Condition which references a UFSAR Power Station, Units 2 and 3, York 2018, as supplemented by letter dated section impacted by one of the changes. County, Pennsylvania August 22, 2018. Specifically, the amendment revises

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COL License Condition 2.D.(4)(b), PMS system and the crediting of trips in Amendment Nos.: 271 for Unit 1 and requirement to perform the Natural the Chapter 15 transient and accident 253 for Unit 2. A publicly-available Circulation test (first plant test) using analyses address issues caused by version is in ADAMS under Accession the steam generators identified in increased uncertainties in the ex-core No. ML18222A203; documents related UFSAR, Subsection 14.2.10.3.6, and nuclear instrumentation during to these amendments are listed in the Passive Residual Heat Removal (PRHR) mechanical shim operations. The Safety Evaluation enclosed with the Heat Exchanger test (first plant test) proposed changes to the technical amendments. identified in UFSAR, Subsection specifications for MTC modify the Renewed Facility Operating License 14.2.10.3.7, as part of the Initial surveillance of MTC to address Nos. NPF–14 and NPF–22: The Criticality and Low-Power Testing surveillance issues at beginning of life amendments revised the Renewed requirements. The changes to the and end of life. The proposed changes Facility Operating Licenses and Natural Circulation test suspend the to technical specifications for the power Technical Specifications. requirements of COL Appendix A, distribution and OPDMS update these Date of initial notice in Federal Technical Specification 3.4.4 during technical specifications to accurately Register: November 21, 2017 (82 FR performance of the test. Also the reflect system capabilities. 55414). The supplemental letters dated amendment changes the PRHR Heat Date of issuance: September 27, 2018. February 16, 2018, and May 15, 2018, Exchanger Test to be performed as part Effective date: As of the date of provided additional information that of the Power Ascension Testing as issuance and shall be implemented clarified the application, did not expand specified in COL License Condition within 30 days of issuance. the scope of the application as originally 2.D.(5)(b) instead of as part of the Initial Amendment Nos.: 144 (Unit 3) and noticed, and did not change the NRC Criticality and Low-Power Testing 143 (Unit 4). A publicly-available staff’s original proposed no significant requirements as currently specified in version is in ADAMS under Accession hazards consideration determination as COL License Condition 2.D.(4)(b). No. ML18239A192; documents related published in the Federal Register. Date of issuance: July 11, 2018. to this amendment are listed in the The Commission’s related evaluation Effective date: As of the date of Safety Evaluation enclosed with the of the amendments is contained in a issuance and shall be implemented amendment. Safety Evaluation dated September 26, within 30 days of issuance. Facility Combined Licenses No. NPF– 2018. Amendment No.: 132 (Unit 3) and 131 91 and NPF–92: Amendment revised the No significant hazards consideration (Unit 4). A publicly-available version is Facility Combined Licenses. comments received: No. in ADAMS under Accession No. Date of initial notice in Federal ML18179A336. The documents related Register: October 24, 2018 (82 FR Tennessee Valley Authority, Docket to these amendments are listed in the 49234). Nos. 50–259, 50–260, and 50–296, Safety Evaluation enclosed with the The Commission’s related evaluation Browns Ferry Nuclear Plant, Units 1, 2, amendments. of the amendment is contained in the and 3, Limestone County, Alabama Facility Combined Licenses Nos. NPF– Safety Evaluation dated September 27, 91 and NPF–92: Amendment revised the 2018. Date of amendment request: August Facility Combined Licenses. No significant hazards consideration 15, 2017. As supplemented by letters Date of initial notice in Federal comments received: No. dated February 5, March 27, and July Register: February 13, 2018 (83 FR 27, 2018. Susquehanna Nuclear, LLC, Docket Nos. 6218). The June 8, 2018, letter provided Brief description of amendments: The 50–387 and 50–388, Susquehanna additional information that did not amendments revised the Browns Ferry Steam Electric Station, Units 1 and 2, change the scope or the conclusions of Nuclear Plant, Units 1, 2, and 3, Luzerne County, Pennsylvania the No Significant Hazard Technical Specification 5.5.12, Determination. Date of amendment request: ‘‘Primary Containment Leakage Rate The Commission’s related evaluation September 20, 2017, as supplemented Testing Program,’’ by adopting Nuclear of the amendment is contained in a by letters dated February 16, 2018, and Energy Institute (NEI) 94–01, Revision Safety Evaluation dated July 11, 2018. May 15, 2018. 3–A, ‘‘Industry Guideline for No significant hazards consideration Brief description of amendments: The Implementing Performance-Based comments received: No. amendments revised Technical Option of 10 CFR part 50, Appendix J,’’ Specification requirements associated as the implementation document for the Southern Nuclear Operating Company, performance-based Option B of 10 CFR Docket Nos. 52–025 and 52–026, Vogtle with ‘‘operations with a potential for draining the reactor vessel [OPDRVs]’’ part 50, appendix J. The amendments Electric Generating Plant (VEGP), Units allow the licensee to extend the Type A 3 and 4, Burke County, Georgia with new requirements on reactor pressure vessel water inventory control containment integrated leak rate testing Date of amendment request: to protect Safety Limit 2.1.1.3. Safety interval from 10 years to 15 years and September 8, 2018. Limit 2.1.1.3 requires reactor pressure the Type C local leakage rate testing Description of amendment: The vessel water level to be greater than the intervals from 60 months to 75 months. amendment proposes changes to (1) the top of active irradiated fuel. The Date of issuance: September 27, 2018. design of the Protection and Safety changes are based on Technical Effective date: As of the date of Monitoring (PMS) system and Specifications Task Force (TSTF) issuance and shall be implemented associated changes to Chapter 15 Traveler TSTF–542, Revision 2, prior to Unit 2 startup following the transient and accident analyses, (2) ‘‘Reactor Pressure Vessel Water spring 2019 refueling outage. changes to technical specifications for Inventory Control.’’ Amendment Nos.: 305 (Unit 1); 328 the moderator temperature coefficient Date of issuance: September 26, 2018. (Unit 2); and 288 (Unit 3). A publicly- (MTC), and (3) additional changes to Effective date: As of the date of available version is in ADAMS under technical specifications for power issuance and shall be implemented on Accession No. ML18251A003; distributions and the On-Line Power both units no later than initial entry into documents related to these amendments Distribution Monitoring System Mode 4 for Unit 2 during the Spring are listed in the Safety Evaluation (OPDMS). The proposed changes to the 2019 Unit 2 refueling outage. enclosed with the amendments.

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Renewed Facility Operating License No significant hazards consideration comment. If there has been some time Nos. DPR–33, DPR–52, and DPR–68: The comments received: No. for public comment but less than 30 amendments revised the Renewed days, the Commission may provide an IV. Notice of Issuance of Amendments Facility Operating Licenses and opportunity for public comment. If to Facility Operating Licenses and comments have been requested, it is so Technical Specifications. Combined Licenses and Final Federal stated. In either event, the State has Date of initial notice in Determination of No Significant Register: been consulted by telephone whenever November 21, 2017 (82 FR Hazards Consideration and possible. 55415). The supplemental letters dated Opportunity for a Hearing (Exigent February 5, March 27, and July 27, 2018, Under its regulations, the Commission Public Announcement or Emergency may issue and make an amendment provided additional information that Circumstances) clarified the application, did not expand immediately effective, notwithstanding the scope of the application as originally During the period since publication of the pendency before it of a request for noticed, and did not change the NRC the last biweekly notice, the a hearing from any person, in advance staff’s original proposed no significant Commission has issued the following of the holding and completion of any hazards consideration determination as amendments. The Commission has required hearing, where it has published in the Federal Register. determined for each of these determined that no significant hazards The Commission’s related evaluation amendments that the application for the consideration is involved. of the amendments is contained in a amendment complies with the The Commission has applied the Safety Evaluations dated September 27, standards and requirements of the standards of 10 CFR 50.92 and has made 2018. Atomic Energy Act of 1954, as amended a final determination that the No significant hazards consideration (the Act), and the Commission’s rules amendment involves no significant comments received: No. and regulations. The Commission has hazards consideration. The basis for this made appropriate findings as required determination is contained in the Virginia Electric and Power Company, by the Act and the Commission’s rules documents related to this action. Docket Nos. 50–280 and 50–281, Surry and regulations in 10 CFR chapter I, Accordingly, the amendments have PowerStation, Unit Nos. 1 and 2, Surry which are set forth in the license been issued and made effective as County, Virginia. amendment. indicated. Because of exigent or emergency Unless otherwise indicated, the Date of amendment request: Dated circumstances associated with the date Commission has determined that these November 7, 2017, as supplemented by the amendment was needed, there was amendments satisfy the criteria for letters dated June 21, 2018, and October not time for the Commission to publish, categorical exclusion in accordance 3, 2018. for public comment before issuance, its with 10 CFR 51.22. Therefore, pursuant Brief description of amendments: The usual notice of consideration of to 10 CFR 51.22(b), no environmental amendments revised the Surry Power issuance of amendment, proposed no impact statement or environmental Station (SPS) Units 1 and 2 Technical significant hazards consideration assessment need be prepared for these Specification (TS) 3.16, ‘‘Emergency determination, and opportunity for a amendments. If the Commission has Power System,’’ to provide a temporary, hearing. prepared an environmental assessment one-time 21-day allowed outage time For exigent circumstances, the under the special circumstances (AOT) for replacement of Reserve Commission has either issued a Federal provision in 10 CFR 51.12(b) and has Station Service Transformer (RSST) C Register notice providing opportunity made a determination based on that and associated cabling. for public comment or has used local assessment, it is so indicated. Date of issuance: October 5, 2018. media to provide notice to the public in For further details with respect to the Effective date: As of the date of the area surrounding a licensee’s facility action see (1) the application for issuance and shall be implemented of the licensee’s application and of the amendment, (2) the amendment to within 60 days of issuance. Commission’s proposed determination Facility Operating License or Combined Amendment Nos.: 293 and 293. A of no significant hazards consideration. License, as applicable, and (3) the publicly-available version is in ADAMS The Commission has provided a Commission’s related letter, Safety under Accession No. ML18261A099; reasonable opportunity for the public to Evaluation and/or Environmental documents related to these amendments comment, using its best efforts to make Assessment, as indicated. All of these are listed in the Safety Evaluation available to the public means of items can be accessed as described in enclosed with the amendments. communication for the public to the ‘‘Obtaining Information and Renewed Facility Operating License respond quickly, and in the case of Submitting Comments’’ section of this Nos. DPR–32 and DPR–37: Amendments telephone comments, the comments document. revised the Facility Operating Licenses have been recorded or transcribed as South Carolina Electric & Gas Company, and Technical Specifications. appropriate and the licensee has been South Carolina Public Service Date of initial notice in Federal informed of the public comments. Register: February 13, 2018, 83 FR In circumstances where failure to act Authority, Docket No. 50–395, Virgil C. 6236. The supplemental letters dated in a timely way would have resulted, for Summer Nuclear Station, Unit No. 1, June 21, 2018, and October 3, 2018, example, in derating or shutdown of a Fairfield County, South Carolina provided additional information that nuclear power plant or in prevention of Date of amendment request: August clarified the application, did not expand either resumption of operation or of 24, 2018, as supplemented by letters the scope of the application as originally increase in power output up to the dated August 31, September 11, and noticed, and did not change the staff’s plant’s licensed power level, the September 19, 2018. original proposed no significant hazards Commission may not have had an Description of amendment request: consideration determination as opportunity to provide for public The amendment revised the Summer, published in the Federal Register. comment on its no significant hazards Unit No. 1, Technical Specifications The Commission’s related evaluation consideration determination. In such (TS) for a one-time extension to the TS of the amendment is contained in a case, the license amendment has been surveillance requirement of channel Safety Evaluation dated October 5, 2018. issued without opportunity for calibrations of the Core Exit

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Temperature Instrumentation. The For the Nuclear Regulatory Commission. recommendations of the Planning and surveillance requirement of TS 4.3.3.6 Kathryn M. Brock, Procedures Subcommittee regarding was revised to allow a one-time Deputy Director, Division of Operating items proposed for consideration by the extension of the frequency of the Core Reactor Licensing, Office of Nuclear Reactor Full Committee during future ACRS Exit Temperature Instrumentation Regulation. meetings. [Note: A portion of this Channel Calibrations from ‘‘every [FR Doc. 2018–22654 Filed 10–22–18; 8:45 am] meeting may be closed pursuant to 5 refueling outage’’, which has been BILLING CODE 7590–01–P U.S.C. 552b(c)(2) and (6) to discuss interpreted as 18 months, to ‘‘every 19 organizational and personnel matters months.’’ that relate solely to internal personnel Date of issuance: September 25, 2018. NUCLEAR REGULATORY rules and practices of the ACRS, and Effective date: As of its issuance date COMMISSION information the release of which would and shall be implemented upon constitute a clearly unwarranted approval. 658th Meeting of the Advisory invasion of personal privacy]. Committee on Reactor Safeguards Amendment No.: 211. A publicly- 10:15 a.m.–12:00 p.m.: Preparation of (ACRS) available version is in ADAMS under ACRS Reports (Open)—The Committee Accession No. ML18260A027; In accordance with the purposes of will continue its discussion of proposed documents related to this amendment Sections 29 and 182b of the Atomic ACRS reports. are listed in the Safety Evaluation Energy Act (42 U.S.C. 2039, 2232b), the 1:00 p.m.–6:00 p.m.: Preparation of enclosed with the amendment. Advisory Committee on Reactor ACRS Reports (Open)—The Committee [Renewed] Facility Operating License Safeguards (ACRS) will hold meetings will continue its discussion of proposed No. NPF–12: The amendment revised on November 1–3, 2018, Three White ACRS reports and retreat items. the facility operating license. Flint North, 11601 Landsdown Street, Public comments requested as to North Bethesda, MD 20852. Saturday, November 3, 2018, proposed no significant hazards Conference Room 1C3 & 1C5, Three Thursday, November 1, 2018, consideration (NSHC): Yes. An White Flint North, 11601 Landsdown Conference Room 1C3 & 1C5, Three individual 14-day notice for comments Street, North Bethesda, MD 20852 White Flint North, 11601 Landsdown was published in the Federal Register Street, North Bethesda, MD 20852 8:30 p.m.–12:00 p.m.: Preparation of on September 10, 2018 (83 FR 45688). ACRS Reports (Open)—The Committee The notice provided an opportunity to 8:30 a.m.–8:35 a.m.: Opening will continue its discussion of proposed submit comments on the Commission’s Remarks by the ACRS Chairman ACRS reports and retreat items. proposed NSHC determination. One (Open)—The ACRS Chairman will make Procedures for the conduct of and comment from a member of the public opening remarks regarding the conduct participation in ACRS meetings were was received, however it was not related of the meeting. published in the Federal Register on 8:35 a.m.–10:00 a.m.: Waterford to the proposed no significant hazards October 4, 2017 (82 FR 46312). In Steam Electric Station, Unit 3 License consideration determination or to the accordance with those procedures, oral Renewal Application (Open)—The proposed license amendment request. or written views may be presented by Committee will have briefings by and The notice also provided an opportunity members of the public, including discussion with representatives of the to request a hearing by November 9, representatives of the nuclear industry. NRC staff and Entergy regarding the 2018, but indicated that if the Persons desiring to make oral statements safety evaluation associated with the Commission makes a final NSHC should notify Quynh Nguyen, Cognizant determination, any such hearing would subject license renewal application. 10:45 a.m.–12:45 p.m.: River Bend ACRS Staff (Telephone: 301–415–5844, take place after issuance of the Email: [email protected]), 5 days amendment. Nuclear Generating Station, Unit 1 License Renewal Application (Open)— before the meeting, if possible, so that The supplemental letters dated appropriate arrangements can be made August 31, September 11, and The Committee will have briefings by and discussion with representatives of to allow necessary time during the September 19, 2018 provided additional meeting for such statements. In view of information that clarified the the NRC staff and Entergy regarding the safety evaluation associated with the the possibility that the schedule for application, did not expand the scope of ACRS meetings may be adjusted by the the application as originally noticed, subject license renewal application. 1:45 p.m.–2:45 p.m.: Preparation for Chairman as necessary to facilitate the and did not change the staff’s original Meeting with Commission (Open)—The conduct of the meeting, persons proposed no significant hazards Committee will prepare for the planning to attend should check with consideration determination as upcoming meeting with the Commission the Cognizant ACRS staff if such published in the Federal Register on in December. rescheduling would result in major September 10, 2018. 3:00 p.m.–6:00 p.m.: Preparation of inconvenience. The bridgeline number The Commission’s related evaluation ACRS Reports (Open)—The Committee for the meeting is 866–822–3032, of the amendment, finding of exigent will continue its discussion of proposed passcode 8272423#. circumstances, state consultation, and ACRS reports. Thirty-five hard copies of each final NSHC determination are contained presentation or handout should be in a Safety Evaluation dated September Friday, November 2, 2018, Conference provided 30 minutes before the meeting. 25, 2018. Room 1C3 & 1C5, Three White Flint In addition, one electronic copy of each Attorney for licensee: Kathryn M. North, 11601 Landsdown Street, North presentation should be emailed to the Sutton, Morgan, Lewis & Bockius LLP, Bethesda, MD 20852 Cognizant ACRS Staff one day before 1111 Pennsylvania Avenue NW, 8:30 a.m.–10:00 a.m.: Future ACRS meeting. If an electronic copy cannot be Washington, DC 20004. Activities/Report of the Planning and provided within this timeframe, NRC Branch Chief: Michael T. Procedures Subcommittee and presenters should provide the Cognizant Markley. Reconciliation of ACRS Comments and ACRS Staff with a CD containing each Dated at Rockville, Maryland, this 10th day Recommendations (Open/Closed)—The presentation at least 30 minutes before of October, 2018. Committee will hear discussion of the the meeting.

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In accordance with Subsection 10(d) MATTERS TO BE CONSIDERED: Secretary, Washington, DC 20555 (301– of Public Law 92–463 and 5 U.S.C. 415–1969), or you may email Week of October 22, 2018 552b(c), certain portions of this meeting [email protected] or may be closed, as specifically noted Thursday, October 25, 2018 [email protected]. above. Use of still, motion picture, and 9:00 a.m. Briefing on Digital Dated at Rockville, Maryland, on October television cameras during the meeting Instrumentation and Control 19, 2018. may be limited to selected portions of (Public) (Contact: Jason Paige: 301– For the Nuclear Regulatory Commission. the meeting as determined by the 415–1474) Denise L. McGovern, Chairman. Electronic recordings will be This meeting will be webcast live at Policy Coordinator, Office of the Secretary. permitted only during the open portions the Web address—http://www.nrc.gov/. of the meeting. [FR Doc. 2018–23253 Filed 10–19–18; 4:15 pm] ACRS meeting agendas, meeting Week of October 29, 2018—Tentative BILLING CODE 7590–01–P transcripts, and letter reports are Monday, October 29, 2018 available through the NRC Public NUCLEAR REGULATORY Document Room at pdr.resource@ 9:00 a.m. Transformation at the NRC COMMISSION nrc.gov, or by calling the PDR at 1–800– (Public) (Contact: Kevin Williams: 397–4209, or from the Publicly 301–415–1611) [Docket No. 40–8943–MLA–2; ASLBP No. Available Records System (PARS) This meeting will be webcast live at 13–926–01–MLA–BD01] component of NRC’s document system the Web address—http://www.nrc.gov/. (ADAMS) which is accessible from the Atomic Safety and Licensing Board NRC website at http://www.nrc.gov/ Week of November 5, 2018—Tentative Panel reading-rm/adams.html or http:// There are no meetings scheduled for www.nrc.gov/reading-rm/doc- the week of November 5, 2018. Before the Licensing Board: G. Paul collections/#ACRS/. Bollwerk, III, Chairman, Dr. Richard E. Week of November 12, 2018—Tentative Wardwell, Dr. Thomas J. Hirons; In the Video teleconferencing service is There are no meetings scheduled for Matter of: Crow Butte Resources, Inc. available for observing open sessions of (Marsland Expansion Area); Amended Notice ACRS meetings. Those wishing to use the week of November 12, 2018. of Hearing (Confirming Oral Limited this service should contact Mr. Theron Week of November 19, 2018—Tentative Appearance Session and Updating Start Time Brown, ACRS Audio Visual Technician for Evidentiary Hearing). (301–415–6702), between 7:30 a.m. and There are no meetings scheduled for the week of November 19, 2018. October 18, 2018. 3:45 p.m. (ET), at least 10 days before On July 27, 2018, the Atomic Safety the meeting to ensure the availability of Week of November 26, 2018—Tentative and Licensing Board issued a Notice of this service. Individuals or Thursday, November 29, 2018 Hearing, which was subsequently organizations requesting this service published in the Federal Register, will be responsible for telephone line 10:00 a.m. Briefing on Security Issues indicating that it would convene an charges and for providing the (Closed Ex. 1) evidentiary hearing and potentially equipment and facilities that they use to CONTACT PERSON FOR MORE INFORMATION: conduct a 10 CFR 2.315(a) oral limited establish the video teleconferencing For more information or to verify the appearance session in connection with link. The availability of video status of meetings, contact Denise this proceeding regarding intervenor teleconferencing services is not McGovern at 301–415–0681 or via email Oglala Sioux Tribe’s challenge to the guaranteed. at [email protected]. The May 2012 application of Crow Butte Note: This notice is late due to the schedule for Commission meetings is Resources, Inc., (CBR) seeking to amend cancellation of the New Instrumentation & subject to change on short notice. the existing 10 CFR part 40 source Controls Review Guidance for Future Reactor The NRC Commission Meeting materials license for its Crow Butte in Designs meeting which was initially on this Schedule can be found on the internet situ uranium recovery (ISR) site to schedule for Thursday, November 1, 2018 at at: http://www.nrc.gov/public-involve/ authorize CBR to operate a satellite ISR 1:45 p.m. public-meetings/schedule.html. facility within the Marsland Expansion Dated: October 17, 2018. The NRC provides reasonable Area in Dawes County, Nebraska. See Russell E. Chazell, accommodation to individuals with Notice of Hearing (Notice of Evidentiary disabilities where appropriate. If you Federal Advisory Committee Management Hearing and Opportunity To Provide Officer, Office of the Secretary. need a reasonable accommodation to Oral, Written, and Audio-Recorded participate in these public meetings, or [FR Doc. 2018–23043 Filed 10–22–18; 8:45 am] Limited Appearance Statements); In the need this meeting notice or the Matter of Crow Butte Resources, Inc. BILLING CODE 7590–01–P transcript or other information from the (Marsland Expansion Area), 83 FR public meetings in another format (e.g., 37828, 37828–30 (Aug. 2, 2018). NUCLEAR REGULATORY Braille, large print), please notify Revisions to the information in that COMMISSION Kimberly Meyer-Chambers, NRC notice regarding the oral limited Disability Program Manager, at 301– appearance session and the start time [NRC–2018–0001] 287–0739, by videophone at 240–428– for the evidentiary hearing are set forth 3217, or by email at Kimberly.Meyer- below. Sunshine Act Meetings [email protected]. Determinations on requests for reasonable accommodation A. Confirming Oral Limited TIME AND DATE: Weeks of October 22, 29, will be made on a case-by-case basis. Appearance Session Will Be Held November 5, 12, 19, 26, 2018. Members of the public may request to In the notice’s section E, ‘‘Submitting PLACE: Commissioners’ Conference receive this information electronically. a Request to Make an Oral Limited Room, 11555 Rockville Pike, Rockville, If you would like to be added to the Appearance Statement,’’ the Board Maryland. distribution, please contact the Nuclear indicated that it was accepting requests STATUS: Public and Closed. Regulatory Commission, Office of the to make an oral limited appearance

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during a scheduled Sunday, October 28, (301) 415–5036 (available seven days a SECURITIES AND EXCHANGE 2018 session to be held from 2:00 p.m. week, twenty-four hours a day). COMMISSION to 4:00 p.m. Mountain Time (MT) at the It is so ordered. Scottsbluff Room, Chadron State College For the Atomic Safety and Licensing Sunshine Act Meetings Student Center, 1000 Main Street, Board. Chadron, Nebraska. In addition, the TIME AND DATE: Notice is hereby given, Dated: Rockville, Maryland, October 18, pursuant to the provisions of the Board stated it was reserving the right 2018. to cancel that session if by mid-October Government in the Sunshine Act, Public George P. Bollwerk III, Law 94–409, that the Securities and 2018 sufficient expressions of interest Chairman, Administrative Judge. from the public had not been received. Exchange Commission Fixed Income [FR Doc. 2018–23085 Filed 10–22–18; 8:45 am] The Board wishes to confirm that, Market Structure Advisory Committee because a sufficient number of written BILLING CODE 7590–01–P will hold a public meeting on Monday, requests to make an oral statement have October 29, 2018 at 9:30 a.m. been received, the oral limited PLACE: The meeting will be held in appearance session will be conducted as SECURITIES AND EXCHANGE Multi-Purpose Room LL–006 at the scheduled. COMMISSION Commission’s headquarters, 100 F In addition, the Board encourages Street NE, Washington, DC. Sunshine Act Meetings anyone interested in making an oral STATUS: The meeting will begin at 9:30 limited appearance statement at the TIME AND DATE: Notice is hereby given, a.m. and will be open to the public. October 28, 2018 session to provide a pursuant to the provisions of the Seating will be on a first-come, first- written request to do so. Those Government in the Sunshine Act, Public served basis. Doors will open at 9:00 submitting a timely written request to Law 94–409, that the Securities and a.m. Visitors will be subject to security make an oral statement, i.e., a request Exchange Commission staff will hold a checks. The meeting will be webcast on received by 5:00 p.m. Eastern Time (ET) public roundtable on Thursday, October the Commission’s website at on Friday, October 26, 2018, will be 25, 2018 at 10:30 a.m. and Friday, www.sec.gov. given priority over those who have not October 26, 2018 at 9:00 a.m. MATTERS TO BE CONSIDERED: On October provided such a request. 3, 2018, the Commission published Written requests to make an oral PLACE: The roundtable will be held in the Auditorium at the Commission’s notice of the Committee meeting statement should be submitted to: Mail: (Release No. 34–84356), indicating that Administrative Judge G. Paul Bollwerk, headquarters, 100 F Street NE, Washington, DC. the meeting is open to the public and III, Atomic Safety and Licensing Board inviting the public to submit written Panel, Mail Stop T–3A02, U.S. Nuclear STATUS: The meeting will begin at 10:30 a.m. on October 25 and 9:00 a.m. on comments to the Committee. This Regulatory Commission, Washington, Sunshine Act notice is being issued DC 20555–0001; Fax: (301) 415–5206 October 26 and will be open to the because a majority of the Commission (verification (301) 415–5277); Email: public. To ensure sufficient seating for members of the public wishing to attend may attend the meeting. [email protected] and The agenda for the meeting will [email protected]. in-person, registration is encouraged. Doors will open at 9:30 a.m. on October include updates and presentations from B. Evidentiary Hearing Start Time 25 and 8:00 a.m. on October 26. Visitors the FIMSAC subcommittees. In section B of the notice, the Board will be subject to security checks. The CONTACT PERSON FOR MORE INFORMATION: indicated that the evidentiary hearing meeting will be webcast on the For further information, please contact would convene at 8:30 a.m. MT on Commission’s website at www.sec.gov. Brent J. Fields from the Office of the Secretary at (202) 551–5400. Tuesday, October 30, 2018. As a result MATTERS TO BE CONSIDERED: The of recent developments concerning Commission staff will host a two-day Dated: October 18, 2018. witness availability, see Licensing Board roundtable on market data and market Brent J. Fields, Memorandum and Order (Scheduling access. The roundtable is open to the Secretary. Prehearing Conference and Providing public and the public may submit [FR Doc. 2018–23178 Filed 10–19–18; 11:15 am] Teleconference Agenda and Hearing written comments here. This Sunshine BILLING CODE 8011–01–P Presentation Order) (Oct. 3, 2018) at 4 Act notice is being issued because a & n.2 (unpublished), the Board has majority of the Commission may attend decided to begin the hearing one-half the roundtable. SECURITIES AND EXCHANGE hour earlier, i.e., at 8:00 a.m. MT on The roundtable will focus on COMMISSION October 30, 2018. The hearing location assessing current market data products, at the Crawford Community Building, market access services, and their [Release No. 34–84442; File No. SR– CboeEDGX–2018–047] 1005 1st Street, Crawford, Nebraska, associated fees, and assessing the remains the same. elements, governance and funding of Self-Regulatory Organizations; Cboe Although the start times for the core data infrastructure, as well as EDGX Exchange, Inc.; Notice of Filing additional two days that the hearing public transparency to improve such and Immediate Effectiveness of a currently is anticipated to last will be products and services. Proposed Rule Change Related to Fees set by the Board based on the progress CONTACT PERSON FOR MORE INFORMATION: for Use on Cboe EDGX Exchange, Inc. of the proceeding, if the Board decides For further information, please contact to start the hearing at a time other than Brent J. Fields from the Office of the October 17, 2018. 8:00 a.m. MT on any given day, it will Secretary at (202) 551–5400. Pursuant to Section 19(b)(1) of the provide an information update that will Securities Exchange Act of 1934 (the Dated: October 18, 2018. be available by 6:00 a.m. MT on that day ‘‘Act’’),1 and Rule 19b–4 thereunder,2 by calling (800) 368–5642, extension Brent J. Fields, notice is hereby given that on October 5036 (available between 7:00 a.m. and Secretary. 9:00 p.m. ET, Monday through Friday, [FR Doc. 2018–23179 Filed 10–19–18; 11:15 am] 1 15 U.S.C. 78s(b)(1). except federal holidays), or by calling BILLING CODE 8011–01–P 2 17 CFR 240.19b–4.

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3, 2018, Cboe EDGX Exchange, Inc. (the sum, an MDO is a Limit Order that is in general, and furthers the objectives of ‘‘Exchange’’ or ‘‘EDGX’’) filed with the executable at the National Best Bid Section 6(b)(4),8 in particular, as it is Securities and Exchange Commission (‘‘NBB’’) for an order to buy or the designed to provide for the equitable (‘‘Commission’’) the proposed rule National Best Offer (‘‘NBO’’) for an allocation of reasonable dues, fees and change as described in Items I, II and III order to sell while resting on the EDGX other charges among its Members and below, which Items have been prepared Book, with discretion to execute at other persons using its facilities. by the Exchange. The Exchange has prices to and including the midpoint of The Exchange believes the proposed designated the proposed rule change as the National Best Bid and Offer (the rebates for orders yielding fee code DM one establishing or changing a member ‘‘NBBO’’).6 MDO orders can be are reasonable because the amount of due, fee, or other charge imposed by the displayed or hidden. The MDO has two the rebates are the same as the Exchange under Section 19(b)(3)(A)(ii) discrete components—the displayed respective rebates applied to other non- of the Act 3 and Rule 19b–4(f)(2) portion that is pegged to the NBB or displayed orders.9 The Exchange thereunder,4 which renders the NBO, and a non-displayed portion believes the proposed rebates for orders proposed rule change effective upon which gives discretion to execute to the yielding DM is equitable and not filing with the Commission. The mid-point of the NBBO, subject to unfairly discriminatory because it Commission is publishing this notice to certain limits. The Exchange believes applies uniformly to all members. The solicit comments on the proposed rule the proposed pricing is reflective of this Exchange also notes that it believes it is change from interested persons. concept. Particularly, the Exchange equitable and reasonable to provide a notes that displayed MDO orders that rebate to MDOs because MDOs add I. Self-Regulatory Organization’s add liquidity at the bid or offer will liquidity at the NBBO while offering Statement of the Terms of Substance of receive one of the existing applicable fee price improvement opportunities to the Proposed Rule Change codes, B, V, Y, 3, or 4 and receive the incoming contra-side orders that The Exchange filed a proposal to standard rebate for adding liquidity. The execute within its discretionary range. amend the fee schedule applicable to standard rebate for adding liquidity in The Exchange believes it’s equitable and Members 5 and non-Members of the securities priced at or above $1.00 is not unfairly discriminatory to provide a Exchange pursuant to Exchange Rules $0.0020 per share and $0.00003 per lower rebate to non-displayed add MDO 15.1(a) and (c). share for securities priced below $1.00. orders (i.e., orders yielding fee codes The text of the proposed rule change Non-displayed MDO orders that add HA and DM) compared to displayed add is available at the Exchange’s website at liquidity at the bid or offer will receive MDO orders (i.e., orders yielding fee www.markets.cboe.com, at the principal the existing non-displayed add fee code, codes, B, V, Y, 3, or 4) because such office of the Exchange, and at the HA. The rebate for orders yielding fee pricing incentivizes the entry of Commission’s Public Reference Room. code HA is $0.00150 per share for displayed liquidity on the Exchange, II. Self-Regulatory Organization’s securities priced at or above $1.00 and which is consistent with the Exchange’s Statement of the Purpose of, and $0.00003 for securities priced below pricing generally. Statutory Basis for, the Proposed Rule $1.00. The Exchange lastly proposes B. Self-Regulatory Organization’s Change that Members that add liquidity in the Statement on Burden on Competition discretionary range using a MDO order In its filing with the Commission, the will receive a rebate of $0.0015 per This proposed rule change does not Exchange included statements share for securities priced at or above impose any burden on competition that concerning the purpose of and basis for $1.00 and provide a rebate of $0.00003 is not necessary or appropriate in the proposed rule change and discussed per share for securities priced below furtherance of the purposes of the Act. any comments it received on the $1.00. The Exchange notes that the The Exchange does not believe that this proposed rule change. The text of these proposed pricing for orders that add change represents a significant statements may be examined at the liquidity using MDO orders within the departure from previous pricing offered places specified in Item IV below. The discretionary range is the same as the by the Exchange or from pricing offered Exchange has prepared summaries, set pricing for non-displayed MDO orders by the Exchange’s competitors. The forth in Sections A, B, and C below, of that add liquidity at the bid or offer (i.e., proposed rebates would apply the most significant parts of such orders yielding fee code HA). The uniformly to all Members, and Members statements. Exchange notes that pursuant to may opt to disfavor the Exchange’s A. Self-Regulatory Organization’s Footnote 11 of the Fees Schedule, orders pricing if they believe that alternatives Statement of the Purpose of, and the that add non-displayed liquidity (e.g., offer them better value. Accordingly, the Statutory Basis for, the Proposed Rule orders yielding fee code HA) may not Exchange does not believe that the Change receive a rebate if the order has a proposed changes will impair the ability Discretionary Range instruction. As of Members or competing venues to 1. Purpose such, the Exchange proposes to adopt a maintain their competitive standing in The Exchange proposes to amend its new fee code, DM, to be appended to all the financial markets. Further, excessive fee schedule to adopt new fee code DM, MDO orders that add liquidity within fees would serve to impair an effective October 3, 2018. Such flag will the discretionary range. exchange’s ability to compete for order be yielded when Members add liquidity flow and members rather than in the discretionary range using a 2. Statutory Basis burdening competition. The Exchange MidPoint Discretionary Order type The Exchange believes that the believes that its proposal would not (‘‘MDO’’), which order type was proposed rule change is consistent with burden intramarket competition because recently adopted by the Exchange. In the objectives of Section 6 of the Act,7 the proposed rate would apply uniformly to all Members. 3 15 U.S.C. 78s(b)(3)(A)(ii). 6 See Securities Exchange Act Release No. 84327 4 17 CFR 240.19b–4(f)(2). (October 1, 2018) (SR–CboeEDGX–2018–041) 8 15 U.S.C. 78f(b)(4). 5 A Member is defined as ‘‘any registered broker (notice of filing and immediate effectiveness of 9 See e.g., Cboe EDGX U.S. Equities Exchange Fee or dealer that has been admitted to membership in proposed rule change to adopt MDOs). Schedule, Fee Code and Associated Fees, Fee Code the Exchange.’’ See Exchange Rule 1.5(n). 7 15 U.S.C. 78f. HA.

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C. Self-Regulatory Organization’s proposed rule change between the The subject matters of the closed Statement on Comments on the Commission and any person, other than meeting will be: Proposed Rule Change Received From those that may be withheld from the Institution and settlement of Members, Participants, or Others public in accordance with the injunctive actions; The Exchange has not solicited, and provisions of 5 U.S.C. 552, will be Institution and settlement of does not intend to solicit, comments on available for website viewing and administrative proceedings; this proposed rule change. The printing in the Commission’s Public Resolution of litigation claims; Exchange has not received any written Reference Room, 100 F Street NE, Adjudicatory matters; and comments from members or other Washington, DC 20549, on official Other matters relating to enforcement interested parties. business days between the hours of proceedings. 10:00 a.m. and 3:00 p.m. Copies of this At times, changes in Commission III. Date of Effectiveness of the filing will also be available for priorities require alterations in the Proposed Rule Change and Timing for inspection and copying at the principal scheduling of meeting items. Commission Action office of the Exchange. All comments CONTACT PERSON FOR MORE INFORMATION: The foregoing rule change has become received will be posted without change. For further information and to ascertain effective pursuant to Section 19(b)(3)(A) Persons submitting comments are what, if any, matters have been added, of the Act 10 and paragraph (f) of Rule cautioned that we do not redact or edit deleted or postponed; please contact 19b–4 thereunder.11 At any time within personal identifying information from Brent J. Fields from the Office of the 60 days of the filing of the proposed rule comment submissions. You should Secretary at (202) 551–5400. change, the Commission summarily may submit only information that you wish Dated: October 18, 2018. temporarily suspend such rule change if to make available publicly. All it appears to the Commission that such submissions should refer to File Brent J. Fields, action is necessary or appropriate in the Number SR–CboeEDGX–2018–047 and Secretary. public interest, for the protection of should be submitted on or before [FR Doc. 2018–23177 Filed 10–19–18; 11:15 am] investors, or otherwise in furtherance of November 13, 2018. BILLING CODE 8011–01–P the purposes of the Act. For the Commission, by the Division of IV. Solicitation of Comments Trading and Markets, pursuant to delegated SECURITIES AND EXCHANGE authority.12 Interested persons are invited to COMMISSION Eduardo A. Aleman, submit written data, views, and Assistant Secretary. [Release No. 34–84444; File No. SR–NYSE– arguments concerning the foregoing, 2018–49] including whether the proposed rule [FR Doc. 2018–23038 Filed 10–22–18; 8:45 am] change is consistent with the Act. BILLING CODE 8011–01–P Self-Regulatory Organizations; New Comments may be submitted by any of York Stock Exchange LLC; Notice of the following methods: Filing and Immediate Effectiveness of SECURITIES AND EXCHANGE Proposed Rule Change To Amend Its Electronic Comments COMMISSION Price List • Use the Commission’s internet comment form (http://www.sec.gov/ Sunshine Act Meetings October 17, 2018. 1 rules/sro.shtml); or TIME AND DATE: 3:00 p.m. on Thursday, Pursuant to Section 19(b)(1) of the • Send an email to rule-comments@ October 25, 2018. Securities Exchange Act of 1934 (the sec.gov. Please include File Number SR– ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 PLACE: The meeting will be held at the CboeEDGX–2018–047 on the subject notice is hereby given that, on October Commission’s headquarters, 100 F line. 4, 2018, New York Stock Exchange LLC Street NE, Washington, DC 20549. Paper Comments (‘‘NYSE’’ or the ‘‘Exchange’’) filed with STATUS: This meeting will be closed to the Securities and Exchange • Send paper comments in triplicate the public. Commission (the ‘‘Commission’’) the to Secretary, Securities and Exchange MATTERS TO BE CONSIDERED: proposed rule change as described in Commission, 100 F Street NE, Commissioners, Counsel to the Items I, II, and III below, which Items Washington, DC 20549–1090. Commissioners, the Secretary to the have been prepared by the self- All submissions should refer to File Commission, and recording secretaries regulatory organization. The Number SR–CboeEDGX–2018–047. This will attend the closed meeting. Certain Commission is publishing this notice to file number should be included on the staff members who have an interest in solicit comments on the proposed rule subject line if email is used. To help the the matters also may be present. change from interested persons. Commission process and review your The General Counsel of the comments more efficiently, please use Commission, or his designee, has I. Self-Regulatory Organization’s only one method. The Commission will certified that, in his opinion, one or Statement of the Terms of Substance of post all comments on the Commission’s more of the exemptions set forth in 5 the Proposed Rule Change internet website (http://www.sec.gov/ U.S.C. 552b(c)(3), (5), (6), (7), (8), 9(B) The Exchange proposes to amend its rules/sro.shtml). Copies of the and (10) and 17 CFR 200.402(a)(3), Price List to (1) adopt an alternate way submission, all subsequent (a)(5), (a)(6), (a)(7), (a)(8), (a)(9)(ii) and to qualify for the Tier 3 Adding Credit; amendments, all written statements (a)(10), permit consideration of the (2) add a new charge for transactions with respect to the proposed rule scheduled matters at the closed meeting. that remove liquidity from the change that are filed with the Commissioner Jackson, as duty Exchange; and (3) make certain non- Commission, and all written officer, voted to consider the items substantive, clarifying changes. The communications relating to the listed for the closed meeting in closed session. 1 15 U.S.C.78s(b)(1). 10 15 U.S.C. 78s(b)(3)(A). 2 15 U.S.C. 78a. 11 17 CFR 240.19b–4(f). 12 17 CFR 200.30–3(a)(12). 3 17 CFR 240.19b–4.

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Exchange proposes to implement these The Exchange proposes to provide an 500,000, and also had an Adding ADV changes to its Price List effective alternate way for member organizations of less than 250,000 in Tape A October 4, 2018.4 The proposed rule to qualify for the Tier 3 Adding Credit. securities, that member organization change is available on the Exchange’s As proposed, the Exchange would would receive a fee of $0.0030 per share website at www.nyse.com, at the provide an equity per share credit of in Tape A securities under the proposed principal office of the Exchange, and at $0.0018 per transaction for all orders, change. the Commission’s Public Reference other than MPL and Non-Display Clarifying, Non-Substantive Changes Room. Reserve orders, for transactions in stocks with a share price of $1.00 or First, the Exchange proposes to add a II. Self-Regulatory Organization’s more when adding liquidity to the sentence to footnote * to clarify that, Statement of the Purpose of, and Exchange if the member organization (1) unless otherwise specified, references to Statutory Basis for, the Proposed Rule has an Adding ADV that is at least volumes, quoting, ADV and CADV in Change 0.35% of NYSE CADV, (2) executes the Price List refer to Tape A securities. In its filing with the Commission, the MOC and LOC orders of at least 0.05% Second, the Exchange proposes to self-regulatory organization included of NYSE CADV, and (3) has an Adding make a non-substantive, clarifying statements concerning the purpose of, ADV in MPL orders of at least 400,000 change to the annual trading license fee. and basis for, the proposed rule change shares. Currently, for all member organizations, and discussed any comments it received Charges for Removing Liquidity including Floor brokers with more than on the proposed rule change. The text ten trading licenses but excluding of those statements may be examined at The Exchange currently charges a fee Regulated Only Members, the trading the places specified in Item IV below. of $0.00275 for non-Floor broker license fee is $50,000 for the first license The Exchange has prepared summaries, transactions that remove liquidity from held by the member organization unless set forth in sections A, B, and C below, the Exchange, including those of DMMs. one of the other rates is deemed of the most significant parts of such The Exchange also currently charges applicable.6 The current Price List statements. $0.0030 for non-Floor broker provides that the annual fee applies to transactions removing liquidity from the ‘‘All member organizations with 10 or A. Self-Regulatory Organization’s Exchange by member organizations with more trading licenses.’’ The Exchange Statement of the Purpose of, and the an Adding ADV, excluding any liquidity proposes a non-substantive change to Statutory Basis for, the Proposed Rule added by a DMM, of less than 250,000 clarify this language by adding the Change ADV on the Exchange during the billing phrase ‘‘, including Floor brokers’’ after 1. Purpose month. ‘‘All member organizations’’ and the The Exchange proposes to add a parenthetical ‘‘excluding Regulated The Exchange proposes to amend its slightly higher intermediate fee of Only Members’’ at the end of the entry. Price List to (1) adopt an alternate way $0.00280 for non-Floor broker to qualify for the Tier 3 Adding Credit; transactions that remove liquidity from * * * * * (2) add a new charge for transactions the Exchange by member organizations The proposed changes are not that remove liquidity from the with an Adding ADV, excluding any otherwise intended to address any other Exchange; and (3) make certain non- liquidity added by a DMM, that is at issues, and the Exchange is not aware of substantive, clarifying changes. least 250,000 ADV on the NYSE in Tape any problems that member organizations would have in complying The Exchange proposes to implement A Securities and less than 500,000 ADV with the proposed change. these changes to its Price List effective on the NYSE in Tape B and Tape C October 4, 2018. securities combined during the billing 2. Statutory Basis month. Tier 3 Adding Credit For example, in a given month, a The Exchange believes that the member organization with an Adding proposed rule change is consistent with The Exchange currently provides an Section 6(b) of the Act,7 in general, and equity per share credit of $0.0018 per ADV, excluding any liquidity added by a DMM, of 250,000 or more on the furthers the objectives of Sections transaction for all orders, other than 6(b)(4) and 6(b)(5) of the Act,8 in MPL and Non-Display Reserve orders, Exchange in Tape A securities would qualify for a fee of $0.00275 per share particular, because it provides for the for transactions in stocks with a share equitable allocation of reasonable dues, price of $1.00 or more when adding in Tape A securities. • fees, and other charges among its liquidity to the Exchange if the member If that same member organization had an Adding ADV of 300,000 in Tape members, issuers and other persons organization (1) has an average daily using its facilities and does not unfairly trading volume (‘‘ADV’’) that adds B securities and an Adding ADV of 250,000 in Tape C securities, or 550,000 discriminate between customers, liquidity to the Exchange during the issuers, brokers or dealers. billing month (‘‘Adding ADV’’) 5 that is ADV combined, that member would at least 0.40% of NYSE consolidated continue to receive a fee of $0.00275 per Tier 3 Adding Credit share in Tape A securities under the average daily volume (‘‘CADV’’), and (2) The Exchange believes that providing executes market at-the-close (‘‘MOC’’) proposed change. • If that same member organization an additional way to qualify for the Tier and limit at-the-close (‘‘LOC’’) of at least 3 Adding Credit is reasonable, equitable 0.05% of NYSE CADV. had an Adding ADV in Tape B and Tape C securities combined of less than and not an unfairly discriminatory 500,000, but still had an Adding ADV of allocation of fees because it would 4 The Exchange originally filed to amend the 250,000 or more in Tape A securities, encourage additional liquidity on the Price List on September 28, 2018 (SR–NYSE–2018– Exchange and because members and 45). SR–NYSE–2018–45 was subsequently that member organization would receive withdrawn and replaced by this filing. a fee of $0.0028 per share in Tape A 6 5 Footnote 2 to the Price List defines ADV as securities under the proposed change. See Securities Exchange Act Release No. 82563 ‘‘average daily volume’’ and ‘‘Adding ADV’’ as ADV • (January 22, 2018), 83 FR 3799, 3801 (January 26, that adds liquidity to the Exchange during the If that member organization had an 2018) (SR–NYSE–2018–03). billing month. The Exchange is not proposing to Adding ADV in Tape B and Tape C 7 15 U.S.C. 78f(b). change these definitions. securities combined of less than 8 15 U.S.C. 78f(b)(4) & (5).

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member organizations benefit from the $0.0028 in Tape A and B securities and rules to be accurate and concise so as to substantial amounts of liquidity that are $0.0029 in Tape C securities, if a firm eliminate the potential for confusion. present on the Exchange. The Exchange removes 0.065% or more of Finally, the Exchange believes that it believes the proposed changes are Consolidated Volume; otherwise, is subject to significant competitive equitable and not unfairly Nasdaq PSX imposes a charge of forces, as described below in the discriminatory because it would $0.0030 per share for removing Exchange’s statement regarding the continue to encourage member liquidity.9 Given the Exchange’s and burden on competition. organizations to send orders, thereby Nasdaq PSX’s relative size and market For the foregoing reasons, the contributing to robust levels of liquidity, share, the Exchange believes that Exchange believes that the proposal is which benefits all market participants. Nasdaq PSX remove requirement of consistent with the Act. The proposed changes will encourage 0.065%, which would be 4.55 million B. Self-Regulatory Organization’s the submission of additional liquidity to shares ADV in a month where CADV is Statement on Burden on Competition a national securities exchange, thereby 7 billion shares, is comparable to the promoting price discovery and In accordance with Section 6(b)(8) of Exchange’s 250,000 ADV and 500,000 the Act,11 the Exchange believes that the transparency and enhancing order ADV adding requirements. The execution opportunities for member proposed rule change would not impose Exchange notes that since the any burden on competition that is not organizations from the substantial requirement is for Tape B and Tape C amounts of liquidity that are present on necessary or appropriate in furtherance securities combined, member of the purposes of the Act. Instead, the the Exchange. The proposed changes organizations can meet the requirement will also encourage the submission of Exchange believes that the proposed by adding liquidity in either Tape B or change would foster liquidity provision additional MPL orders that add Tape C securities, or both. The liquidity, thus providing price and stability in the marketplace, thereby Exchange further notes that other promoting price discovery and improving liquidity to market marketplaces have tiers with adding participants and increasing the quality transparency and enhancing order requirements in specific tapes to qualify of order execution on the Exchange’s execution opportunities for member for a rate in securities on another tape. market, which benefits all market organizations. In this regard, the For example, to be eligible for a $0.0020 participants. Moreover, the proposed Exchange believes that the transparency adding credit in Tape C securities on changes are equitable and not unfairly and competitiveness of attracting Nasdaq, firms are required to average a discriminatory because they would additional executions on an exchange apply equally to all qualifying member minimum of 250,000 shares added per market would encourage competition. organizations, including Floor brokers, day in Tape A or Tape B securities The Exchange also believes that the that submit orders to the NYSE and add (combined); otherwise, the Tape C proposed rule change is designed to 10 liquidity to the Exchange and do not credit for adding liquidity is $0.0015. make non-substantive technical corrections and update the Exchange’s currently meet the requirements for Non-Substantive, Clarifying Changes higher credits for Adding Tiers 1, 2, and Price List in order to provide the public 3. The Exchange believes that the and investors with a Price List that is proposed non-substantive, clarifying clear and consistent, thereby reducing Charges for Removing Liquidity changes would remove impediments to, burdens on the marketplace and The Exchange believes that and perfect the mechanisms of, a free facilitating investor protection. introducing a slightly higher charge and open market and a national market Finally, the Exchange notes that it than the current lowest charge of system and, in general, protect investors operates in a highly competitive market $0.00275 for non-Floor broker and the public interest because they are in which market participants can transactions that remove liquidity from designed to provide greater specificity readily favor competing venues if they the Exchange for member organizations and clarity to the Price List, thereby deem fee levels at a particular venue to with an Adding ADV, excluding DMM removing impediments to and be excessive or rebate opportunities liquidity, of at least 250,000 ADV on perfecting the mechanism of a free and available at other venues to be more NYSE Tape A and less than 500,000 open market and a national market favorable. In such an environment, the ADV on the NYSE in Tape B and Tape system, and, in general, protecting Exchange must continually adjust its C securities combined during the billing investors and the public interest. The fees and rebates to remain competitive month is reasonable. The Exchange proposed change would not alter the with other exchanges and with believes that the proposed rate change application of any fees or rebates on the alternative trading systems that have will incentivize submission of Price List. As such, the proposed been exempted from compliance with additional liquidity in Tape B and Tape changes would foster cooperation and the statutory standards applicable to C securities to a public exchange, coordination with persons engaged in exchanges. Because competitors are free thereby promoting price discovery and facilitating transactions in securities and to modify their own fees and credits in transparency and enhancing order would remove impediments to and response, and because market execution opportunities for member perfect the mechanism of a free and participants may readily adjust their organizations. The Exchange also open market and a national exchange order routing practices, the Exchange believes that the proposed fee is system. In particular, the Exchange believes that the degree to which fee equitable because it would apply to all believes that the proposed change changes in this market may impose any similarly situated member organizations would provide greater clarity to burden on competition is extremely that add liquidity in Tape B or Tape C members and member organizations and limited. As a result of all of these securities. the public regarding the Exchange’s considerations, the Exchange does not The proposed fee also is equitable and Rules. It is in the public interest for believe that the proposed changes will not unfairly discriminatory because it impair the ability of member would be consistent with the applicable organizations or competing order 9 See https://www.nasdaqtrader.com/ rate on other marketplaces. For Trader.aspx?id=PSX_Pricing. execution venues to maintain their example, Nasdaq PSX provides a lower 10 See https://www.nasdaqtrader.com/ fee per share for removing liquidity, Trader.aspx?id=PriceListTrading2. 11 15 U.S.C. 78f(b)(8).

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competitive standing in the financial only one method. The Commission will DATES: The meeting will be held markets post all comments on the Commission’s November 5–6, 2018. Monday’s meeting internet website (http://www.sec.gov/ will run from 10 a.m. to 12 p.m., EST, C. Self-Regulatory Organization’s rules/sro.shtml). Copies of the while Tuesday’s meeting will run from Statement on Comments on the submission, all subsequent 8:30 a.m. to 12 p.m., EST. Proposed Rule Change Received From amendments, all written statements Members, Participants, or Others ADDRESSES: The meeting will be held at with respect to the proposed rule the Tennessee Valley Authority No written comments were solicited change that are filed with the Auditorium, 400 W. Summit Hill Drive, or received with respect to the proposed Commission, and all written Knoxville, Tennessee 37902. An rule change. communications relating to the individual requiring special III. Date of Effectiveness of the proposed rule change between the accommodation for a disability should Proposed Rule Change and Timing for Commission and any person, other than let the contact below know at least a Commission Action those that may be withheld from the week in advance. public in accordance with the FOR FURTHER INFORMATION CONTACT: The foregoing rule change is effective provisions of 5 U.S.C. 552, will be upon filing pursuant to Section Barbie Perdue, 865–632–6113, available for website viewing and [email protected]. 19(b)(3)(A) 12 of the Act and printing in the Commission’s Public 13 SUPPLEMENTARY INFORMATION: subparagraph (f)(2) of Rule 19b–4 Reference Room, 100 F Street NE, The thereunder, because it establishes a due, Washington, DC 20549 on official meeting agenda includes the following fee, or other charge imposed by the business days between the hours of items: Exchange. 10:00 a.m. and 3:00 p.m. Copies of the 1. Introductions At any time within 60 days of the filing also will be available for 2. Programmatic Agreements update filing of such proposed rule change, the inspection and copying at the principal 3. River Management presentation Commission summarily may office of the Exchange. All comments 4. Cultural Resource Management temporarily suspend such rule change if received will be posted without change. 5. Natural Resources program updates it appears to the Commission that such Persons submitting comments are 6. Public Comments action is necessary or appropriate in the cautioned that we do not redact or edit 7. Council Discussion and Advice public interest, for the protection of personal identifying information from The meeting is open to the public. investors, or otherwise in furtherance of comment submissions. You should Comments from the public will be the purposes of the Act. If the submit only information that you wish accepted Tuesday, November 6 starting Commission takes such action, the to make available publicly. All at 9:30 a.m., EST, for 60 minutes. Commission shall institute proceedings submissions should refer to File Registration to speak is from 8 a.m. to 14 under Section 19(b)(2)(B) of the Act to Number SR–NYSE–2018–49 and should 9 a.m., EST, at the door. TVA will set determine whether the proposed rule be submitted on or before November 13, time limits for providing oral comments, change should be approved or 2018. once registered. Handout materials disapproved. should be limited to one printed page. For the Commission, by the Division of IV. Solicitation of Comments Trading and Markets, pursuant to delegated Written comments may be sent to the 15 RRSC at any time through links on Interested persons are invited to authority. Eduardo A. Aleman, TVA’s website at www.tva.com/rrsc or submit written data, views, and by mailing to the Regional Resource Assistant Secretary. arguments concerning the foregoing, Stewardship Council, Tennessee Valley including whether the proposed rule [FR Doc. 2018–23039 Filed 10–22–18; 8:45 am] Authority, 400 West Summit Hill Drive, change is consistent with the Act. BILLING CODE 8011–01–P WT 9D, Knoxville, Tennessee 37902. Comments may be submitted by any of the following methods: Dated: October 17, 2018. TENNESSEE VALLEY AUTHORITY Joseph J. Hoagland, Electronic Comments Vice President, Enterprise Relations and • Use the Commission’s internet Meeting of the Regional Resource Innovation, Tennessee Valley Authority. comment form (http://www.sec.gov/ Stewardship Council [FR Doc. 2018–23105 Filed 10–22–18; 8:45 am] rules/sro.shtml); or BILLING CODE 8120–08–P • Send an email to rule-comments@ AGENCY: Tennessee Valley Authority sec.gov. Please include File Number SR– (TVA). NYSE–2018–49 on the subject line. ACTION: Notice of meeting. OFFICE OF THE UNITED STATES TRADE REPRESENTATIVE Paper Comments SUMMARY: The TVA Regional Resource • Send paper comments in triplicate Stewardship Council (RRSC) will hold a [Docket Number USTR–2018–0014; Dispute to Brent J. Fields, Secretary, Securities meeting on Monday and Tuesday, Number WT/DS546] and Exchange Commission, 100 F Street November 5–6, 2018, to consider various matters regarding River WTO Dispute Settlement Proceeding NE, Washington, DC 20549–1090. Regarding United States—Safeguard All submissions should refer to File Operations programs. The RRSC was established to advise Measure on Imports of Large Number SR–NYSE–2018–49. This file Residential Washers number should be included on the TVA on its natural resources and subject line if email is used. To help the stewardship activities and the priority AGENCY: Office of the United States Commission process and review your to be placed among competing Trade Representative. comments more efficiently, please use objectives and values. Notice of this ACTION: Notice with request for meeting is given under the Federal comments. 12 15 U.S.C. 78s(b)(3)(A). Advisory Committee Act (FACA). 13 17 CFR 240.19b–4(f)(2). SUMMARY: The Office of the United 14 15 U.S.C. 78s(b)(2)(B). 15 17 CFR 200.30–3(a)(12). States Trade Representative (USTR) is

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providing notice that the Republic of On August 14, 2018, Korea filed a business confidential. If you request Korea (Korea) has requested the request for the establishment a WTO business confidential treatment, you establishment of a dispute settlement dispute settlement panel. In its request must certify in writing that disclosure of panel under the Marrakesh Agreement for the establishment of a panel, Korea the information would endanger trade Establishing the World Trade alleges that the United States’ safeguard secrets or profitability, and that the Organization (WTO Agreement) action is inconsistent with Articles 1, information would not customarily be concerning the safeguard measure in 2.1, 2.2, 3.1, 3.2, 4.1, 4.2, 5.1, 7.1, 7.4, released to the public. Filers of effect on imports of large residential 8.1, 12.1, 12.2 and 12.3 of the submissions containing business washers. You can find that request at Agreement on Safeguards; and Articles confidential information also must www.wto.org in a document designated I:1, II, X:3 and XIX:1(a) of the General submit a public version of their as WT/DS546/4. USTR invites written Agreement on Tariffs and Trade 1994. comments. The file name of the public comments from the public concerning The WTO Dispute Settlement Body version should begin with the character the issues raised in this dispute. established a panel on September 26, ‘‘P’’. The ‘‘BC’’ and ‘‘P’’ should be DATES: Although USTR will accept any 2018. followed by the name of the person or comments during the course of the III. Public Comments: Requirements for entity submitting the comments or dispute settlement proceedings, you Submissions rebuttal comments. For alternatives to should submit your comment on or online submissions, please contact USTR invites written comments before November 15, 2018, to be assured Sandy McKinzy at (202) 395–9483 concerning the issues raised in this of timely consideration by USTR. before transmitting a comment and in dispute. All submissions must be in advance of the relevant deadline. ADDRESSES: USTR strongly prefers English and sent electronically via electronic submissions made the www.regulations.gov. USTR may determine that information Federal eRulemaking Portal: http:// To submit comments via or advice contained in a comment, other www.regulations.gov. Follow the www.regulations.gov, enter docket than business confidential information, instructions for submitting comments in number USTR–2018–0014 on the home is confidential in accordance with Section III below. The docket number is page and click ‘‘search.’’ The site will section 135(g)(2) of the Trade Act of USTR–2018–0014. For alternatives to provide a search-results page listing all 1974 (19 U.S.C. 2155(g)(2)). If a online submissions, please contact documents associated with this docket. submitter believes that information or Sandy McKinzy at (202) 395–9483 Find a reference to this notice by advice is confidential, s/he must clearly before transmitting a comment and in selecting ‘‘notice’’ under ‘‘document designate the information or advice as advance of the relevant deadline. type’’ on the left side of the search- confidential and mark it as FOR FURTHER INFORMATION CONTACT: results page, and click on the link ‘‘SUBMITTED IN CONFIDENCE’’ at the Assistant General Counsel Juli entitled ‘‘comment now!’’ For further top and bottom of the cover page and Schwartz, (202) 395–9588. information on using the each succeeding page, and provide a non-confidential summary of the SUPPLEMENTARY INFORMATION: www.regulations.gov website, please consult the resources provided on the information or advice. I. Background website by clicking on ‘‘How to Use Pursuant to Section 127(e) of the Section 127(b)(1) of the Uruguay Regulations.gov’’ on the bottom of the URAA (19 U.S.C. 3537(e)), USTR will Round Agreements Act (URAA) (19 home page. maintain a docket on this dispute U.S.C. 3537(b)(1)) requires notice and The www.regulations.gov website settlement proceeding, docket number opportunity for comment after the allows users to provide comments by USTR–2018–0014, accessible to the United States submits or receives a filling in a ‘‘type comment’’ field, or by public at www.regulations.gov. The request for the establishment of a WTO attaching a document using an ‘‘upload public file will include non-confidential dispute settlement panel. Pursuant to file’’ field. USTR prefers that comments public comments USTR receives this provision, USTR is providing notice be provided in an attached document. If regarding the dispute. If a dispute that Korea has requested a dispute you attach a document, it is sufficient to settlement panel is convened, or in the settlement panel pursuant to the WTO type ‘‘see attached’’ in the ‘‘type event of an appeal from a panel, USTR Understanding on Rules Procedures comment’’ field. USTR prefers will make the following documents Governing the Settlement of Disputes submissions in Microsoft Word (.doc) or publicly available at www.ustr.gov: The (DSU). The panel will hold its meetings Adobe Acrobat (.pdf). If the submission U.S. submissions and any non- in Geneva, Switzerland. is in an application other than those confidential summaries of submissions two, please indicate the name of the received from other participants in the II. Major Issues Raised by Korea application in the ‘‘type comment’’ dispute. If a dispute settlement panel is On May 14, 2018, Korea requested field. convened, or in the event of an appeal consultations concerning the safeguard For any comments submitted from a panel, the report of the panel, measure in effect pursuant to electronically containing business and, if applicable, the report of the Proclamation 9594 of January 23, confidential information, the file name Appellate Body, will also be available 2018—To Facilitate a Positive of the business confidential version on the website of the World Trade Adjustment to Competition from should begin with the characters ‘‘BC’’. Organization, at www.wto.org. Imports of Large Residential Washers Any page containing business (83 FR 3553, January 25, 2018). You can confidential information must be clearly Juan Millan, find the consultation request at marked ‘‘BUSINESS CONFIDENTIAL’’ Assistant United States Trade Representative www.wto.org in a document designated on the top and bottom of that page and for Monitoring and Enforcement, Office of as WT/DS546/1. Korea and the United the submission should clearly indicate, the U.S. Trade Representative. States held consultations on June 26, via brackets, highlighting, or other [FR Doc. 2018–23055 Filed 10–22–18; 8:45 am] 2018. means, the specific information that is BILLING CODE 3290–F9–P

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DEPARTMENT OF TRANSPORTATION maintain records of the first purchasers purchasing a new tire from an of new tires. To carry out this mandate, independent tire dealer. National Highway Traffic Safety 49 CFR part 574, Tire Identification and Affected Public: New tire dealers, new Administration Recordkeeping, requires tire dealers and tire distributors, and consumers of new [Docket No. DOT–NHTSA–2018–0091] distributors to record the names and tires. addresses of retail purchasers of new Estimated Number of Respondents: 10 Notice of Agency Information tires and the identification numbers(s) million. Collection and Request for Comments of the tires sold. A specific form is Frequency: once. provided to tire dealers and distributors AGENCY: National Highway Traffic by tire manufacturers for recording this Number of Responses: 54,000,000. Safety Administration (NHTSA), U.S. information. The completed forms are Estimated Total Annual Burden Department of Transportation (DOT). returned to the tire manufacturers where Hours: 250,000. ACTION: Notice and request for they are retained for not less than five The total tire registration hours are comments. years. Part 574 requires independent tire estimated assuming 45 seconds or SUMMARY: The U.S. Department of dealers and distributors to provide a 0.0125 hours per tire sale to record Transportation (DOT) invites public registration form to consumers with the information and that each form registers × comments about our intention to request tire identification number(s) already three tires, on average. (0.0125 the Office of Management and Budget recorded and information identifying (54,000,000/3) = 225,000 hours). (OMB) approval to renew an the dealer/distributor. The consumer The estimated burden is as follows: can then record his/her name and information collection. Before a Federal New tire dealers and distributors: address and return the form to the tire agency can collect certain information 59,000. from the public, it must receive manufacturer via U.S. mail, or Consumers: 10,000,000. approval from the Office of Management alternatively, the consumer can provide and Budget (OMB). Under procedures this information electronically on the Total tire registrations (manual): established by the Paperwork Reduction tire manufacturer’s website if the tire 54,000,000. Act of 1995, before seeking OMB manufacturer provides this capability. Total tire registration hours (manual): approval, Federal agencies must solicit Additionally, motor vehicle 225,000. public comment on proposed manufacturers are required to record the Recordkeeping hours (manual): collections of information, including names and addresses of the first 25,000. purchasers (for purposes other than extensions and reinstatement of Total annual tire registration and resale), together with the identification previously approved collections. recordkeeping hours: 250,000. DATES: numbers of the tires on the new vehicle, Written comments should be Estimated Total Annual Burden Cost: submitted by December 24, 2018. and retain this information for not less than five years. $6,085,000. ADDRESSES: You may submit comments The monetized cost associated with identified by Docket No. DOT–NHTSA– The information is used by a tire the total burden hours, using a labor rate 2018–0091 through one of the following manufacturer after it or the agency of $24.34 per hour,1 is $6,085,000. methods: determines that some of its tires either ($24.34/hour × 250,000 hours = • Federal eRulemaking Portal: http:// fail to comply with an applicable safety $6,085,000). It was previously www.regulations.gov. Follow the online standard or contain a safety related calculated using a labor rate of $20 per instructions for submitting comments. defect. With the information, the tire hour. ($20.00/hour × 250,000 hours = • Fax: 1–202–493–2251. manufacturer can notify the first $5,000,000). Therefore, the monetized • Mail or Hand Delivery: Docket purchaser of the tire and provide them cost associated with the total burden Management Facility, U.S. Department with any necessary information or hours in this renewal application is of Transportation, 1200 New Jersey instructions to remedy the non- $1,085,000 more than the previous Avenue SE, West Building, Room W12– compliance situation or safety defect. estimate. ($6,085,000¥$5,000,000 = 140, Washington, DC 20590, between 9 Without this information, efforts to $1,085,000). a.m. and 5 p.m., Monday through identify the first purchaser of tires that Friday, except on Federal holidays. have been determined to be defective or Public Comments Invited: You are FOR FURTHER INFORMATION CONTACT: nonconforming pursuant to Sections asked to comment on any aspect of this Lisandra Garay-Vega, Office of Crash 30118 and 30119 of Title 49 U.S.C. information collection, including (a) Avoidance Standards (NRM–220), (202) would be impeded. Further, the ability Whether the proposed collection of 366–5274, National Highway Traffic of the purchasers to take appropriate information is necessary for the Safety Administration, W43–312, action in the interest of motor vehicle Department’s performance; (b) the Department of Transportation, 1200 safety may be compromised. We accuracy of the estimated burden; (c) New Jersey Avenue SE, Washington, DC estimate that the collection of ways for the Department to enhance the 20590, Please identify the relevant information affects 10 million quality, utility and clarity of the collection of information by referring to respondents annually. This group information collection; and (d) ways its OMB Control Number. consists of approximately 20 tire that the burden could be minimized without reducing the quality of the SUPPLEMENTARY INFORMATION: manufacturers, 59,000 new tire dealers collected information. The agency will Title: 49 CFR part 574, Tire and distributors, and 10 million consumers who choose to register their summarize and/or include your Identification and Recordkeeping. comments in the request for OMB’s OMB Control Number: 2127–0050. tire purchases with tire manufacturers. clearance of this information collection. Type of Request: Extension of a A response is required by motor vehicle currently approved collection of manufacturers upon each sale of a new vehicle and by non-independent tire 1 The median hourly rate among all occupations, information. May 2017, according to the Bureau of Labor Abstract: 49 U.S.C. 30117(b) requires dealers with the sale of a new tire. A Statistics, see https://www.bls.gov/oes/current/oes_ each tire manufacturer to collect and consumer may elect to respond when nat.htm#00–0000

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Authority: The Paperwork Reduction Act DATES: Written comments should be income tax return. Pre-CAP and CAP of 1995, 44 U.S.C. Chapter 35; and delegation received on or before December 24, 2018 Application Form (Form 14234): The of authority at 49 CFR 1.95 and 501.8. to be assured of consideration. Compliance Assurance Process (CAP) is Raymond R. Posten, ADDRESSES: Direct all written comments a strictly voluntary program available to Associate Administrator for Rulemaking. to Laurie Brimmer, Internal Revenue Large Business and International (LB&I) [FR Doc. 2018–23046 Filed 10–22–18; 8:45 am] Service, room 6529, 1111 Constitution Division taxpayers that meet the selection criteria. CAP is a real-time BILLING CODE 4910–59–P Avenue NW, Washington, DC 20224. Please send separate comments for each review of completed business specific information collection listed transactions during the CAP year with below. You must reference the the goal of providing certainty of the tax DEPARTMENT OF THE TREASURY information collection’s title, form return within 90 days of the filing. number, reporting or record-keeping Taxpayers in CAP are required to be Internal Revenue Service requirement number, and OMB number cooperative and transparent and report (if any) in your comment. all material issues and items related to Proposed Collection; Comment FOR FURTHER INFORMATION CONTACT: completed business transactions to the Request on Information Collection for review team. Form 8886, Reportable Transaction Requests for additional information or copies of the collection tools should be Current Actions: There are no changes Disclosure Statement; Form 14234, to the information collection. Pre-CAP and CAP Application Form directed to Alissa Berry, at (901) 707– 4988, at Internal Revenue Service, Room Type of Review: Extension without AGENCY: Internal Revenue Service (IRS), 6529, 1111 Constitution Avenue NW, change of a currently approved Treasury. Washington, DC 20224, or through the collection. Affected Public: Business or other for- ACTION: Notice and request for internet at [email protected]. profit organizations. comments. SUPPLEMENTARY INFORMATION: Currently, the IRS is seeking comments concerning Taxpayer Burden: SUMMARY: The Internal Revenue Service, the following information collection Form 8886: as part of its continuing effort to reduce tools, reporting, and record-keeping Estimated Number of Respondents: paperwork and respondent burden, requirements: 42,409. invites the general public and other Title: Reportable Transaction Estimated Time per Respondent: 21 Federal agencies to take this Disclosure Statement; Pre-CAP and CAP hours 33 minutes. opportunity to comment on proposed Application Form. Estimated Total Annual Burden and/or continuing information OMB Number: 1545–1800. Hours: 913,490. collections, as required by the Form Numbers: Form 8886 and Form Form 14234: Paperwork Reduction Act of 1995. 14234. Estimated Number of Respondents: Currently, the IRS is soliciting Abstract: Form 8886: Regulations 169. comments concerning Form 8886, section 1.6011–4 provides that certain Estimated Time per Response: 12 Reportable Transaction Disclosure taxpayers must disclose their direct or hours 40 minutes. Statement; Form 14234, Pre-CAP and indirect participation in reportable Estimated Total Annual Burden CAP Application Form. transactions when they file their Federal Hours: 2,141.

Number of Form responses Hours per response Total hours

Form 8886 ...... 42,409 21 Hours 33 minutes ...... 913,490 Form 14234 ...... 169 12 Hours 40 minutes ...... 2,141

Totals ...... 42,578 ...... 915,631

The following paragraph applies to all public record. Comments are invited on: Approved: October 18, 2018. of the collections of information covered (a) Whether the collection of Laurie Brimmer, by this notice: information is necessary for the proper Senior Tax Analyst. An agency may not conduct or performance of the functions of the [FR Doc. 2018–23108 Filed 10–22–18; 8:45 am] sponsor, and a person is not required to agency, including whether the BILLING CODE 4830–01–P respond to, a collection of information information shall have practical utility; unless the collection of information (b) the accuracy of the agency’s estimate displays a valid OMB control number. of the burden of the collection of DEPARTMENT OF THE TREASURY Books or records relating to a collection information; (c) ways to enhance the Internal Revenue Service of information must be retained as long quality, utility, and clarity of the as their contents may become material information to be collected; (d) ways to Proposed Collection; Comment in the administration of any internal minimize the burden of the collection of Request on Information Collection for revenue law. Generally, tax returns and information on respondents, including Revenue Procedure 2015–13 tax return information are confidential, through the use of automated collection (Previously Revenue Procedure 97–27) as required by 26 U.S.C. 6103. techniques or other forms of information Request for Comments: Comments technology; and (e) estimates of capital AGENCY: Internal Revenue Service (IRS), submitted in response to this notice will or start-up costs and costs of operation, Treasury. be summarized and/or included in the maintenance, and purchase of services ACTION: Notice and request for request for OMB approval. All to provide information. comments. comments will become a matter of

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SUMMARY: The Internal Revenue Service, Type of Review: Extension without SUMMARY: The Internal Revenue Service, as part of its continuing effort to reduce change of a currently approved as part of its continuing effort to reduce paperwork and respondent burden, collection. paperwork and respondent burden, invites the general public and other Affected Public: Business or other for- invites the general public and other Federal agencies to take this profit organizations. Federal agencies to take this opportunity to comment on proposed Estimated Number of Respondents: opportunity to comment on proposed and/or continuing information 11,758. and/or continuing information collections, as required by the Estimated Time per Respondent: 1.58 collections, as required by the Paperwork Reduction Act of 1995. hours. Paperwork Reduction Act of 1995. Currently, the IRS is soliciting Estimated Total Annual Burden Currently, the IRS is soliciting comments concerning Revenue Hours: 18,553. comments concerning Form 8882, Procedure 2015–13, Changes in The following paragraph applies to all Credit for Employer-Provided Child Accounting Periods and in Methods of of the collections of information covered Care Facilities and Services. Accounting. Previously Revenue by this notice: DATES: Written comments should be Procedure 97–27. An agency may not conduct or received on or before December 24, 2018 sponsor, and a person is not required to DATES: Written comments should be to be assured of consideration. respond to, a collection of information received on or before December 24, 2018 ADDRESSES: Direct all written comments unless the collection of information to be assured of consideration. to Laurie Brimmer, Internal Revenue displays a valid OMB control number. Service, Room 6529, 1111 Constitution ADDRESSES: Direct all written comments Books or records relating to a collection Avenue NW, Washington, DC 20224. to Laurie Brimmer, Internal Revenue of information must be retained as long Service, Room 6529, 1111 Constitution as their contents may become material FOR FURTHER INFORMATION CONTACT: Avenue NW, Washington, DC 20224. in the administration of any internal Requests for additional information or Please send separate comments for each revenue law. Generally, tax returns and copies of the form and instructions specific information collection listed tax return information are confidential, should be directed to Charles G. Daniel below. You must reference the as required by 26 U.S.C. 6103. at (202) 317 5754, at Internal Revenue information collection’s title, form Request for Comments: Comments Service, room 6529, 1111 Constitution number, reporting or record-keeping submitted in response to this notice will Avenue NW, Washington, DC 20224, or requirement number, and OMB number be summarized and/or included in the through the internet, at (if any) in your comment. request for OMB approval. All [email protected]. SUPPLEMENTARY INFORMATION: FOR FURTHER INFORMATION CONTACT: comments will become a matter of Title: Credit for Employer-Provided Requests for additional information or public record. Comments are invited on: Child Care Facilities and Services. copies of the collection tools should be (a) Whether the collection of OMB Number: 1545–1809. directed to Alissa Berry, at (901) 707– information is necessary for the proper performance of the functions of the Form Number: 8882. 4988, at Internal Revenue Service, Room Abstract: Qualified employers use 6529, 1111 Constitution Avenue NW, agency, including whether the information shall have practical utility; Form 8882 to request a credit for Washington, DC 20224, or through the employer-provided child care facilities internet at [email protected]. (b) the accuracy of the agency’s estimate of the burden of the collection of and services. Section 45F provides SUPPLEMENTARY INFORMATION: Currently, information; (c) ways to enhance the credit based on costs incurred by an the IRS is seeking comments concerning quality, utility, and clarity of the employer in providing child care the following information collection information to be collected; (d) ways to facilities and resource and referral tools, reporting, and record-keeping minimize the burden of the collection of services. The credit is 25% of the requirements: information on respondents, including qualified child care expenditures plus Title: Changes in Accounting Periods through the use of automated collection 10% of the qualified child care resource and in Methods of Accounting. techniques or other forms of information and referral expenditures for the tax OMB Number: 1545–1541. technology; and (e) estimates of capital year, up to a maximum credit of Revenue Procedure: 2015–13. or start-up costs and costs of operation, $150,000 per tax year. Current Actions: There are no changes Abstract: The information contained maintenance, and purchase of services to provide information. being made to the form at this time. in this revenue procedure provides the Type of Review: Extension of a general procedures to obtain the Approved: October 17, 2018. currently approved collection. advance (non-automatic) consent of the Laurie Brimmer, Affected Public: Businesses and other Commissioner to change a method of Senior Tax Analyst. for-profit organizations, and accounting and provides the procedures [FR Doc. 2018–23122 Filed 10–22–18; 8:45 am] individuals. to obtain the automatic consent of the BILLING CODE 4830–01–P Estimated Number of Responses: 286. Commissioner to change a method of Estimated Time per Response: 3 accounting. hours, 41 minutes. Current Actions: There are no changes DEPARTMENT OF THE TREASURY Estimated Total Annual Burden to the information collection or Total Hours: 1,053. Estimated Annual Burden Hours. Internal Revenue Service The following paragraph applies to all However, the Number of Respondents of the collections of information covered and Estimated Time per Respondent Proposed Collection; Comment by this notice: have been adjusted to correctly reflect Request for Form 8882 An agency may not conduct or the burden attributable to the AGENCY: Internal Revenue Service (IRS), sponsor, and a person is not required to procedural rules in Revenue Procedure Treasury. respond to, a collection of information 2011–14 and its earlier superseded unless the collection of information ACTION: Notice and request for revenue procedures that have been displays a valid OMB control number. comments. moved to Revenue Procedure 2015–13. Books or records relating to a collection

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of information must be retained as long Approved: October 17, 2018. SUPPLEMENTARY INFORMATION: Notice is as their contents may become material Laurie Brimmer, hereby given pursuant to Section in the administration of any internal Senior Tax Analyst. 10(a)(2) of the Federal Advisory revenue law. Generally, tax returns and [FR Doc. 2018–23111 Filed 10–22–18; 8:45 am] Committee Act, 5 U.S.C. App. (1988) tax return information are confidential, BILLING CODE 4830–01–P that a meeting of the Taxpayer as required by 26 U.S.C. 6103. Advocacy Panel Notices and Correspondence Project Committee will Request for Comments: Comments DEPARTMENT OF THE TREASURY be held Thursday, November 8, 2018, at submitted in response to this notice will 1:00 p.m. Eastern Time via be summarized and/or included in the Internal Revenue Service teleconference. The public is invited to request for OMB approval. All make oral comments or submit written comments will become a matter of Open Meeting of the Taxpayer statements for consideration. Due to public record. Comments are invited on: Advocacy Panel Notices and limited conference lines, notification of (a) Whether the collection of Correspondence Project Committee; intent to participate must be made with Correction information is necessary for the proper Otis Simpson. For more information performance of the functions of the AGENCY: Internal Revenue Service (IRS) please contact Otis Simpson at 1–888– agency, including whether the Treasury. 912–1227 or 202–317–3332, or write information shall have practical utility; ACTION: Notice of meeting; correction. TAP Office, 1111 Constitution Ave. NW, (b) the accuracy of the agency’s estimate Room 1509, Washington, DC 20224 or of the burden of the collection of SUMMARY: In the Federal Register notice contact us at the website: http:// information; (c) ways to enhance the that was originally published on www.improveirs.org. The agenda will quality, utility, and clarity of the October 11, 2018, (Volume 83, Number include various IRS issues. 197, Page 51565) the Point of Contact information to be collected; (d) ways to The agenda will include a discussion information was changed from Gregory minimize the burden of the collection of on various letters, and other issues Giles, 240–613–6478 to (202) 317–3332, information on respondents, including related to written communications from Otis Simpson. All meeting details through the use of automated collection the IRS. remain the unchanged. techniques or other forms of information DATES: Dated: October 15, 2018. technology; and (e) estimates of capital The meeting will be held Thursday, November 8, 2018. Kevin Brown, or start-up costs and costs of operation, Acting Director, Taxpayer Advocacy Panel. maintenance, and purchase of services FOR FURTHER INFORMATION CONTACT: Otis [FR Doc. 2018–23030 Filed 10–22–18; 8:45 am] to provide information. Simpson at 1–888–912–1227 or 202– 317–3332. BILLING CODE 4830–01–P

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Part II

Department of Labor

Employee Benefits Security Administration 29 CFR Part 2510 Definition of ‘‘Employer’’ Under Section 3(5) of ERISA—Association Retirement Plans and Other Multiple-Employer Plans; Proposed Rule

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DEPARTMENT OF LABOR • Federal eRulemaking Portal: http:// plan.2 The percentage of private-sector www.regulations.gov. Follow the workers without access to a workplace Employee Benefits Security instructions for submitting comments. retirement plan increases to 32 percent Administration • Mail: Office of Regulations and when part-time workers are included.3 Interpretations, Employee Benefits Small businesses are less likely to 29 CFR Part 2510 Security Administration, Room N–5655, offer retirement benefits. In 2018, U.S. Department of Labor, 200 approximately 85 percent of workers at RIN 1210–AB88 Constitution Ave. NW, Washington, DC private-sector establishments with 100 20210, Attention: Definition of or more workers were offered a Definition of ‘‘Employer’’ Under Section Employer—MEPs RIN 1210–AB88. retirement plan. In contrast, only 53 3(5) of ERISA—Association Retirement Instructions: All submissions must percent of workers at private-sector Plans and Other Multiple-Employer include the agency name and Regulatory establishments with fewer than 100 4 Plans Identifier Number (RIN) for this workers had access to such plans. rulemaking. If you submit comments Contingent or temporary workers are AGENCY: Employee Benefits Security electronically, do not submit paper less likely to have access to a workplace Administration, Department of Labor. copies. Comments will be available to retirement plan than those who are 5 ACTION: Proposed rule. the public, without charge, online at traditionally employed. Access to an http://www.regulations.gov and http:// employment-based retirement plan is SUMMARY: The Department of Labor www.dol.gov/agencies/ebsa and at the critical to the financial security of aging proposes a regulation under title 29 of Public Disclosure Room, Employee workers. Among workers who do not the Code of Federal Regulations to Benefits Security Administration, Suite have access to a workplace retirement expand access to affordable quality N–1513, 200 Constitution Ave., NW, plan, only about 13 percent regularly retirement saving options by clarifying Washington, DC, 20210. contribute to individual retirement the circumstances under which an accounts, commonly called IRAs.6 Warning: Do not include any employer group or association or a Regulatory complexity discourages personally identifiable or confidential professional employer organization employers—especially small business information that you do not (PEO) may sponsor a workplace businesses—from offering workplace want publicly disclosed. Comments are retirement plan. In particular, the retirement plans for their employees. public records posted on the internet as proposed regulation clarifies that Establishing and maintaining a plan is received and can be retrieved by most employer groups or associations and expensive for small businesses. A internet search engines. PEOs can, when satisfying certain survey by the Pew Charitable Trusts criteria, constitute ‘‘employers’’ within FOR FURTHER INFORMATION CONTACT: found that only 53 percent of small-to the meaning of section 3(5) of ERISA for Mara S. Blumenthal, Office of mid-sized businesses offer a retirement purposes of establishing or maintaining Regulations and Interpretations, plan; 37 percent of those not offering a an individual account ‘‘employee Employee Benefits Security plan cited cost as a reason.7 Employers pension benefit plan’’ within the Administration, (202) 693–8500. This is meaning of ERISA section 3(2). As an not a toll-free number. 2 U.S. Bureau of Labor Statistics, National Compensation Survey: Employee Benefits in the ‘‘employer,’’ a group or association can SUPPLEMENTARY INFORMATION: United States, March 2018 at Table 2 (entitled sponsor a defined contribution A. Overview and Purpose of Regulatory Retirement Benefits: Access, Participation and retirement plan for its members, as can Take-up rates, Private Industry Workers). The a PEO sponsor a plan for client Action survey is available at (www.bls.gov/ncs/ebs/ benefits/2018/employee-benefits-in-the-united- employers (collectively referred to as Expanding access to workplace states-march-2018.pdf). ‘‘MEPs’’ unless otherwise specified). retirement plans is critical to helping 3 Id. The proposed regulation would allow more American workers financially 4 Id. different businesses to join a MEP, prepare to retire. Approximately 38 5 See U.S. Bureau of Labor Statistics, Contingent either through a group or association or million private-sector employees in the and Alternative Employment Arrangements—May 2017. See also Copeland, Employee Benefit through a PEO. The proposal would also United States do not have access to a Research Institute, Employment-Based Retirement permit certain working owners without retirement plan through their Plan Participation: Geographic Differences and employees to participate in a MEP employers.1 According to the U.S. Trends, 2013, (October 2014); U.S. Government Accountability Office, Contingent Workforce: Size, sponsored by a group or association. Bureau of Labor Statistics, 23 percent of Characteristics, Earnings, and Benefits, April 20, The proposal would primarily affect all private-sector, full-time workers have 2015; U.S. Gov’t Accountability Office, GAO–15– groups or associations of employers, no access to a workplace retirement 566, RETIREMENT SECURITY—Federal Action PEOs, plan participants, and plan Could Help State Efforts to Expand Private Sector Coverage (Sept. 2015) (www.gao.gov/assets/680/ beneficiaries. The proposal would not 1 This number was estimated by the U.S. 672419.pdf). affect whether groups, associations, or Department of Labor’s Employee Benefits Security 6 The Department calculated this using Survey of PEOs assume joint-employment Administration using statistics from the U.S. Income and Program Participation 2008 Panel Data relationships with member-employers Bureau of Labor Statistics, National Compensation Waves 10 and 11. Survey: Employee Benefits in the United States, 7 The Pew Charitable Trusts, Employer Barriers to or client employers. But the proposal March 2018 (www.bls.gov/ncs/ebs/benefits/2018/ and Motivations for Offering Retirement Benefits, may affect banks, insurance companies, employee-benefits-in-the-united-states-march- (June 2017) (http://www.pewtrusts.org/-/media/ securities broker-dealers, record 2018.pdf). According to Table 2 (entitled assets/2017/09/employer_barriers_to_and_ keepers, and other commercial Retirement Benefits: Access, Participation and motivations.pdf) (‘‘Most commonly, employers Take-up rates, Private Industry Workers) of this without plans said that starting a retirement plan is enterprises that provide retirement-plan survey, approximately 68% of private-sector too expensive to set up (37 percent). Another 22 products and services. industry workers have access to retirement benefits percent cited a lack of administrative resources. In through their employers in 2018. According to focus groups, some business representatives said DATES: Comments are due by December Appendix Table 2, the survey represents their mix of workers—especially if they included 24, 2018. approximately 118.1 million workers in 2018. Thus, low-wage or short-term employees—translated into ADDRESSES: You may submit written the number of private industry workers without limited employee interest in or demand for access to retirement plans through their employers retirement benefits. But in the survey, only 17 comments, identified by RIN 1210– is estimated to be approximately 38 million percent cited lack of employee interest as the main AB88, by one of the following methods: ((100%¥68%) × 118.1 million). reason they did not offer a plan.’’).

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often cite annual reporting costs and conditions of the proposal below, would these groups and associations view the exposure to potential fiduciary liability constitute a single employee benefit Department’s current interpretive as major impediments to plan plan for purposes of title I of ERISA. position in subregulatory interpretive sponsorship.8 Consequently, the MEP sponsor —and rulings, regarding the extent to which MEPs thus have the potential to not the participating employers—would these entities may be considered broaden the availability of workplace generally be responsible, as plan ‘‘employers’’ to sponsor a benefit plan, retirement plans, especially among administrator, for compliance with the as overly restrictive. Certain groups and small employers.9 MEPs are a structure requirements of title I of ERISA, associations may view the current under which different businesses can including reporting, disclosure, and position in subregulatory interpretive adopt a single retirement plan. Pooling fiduciary obligations. This is so because rulings as an undue impediment to resources in this way can be an efficient the individual employers would not greater sponsorship of retirement plans, way not only to reduce costs but also to each have to act as plan administrators in the same way that certain groups and encourage more plan formation. For under ERISA section 3(16) or as named associations viewed the Department’s example, investment companies often fiduciaries under section 402 of ERISA. guidance for health plans prior to the charge lower fund fees for plans with Under the Department’s proposal, an AHP Rule. Likewise, we understand an greater asset accumulations. And employer group or association or PEO active PEO industry already exists and because MEPs facilitate the pooling of would be acting as the ‘‘employer’’ that its members, much like employer plan participants and assets in one large sponsoring the plan within the meaning groups and associations, offer or would plan, rather than many small plans, they of section 3(5) of ERISA. This means like to offer MEPs to their clients. At enable small businesses to give their that, typically, the employer group or least some PEOs may be discouraged employees access to the same low-cost association or PEO would act as a plan from doing so by a lack of clear funds as large employers offer. administrator and named fiduciary and, standards, to the detriment of For a small business, in particular, a thus, would assume most fiduciary employers, especially small employers. MEP may present an attractive responsibilities. A MEP under this Federal policy makers across the alternative to taking on the proposal would be subject to all of the spectrum are increasingly focusing on responsibilities of sponsoring or ERISA provisions applicable to defined the potential for MEPs to help America’s administering its own plan. The MEP contribution retirement plans, including workers. The Department is cognizant of structure can reduce the employer’s cost the fiduciary responsibility and Congress’s efforts to promote MEPs of sponsoring a benefit plan and prohibited transaction provisions in title through legislation.10 The President, effectively transfer substantial legal risk I of ERISA. As a plan that is maintained too, has declared it the policy of the to professional fiduciaries responsible by more than one employer, the MEP Executive Branch to ‘‘[e]xpand[ ] access for the management of the plan. would have to satisfy the requirements to multiple employer plans . . . [as] an Although employers would retain some of section 210 (a) of ERISA. efficient way to reduce administrative fiduciary responsibility for choosing B. The Need for Reform costs of retirement plan establishment and monitoring the arrangement and and maintenance and [to] encourage forwarding required contributions to the Workers have limited tax-favored options to save for retirement beyond more plan formation and broader MEP, the employer could keep more of availability of workplace retirement its day-to-day focus on managing its workplace plans. IRAs are not comparable to workplace retirement plans, especially among small business, rather than on its plan. employers.’’ 11 Under the proposal here, an employer savings options. As compared to IRAs, the advantages to employees of ERISA- generally would be required to execute 10 In both the 114th and 115th Congress, a a participation agreement or similar protected retirement plans include: (1) number of mostly bipartisan legislative proposals instrument that lays out the rights and Higher contribution limits; (2) generally have been introduced encouraging the creation of obligations of the MEP sponsor and the lower investment management fees as MEPs. In the 115th Congress alone, the following the size of plan assets increases; (3) a eight bills have been introduced: H.R. 854, the participating employer before ‘‘Retirement Security for American Workers Act,’’ participating. But these employers well-established uniform regulatory sponsored by Rep. Vern Buchanan and five would not be viewed as sponsoring their structure with important consumer bipartisan cosponsors on Feb. 3, 2017, its Senate own separate, individual plans under protections, including fiduciary companion bill, S. 1383, the ‘‘Retirement Security ERISA. Rather, the MEP, if meeting the obligations, recordkeeping and Act,’’ sponsored by Sens. Susan Collins (R–ME) and disclosure requirements, legal Bill Nelson (D–FL) on June 6, 2017; .H.R. 4523, the ‘‘Automatic Retirement Act of 2017,’’ sponsored by 8 See U.S. Gov’t Accountability Office, GAO–12– accountability provisions, and spousal Rep. Richard Neal (D–MA) on Dec. 8, 2017; H.R. 326, Private Pensions Better Agency Coordination protections; (4) automatic enrollment; 4637, the ‘‘Small Businesses Add Value Act of Could Help Small Employers Address Challenges to and (5) stronger protections from 2017’’ (SAVE Act), sponsored by Reps. Ron Kind Plan Sponsorship (March 2012) 18–19, https:// creditors. At the same time, workplace (D–WI) and Dave Reichert (R–WA) on Dec. 13, www.gao.gov/products/GAO-12-326. 2017; S. 2526/H.R. 5282, the bipartisan bill, the 9 Two other types of pension arrangements share retirement plans provide employers ‘‘Retirement Enhancement and Savings Act of features of MEPs, but are not the focus of this with choice among plan features and the 2018’’ (RESA), sponsored, respectively by Senate proposal. A ‘‘multiemployer plan’’ as defined in flexibility to tailor retirement plans that Finance Committee Chairman Orrin Hatch (R–UT) ERISA section 3(37) is a plan to which more than meet their business and employment and Ranking Member Ron Wyden (D–OR) on March one employer is required to contribute and which 9, 2018, and Rep. Mike Kelly (R–PA) and 76 is maintained pursuant to one or more collective needs. cosponsors (as of Sept. 19) on March 14, 2018; S. bargaining agreements between one or more Although many MEPs already exist, 3219, The ‘‘Small Business Employees Retirement employee organizations and more than one there are reasons why they are not more Enhancement Act, ’’ introduced by Sens. Tom employer. There are also Pre-approved Plans, which widely available. The Department Cotton (R–AR), Todd Young (R–IN), Heidi are plans that are made available by providers for Heitkamp (D–ND), and Cory Booker (D–NJ) on July adoption by employers. See Rev. Proc. 2017–41, knows from the ‘‘association health 17, 2018; and H.R. 6757, the ‘‘Family Savings Act 2017–29 IRB 92. A plan that uses a Pre-approved plan’’ rulemaking process (AHP Rule), 2018,’’ introduced on Sept. 10, 2018, by Rep. Plan document may either be a single-employer for instance, that many employer groups Rodney Davis (R–IL) and 29 cosponsors . H.R. 6757 plan or a MEP. With respect to single-employer Pre- and associations already exist and have was passed by the House of Representatives on approved Plans, providers often offer services Sept. 27, 2018, and referred to the Senate Finance relating to central administration and may pool the an expressed interest in providing Committee on Sept. 28, 2018, for consideration. assets of different plans into a central investment access to employee benefits to their 11 Executive Order 13847 (83 FR 45321) (Sept. 6, fund. members. We understand that several of 2018).

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The Department’s proposal differs in workplace retirement plans for retirement savings over a career.14 The significant ways from several legislative American workers.’’ The Executive GAO, for instance, has determined that proposals introduced in Congress. For Order directed the Secretary of Labor to ‘‘participants in smaller plans typically one thing, the Department’s proposal is examine policies that would: (1) Clarify pay higher fees than participants in more limited because it relies solely on and expand the circumstances under larger plans.’’ 15 GAO has emphasized the Department’s authority to which U.S. employers, especially small the need for small businesses ‘‘to promulgate regulations administering and mid-sized businesses, may sponsor understand plan fees in order to help title I of ERISA. Unlike the Department, or adopt a MEP as a workplace participants secure adequate retirement Congress has authority to make statutory retirement savings option for their savings.’’ 16 changes to ERISA and other areas of law employees, subject to appropriate The Department acknowledges that that govern retirement savings, such as safeguards; and (2) increase retirement the term ‘‘multiple employer plan’’ is the Internal Revenue Code (Code). security for part-time workers, sole used to refer to different kinds of The Department does, however, have proprietors, working owners, and other employee-benefit arrangements. This authority to interpret the statutes it entrepreneurial workers with non- proposal, however, addresses only two administers, and it believes that a traditional employer-employee kinds of arrangements: Sponsorship of a regulation clarifying the meaning of the relationships by expanding their access MEP plan by either a group or statutory term ‘‘employer,’’ 29 U.S.C. to workplace retirement savings plans, association of employers or by a PEO. 1003(a)(1), will ensure that statutory including MEPs. The Executive Order The proposed regulation sets forth the term is a clear legal standard for the use further directed, to the extent consistent circumstances in which a group or of MEPs under title I of ERISA. The with applicable law and the policy of association or a PEO is appropriately Department had previously issued the Executive Order, that the treated, within the meaning of ERISA subregulatory guidance interpreting this Department consider within 180 days of section 3(5), as an ‘‘employer’’ in provision that took a narrow view of the the date of the Executive Order whether sponsoring an employee benefit plan for circumstances under which a group or to issue a notice of proposed participating employers and their association of employers could band rulemaking, other guidance, or both, employees. The Department’s proposal together to act ‘‘in the interest of’’ that would clarify when a group or also would not involve defined benefit employer members in relation to the association of employers or other plans, in part, because the Department’s offering of retirement savings plans. By appropriate business or organization view is that such plans raise different clarifying its interpretation of the could be an ‘‘employer’’ within the policy considerations. In addition, statutory language, the Department meaning of ERISA section 3(5). according to the Government believes it could improve access to The Department reviewed current Accountability Office, sponsorship of employer-sponsored retirement savings policies regarding MEPs and concluded MEPs ‘‘seems to be following the plans in America. that it should clarify through regulation general trend away from traditional The Department recently promulgated that an employer group or association or benefit plans and towards defined a similar rule to expand access to more a PEO that meets certain conditions may contribution plans.’’ 17 Therefore, the affordable, quality healthcare by sponsor a single MEP under title I of proposed rule would apply solely to enhancing the ability of employers to ERISA (as opposed to providing an defined contribution plans. band together to provide health benefits arrangement that constitutes multiple The Department solicits public through a single ERISA-covered plan, retirement plans). The Department, comment on whether the Department called an ‘‘association health plan’’ therefore, is proposing to issue a should address, by regulation or (AHP). That regulation, the AHP Rule, regulation interpreting the term otherwise, whether there are other types issued on June 21, 2018, explains how ‘‘employer’’ for purposes of ERISA of entities that should be treated as an employers acting together to provide section 3(5). This proposed rule would ‘‘employer,’’ within the meaning of such health benefits may meet the supersede subregulatory interpretive definition of the term ‘‘employer’’ in rulings under ERISA section 3(5), and it 14 Assume an employee with 35 years until ERISA section 3(5).12 The AHP Rule sets would establish more flexible standards retirement and a current 401(k) account balance of forth several criteria under which and criteria for sponsorship of these $25,000. If returns on investments over the next 35 groups or associations of employers may MEPs than currently articulated in that years average 7 percent and fees and expenses reduce average returns on the account by 0.5 establish an ERISA-covered multiple prior guidance. This proposed rule is percent, the account balance will grow to $227,000 employer group health plan. Several intended to facilitate the adoption and at retirement, even if there are no further commenters on the AHP proposed rule administration of MEPs and to expand contributions to the account. If fees and expenses encouraged the Department to bring access to workplace retirement plans. are 1.5 percent, however, the account balance will grow to only $163,000. The 1 percent difference in MEPs within the sweep of that rule or The Department especially seeks to fees and expenses would reduce the account a new rule. In the AHP Rule, the expand such access for employees of balance at retirement by 28 percent. https:// Department said it would consider those small employers and for certain self- www.dol.gov/sites/default/files/ebsa/about-ebsa/ comments in the retirement plan employed individuals. The our-activities/resource-center/publications/a-look- context.13 Department’s proposal would not at-401k-plan-fees.pdf. 15 GAO–12–325, Increased Educational Outreach On August 31, 2018, President Trump impact existing auto-enrollment options and Broader Oversight May Help Reduce Plan Fees issued Executive Order 13847, and other features that make 401(k) (April 2012) at 21, https://www.gao.gov/products/ ‘‘Strengthening Retirement Security in plans attractive for employers. GAO-12-325. America,’’ (Executive Order), which As explained more fully in the 16 GAO Testimony before the Senate Comm. on states that ‘‘[i]t shall be the policy of the regulatory impact analysis below, the Health, Education, Labor and Pensions, Statement of Charles A. Jeszeck, GAO Director of Education, Federal Government to expand access to Department also seeks to level the Workforce and Income Security, GAO–13–748T playing field for small-business (July 16, 2013) at 16, https://www.gao.gov/assets/ 12 83 FR 28912 (June 21, 2018). employees by permitting them to have 660/655889.pdf. 13 Id. at 28964, n.10 (The ‘‘Department will access to the lowest-cost funds, often 17 GAO–18–111SP, The Nation’s Retirement consider comments submitted in connection with System: A Comprehensive Re-evaluation Is Needed this rule as a part of its evaluation of MEP issues reserved for employees in large-asset to Better Promote Future Retirement Security (Oct. in the retirement plan and other welfare benefit plans. Small differences in fund fees can 2017); 2012 GAO report, at 10, https:// plan contexts.’’) translate into enormous differences in www.gao.gov/products/GAO-18-111SP.

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ERISA section 3(5), for purposes of association of employers acting for an participating-employer members with sponsoring a MEP. See Section E, below, employer in such capacity. respect to the plan and any trust entitled ‘‘Request for Public When Congress enacted ERISA in established under the program.19 DOL Comments.’’ 1974, it copied this important definition guidance generally refers to these The Department also notes that from the 1958 Welfare and Pension entities—i.e., entities that qualify as nothing in the proposed rule is intended Plans Disclosure Act. Public Law 85– groups or association, within the to suggest that participating in a MEP 836, sec. 3(a)(4), 72 Stat. 997, 998 meaning of section 3(5)—as ‘‘bona fide’’ sponsored either by a bona fide group or (1958). employer groups or associations.20 For association of employers or by a PEO But ERISA does not explain what it each employer that adopts for its gives rise to joint employer status under means for an entity to act ‘‘directly as employees a program of pension or any federal or State law, rule, or an employer’’ or ‘‘indirectly in the welfare benefits sponsored by an interest of an employer, in relation to an regulation. The proposal also should not employer group or association that is employee benefit plan.’’ Nor does the be read to indicate that a business that not ‘‘bona fide,’’ such employer statute explain what is meant by a contracts with individuals as establishes its own separate employee independent contractors becomes the ‘‘group or association of employers.’’ In benefit plan covered by ERISA.21 employer of the independent contractor short, these ambiguous statutory terms Largely, but not exclusively, in the merely by participating in a MEP with are not themselves defined. As one context of welfare-benefit plans, the those independent contractors, who court has recognized, the ‘‘problem lies, Department has previously would participate as working owners, if obviously enough, in determining what distinguished employer groups or applicable, or promoting participation is meant by these oblique definitions of in a MEP to those independent employer.’’ Meredith v. Time Ins. Co., associations that can act as an ERISA contractors, as working owners. The 980 F.2d 352, 356 (5th Cir. 1993). The section 3(5) employer in sponsoring a Department asks for comment as to statutory lacunae have proven multiple employer plan from those that whether concerns about joint problematic for some courts. They cannot. To do so, the Department has employment issues should be addressed ‘‘have found the phrase ‘act . . . asked whether the group or association further as part of any final rule. indirectly in the interest of an employer’ has a sufficiently close economic or difficult to interpret.’’ Mass. Laborers’ representational nexus to the employers C. Legal Background Health & Welfare Fund v. Starrett and employees that participate in the 1. Statutory Definitions Paving Corp., 845 F.2d 23, 24 (1st Cir. welfare plan that is unrelated to the provision of benefits.22 ERISA section 4 governs the reach of 1988); accord Greenblatt v. Delta Plumbing & Heating Corp., 68 F.3d 561, ERISA and, accordingly, of the DOL advisory opinions and court 575 (2d Cir. 1995). So too is there Department’s authority over benefit decisions have long applied a facts-and- statutory ambiguity with the term plans. ERISA applies not to every circumstances approach to determine ‘‘group or association of employers.’’ benefit plan but only to an ‘‘employee whether there is a sufficient common Because ERISA ‘‘does not define th[at] benefit plan’’ sponsored ‘‘by any economic or representational interest or term,’’ this ‘‘void injects ambiguity into employer.’’ ERISA section 4(a)(1); 29 genuine organizational relationship for the statute.’’ MD Physicians & Assocs. v. U.S.C. 1003(a)(1). The provision reads there to be a bona fide employer group State Bd. of Ind., 957 F.2d 178, 184 (5th in relevant part: ERISA ‘‘shall apply to or association capable of sponsoring an Cir. 1992). Although ERISA contains a any employee benefit plan if it is ERISA plan on behalf of its employer definition of ‘‘employer,’’ the important established or maintained by any members. This analysis has focused on terms used within that definition are employer.’’ 18 ERISA defines ‘‘employee three broad sets of issues, in particular: unexplained. pension benefit plan’’ to include ‘‘any (1) Whether the group or association is In light of all this, and consistent with a bona fide organization with business/ plan, fund, or program . . . established longstanding principles of or maintained by an employer . . . to organizational purposes and functions administrative law, the Department is unrelated to the provision of benefits; the extent that by its express terms or as best-positioned to address this statutory (2) whether the employers share some a result of surrounding circumstances’’ ambiguity by exercising its discretion to commonality and genuine it provides retirement income to explicate some of the terms used in organizational relationship unrelated to employees or the deferral of such section 3(5). In doing so, the Department the provision of benefits; and (3) income. The term ‘‘employer’’ is again is aided both by the common whether the employers that participate essential to recognizing an ‘‘employee understanding of the broad terms used in a plan, either directly or indirectly, pension benefit plan’’ within the in ERISA section 3(5) and by the exercise control over the plan, both in meaning of ERISA. Thus, a prerequisite statutory context. of ERISA coverage is that the retirement form and substance. This approach has plan must be established or maintained 2. Bona Fide Groups or Associations ensured that the Department’s by an ‘‘employer.’’ The Department has long taken the regulation of employee benefit plans is ERISA section 3(5) defines the term position that, even in the absence of the focused on employment-based ‘‘employer.’’ ERISA section 3(5); 29 involvement of an employee arrangements, as contemplated by U.S.C. 1002(5). ERISA’s definitional organization, a single ‘‘multiple ERISA’s text. This approach also helps provision reads in full: employer plan’’ under ERISA may exist distinguish the establishment by a group The term ‘employer’ means any where a cognizable group or association or association of an employee benefit person acting directly as an employer, of employers, acting in the interest of its plan from ‘‘commercial insurance,’’ or indirectly in the interest of an employer members, establishes a benefit employer, in relation to an employee program for the employees of member 19 See 83 FR at 28912, 28920. benefit plan; and includes a group or employers. To satisfy these criteria, the 20 See, e.g., Advisory Opinions 2008–07A, 2003– group or association must exercise 17A, and 2001–04A. 18 ERISA also covers benefit plans established or 21 See 83 FR 28912, 13 (citing Advisory Opinion maintained by employee organizations and such control over the amendment process, 96–25A). plains operated by both employers and employee plan termination, and other similar 22 See 83 FR 28912; see also Advisory Opinions organizations. functions of the plan on behalf of the 2012–04A, 1983–21A, 1983–15A, and 1981–44A.

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consonant with ERISA’s structure.23 (a) Current Primary Legal Authority employers) are treated as being The Department continues to believe employed by a single employer.31 Although many PEOs administer that this approach provides for a sound Under section 413 of the Code, other plans for their client employers today, reading of ERISA and that it represents qualification rules are applied there is little direct authority on a sound policy choice. Concerns for separately to each participating precisely what it means for a PEO or simplicity and uniformity in approach employer. For example, under § 1.413– other entity to act ‘‘indirectly in the 2(a)(3)(ii) of the Income Tax justify applying the same requirement to interest’’ of its client employers in Regulations, the minimum coverage an entity acting as ‘‘a group or relation to an employee benefit plan for requirements of Code section 410(b) and association’’ in the pension context. purposes of ERISA section 3(5). But related nondiscrimination requirements whether a PEO is an ‘‘employer’’ under 3. Professional Employer Organizations are generally applied to a MEP on an section 3(5) depends on the ‘‘indirectly employer-by-employer basis. According to the IRS, the term ‘‘PEO’’ in the interest of an employer’’ generally refers to an organization that provision, not the ‘‘employer group or (b) Current Secondary Legal Authority ‘‘. . . enters into an agreement with a association’’ provision. And neither Some federal statutes treat a PEO as client to perform some or all of the existing subregulatory guidance nor an ‘‘employer’’ for limited purposes in federal employment tax withholding, judicial authority has articulated a other circumstances. For instance, reporting, and payment functions specific test to determine when a PEO regulations issued pursuant to the related to workers performing services is sufficiently tied to its client-employer Family and Medical Leave Act of 1993 24 for the client.’’ The provisions of a to be said to be acting ‘‘indirectly in the (FMLA) specifically recognize that a PEO arrangement typically state that the interest of an employer, in relation to an PEO may, under certain circumstances, PEO assumes certain employment employee benefit plan,’’ within the enter into a relationship with the 28 responsibilities that the client-employer meaning of section 3(5). The different employees of its client companies such would otherwise fulfill with respect to statutory text and differences in the that it is considered a ‘‘joint employer’’ employees. Under the terms of a typical nature of the employer relationships for purposes of determining FMLA PEO contract, the PEO assumes merit a different regulatory approach to coverage and eligibility, enforcing the responsibility for paying the employees PEOs than to employer groups or FMLA’s anti-retaliation provisions, and and for related employment tax associations. in limited situations, providing job compliance, with attending contractual The IRS, for example, has already restoration.32 In the main, however, the responsibilities and obligations without recognized that a PEO may offer a MEP FMLA regulations clarify that a ‘‘PEO regard to payment from the client for its clients under the Code. The Code does not enter into a joint employment employer to the PEO. A PEO also may sets forth rules for a plan maintained by relationship with the employees of its manage human resources, employee more than one employer. Specifically, client companies when it merely benefits, workers-compensation claims, Code section 413(c) addresses the tax- performs . . . administrative and unemployment-insurance claims for qualified status of certain pension functions,’’ such as ‘‘payroll benefits, the client employer. The client ‘‘plans’’ that cover the employees of regulatory paperwork, and updating employer typically pays the PEO a fee multiple employers.29 Under § 1.413– employment policies.’’ 29 CFR based on payroll costs plus an 2(a)(2), a plan is subject to the 825.106(b)(2). The regulation makes additional amount.25 According to a requirements of section 413(c) if it is a clear that PEOs do not become joint representative of the PEO industry, single plan within the meaning of employers simply by virtue of providing ‘‘[f]or the obligations a PEO agrees to § 1.413–1(a)(2) 30 and the plan is such services to client-employers. take on with respect to its clients, the maintained by more than one employer. In addition, Code section 3401(d) PEO assumes specific employer rights, Pursuant to section 413(c) and the defines the term ‘‘employer,’’ for responsibilities, and risks through the regulations thereunder, for purposes of purposes of income tax withholding, establishment and maintenance of a certain qualification requirements, all this way: ‘‘the person for whom an relationship with the workers of the employees of each of the employers individual performs or performed any client[,]’’ including in some cases to maintaining a MEP (participating service . . . as the employee of such ‘‘reserve a right of direction and control person except that if the person for of the employees with respect to 28 The lack of a specific and clear test leads to particular matters.’’ 26 Within the array different outcomes. Compare Yearous v. Pacificare 31 For example, under section 413(c)(1) of the of PEO-provided services and functions, of California, 554 F. Supp. 2d 1132 (S.D. Cal. 2007) Code and § 1.413–2(b) of the Income Tax (applying factors in Nationwide Mut. Ins. Co. v. Regulations, Code section 410(a) (participation) and nearly all PEOs offer some type of Darden, 503 U.S. 318 (1992), court concluded that the regulations thereunder are applied as if all retirement plan to their client PEO is direct employer of owner of company for employees of each of the employers who maintain employers.27 purposes of sponsoring an ERISA covered the plan are employed by a single employer. In healthcare plan covering the owner and his addition, under section 413(c)(2) of the Code and beneficiaries) with Texas v. Alliance Employee § 1.413–2(c) of the Income Tax Regulations, in 23 83 FR 28914, 28917. Leasing Co., 797 F. Supp. 542 (N.D. Tex. 1992) determining whether a MEP is, with respect to each 24 Certified Professional Employer Organizations, (finding leasing company did not act directly or participating employer, for the exclusive benefit of 81 FR 27315–01 (May 6, 2016). indirectly as employer under ERISA). its employees (and their beneficiaries), all of the 25 Foster, Michael D., Certified Professional 29 Several of the rules applicable to plans under employees participating in the plan are treated as Employer Organizations (July 7, 2016) https:// section 413(c) of the Code are parallel to the rules employees of each such employer. See IRS Rev. www.jacksonkelly.com/tax-monitor-blog/certified- for plans maintained by more than one employer Proc. 2002–21 (providing ‘‘a framework under professional-employer-organizations. under section 210 of ERISA. Under section 101 of which plans sponsored by PEOs will not be treated 26 National Association of Professional Employer Reorganization Plan No. 4 of 1978 (43 FR 47713), as violating the exclusive benefit rule solely Organizations (https://www.napeo.org/what-is-a- the Secretary of the Treasury has interpretive because they provide benefits to Worksite peo/about-the-peo-industry/what-is-co- jurisdiction over ERISA section 210. Employees.’’). Finally, under section 413(c)(3) of employment). 30 Section 1.413–1(a)(2) applies the definition of the Code and § 1.413–2(d) of the Income Tax 27 See, e.g., Bassi, Laurie, Professional Employer a single plan in § 1.414(l)–1(b), providing that a regulations, Code section 411 (minimum vesting Organizations: Fueling Small business Growth, plan is a single plan if and only if, on an ongoing standards) and the regulations thereunder are (Sept. 2013), at 2–3 (https://www.napeo.org/docs/ basis, all of the plan assets are available to pay generally applied as if all employers who maintain default-source/white-papers/ benefits to employees who are covered by the plan the plan constituted a single employer. whitepaper1.pdf?sfvrsn=2). and their beneficiaries. 32 29 CFR 825.106(b)(2), (e).

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whom the individual performs or currently offer workplace retirement AHP Rule and are intended to have the performed the services does not have benefits to offer such benefits. The same meaning and effect here, as they control of the payment of the wages for proposal could increase the number of have there. Four of the criteria provide such services, [then] the term ‘employer’ employees enrolled in workplace that the group or association must have . . . means the person having control of retirement plans, thereby offering a formal organizational structure, be the payment of such wages.’’ 33 America’s workers better retirement controlled by its employer members, An entity meeting these requirements savings opportunities and greater have at least one substantial business is referred to as the ‘‘statutory retirement security. purpose unrelated to offering and employer.’’ Although generally PEOs do Paragraph (a) of the proposal defines providing employee benefits to its not have exclusive control of the the scope of the rulemaking. This employer members, and limit plan payment of wages within the meaning of paragraph provides that bona fide participation to employees and former the applicable regulations requiring employer groups or associations and employees of employer members.38 Two ‘‘legal control’’, in some cases, a PEO bona fide PEOs may act as an other criteria provide that employer has been found to be the employer ‘‘employer’’ under ERISA section 3(5) members must have a commonality of under Code § 3401(d)(1) under the facts for purposes of sponsoring a MEP. In interest and that each employer must act of the case.34 each case, this interpretation is based directly as an employer of at least one Furthermore, the Tax Increase upon the Department’s conclusion that employee participating in the MEP. The Prevention Act of 2014, Public Law such bona fide employer groups, intent of including these criteria in 113–295 (Dec. 19, 2014) required the associations, or PEOs act ‘‘in the interest paragraph (b) is to distinguish between IRS to establish a voluntary certification of’’ their employer members in relation groups and associations that act as program for such PEOs (CPEO Program) to a retirement savings plan. Paragraph employers within the meaning of ERISA as discussed in more detail below. (a) would limit this rulemaking to section 3(5), from other entities that do The CPEO Program recognizes PEOs defined contribution plans, as defined not act as an ‘‘employer.’’ As explained that meet certain requirements within in ERISA section 3(34); the proposal in the AHP Rule, ERISA section 3(5) of the Code and provides a level of thus does not cover welfare plans or ERISA and ERISA Title I’s overall assurance to small-business owners that other types of pension plans. The structure contemplate employment- rely on a CPEO to handle their proposal is limited in this manner based benefit arrangements.39 Moreover, employment-tax issues. CPEOs are because the Department believes that the Department’s authority to define treated as employers under the Code for consideration and development of any ‘‘employer’’ and ‘‘group or association employment tax purposes with regard to proposal covering other types of of employers’’ under ERISA section 3(5) remuneration paid to their customers’ pension and welfare plans or other does not broadly extend to arrangements employees under CPEO service persons or organizations as plan established to provide benefits outside contracts. A CPEO is solely liable for the sponsors would benefit from public the employment context and without employment tax withholding, payment, comments and additional consideration regard to the members’ status as and reporting obligations with respect to 40 by the Department. employers. remuneration it pays to work site The AHP Rule, in relevant part, employees (as defined in IRC 2. Bona Fide Employer Groups or prohibits health-insurance companies 7705(e)).’’ 35 Associations from being treated as a bona fide group D. Overview of Proposed Regulation Paragraph (b) of the proposal would or association. A construction of define and clarify the criteria for a ‘‘employer’’ encompassing insurance 1. General ‘‘bona fide’’ group or association of companies that are merely selling The Department believes that employers capable of establishing a commercial insurance products and providing additional opportunities for MEP.36 This paragraph would replace services to employers would effectively employers to join MEPs as a way to offer and supersede criteria in prior read the definition’s employment-based workplace retirement savings plans to subregulatory guidance. The proposed limitation out of the statute. In a broad their employees could, under the criteria are intended to distinguish bona colloquial sense, it is possible to say conditions proposed here, offer many fide group or association MEPs from that commercial service providers, such small businesses more affordable and products and services offered by purely as banks, trust companies, insurance less burdensome retirement savings commercial pension administrators, companies, and brokers, act ‘‘indirectly plan alternatives than are currently managers, and record keepers. These in the interest of’’ their customers, but available. The Department expects that commercial enterprises are outside the that does not convert every service the proposal, if finalized, would prompt scope of the rule as proposed.37 provider into an ERISA-covered some small businesses that do not Specifically, paragraph (b)(1) of the ‘‘employer’’ of their customer’s proposal contains seven criteria for employees. Accordingly, the 33 In Otte v. United States, 419 U.S. 43 (1974), the determining whether a group or Department required that the individual Supreme Court held that a person who is an association of employers is a ‘‘bona employer members of the group or employer under section 3401(d)(1), relating to association must control the AHP, and income tax withholding, is also an employer for fide’’ group or association of employers purposes of withholding the employee share of for purposes of ERISA section 3(5) and the Department declined to construe Federal Insurance Contributions Act (FICA) under the regulation. With one exception, ‘‘employer’’ in a manner that would section 3102. The Otte decision has been extended these criteria parallel those used in the permit commercial insurers to market to provide that the person having control of the insurance products and services as AHP payment of the wages is also an employer for purposes of section 3111, which imposes the FICA 36 The term ‘‘bona fide’’ in the proposal refers to sponsors. tax on employers, and section 3301 (Federal a group, association, or PEO that meets the Unemployment Tax Act (FUTA) tax). See In re conditions of the proposed regulation and, 38 A bona fide group or association may sponsor Armadillo Corp., 410 F. Supp. 407 (D. Colo. 1976), therefore, is able to be an ‘‘employer’’ for purposes both an AHP and a MEP, but the group or affd, 561 F.2d 1382 (10th Cir. 1977); In re The Laub of section 3(5) of ERISA. No inferences should be association would have to have at least one Baking Co., 642 F.2d 196, 199 (6th Cir.1981). drawn from the use of this term regarding the actual substantial business purpose other than offering 34 United States v. Total Employment Co. Inc., bona fides of the group, association or organization employee benefit plans. 305 B.R. 333 (M.D. Fla. 2004). outside of this context. 39 83 FR 28912, 28913 (June 21, 2018). 35 See IRC section 3511(a)(1). 37 See Section E, Request for Public Comments. 40 Id. at 28916.

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The Department believes that 3. Professional Employer Organizations otherwise) with the client-employer, for applying a similar understanding of Paragraph (c) of the proposal would purposes of other laws or liabilities. The ‘‘group or association’’ of employers in establish four criteria that must be met question of joint employment for the pension context as in the AHP for a PEO to qualify as a ‘‘bona fide’’ purposes of other laws and liabilities is context promotes simplicity and PEO that may act ‘‘indirectly in the an independent inquiry wholly uniformity in regulatory structure. The interest of [its client] employers’’ and, unaffected by a PEO’s potential status as Department therefore applies a similar consequently, as an ‘‘employer’’ under an ‘‘employer’’ within the meaning of approach to employer groups or ERISA section 3(5) for purposes of ERISA section 3(5). Whether a PEO associations sponsoring MEPs. sponsoring a MEP covering the qualifies as an ERISA section 3(5) Accordingly, paragraph (b)(vii) of the employees of client employers. ‘‘employer’’ under the ‘‘indirectly’’ proposal would prohibit an employer Specifically, paragraph (c)(1)(i) of the provision has no effect on the rights or group or association from being a bank, proposal would require the PEO to responsibilities of any party under any other law, including the Code, and trust company, insurance issuer, broker- perform substantial employment neither supports nor prohibits a finding dealer, or other similar financial- functions on behalf of the client of an employment relationship. services firm (including pension record employers. Paragraph (c)(1)(ii) would keepers and third-party administrators) A second important limiting principle require the PEO to have substantial in construing section 3(5)’s ‘‘indirectly and from being owned or controlled by control over the functions and activities such a financial-services firm. in the interest of’’ clause is that the PEO of the MEP, and assume certain must have substantial control of the The proposed rule does not contain statutory roles under ERISA. As further provisions analogous to the healthcare functions and activities of the employee explained below, looking to substantial benefit plan at issue. This construction nondiscrimination provisions of the control is sensible given the language of AHP Rule because defined contribution comports with the definition’s reference section 3(5) of ERISA. Paragraph to a person acting as the employer ‘‘in retirement plans do not underwrite (c)(1)(iii) would require the PEO to health risk and are not susceptible to the relation to the plan.’’ Consequently, ensure that each client-employer paragraph (c)(1)(ii) of the proposal rating and segmentation pressures that participating in the MEP has at least one characterize the healthcare would require the PEO to have employee who is a participant covered substantial control over the functions marketplaces. Some defined under the MEP. Paragraph (c)(1)(iv) of contribution plans may offer lifetime and activities of the MEP, as the plan the proposal would provide that the sponsor (within the meaning of section income features, such as immediate or PEO must ensure that participation in deferred annuities, which potentially 3(16)(B) of the Act), the plan the MEP is limited to current and former administrator (within the meaning of implicate some degree of longevity risk. employees of the PEO and of client- The Department, however, does not section 3(16)(A) of the Act), and a employers, as well as their beneficiaries. named fiduciary (within the meaning of believe the presence of longevity risk in A PEO’s assumption and performance ancillary features of defined section 402 of the Act). of substantial employment functions on To provide guidance on what is meant contribution MEPs warrants behalf of its client-employers is one of by performing ‘‘substantial employment nondiscrimination provisions analogous the lynchpins of the proposal. Just as functions’’ under the proposal, to those of the AHP Rule. The commonality and control establish the paragraph (c)(2)(ii) of the proposed rule Department also believes that any nexus for groups or associations of provides a disjunctive list of nine relevant nondiscrimination concerns are employers under paragraph (b) of the relevant criteria, even one of which may already addressed in the tax- proposal, the PEO’s assumption and be sufficient to establish substantiality qualification provisions of the Code or performance of employment functions depending on the particular facts and other federal laws. The Department for its client employers contributes circumstances and the particular solicits comments on this issue. significantly to the establishment of the criterion. This list was drawn from the Paragraph (b)(2) of the proposal sets requisite nexus for PEOs. Requiring the types of services and functions PEOs forth standards for determining whether PEO to stand in the shoes of the routinely offer their clients, and with employers have sufficient commonality participating client employers—by reference to the CPEO statutory and of interests for purposes of the assuming and performing substantial regulatory provisions. commonality requirement in paragraph employment functions that the client- The list of ‘‘substantial employment (b)(1). Specifically, this paragraph employers otherwise would fulfill with functions’’ in paragraph (c)(2)(ii) of the would allow employers to band together respect to their employees—is what proposal would look to whether, with for the express purpose of offering MEP distinguishes bona fide PEOs under the respect to client-employer employees coverage if the employers are in the proposal from service providers or other participating in the PEO’s plan, the same trade, industry, line of business, or entrepreneurial ventures that in organization is responsible for: profession; or if the employers have a substance merely market or offer client- • Payment of wages to the employees principal place of business within a employers access to retirement plan without regard to the receipt or region that does not exceed the services and products. This requirement adequacy of payment from its client boundaries of the same state or the same applies a clear limiting principle to employers; metropolitan area (even if the entities that can be said to be acting • Reporting, withholding, and paying metropolitan area includes more than ‘‘indirectly in the interest of’’ another any applicable federal employment one state). Determinations of what is a employer within the meaning of ERISA taxes, without regard to the receipt or ‘‘trade,’’ ‘‘industry,’’ ‘‘line of business,’’ section 3(5). adequacy of payment from its client or ‘‘profession,’’ as well as whether an A PEO’s status under this proposal employers; employer fits into one or more of these and whether a PEO performs substantial • Recruiting, hiring, and firing categories, are based on all relevant facts employment functions as described workers in addition to the client- and circumstances; the Department herein, however, is not tantamount to employer’s responsibility for recruiting, intends for these terms to be construed the PEO’s assumption or creation of an hiring, and firing workers; broadly to expand employer and employment relationship (whether • Establishing employment policies, employee access to MEP coverage. referred to as joint employment or conditions of employment, and

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supervising employees in addition to Department also understands that some the choice as to the five particular the client-employer’s responsibility to entities may prefer more regulatory criteria left to the discretion of the PEO perform these same functions; certainty in ordering their business based on its business structure and • Determining employee affairs. For this reason, the proposal operations. Although any single compensation, including method and contains two regulatory safe harbors criterion alone may, depending on the amount, in addition to the client- separate from the facts-and- facts and circumstances and particular employer’s responsibility to determine circumstances test described above. criterion, be sufficient to satisfy the employee compensation; The first safe harbor provides that a requirement that a PEO perform • Providing workers’ compensation PEO will be considered to perform substantial employment functions on coverage in satisfaction of applicable substantial employment functions on behalf of its client employers, as a safe State law, without regard to the receipt behalf of its client-employers if it is a harbor, the Department is of the view or adequacy of payment from its client ‘‘certified professional employer that meeting at least half of the listed employers; organization’’ (CPEO) within the criteria demonstrates convincingly that • Integral human-resource functions, meaning of Code section 7705 and the PEO is performing substantial such as job description development, regulations thereunder, has a ‘‘service employment functions and ensures that background screening, drug testing, contract’’ within the meaning of Code PEOs using this safe harbor provision employee-handbook preparation, section 7705(e)(2) with the client will fall well within the definition in performance review, paid time-off employers who adopt the MEP with section 3(5). The same standard of five tracking, employee grievances, or exit respect to the client-employer interviews, in addition to the client criteria also effectively applies to the employees participating in the MEP, CPEO safe harbor in paragraph (c)(2)(i) employer’s responsibility to perform satisfies the criteria in paragraphs of the proposal because CPEOs entering these same functions; (c)(2)(ii)(A)–(C) of the proposal, and also into CPEO service-contracts within the • Regulatory compliance in the areas meets at least two criteria listed in meaning of section 7705(e)(2) with of workplace discrimination, family and paragraph (c)(2)(ii)(D) through (I) of the client-employers who adopt the MEP medical leave, citizenship or proposal. Generally a CPEO is a PEO immigration status, workplace safety that has applied for certification and has must both assume and perform and health, or permanent labor- been certified by the Internal Revenue employment functions on behalf of certification program, in addition to the Service (IRS) as meeting the client-employers under the relevant client employer’s responsibility for requirements of Code section 7705(b). criteria set forth in paragraph regulatory compliance; or To become and remain a CPEO, a PEO (c)(2)(ii)(A)–(C) of the proposed • The organization continues to have must demonstrate (and continue to regulation with respect to the client- employee benefit plan obligations to demonstrate) to the IRS that it meets employer employees participating in the MEP participants after the client specified requirements relating to tax MEP, and would still need to satisfy two employer no longer contracts with the status, background, experience, business more criteria to fall within the CPEO organization. location, and annual financial audits. safe harbor. The proposal provides that, Among other requirements, to become depending on the facts and 4. Dual Treatment of Working Owners and remain a CPEO, the PEO must also as Employers and Employees circumstances of the particular agree to satisfy certain bond, financial situation, even one of these criteria review, and reporting requirements.41 Like the AHP Rule,42 paragraph (d) of alone may be sufficient to satisfy the The IRS has the authority to suspend this proposed rule would expressly requirement that a PEO perform and revoke the certification of any CPEO provide that working owners, such as substantial employment functions on if it determines that the CPEO is not sole proprietors and other self-employed behalf of its client employers. Just as a satisfying the requirements of Code individuals, may elect to act as way of illustrating the Department’s sections 7705(b) or (c) or fails to satisfy employers for purposes of participating intent with respect to the provision, applicable accounting, reporting, in a bona fide employer group or with respect to the PEO’s responsibility payment, or deposit requirements. association as described in (b)(1) of the to supervise employees of client These attributes are also relevant to proposed regulation and also be treated employers (as contemplated under the employers’ consideration of PEOs when as employees of their businesses for criterion in paragraph (c)(2)(ii)(D) of the evaluating retirement options because purposes of being able to participate in proposal), the Department would likely they may reduce the potential for fraud, the MEP. consider a PEO to meet the abuse, and mismanagement with respect To qualify as a working owner, a substantiality requirement if, for to employment functions. example, the PEO controlled the manner The second safe harbor is for PEOs person would be required to work at and means by which employees that do not satisfy the CPEO safe harbor least 20 hours per week or 80 hours per accomplished their assigned chores or but meet five or more criteria from the month, on average, or have wages or completed their assignments, without list in paragraph (c)(2)(ii) of the self-employment income above a certain regard to the extent or degree to which proposal. The Department understands level. Specifically, the working owner’s the PEO satisfied the other eight criteria. that the CPEO Program is voluntary; wages or self-employment income must On the other hand, the Department therefore, not all PEOs are (or remain) equal or exceed the working owner’s likely would not reach the same CPEOs. The Department does not cost of coverage to participate in the conclusion if the only function believe that the absence of CPEO status group or association’s health plan, if the performed by the PEO, for example, is necessarily should disqualify a PEO group or association has such a plan. In that it performs drug testing on behalf from acting as an employer in other words, if the working owner of its client-employers, even if the PEO sponsoring a MEP. This safe harbor thus makes enough money to be considered assumes complete responsibility for that applies when covered PEOs meet at both an employer and employee under task. least half of the relevant criteria, with the AHP Rule, the working owner may Although this approach offers PEOs also be considered both an employer the flexibility of a facts-and- 41 IRC section 7705(b) and (c); 26 CFR 301.7705– circumstances approach, the 2T—CPEO Certification Requirements. 42 83 FR at 28964.

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and employee under this proposal.43 owner without common law employees other guidance is needed to address the The Department adopts this threshold has a genuine need to be in a PEO’s MEP status of plans maintained by such because, unlike healthcare coverage, MEP. For example, if the working owner related employers. participation in a MEP does not have a has had common law employees and The second category consists of ‘‘open specific dollar amount associated with used a PEO, including joining the PEO’s MEPs,’’ which are plans that cover the benefits; thus, there is no minimum MEP, but was later unable to afford to employees of employers with no cost of participation.44 continue to employ others and did not relationship other than their joint The proposed rule would not extend want to stop participating in the PEO participation in the MEP. As mentioned this definition to MEPs sponsored by plan. Accordingly, the Department earlier in this preamble, many recent PEOs under paragraph (c) of the solicits comments on the circumstances, legislative proposals center on these proposal. Thus, a working owner’s trade if any, under which working owners later arrangements, which are often or business would have to have at least without employees should be able to referred to as ‘‘pooled employer plans.’’ one common law employee to participate in a multiple employer plan Comments specifically are requested on participate in a PEO’s MEP under through a PEO under title I of ERISA. whether, and under what paragraph (c) of the proposed circumstances, so-called ‘‘open MEPs’’ regulation. The Department understands E. Request for Public Comments or ‘‘pooled employer plans,’’ as depicted that working owners without employees The proposed regulation addresses in the various legislative proposals, generally would not have need for the when a group or association of could be operated as an employment- employment services of PEOs, such as employers or PEO falls within the based arrangement, as contemplated by payroll, compliance with federal and definition of ‘‘employer’’ under ERISA ERISA’s text. To the extent commenters state workplace laws, and human- section 3(5) for purposes of sponsoring believe that these arrangements should resources support. Thus, a trade or a MEP under title I of ERISA to cover be addressed in this or a future business without employees would not the employees of member employers. rulemaking, the Department asks that seem to have a genuine need for a The Department invites comments on the comments include a discussion of relationship with a PEO. Accordingly, all aspects of this proposal, including its why such an arrangement should be the working-owner provision would scope, as well any data, studies or other treated as one employee benefit plan only apply for purposes of participation information that would help refine and within the meaning of title I of ERISA in MEPs sponsored by a bona fide group improve the proposal’s estimated costs, rather than as a collection of separate or association. The Department benefits, and transfers. employer plans being serviced by a understands, however, that there may be The Executive Order called on the commercial enterprise that provides circumstances in which a working Department to consider more generally retirement plan products and services. whether businesses or organizations Such commenters also should provide 43 The earned income standard in the proposal is other than groups or associations of suggestions regarding the regulatory informed by Federal tax standards, including employers and PEOs should be able to conditions that should apply to the section 162(l) of the Code, that describe conditions sponsor a single MEP under title I of for self-employed individuals to deduct the cost of particular arrangement. health insurance. Thus, for purposes of the working ERISA by acting indirectly in the The Department solicits comments on owner provisions of paragraph (d) of the proposal, interest of participating employers in whether including working owners in the definitions of ‘‘wages’’ and ‘‘self-employment relation to the plan within the meaning the current proposal could affect the income’’ in Code sections 3121(a) and 1402(b) (but of ERISA section 3(5). The Department without regard to the exclusion in section utility of 401(k) plans for working 1402(b)(2)), respectively, would apply. is aware of at least two other types or owners, who may prefer those plans 44 Under section 401(c) of the Code, a self- categories of MEPs not specifically because of their ERISA-exempt status employed individual must have earned income in addressed in the proposed rule.45 While (or other reasons). Under current law, order to participate in a qualified retirement plan. both of these categories are outside the working owners without employees can The Department’s provisional view is that it seems unlikely that a ‘‘working owner’’ as defined in scope of the rule as proposed, the sponsor 401(k) plans, often called solo- paragraph (d)(2) of the proposal who is not a Department specifically solicits public 401(k) plans. Under the Code, these common law employee would fail to meet the comments on whether the Department plans, like other 401(k) plans, are requirements of section 401(c) of the Code. The should address one or more of these subject to rules concerning eligibility, Department invites comments on whether this view is correct, and if not correct, whether a final rule other categories of MEPs, by regulation contributions, taxes, and distributions. should include changes to the working-owner or otherwise. Solo 401(k) plans, however, have definition for MEPs designed to be qualified under The first category includes so-called historically been outside the coverage of section 401(a) of the Code. For example, a final rule ‘‘corporate MEPs,’’ which are plans that title 1 of ERISA. 29 CFR 2510.3–3. The could further limit the definition of working owners to self-employed individuals described in 401(c) of cover employees of related employers Department’s proposal would permit the Code. One way to accomplish this limitation which are not in the same controlled working owners to participate in ERISA- could be to add a condition to paragraph (d)(2) of group or affiliated service group, within covered MEPs without altering its the proposal to ensure that the working owner ‘‘is the meaning of section 414(b), (c), and position that a ‘‘plan under which . . . an employee within the meaning of section 401(c)(1) of the Code, and the employer of such (m) of the Code. While corporate MEPs only a sole proprietor’’ participates individual is the person treated as his employer are not directly addressed in this ‘‘will not be covered under title I.’’ 29 under section 401(c)(4) of the Code.’’ Alternatively, guidance, the Department does not CFR 2510.3–3(b). The Department seeks consistent with E.O. 13847 and the Code, the intend to convey that a corporate MEP comments on whether additional or Department invites comments on whether, if the Department’s provisional view is not correct, the could not be a single employee benefit different regulatory amendments should Secretary of the Treasury should consider action plan under title I of ERISA. Rather, be made to confirm or clarify the long- pursuant to Section 2(b) of E.O. 13847, which comments specifically are requested on established exclusion from ERISA of directs the Secretary of the Treasury to consider whether any regulatory provisions or proposing amendments to regulations or other solo 401(k) plans, given the proposal to guidance regarding the circumstances under which permit working owners to participate in a MEP must satisfy the tax qualification 45 A 2012 GAO report separated MEPs into four ERISA-covered ARPs. requirements in the Code. Because the Secretary of categories. U.S. Government Accountability Office, Comments are also invited on the the Treasury has interpretive jurisdiction over GAO, ‘‘12–665, ‘‘Private Sector Pensions—Federal interaction of the proposal with and section 401 of the Code, any comments relating to Agencies Should Collect Data and Coordinate this topic will be shared with the Department of the Oversight of Multiple Employer Plans,’’ (Sept. 2012) consequences under other state and Treasury. (https://www.gao.gov/products/GAO-12-665). federal laws, including the interaction

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with Code section 413(c), which would the fiduciary of a large MEP uses its size their members at lower costs than apply to all tax-qualified MEPs to negotiate and secure discounted currently available options. Thus, this including those described in paragraph prices on investments and other services proposed rule, if finalized, could (b) and (c) of the proposal.46 The from plan services providers, as is provide employers with an important Department’s provisional view is that it generally required by ERISA, the option to increase access of workers, seems unlikely that a MEP that is fiduciary is bargaining on behalf of all particularly those employed at small sponsored and maintained by an participants regardless of the size of businesses and the self-employed, to employer group or association or PEO, their employer, and should take care to high-quality workplace retirement and that is subject to the rules of section see that these advantages are allocated plans. 413(c) of the Code, would fail to qualify among participants in an evenhanded Small employers could benefit from under the Department’s proposed manner. Treating participating economies of scale by participating in criteria. The Department invites employers and their employees MEPs, which could reduce their comments on whether this view is differently without a reasonable and administrative burdens, fiduciary correct and, if not correct, on the extent equitable basis would raise serious liability exposure, and plan fees. Like to which grandfathering rules or concerns for the Department. Comments other large retirement plans, large MEPs transitional assistance or guidance are invited on whether there is a need created by sponsors meeting the might be advisable. for guidance or clarification on the conditions set forth in the proposal The Department also invites application of this principle to the would enjoy scale discounts and might comments on whether any notice or various aspects of MEP administration, exercise bargaining power with reporting requirements are needed to including investment management, financial services companies. Large ensure that participating employers, recordkeeping, and allocating plan costs MEPs would pass some of these savings participants, and beneficiaries of MEPs, and expenses among the participants through to participating small are adequately informed of their rights and beneficiaries of participating employers. In particular, investment or responsibilities with respect to MEP employers. funds with tiered pricing have coverage and that the public has decreasing expense ratios based on the adequate information regarding the F. Regulatory Impact Analysis aggregate amount of money invested by existence and operations of MEPs. 1. Summary a single plan.49 As a single plan, MEPs Comments are also solicited for data, As discussed earlier in this preamble, should lower the expense ratio for studies or other information that would this proposed rule is intended to investment management through the help estimate the benefits, costs, and facilitate the creation and maintenance pooling of investments from member transfers. of MEPs by clarifying the circumstances employers because the fee thresholds As indicated, a MEP would be a single under which a person may act as an would apply at the MEP level rather ERISA plan under title I of ERISA if it 50 ‘‘employer’’ within the meaning of than at the member employer level. complies with the requirements in the Many well-established, geographically ERISA section 3(5) in sponsoring a MEP. proposed rule. As such, ERISA would based organizations, such as local Workplace retirement plans provide an apply to the MEP in the same way that chambers of commerce, are strong effective way for employees to save for ERISA applies to any employee benefit candidates to sponsor MEPs. Currently, retirement. Many hardworking plan, but the MEP sponsor, typically these geographically based Americans, however, do not have access organizations are restricted from doing acting as the plan’s administrator and to a retirement plan at work, especially so as a sponsor of a single plan under named fiduciary, would administer the those employed by small employers or 47 title I of ERISA, however, unless their MEP. This person will have acting as ‘‘working owners’’ without MEP meets the requirements of the considerable discretion in determining, employees (referred to herein as the Department’s 2012 subregulatory as a matter of plan design or a matter of ‘‘self-employed’’). This has become a guidance for determining whether plan administration, how to treat the more significant issue as employees are groups or associations of employers, or different interests of the multiple living longer and facing the difficult PEOs were able to act as employers participating employers and their prospect of outliving their retirement under section 3(5) of ERISA. Such employees. Accordingly, this person, in savings. Expanding access to private previous guidance requires groups or distributing, investing, and managing sector MEPs could encourage the the MEP’s assets, must be neutral and associations to have a particularly close formation of workplace retirement plans economic or representational nexus to fair, dealing impartially with the and broaden the access to such plans participating employers and their employers and employees participating among small employers and the self- in the plan. Many groups or associations employees, taking into account any employed. 48 and PEOs have identified these criteria, differing interests. For example, when Many employer groups and along with the absence of a clear associations have a thorough knowledge 46 Under section 101 of Reorganization Plan No. of the economic challenges their 4 of 1978 (43 FR 47713), the Secretary of the 49 According to Morningstar, nearly half of all Treasury has interpretive jurisdiction over section members face. Using this knowledge investment funds have management fee breakpoints 413 of the Code and ERISA section 210. and the regulatory flexibility provided at which fees are automatically reduced upon Accordingly, any comments relating to section by this proposed rule, employer groups reaching an investment threshold. See Michael 413(c) of the Code will be shared with the and associations could sponsor MEPs Rawson and Ben Johnson, ‘‘2015 Fee Study: Department of the Treasury. Investors Are Driving Expense Ratios Down,’’ 47 As noted elsewhere, in the case of a PEO MEP tailored to the retirement plan needs of Morningstar, 2015, available at https:// under paragraph (c) of the proposal, the PEO, as the news.morningstar.com/pdfs/2015_fee_study.pdf. plan sponsor, must always act as the plan’s of trusts recognizes the need to preserve assets to 50 MEPs create a pool of assets for investment administrator (within the meaning of section satisfy future, as well as present, claims and that, at the investment management level, are no 3(16)(A)) and a named fiduciary (within the requires a trustee to take impartial account of the different from pools of assets from other employee meaning of section 402 of ERISA) of the MEP. interests of all beneficiaries.’’); Restatement benefit plans. Consistent with the Department’s 48 See Field Assistance Bulletin No. 2003–03 (Second) of Trusts section 183 (‘‘If a trust has two view that the pool of assets is a single plan, the (addressing what rules apply to how expenses are or more beneficiaries, the trustee, in distributing, Department expects that breakpoints for expense allocated among plan participants in a defined investing, and managing the trust property, shall ratios would be applied at the MEP level rather than contribution pension plan). See also Varity Corp. v. deal impartially with them, taking into account any at the member employer level. The Department Howe, 516 U.S. 489, 514 (1996) (‘‘The common law differing interests.’’) solicits comments on this matter.

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pathway for PEOs to sponsor MEPs, as 2. Executive Orders retirement expenditures.53 If uncovered major impediments to the expansion of long-term care expenses from nursing 51 MEPs that are treated as single plans. By Executive Orders 12866 and homes and home health care are 52 providing greater flexibility governing 13563 direct agencies to assess all included in the retirement readiness the sponsorship of MEPs, the costs and benefits of available regulatory calculation, 43 percent of that Department expects that this proposed alternatives and, if regulation is population will experience a shortfall, rule would reduce costs and increase necessary, to select regulatory and the projected retirement savings access to workplace retirement plans for approaches that maximize net benefits deficit is $4.13 trillion.54 many employees of small businesses (including potential economic, Among all workers aged 26 to 64 in and the self-employed. environmental, public health and safety 2013, 63 percent participated in a Other benefits of the expansion of effects; distributive impacts; and retirement plan either directly or MEPs include: (1) Increased economic equity). Executive Order 13563 through a working spouse. That efficiency as small firms can more easily emphasizes the importance of percentage ranged, however, from 52 compete with larger firms in recruiting quantifying both costs and benefits, of percent of those aged 26 to 34 to 68 and retaining workers; (2) increased tax reducing costs, of harmonizing rules, percent of those aged 55 to 64; and from equity as workers who previously did and of promoting flexibility. 25 percent for those with adjusted gross not have access to a qualified workplace Under Executive Order 12866, income (AGI) less than $20,000 per retirement plan begin to benefit from tax ‘‘significant’’ regulatory actions are person to 85 percent for those with AGI savings when their employers provide subject to review by the Office of of $100,000 per person or more.55 access to a retirement plan through a Management and Budget (OMB). Workplace retirement plans often MEP; (3) enhanced portability for Section 3(f) of the Executive Order provide a more effective way for employees that leave employment with defines a ‘‘significant regulatory action’’ employees to save for retirement than an employer to work for another as an action that is likely to result in a saving in their own IRAs. Compared employer participating in the same rule: (1) Having an annual effect on the with IRAs, workplace retirement plans MEP; and (4) higher quality data (more economy of $100 million or more in any provide employees with: (1) Higher accurate and complete) reported on the one year, or adversely and materially contribution limits; (2) generally lower Form 5500. affecting a sector of the economy, investment management fees as the size The Department is aware that MEPs productivity, competition, jobs, the of plan assets increases; (3) a well- could be the target of fraud or abuse. By environment, public health or safety, or established uniform regulatory structure their nature, MEPs have the potential to State, local or tribal governments or with important consumer protections, build up a substantial amount of assets communities (also referred to as including fiduciary obligations, quickly and the effect of any abusive ‘‘economically significant’’); (2) creating recordkeeping and disclosure schemes on future retirement a serious inconsistency or otherwise requirements, legal accountability distributions may be hidden or difficult interfering with an action taken or provisions, and spousal protections; (4) to detect for a long period. The planned by another agency; (3) automatic enrollment; and (5) stronger 56 Department, however, is not aware of materially altering the budgetary protections from creditors. At the direct information indicating that the impacts of entitlement grants, user fees, same time, workplace retirement plans risk for fraud and abuse is greater for or loan programs or the rights and provide employers with choice among MEPs than for single employer defined obligations of recipients thereof; or (4) plan features and the flexibility to tailor contribution pension plans. raising novel legal or policy issues retirement plans that meet their Furthermore, the Department has arising out of legal mandates, the business and employment needs. compliance assistance and enforcement President’s priorities, or the principles In spite of these advantages, many systems in place to safeguard plan set forth in the Executive Order. It has workers, particularly those employed by assets. been determined that this proposed rule small employers and the self-employed, The Department believes that is economically significant within the lack access to workplace retirement participation in workplace retirement meaning of section 3(f)(1) of the plans. Table 1 below shows that at plans would increase because of this Executive Order. Therefore, OMB has business establishments with fewer than 50 workers, 49 percent of the workers proposal; however, there is some reviewed the proposed rule pursuant to 57 uncertainty regarding the extent. the Executive Order. The background to have access to retirement benefits. In Participation levels in workplace the proposed rule is discussed earlier in contrast, at business establishments retirement plans depend on both how this preamble. This section assesses the with more than 500 workers, 88 percent many employers decide to offer plans expected economic effects of the 53 Jack VanDerhei, ‘‘EBRI Retirement Security and how many employees choose to proposed rule. Projection Model ®(RSPM)—Analyzing Policy and participate in those plans. An 3. Introduction and Need for Regulation Design Proposals,’’ Employee Benefit Research employer’s decision to offer a retirement Institute Issue Brief, no. 451 (May 31, 2018). plan relies on many factors, only some While many Americans have 54 Id. of which this proposed rule would 55 Peter J. Brady, ‘‘Who Participates in Retirement accumulated significant retirement Plans,’’ ICI Research Perspective, vol. 23, no. 05, affect. If more employers adopt MEPs, it savings, many others have little, if any, (July 2017.). is unclear how many of their employees assets saved for retirement. For 56 Section 522 of the Bankruptcy Code (11 U.S.C. would choose to enroll and by how example, the Employee Benefit Research 522), provides an unlimited exemption for SEP and much aggregate retirement savings Institute projects that 24 percent of the Simple IRAs, and pension, profit sharing, and would increase. Nevertheless, given the qualified plans, such as 401(k)s, as well as plan population aged 35–64 will experience assets that are rolled over to an IRA. However, other significant potential for MEPs to expand a retirement savings shortfall, meaning traditional IRAs and Roth IRAs are protected up to access to affordable retirement plans, resources in retirement will not be a value of $1,283,025 per person for 2018 (inflation the Department has concluded that this sufficient to meet their average adjusted). proposed rule would deliver social 57 These statistics apply to private industry. U.S. Bureau of Labor Statistics, National Compensation benefits that justify its costs. Its analysis 51 58 FR 51735 (Oct. 4, 1993). Survey, Employee Benefits in the U.S. (March is explained more fully below. 52 76 FR 3821 (Jan. 21, 2011). 2018).

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of workers have access to retirement small employers do not offer a benefits. Table 1 also shows that many retirement plan to their workers.58

TABLE 1—RETIREMENT PLAN COVERAGE BY EMPLOYER SIZE

Workers: Establishments: Share Establishment size: Number of workers Share with participating Share offering a access to a in a retirement plan retirement plan retirement plan (%) (%) (%)

1–49 ...... 49 34 45 50–99 ...... 65 46 75 100–499 ...... 79 58 88 500+ ...... 89 76 94 All ...... 66 50 48 Source: These statistics apply to private industry. U.S. Bureau of Labor Statistics, National Compensation Survey, Employee Benefits in the U.S. (March 2018).

Surveys of employers have suggested concerns rather than their employees’ members, and (2) the benefits of several reasons employers—especially long-term well-being. In analyzing new establishing such plans as a tool for small businesses—do not offer a establishments, researchers found that recruiting or retaining qualified workplace retirement plan to their 56 percent did not survive for four workers. employees. Regulatory burdens and years.63 Small businesses typically have fewer complexity add costs and can be Many small businesses also may have administrative efficiencies and less significant disincentives. A survey by not taken advantage of the existing potential bargaining power than large the Pew Charitable Trusts found that opportunities to establish workplace employers do. The proposal could only 53 percent of small-to mid-sized retirement savings plans because of a provide a way for small employers and businesses offer a retirement plan, and lack of awareness. As found in a Pew the self-employed to band together in 37 percent of those not offering a plan survey, two-thirds of small and midsize MEPs that, as single, large plans, have cited cost as the main reason.59 employers that were not offering a some of the same economic advantages Employers often also cite annual retirement plan said they were not at all as other large plans. As discussed above, reporting costs and exposure to familiar with currently available options the Department’s prior subregulatory potential fiduciary liability as major such as Simplified Employee Pension guidance limits the ability of small impediments to plan sponsorship.60 (SEP) and Savings Incentive Match Plan employers and self-employed Some employers may also have not for Employees (SIMPLE) plans.64 individuals to join MEPs and thereby to offered retirement benefits because they MEPs may address several of these realize attendant potential do not perceive such benefits as issues. Specifically, to the extent that administrative cost savings. With necessary to recruit and retain good MEPs reduce the total cost of providing certain exceptions, each employer employees.61 In focus groups, many various types of plans to small operating a separate plan must file its employers not offering retirement employers, market forces may lead own Form 5500 annual report, and benefits reported believing that their MEPs to offer and promote such plans generally, if the plan has 100 or more employees would prefer to receive to small employers that would participants, an accountant’s audit of higher salaries, more paid time-off, or otherwise have been overlooked because the plan’s financial position instead of health insurance benefits than of high costs. Moreover, groups or relying on the audit of a combined retirement benefits.62 Small employers associations and PEOs sponsoring MEPs plan.65 Each small employer also would themselves may not have much sometimes may have more success have to obtain a separate fidelity bond incentive to offer retirement benefits raising (1) the awareness of retirement satisfying the requirements of ERISA.66 because they are not sure how long their savings plan options for small As stated earlier in this preamble, on businesses are going to survive. This employers, particularly where such August 31, 2018, President Trump may lead them to focus on short-term employers are already clients or issued Executive Order 13847,

58 Id. 62 The Pew Charitable Trusts, ‘‘Employer Barriers require every fiduciary of an employee benefit plan 59 The Pew Charitable Trusts, ‘‘Employer Barriers to and Motivations for Offering Retirement and every person who handles funds or other to and Motivations for Offering Retirement Benefits,’’ 2017. property of such plan to be bonded. ERISA’s 63 Benefits,’’ Issue Brief (June 21, 2017). http:// Amy E. Knaup and Merissa C. Piazza, bonding requirements are intended to protect ‘‘Business Employment Dynamics data: survival employee benefit plans from risk of loss due to www.pewtrusts.org/en/research-and-analysis/issue- and longevity, II,’’ Monthly Labor Review (Sept. fraud or dishonesty on the part of persons who briefs/2017/06/employer-barriers-to-and- 2007). handle plan funds or other property. ERISA refers motivations-for-offering-retirement-benefits#0- 64 The Pew Charitable Trusts, ‘‘Employer Barriers to persons who handle funds or other property of overview. to and Motivations for Offering Retirement an employee benefit plan as plan officials. A plan 60 See U.S. Government Accountability Office, Benefits,’’ 2017. official must be bonded for at least 10% of the GAO–12–326: ‘‘Private Pensions: Better Agency 65 Note that ERISA regulations exempt small amount of funds he or she handles, subject to a Coordination Could Help Small Employers Address plans, generally those with under 100 participants, minimum bond amount of $1,000 per plan with Challenges to Plan Sponsorship’’ (March 2012) at from the audit requirement if they meet certain respect to which the plan official has handling 18–19. (https://www.gao.gov/products/GAO-12- conditions. 29 CFR 2520.104–46. In 2015, more functions. In most instances, the maximum bond than 99 percent of small defined contribution amount that can be required under ERISA with 326). pension plans that filed the Form 5500 or the Form respect to any one plan official is $500,000 per 61 Employee Benefit Research Institute, ‘‘Low 5500–SF did not attach an audit report. plan; however, the maximum required bond Worker Take Up of Workplace Benefits May Impact 66 ERISA section 412 and related regulations (29 amount is $1,000,000 for plan officials of plans that Financial Wellbeing’’ (April 10, 2018). CFR 2550.412–1 and 29 CFR part 2580) generally hold employer securities.

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‘‘Strengthening Retirement Security in prior subregulatory guidance. First, it and administration of MEPs and expand America,’’ stating that ‘‘[i]t shall be the would clarify the existing requirement access to, and lower the cost of, policy of the Federal Government to in prior subregulatory guidance that workplace retirement savings plans, promote programs that enhance bona fide groups or associations must especially for employees of small retirement security and expand access have at least one substantial business employers and certain self-employed to workplace retirement savings plans purpose unrelated to the provision of individuals. At the same time, reflecting for American workers.’’ The Executive benefits. Second, it would relax the the position taken in its subregulatory Order directed the Secretary of Labor to requirement that group or association guidance, the Department intends that examine policies that would: (1) Clarify members share a common interest, as the conditions included in the proposed and expand the circumstances under long as they operate in a common regulation would continue to which United States employers, geographic area. Third, it would make distinguish plans sponsored by entities especially small and mid-sized clear that groups or associations whose that satisfy ERISA’s definition of businesses, may sponsor or participate members operate in the same industry ‘‘employer’’ from arrangements or in a MEP as a workplace retirement could sponsor MEPs, regardless of services offered by other entities. savings option offered to their geographic distribution. Fourth, it 4. Affected Entities employees, subject to appropriate would clarify that working owners safeguards; and (2) increase retirement without employees are eligible to If finalized, the proposed rule may security for part-time workers, sole participate in MEPs sponsored by bona encourage both the creation of new proprietors, working owners, and other fide employer groups or associations MEPs and the expansion of existing entrepreneurial workers with non- that meet the requirements of the MEPs. In order to determine the entities traditional employer-employee proposal. Fifth, it would establish that this proposal would affect and its relationships by expanding their access criteria under which ‘‘bona fide’’ PEOs effects on those entities, the Department to workplace retirement savings plans, may sponsor MEPs covering the has reviewed the characteristics of including MEPs. The Executive Order employees of their client employers. existing MEPs that file Forms 5500.68 As further directed, to the extent permitted The proposed criteria also result in explained below, however, the by law and supported by sound policy, more MEPs being treated consistently information available on the Form 5500 that the Department consider within 180 under the Code and title I of ERISA, and includes both defined contribution and days of the date of the Executive Order such consistency could remove another defined benefit MEPs. This proposed whether to issue a notice of proposed barrier inhibiting the broader rule is limited to defined contribution rulemaking, other guidance, or both, establishment of MEPs. As discussed pension plans and this document that would clarify when a group or earlier in this preamble, a retirement generally refers only to defined association of employers, or other plan covering employees of multiple contribution MEPs (DC MEPs) when appropriate business or organization employers that satisfies the referring to ‘‘MEPs.’’ Because they are could be an ‘‘employer’’ within the requirements of IRC section 413(c) is part of the multiple employer pension meaning of ERISA section 3(5). considered a single plan under IRC plan filing population, defined benefit In response to the Executive Order, section 413(c), which addresses the tax- MEPs are included in the discussion the Department has conducted a qualified status of MEPs. Moreover, in below to understand the universe of thorough review of its current policies Revenue Procedure 2002–21, 2002–1 MEPs filing the form. This section uses regarding MEPs and determined that its C.B. 911, the IRS issued guidance that the terms DC MEPs and DB MEPs to existing interpretive position is provided an avenue for PEOs to differentiate the types of plans that unnecessarily narrow. The Department administer a MEP for the benefit of currently file Forms 5500. has concluded that regulatory action is worksite employees of client Currently DC MEPs comprise only a appropriate to establish greater organizations and not violate the small share of the private sector flexibility in the regulatory standards exclusive benefit rule.67 retirement system, as shown in Table governing the criteria that must exist in By establishing greater flexibility in 2.69 Based on the latest available data, order for an employer group or the standards and criteria for sponsoring about 4,592 DC MEPs exist with association or PEO to sponsor a MEP. MEPs than previously articulated in approximately 5.1 million total The proposed rule generally would subregulatory interpretive rulings under participants, 4.1 million of whom are provide this flexibility by making five ERISA section 3(5), the proposed active participants. DC MEPs hold about important changes to the Department’s regulation would facilitate the adoption $232 billion in assets.70

TABLE 2—CURRENT STATISTICS ON MEPS

Total Active Number of MEPs participants participants Total assets

MEP DC Plans ...... 4,592 5.1 million ...... 4.1 million ...... $232 billion.

67 See Internal Revenue Code (IRC) section is subject to the requirements of IRC section 413(c) Plan) and the Form 5500–SF (Annual Return/Report 413(c)(2) and § 1.413–2(c) of the Income Tax if it is a single plan and the plan is maintained by of Small Employee Benefit Plan). Regulations, which provide that, in determining more than one employer. 69 EBSA performed these calculations using the whether a MEP is for the exclusive benefit of its See generally Treas. Reg. §§ 1.413–1(a)(2),1.413– 2015 Research File of Form 5500 filings. The employees (and their beneficiaries), all employees 2(a)(2), and 1.414(l)–1(b)(1). However, the estimates are weighted and rounded, which means participating in the plan are treated as employees minimum coverage requirements of IRC section they may not sum precisely. The Department of each such employer. IRC sections 413(c)(1) and derived these estimates by identifying plans that 410(b) and related nondiscrimination requirements (3) provide that IRC sections 410(a) (participation) indicated ‘‘multiple employer plan’’ status on the and 411 (minimum vesting standards) also are are generally applied to a MEP on an employer-by- Form 5500 Part 1 Line A. Then, the Department applied as if all employees of each of the employers employer basis. removed nine plans that upon further review who maintain the plan were employed by a single 68 ‘‘Forms 5500’’ refers collectively to the Form appear to be multiemployer plans. employer. Under Treas. Reg. § 1.413–2(a)(2), a plan 5500 (Annual Return/Report of Employee Benefit 70 Id.

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TABLE 2—CURRENT STATISTICS ON MEPS—Continued

Total Active Number of MEPs participants participants Total assets

As a share of all ERISA DC plans ...... 0.7% 5.3% ...... 5.3% ...... 4.4%.

MEP DC Plans ...... 4,592 5.1 million ...... 4.1 million ...... $232 billion. 401(k) Plans ...... 4,345 4.8 million ...... 3.9 million ...... $216 billion. Other DC Plans ...... 248 0.4 million ...... 0.3 million ...... $15 billion.

MEP DC Plans ...... 4,592 5.1 million ...... 4.1 million ...... $232 billion.

MEP DB Plans ...... 242 1.5 million ...... 0.6 million ...... $132 billion.

Total MEP Plans ...... 4,834 6.6 million ...... 4.7 million ...... $363 billion. Source: EBSA performed these calculations using the 2015 Research File of Form 5500 filings. The estimates are weighted and rounded, which means they may not sum precisely. The Department derived these estimates by identifying plans that indicated ‘‘multiple employer plan’’ status on the Form 5500 Part 1 Line A. Then, the Department removed nine plans that upon further review appear to be multiemployer plans.

Some MEPs are very large; 59 percent withholding, to the individuals who 70, representing 6 percent of all of total participants are in MEPs with perform services for the client similarly aged workers, have no 10,000 or more participants.71 employers. At the end of 2017, there employees and usually work at least 20 Furthermore, 98 percent of total were 907 PEOs operating in the United hours per week, and under this proposal participants are in MEPs with 100 or States, providing services to 175,000 would become eligible to join MEPs.78 more participants. There are 47 MEPs client employers with 3.7 million These workers are involved in a wide 72 75 holding over $1 billion in assets each. employees. The proposed rule would range of occupations: l\Lawyers, In existing DC MEPs, 91.6 percent of allow certain PEOs meeting the doctors, real estate agents, childcare participants direct all of the requirements of paragraph (c) to sponsor providers, as well as ‘‘gig economy’’ investments, another 5.6 percent direct MEPs and offer coverage to their client workers, who provide on-demand the investment of a portion of the assets, employers’ employees. services, often through online and the remainder did not direct the This proposal would benefit many investment of any of the assets.73 workers that might otherwise tend to intermediaries, such as ride-sharing There are caveats to keep in mind lack access to high-quality, affordable, online platforms. In many respects, the when interpreting the data presented in on-the-job retirement savings self-employed are quite different from Table 2 above. For example, under the opportunities. These workers include employees in a traditional employer- Department’s prior subregulatory self-employed individuals, sole employee arrangement. For example, guidance, some plans established and proprietors without employees, self-employed persons often have maintained by groups of employers that participants in the ‘‘gig’’ economy, complex work arrangements—they are might meet the conditions of the ‘‘contingent’’ workers, and workers in more likely to work part-time or hold proposed rule, would currently be various ‘‘alternative’’ work multiple jobs.79 deemed to be individual plans arrangements. Although there are other Gig economy workers, in particular, sponsored by each of the employers in retirement savings vehicles available to may face obstacles to saving for these workers, the workers in these the group. In these circumstances, each retirement. While a number of tax- participating employer is required to file categories are less likely to access and preferred retirement savings vehicles are a Form 5500 just as it would if it participate in retirement plans. For already available to them, many might established its own plan. These filings example, only six percent of self- employed individuals participated in find it difficult and expensive to are indistinguishable from typical 80 single-employer plans and do not retirement plans in 2013.76 Among navigate these options on their own. appear in the data set as identifiable contingent workers, only 23 percent Relatively few gig workers have access multiple employer plans.74 were eligible to participate in employer- to employer-sponsored retirement plans, As stated earlier in this preamble, provided retirement plans in 2017.77 PEOs generally are entities that enter The proposal would provide many of 78 DOL tabulations of the June 2018 Current into agreements with client employers these workers with a new opportunity to Population Survey basic monthly data. access a retirement plan by joining a 79 For tax administrative data, see Emilie Jackson, to provide certain employment Adam Looney, and Shanthi Ramnath, ‘‘The Rise of responsibilities, such as tax MEP. Approximately 8 million self- Alternative Work Arrangements: Evidence and employed workers between ages 21 and Implications for Tax Filing and Benefit Coverage.’’ 71 Id. U.S. Department of Treasury, Office of Tax 72 Id. 75 Laurie Bassi and Dan McMurrer, ‘‘An Economic Analysis, Working Paper 114 (January 2017). For 73 Id. Analysis: The PEO Industry Footprint in 2018,’’ survey data, see the Survey of Business Owners and 74 In addition, there are some plans that are National Association of Professional Employer Self-Employed Persons, 2012 from the Census erroneously indicating that they are ‘‘multiple Organizations, September 2018, available at https:// Bureau at https://factfinder.census.gov/faces/ employer plans’’ rather than ‘‘single-employer www.napeo.org/docs/default-source/white-papers/ tableservices/jsf/pages/productview.xhtml?pid= _ _ plans’’ under title I of ERISA. These plans may in 2018-white-paper-final.pdf?sfvrsn=6. SBO 2012 00CSCBO04&prodType=table. fact be group or association or PEO-type MEPs that 76 Craig Copeland, ‘‘Employment-Based 80 For related information see, for example, do not meet the conditions of the prior DOL Retirement Plan Participation: Geographic Jonathan Kahler, ‘‘Retirement planning in a ‘gig subregulatory guidance. This distorts the database Differences and Trends, 2013,’’ EBRI Issue Brief, no. economy’,’’ Vanguard, June 13, 2018, available at and leads to inaccurate estimates. In particular, the 405, October 2014. In this report, the self-employed https://vanguardblog.com/2018/06/13/retirement- high number of plans erroneously reporting that include mostly unincorporated self-employed. planning-in-a-gig-economy/, which explains that a they are MEPs likely overestimates the number of 77 Bureau of Labor Statistics, ‘‘Contingent and gig worker is ‘‘running your own HR department existing MEPs for purposes of title I of ERISA and Alternative Employment Arrangements—May and you’re the benefits manager, which means underestimates the average size of MEPs. 2017,’’ June 7, 2018. taking sole responsibility for your retirement.’’

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one survey found.81 According to (51 percent) to be eligible for employer- transferring much of the legal risks and another survey, many traditional provided retirement plans.86 Thus, by responsibilities to professional workers who pursue gig work on the allowing the self-employed to fiduciaries who would be responsible side do so at least partly to help them participate in MEPs, the proposal would for managing plan assets and selecting save more for retirement. On the other increase retirement plan access for investment menu options, among other hand, most of those for whom gig work them. things. Participating employers’ is their main job have less than $1,000 continuing involvement in the day-to- 5. Benefits set aside for retirement.82 MEPs could day operations and administration of help raise awareness and ease entry to a. Expanded Access to Coverage their MEP generally could be limited to retirement coverage for broad classes of Generally, employees rarely choose to enrolling employees and forwarding gig workers such as on-demand drivers save for retirement outside of the voluntary employee and employer or workers in cities where gig work is workplace, despite having options to contributions to the plan. Thus, common. save in tax-favored savings vehicles, participating employers could keep According to the May 2017 such as investing either in traditional more of their day-to-day focus on Contingent Worker Supplement survey, IRAs or Roth IRAs. Thus, the managing their businesses, rather than 3.8 percent of workers identified availability of workplace retirement their pension plans. themselves as ‘‘contingent’’ workers,83 plans is a significant factor affecting Congress has repeatedly enacted meaning they did not expect their jobs legislation intended to lower costs, to last or reported that their jobs were whether workers save for their retirement. Yet, despite the advantages simplify requirements, and ease temporary. About 10 percent of workers administrative burdens for small fell under ‘‘alternative,’’ non-traditional of workplace retirement plans, access to such plans for employees of small employers to sponsor retirement plans. work arrangements that include For example, the Revenue Act of 1978 87 independent contractors, on-call businesses is relatively low. The proposal’s expansion of access to certain and the Small Business Job Protection workers, temporary help agency 88 MEPs would enable groups of private- Act of 1996 established the SEP IRA workers, and workers provided by plan and the SIMPLE IRA plan, contract firms.84 The group of sector employers to participate in a collective retirement plan and provide respectively, featuring fewer compliance contingent workers and the group of requirements than other plan types. The workers in alternative arrangements employers with another efficient way to reduce some costs of offering workplace Economic Growth and Tax Relief overlap. Using a different survey, Katz Reconciliation Act of 2001 (EGTRRA) 89 and Krueger, found that the share of retirement plans. Thereby, more plan formation and broader availability of included provisions that are intended to workers in alternative arrangements was increase access to retirement plans for 85 such plans would occur, especially approximately 15.8 percent in 2015. small businesses by: (1) Eliminating top- Policymakers have expressed concern among small employers. The MEP structure could address heavy testing requirements for safe about whether some gig workers, and, harbor 401(k) plans; (2) increasing more generally self-employed persons, significant concerns from employers about the costs to set up and administer contribution limits for employer- have access to retirement plans and sponsored IRA plans and 401(k) plans; adequately save for retirement. retirement benefit plans. In order to participate in a MEP, employers and (3) creating tax credits for small According to the Contingent Worker employers to offset new plan startup Survey, in 2017, 23 percent of generally would be required to execute a participation agreement or similar costs and for individuals within certain contingent workers were eligible to income limits who make eligible participate in employer provided instrument setting forth the rights and contributions to retirement plans. retirement plans, which is substantially obligations of the MEP and participating Despite these legislative efforts to lower than the corresponding 48 percent employers. These employers would then increase access to retirement savings figure for non-contingent workers. be participating in a single plan, rather plans for small employers, as shown in Workers in alternative arrangements (13 than sponsoring their own separate, Table 1, above, the percentage of the percent for temporary help agency individual ERISA-covered plan; U.S. workforce participating in a workers, 35 percent for on-call workers, therefore the employer group or workplace retirement plan remains and 48 percent for workers provided by association or PEO would be acting as around 50 percent. Therefore, a critical contract firms) were less likely than the ‘‘employer’’ sponsoring the MEP question is whether MEPs meeting the workers with traditional arrangements within the meaning of section 3(5) of ERISA. That employer group or requirements of the proposal can 81 ‘‘Gig Workers in America: Profiles, Mindsets, association typically, or in the case of increase access to workplace retirement and Financial Wellness,’’ Prudential, 2017, PEOs always, would assume the roles of plans when other initiatives have had available at http://research.prudential.com/ plan administrator and named fiduciary. limited effect. Several factors indicate to documents/rp/Gig_Economy_Whitepaper.pdf. the Department that they can. 82 The individual employers would not be ‘‘Gig Economy and the Future of Retirement,’’ First, the Department believes that Betterment, 2018, available at https:// directly responsible for the MEP’s www.betterment.com/wp-content/uploads/2018/05/ overall compliance with ERISA’s employers may be more likely to The-Gig-Economy-Freelancing-and-Retirement- reporting and disclosure obligations. participate in a MEP sponsored by a Betterment-Survey-2018_edited.pdf. This same Accordingly, the MEP structure could PEO, group, or association of employers survey found, however, that most gig workers are with which they have a pre-existing paying off debt. It is sometimes better to retire debt address small employers’ concerns before saving aggressively for retirement. regarding the cost associated with relationship based on trust, familiarity, 83 U.S. Bureau of Labor Statistics, ‘‘Contingent fiduciary liability of sponsoring a and efficiency stemming from that and Alternative Employment Arrangements—May retirement plan by effectively relationship. For example, a PEO that 2017’’ (June 7, 2018). performs payroll or human resources 84 Id. 85 Lawrence F. Katz & Alan B. Krueger, ‘‘The Rise 86 The self-employed—both incorporated and 87 and Nature of Alternative Work Arrangements in unincorporated—and the independent contractors Public Law 95–600, sec. 152, 92 Stat. 2763, the United States, 1995–2015,’’ (June 18, 2017). were excluded from calculating these percentages. 2791. This survey has a smaller sample size than the See U.S. Bureau of Labor Statistics, ‘‘Contingent 88 Public Law 104–188, sec. 1421, 110 Stat. 1755, Contingent Worker Survey conducted by the Bureau and Alternative Employment Arrangements—May 1792. of Labor Statistics. 2017’’ (2018). 89 Public Law 107–16, 115 Stat. 38.

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services for an employer would have payroll internally.92 This may be can command greater profits than in an connected information technology evidence of causation: Outsourcing environment with perfect competition. infrastructures that would facilitate payroll may encourage employers to Very large plans may sometimes efficient transfers of employee and offer retirement plans because it makes exercise their own market power to employer contributions. Similarly, small such offering less costly, as some of the negotiate lower prices, translating what employers obtaining health insurance information technology infrastructure would have been higher revenue for coverage through an AHP sponsored by necessary to maintain a retirement plan financial services providers into savings a group or association may find it already is in place. On the other hand, for member employers and employee convenient and cost effective to this might be mere correlation, wherein participants. establish retirement plans offered by the small employers generating steady There may be times when scale same group or association. In many revenue streams are more likely to efficiencies would not translate into savings for small employer members cases, the group or association and outsource payroll systems and also more likely to sponsor retirement plans in the and their employee participants because small employers may link their near future because they are generally regulatory requirements applicable to information technology systems to more financially secure. large MEPs may be more stringent than collect health care premiums from As further discussed in the 90 those applicable to most separate small participating employers, and that uncertainty section below, the plans. For example, some small plans infrastructure could also be used to Department does not have sufficient are exempt from annual reporting collect retirement contributions, data to determine precisely the likely requirements, and many others are resulting in IT-related start-up costs extent of participation by small subject to more streamlined reporting savings. In addition, small employers’ employers and the self-employed in requirements than larger plans. and self-employed individuals may MEPs under the proposal. However, But in most cases, the savings from encounter fewer administrative burdens overall, the Department believes that the scale efficiency of MEPs would be larger if the same group or association proposed rule would provide a new than the savings from scale efficiencies administers both their health and valuable option for small employers and that other providers of bundled retirement plans. the self-employed to adopt retirement financial services could offer to small Second, employers may be savings plans for their employees, employers. First, the market position of incentivized to sponsor these plans which could increase access to MEPs would sometimes provide them based on cost savings that may occur retirement plans for many American with relative advantages over other workers. when payroll services are integrated providers of bundled financial services. with retirement plan record-keeping b. Reduced Fees and Administration For example, existing groups, systems. Several firms in the market Savings associations, or PEOs that have multi- already provide payroll services and purpose relationships with small Many MEPs would benefit from scale employers may enjoy lower marginal plan record-keeping services advantages that small businesses do not costs for marketing, distributing, and particularly tailored to small currently enjoy, and MEPs would pass administering defined benefit plans employers.91 These firms can afford to some of the attendant savings onto through MEPs with their member provide these integrated services at a participating employers and 93 employers than other providers of competitive price, suggesting that participants. Grouping small bundled financial services enjoy. integrating these services could lead to employers together into a MEP could Second, the legal status of MEPs as a some efficiency gains. Since PEOs facilitate savings through administrative single large plan may streamline certain already provide payroll services to efficiencies (economies of scale) and regulatory burdens. For example, a MEP client employers, a MEP sponsored by a sometimes through price negotiation can file a single annual return/report PEO can reap the benefits of integrating (market power). The degree of potential and obtain a single bond in lieu of the savings may be different for different these services, which can in turn benefit multiple reports and bonds necessary types of administrative functions. For participating employers through lower when other providers of bundled example, scale efficiencies can be very fees and ease of administration. financial services administer many large with respect to asset management, According to a survey of small separate plans. employers, those with outsourced and may be smaller, but still Relative to separate small employer payroll systems are twice as likely to meaningful, with respect to plans, MEPs operating as a large single begin offering a retirement plan in the recordkeeping. plan would likely secure substantially Large scale may create two distinct next two years as those that handle their lower prices from financial services economic advantages for MEPs. First, as companies. Asset managers commonly scale increases, marginal costs for MEPs 90 In the analogous context of health plans, the offer proportionately lower prices, would diminish, and MEPs would Department recently issued a final regulation that relative to assets invested, to larger spread fixed costs over a larger pool of enhances the ability of unrelated employers to band investors, under so-called tiered pricing together to provide health benefits through a single member employers and employee practices. For example, investment ERISA-covered plan called an AHP. The AHP Rule, participants, creating direct economic which was issued on June 21, 2018, expands access companies often offer lower-priced efficiencies. Second, larger scale may to more affordable, quality health care by amending mutual fund share classes to customers increase the negotiating power of MEPs. the definition of ‘‘employer’’ under section 3(5) of whose investments in a fund surpass ERISA for AHPs. Similar to this proposal, the AHP Negotiating power matters when specified break points.94 Rule established alternative criteria under ERISA’s competition among financial services These lower section 3(5) definition of employer to permit more providers is less than perfect and they groups or associations of employers to establish a 94 Sarah Holden, James Duvall, and Elena Barone multiple employer group health plan that is a single Chism, ‘‘The Economics of Providing 401(k) Plans: employee welfare benefit plan within the meaning 92 The Pew Charitable Trusts, ‘‘Employer Barriers Services, Fees, and Expenses, 2017,’’ ICI Research of ERISA section 3(1) of ERISA. to and Motivations for Offering Retirement Perspective 24: no. 4 (June 2018) (concluding that 91 Cerulli Associates, U.S. Retirement Markets Benefits,’’ 2017. 401(k) mutual fund investors pay lower expense 2016 (available at https://www.cerulli.com/vapi/ 93 See, e.g., BlackRock, ‘‘Expanding Access to ratios for a number or reasons, including ‘‘market public/getcerullifile?filecid=Cerulli-US-Retirement- Retirement Savings for Small Business,’’ Viewpoint discipline’’ imposed by performance- and cost- Markets-2016-Information-Packet). (Nov. 2015). Continued

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prices may reflect scale economies in distribution costs, reflecting services. However, the scale efficiencies any or all aspects of administering larger commissions paid to agents and brokers of MEPs would still likely be smaller accounts, such as marketing, who sell investment products to plans. than the scale efficiencies enjoyed by distribution, asset management, MEPs, unlike large single-employer very large single-employer plans. The recordkeeping, and transaction plans, must themselves incur some cost Department invites comments on the processing. Large MEPs would likely to distribute retirement plans to large nature, magnitude, and determinants of qualify for lower pricing compared with numbers of small businesses. But MEPs’ potential scale advantages, and separate plans of small employers. MEP relative to traditional agents and on the conditions under which MEPs participants that benefit from lower brokers, MEPs could reduce costs if they will pass more or less of the attendant asset-based fees would enjoy superior are able to take economic advantage of savings to different participating investment returns net of fees. members’ existing ties to a sponsoring employers. The availability and magnitude of group or association of employers or By enabling MEPs to comprise scale efficiencies may be different with PEO. This can be a more efficient otherwise unrelated small employers respect to different retirement plan business model than sending out and self-employed individuals (1) who services. For example, asset brokers and investment advisers to are in the same trade, industry, line of management generally enjoys very large- reach out to small businesses one-by- business, or profession; or (2) have a scale efficiencies. Investors of all kinds one, which could result in lower principal place of business with a region generally benefit by investing in large administrative fees for plan sponsors that does not exceed the boundaries of co-mingled pools. Even within large and participants. the same State or metropolitan area pools, however, small investors often For much the same reason, MEPs (even if the area includes more than one pay higher prices than larger ones. sponsored by pre-existing groups or State), this proposed rule would allow Mutual funds often charge lower ‘‘asset associations of employers that perform more MEPs to be established and to management’’ fees for larger investors, multiple functions for their members claim a significant market presence and in both retail and institutional markets. other than offering retirement coverage thereby pursue scale advantages. The Department invites comments on (such as chambers of commerce or trade Consequently, this proposal would the degree to which large MEPs would associations) and PEOs might have more extend scale advantages to some MEPs provide small employers with scale potential to deliver administrative that otherwise might have been too advantages in asset management larger savings than those established for the small to achieve them and to small than those provided by other large principal purpose of offering retirement employers and working owners that pooled asset management vehicles, such coverage. These existing organizations absent the proposal would have offered as mutual funds, available to separate may already have extensive separate plans (or no plans) but that small plans. memberships and relationships with under this proposal may join large As with asset management, scale small employers; thus, they may have MEPs. efficiencies often are available with fewer setup, recruitment, and While MEPs’ scale advantages may be respect to other plan services. For enrollment costs than organizations smaller than the scale advantages example, the marginal costs for services newly formed to offer retirement enjoyed by very large single-employer such as marketing and distribution, benefits. These existing organizations plans, it nonetheless is illuminating to account administration, and transaction may currently be limited in their ability consider the deep savings historically processing often decrease as customer to offer MEPs to some or all of their enjoyed by the latter. Table 3 shows size increases. MEPs, as large customers, existing members and clients (for how much investment fees vary based may enjoy scale efficiencies in the example, to working owners, workers on the amount of assets in a 401(k) acquisition of such services. It is also outside of a common industry, or plan.95 The table focuses on mutual possible, however, that the cost to MEPs employers contracting with PEOs) by funds, which are the most common of servicing their small employer- the Department’s prior subregulatory investment vehicle in 401(k) plans, and members may diminish or even offset guidance. Under the requirements of shows that the average expense ratio for such efficiencies. Stated differently, this proposed rule, they could newly several dominant types of mutual funds MEPs scale efficiencies may not always provide such members and clients with is much lower for large plans than for exceed the scale efficiencies from other access to MEPs. smaller plans. And this data shows the providers of bundled financial services All of this suggests that many MEPs fees actually paid, rather than the lowest used by small employers that sponsor will enjoy scale efficiencies greater than fees available to a plan. It is unclear separate plans. For example, small the scale efficiencies available from what features and quality aspects pension plans sometimes incur high other providers of bundled financial accompanied the fees.

TABLE 3—AVERAGE EXPENSE RATIOS OF MUTUAL FUNDS IN 401(K) PLANS IN BASIS POINTS, 2015

International International Balanced Plan assets Domestic equity equity Domestic bond bond Target date mutual funds mutual funds mutual funds mutual funds mutual funds mutual funds (non-target date)

$1M–$10M ...... 81 101 72 85 79 80 $10M–$50M ...... 68 85 59 77 68 64

conscious plan sponsors). See also Russel Kinnel, About Mutual Fund Share Classes and plans with audited 401(k) filings in the BrightScope ‘‘Mutual Fund Expense Ratio Trends,’’ Morningstar, Breakpoints,’’ at http://www.vanguard.com/pdf/ database for 2015 and comprises 15,110 plans with (June 2014), at https://corporate.morningstar.com/ v415.pdf (stating that investors in certain class $1.4 trillion in mutual fund assets. Plans were us/documents/researchpapers/fee_trend.pdf shares may be eligible for volume discounts if their included if they had at least $1 million in assets and (accessed Aug. 21, 2018) (stating that breakpoints purchases meet certain investment levels, or between 4 and 100 investment options. are built into mutual fund management fees so that breakpoints). BrightScope/ICI, ‘‘The BrightScope/ICI Defined a fund charges less for each additional dollar 95 Average expense ratios are expressed in basis Contribution Plan Profile: A Close Look at 401(k) managed); Vanguard, ‘‘What You Should Know points and asset-weighted. The sample includes Plans, 2015’’ (March 2018).

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TABLE 3—AVERAGE EXPENSE RATIOS OF MUTUAL FUNDS IN 401(K) PLANS IN BASIS POINTS, 2015—Continued

International International Balanced Plan assets Domestic equity equity Domestic bond bond Target date mutual funds mutual funds mutual funds mutual funds mutual funds mutual funds (non-target date)

$50M–$100M ...... 55 72 44 66 54 50 $100M–$250M ..... 52 68 40 64 55 45 $250M–$500M ..... 49 63 36 67 50 42 $500M–$1B ...... 45 60 33 65 50 39 More than $1B ..... 36 52 26 65 48 32 Source: Average expense ratios are expressed in basis points and asset-weighted. The sample includes plans with audited 401(k) filings in the BrightScope database for 2015 and comprises 15,110 plans with $1.4 trillion in mutual fund assets. Plans were included if they had at least $1 million in assets and between 4 and 100 investment options. BrightScope/ICI, ‘‘The BrightScope/ICI Defined Contribution Plan Profile: A Close Look at 401(k) Plans, 2015’’ (March 2018).

There are some important caveats to and size could be either stronger or a more comparable measure than the interpreting Table 3. The first is that it weaker than Table 3 suggests, creating data presented above in Table 3. When does not include data for most of the some uncertainty about how large an plans invest in mutual funds and smallest plans because plans with fewer advantage MEPs could offer. similar products, BrightScope uses than 100 participants generally are not An alternative method of comparing expense data from Lipper, a financial required to submit audited financial potential size advantages is a broader services firm. When plans invest in statements with their Forms 5500. The measure called ‘‘total plan cost’’ collective investment trusts and pooled 96 second is that there is variation across calculated by Brightscope. Total plan separate accounts, BrightScope cost likely provides a better way to plans in whether and to what degree the generates an estimate of the investment compare costs because, in addition to cost of recordkeeping is included in the fees. costs paid in the form of expense ratios, mutual fund expense ratios paid by it includes fees reported on the audited Using total plan cost yields generally participants. In plans where Form 5500. It comprises all costs very similar results about the cost recordkeeping is not entirely included regardless of whether they are paid by differences facing small and large plans. in the expense ratios, it may be paid by the plan, the employer, or the Table 4 shows that very few of the employers, as a per-participant fee, or as participants. Total plan cost includes smaller plans are enjoying the low fees some combination of these. These recordkeeping services for all plans, for that are commonplace among larger caveats mean that the link between fees example, which is one reason that it is plans.97

TABLE 4—LARGER PLANS TEND TO HAVE LOWER FEES OVERALL

Total plan cost Plan assets (in basis points) 10th percentile Median 90th percentile

$1M–$10M ...... 75 111 162 $10M–$50M ...... 61 91 129 $50M–$100M ...... 37 65 93 $100M–$250M ...... 22 54 74 $250M–$500M ...... 21 48 66 $500M–$1B ...... 21 43 59 More than $1B ...... 14 27 51 Source: Data is plan-weighted. The sample is plans with audited 401(k) filings in the BrightScope database for 2015, which comprises 18,853 plans with $3.2 trillion in assets. Plans were included if they had at least $1 million in assets and between 4 and 100 investment options. BrightScope/ICI, ‘‘The BrightScope/ICI Defined Contribution Plan Profile: A Close Look at 401(k) Plans, 2015’’ (March 2018).

Deloitte Consulting LLP, for the participants.98 Small plans with 10 plans and their participants. Because Investment Company Institute, participants are paying about 90 basis this rule would give many small conducted a survey of 361 defined points more than large plans with employers the opportunity to join a contribution plans. The study calculates 50,000 participants. Deloitte predicted MEP, some of which are very large an ‘‘all-in’’ fee that is comparable across these estimates by analyzing the survey plans, then many of these employers plans. It includes both administrative results using a regression approach, would likely incur lower fees. Many and investment fees paid by both the calculating basis points as a share of employers that are not currently offering plan and the participant. Generally, assets. any retirement plan may join a MEP, small plans with 10 participants are These research findings have shown leading their employees to save for paying approximately 50 basis points that small plans and their participants retirement. Many employers already more than plans with 1,000 generally pay higher fees than large sponsoring a retirement plan might

96 Id. they had at least $1 million in assets and between Assessing the Mechanics of the ‘All-in’ Fee’’ (Aug. 97 Id. Data is plan-weighted. The sample is plans 4 and 100 investment options. 2014). with audited 401(k) filings in the BrightScope 98 Deloitte Consulting and Investment Company database for 2015, which comprises 18,853 plans Institute, ‘‘Inside the Structure of Defined with $3.2 trillion in assets. Plans were included if Contribution/401(k) Plan Fees, 2013: A Study

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decide to join a MEP instead, seeking reports.99 Hiring an auditor and an association MEP and $8,165 per year lower fees and reduced fiduciary obtaining an audit report can be costly for a large plan joining a PEO MEP.104 liability exposure. If there indeed are for plans, and audit fees may increase as It is less clear whether the self- lower fees in the MEPs than in their plans get larger or if plans are more employed would experience similar previous plans, those lower fees could complex. Some recent reports state that reporting cost savings by joining a MEP. translate into higher savings. the fee to audit a 401(k) plan ranges The Department estimates these between $6,500 and $13,000.100 potential cost savings by comparing the c. Reporting and Audit Cost Savings If an employer joins a MEP meeting reporting costs of an employer that the requirements of the proposal, it can participates in a MEP rather than The potential for MEPs to enjoy save some costs associated with filing sponsoring its own plan. But as reporting cost savings merits separate Form 5500 and fulfilling audit discussed earlier, several retirement attention because this potential is requirements because a MEP is savings options are already available for shaped by not only economic forces, but considered a single plan. Thus, one self-employed persons, and most have also the reporting requirements Form 5500 and audit report would minimal or no reporting requirements. applicable to different plans. On the one satisfy the reporting requirements, and For example, both SEP IRA and SIMPLE hand, a MEP, as a single plan, can file each participating employer would not IRA plans are available for small a single report and conduct a single need to file its own, separate Form 5500 employers and the self-employed, and audit, while separate plans may be and, for large plans or those few small neither option requires Form 5500 required to file separate reports and plans that do not meet the small plan filings.105 Solo 401(k) plans are also conduct separate audits. On the other audit waiver, an audit report. According available to the self-employed persons, hand, a MEP, as a large plan, is to a GAO report, most association MEPs and they may be exempt from Form generally subject to more stringent interviewed by the GAO have over 100 5500–EZ reporting requirement if the reporting and audit requirements than a participating employers.101 PEOs also plans assets are less than $250,000.106 small plan, which likely files no or tend to have a large number of client Thus, if self-employed individuals join streamlined reports and undergoes no employers, at least 400 participating a MEP, they would be unlikely to realize audits. With respect to reporting and employers in their PEO-sponsored DC reporting costs savings. In fact, it is audits then, MEPs sometimes may offer plans.102 Assuming reporting costs are possible that their reporting costs could more savings to medium-sized shared by participating employers slightly increase, because the self- employers (with more than 100 within a MEP, an employer joining a employed would share reporting costs retirement plan participants) already MEP can save virtually all the reporting with other MEP participating employers subject to more stringent reporting and costs discussed above. As PEOs seem to that they otherwise would not incur. have more participating employers than audit requirements than to small d. Reduced Bonding Costs employers. Small employers that associations, an employer sometimes otherwise would have fallen outside of might save slightly more by joining a The potential for bonding cost savings reporting and audit requirements PEO MEP compared to joining a group in MEPs merits separate attention. As sometimes might incur slightly higher or association MEP, but the additional noted above, ERISA section 412 and 107 costs by joining MEPs, though this savings are minimal.103 Large plans related regulations generally require increase is likely to be offset by other could enjoy even higher cost savings if every fiduciary of an employee benefit sources of MEP savings and by audit costs are taken into account. The plan and every person who handles improved security and availability of Department estimates that reporting cost funds or other property of such plan to be bonded. ERISA’s bonding data that might derive from MEPs’ savings associated with Form 5500 and requirements are intended to protect reporting and audits. an audit report would be approximately $8,103 per year for a large plan joining employee benefit plans from risk of loss Sponsors of ERISA-covered retirement due to fraud or dishonesty on the part plans generally must file a Form 5500, 99 Under certain circumstances, some small plans with all required schedules and may still need to attach auditor’s reports. For more 104 The Department conservatively estimated attachments annually. The cost burden details, see https://www.dol.gov/sites/default/files/ these cost savings based on the lower end of the incurred to satisfy the Form 5500 ebsa/employers-and-advisers/plan-administration- audit fees, $6,500. If the higher end of the fees, and-compliance/reporting-and-filing/form-5500/ $13,000 is assumed, the annual cost savings for related reporting requirements varies by 2017-instructions.pdf. In 2015, approximately 3,600 large plans (including audit fees and estimated plan type, size, and complexity. small plans that filed the Form 5500 and not the Form 5500 preparation costs) would range from Analyzing the 2015 Form 5500 filings, Form 5500–SF submitted audit reports as part of $14,538 per filer to $14,649 per filer. their Form 5500 filing. 105 the Department estimates that the SEPs that conform to the alternative method 100 See https://www.thayerpartnersllc.com/blog/ of compliance in 29 CFR 2520.104–48 or 2520.104– average cost to file the Form 5500 is as the-hidden-costs-of-a-401k-audit. 49 do not have to file a Form 5500; SIMPLEs do follows: $276 per filer for small 101 U.S. Government Accountability Office, GAO– not have to file. For more detailed reporting (generally less than 100 plan 12–665, ‘‘Federal Agencies Should Collect Data and requirements for SEPs and SIMPLE IRAs, see _ _ participants) single-employer DC plans Coordinate Oversight of Multiple Employer Plans,’’ https://www.irs.gov/pub/irs-tege/forum15 sep (Sept. 2012) (https://www.gao.gov/products/GAO- simple_avoiding_pitfalls.pdf; see also https:// eligible for Form 5500–SF; $437 per filer 12-665). www.irs.gov/retirement-plans/retirement-plans-for- for small single-employer DC plans not 102 Id. self-employed-people. eligible to file Form 5500–SF; and 103 Cost savings for small single employer DC 106 Sometimes solo 401(k) is called as ‘‘individual $1,685 per filer for large (generally 100 plans eligible for Form 5500–SF would be $259.51 401(k),’’ or ‘‘one-participant 401(k)’’ or ‘‘uni- per filer if it joins an association-sponsored MEP as 401(k).’’ For more information about solo-401(k) participants or more) single-employer opposed to $272.15 per filer if it joins a PEO- plans, including reporting requirements, see https:// DC plans, plus the cost of an audit. sponsored MEP; for small single employer DC plans www.irs.gov/retirement-plans/one-participant-401k- Additional schedules and reporting not eligible for Form 5500–SF cost savings would plans. Because solo 401(k) plans do not cover any be $420.31 per filer if it joins an association- common law employees, they are not required to may be required for large and complex sponsored MEP as opposed to $432.94 per filer if file an annual report under title I of ERISA, but plans. For example, large retirement it joins a PEO-sponsored MEP; for large single must file a return under the Code. Such plans may plans are required to attach auditor’s employer DC plans cost savings would be $1,668.36 be able to file a Form 5500–SF electronically to reports with Form 5500. Most small per filer if it joins an association-sponsored MEP as satisfy the requirement to file a Form 5500–EZ with opposed to $1,681.00 per filer if it joins a PEO- the IRS. plans are not required to attach such sponsored MEP. 107 29 CFR 2550.412–1 and 29 CFR part 2580.

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of persons who handle plan funds or automatic enrollment, while only about MEP are in the same industry or are other property, generally referred to as 34 percent of plans with 1–49 located in the same geographic area. plan officials. A plan official must be participants do.111 g. Increased Labor Market Efficiency bonded for at least 10 percent of the Some workers may be saving in an amount of funds he or she handles, IRA, either in an employer-sponsored The increased prevalence of MEPs subject to a minimum bond amount of IRA, payroll deduction IRA, or on their would allow small employers the $1,000 per plan with respect to which own. If they begin participating in a opportunity to offer retirement benefits the plan official has handling functions. MEP 401(k), they would have the that are comparable to what large In most instances, the maximum bond opportunity to take advantage of higher employers provide. Since employees amount that can be required under contribution limits, and some value retirement benefits, this ERISA with respect to any one plan individuals could begin receiving development would tend to shift official is $500,000 per plan; however, employer contributions when talented employees toward small the maximum required bond amount is participating in a MEP when they did businesses. Such a shift would make $1,000,000 for plan officials of plans not previously. small businesses more competitive. The that hold employer securities.108 reallocation of talent across different Under the proposed rule, MEPs In general, MEPs could offer sectors of the economy would increase generally might enjoy lower bonding participants a way to save for retirement efficiency.114 costs than would an otherwise with lower fees. In particular, the fees equivalent collection of smaller, are likely to be lower than in most small h. Increased Equality separate plans, for two reasons. First, it plans and in retail IRAs. The savings in Increased availability of MEPs also might be less expensive to buy one bond fees could result in higher investment has the potential to increase equality covering a large number of individuals returns and thus higher retirement among workers saving for retirement. As who handle plan funds than a large savings. noted above, automatic enrollment is number of bonds covering the same f. Improved Portability particularly common among larger individuals separately or in smaller plans, and one study found that from more numerous groups. Second, the In an economy where workers may 2007 to 2010, increasing use of number of people handling plan funds change jobs many times over their automatic enrollment by plan sponsors and therefore subject to ERISA’s career, portability of retirement savings increased participation in such plans.115 bonding requirement in the context of a is an important feature that can help Indeed, defined contribution pension MEP may be smaller than in the context workers keep track of their savings, plan participation dramatically of an otherwise equivalent collection of retain tax-qualified status, and gain increases when plans have an automatic smaller, separate plans. access to the investment options and enrollment feature, which helps bring e. Increased Retirement Savings fees that they desire. Some plan black and Hispanic participation to sponsors are not willing to accept similar levels as whites and Asians.116 The various effects of this rule, if rollovers from other qualified plans, finalized, could lead in aggregate to For those not subject to automatic which impedes portability. This is true enrollment, black and Hispanic increased retirement savings. As particularly with respect to small plan discussed above, many workers would participation rates are 13 percentage sponsors that do not want to confront points and 18 percentage points, likely go from not having any access to the administrative burden associated a retirement plan to having access respectively, behind white with processing rollovers. On the other 117 through a MEP. This has the potential participation. However, for those hand, most large plans accept rollovers subject to automatic enrollment, black to result in an increase in retirement from other qualified plans, and the savings, on average, for this group of and Hispanic participation rates are Department believes that it is reasonable only three percentage points and two workers. While some workers may to assume that MEPs meeting the choose not to participate, surveys percentage points behind white requirements of this proposal also 118 indicate that a large number could. For participation. The effect of automatic would accept rollovers, because, enrollment on minority participation is a defined contribution pension plan, generally, they would constitute large about 73 percent of all workers with even more pronounced for lower salary plans.112 Moreover, MEPs could 119 access take up the plan.109 brackets. It is likely that minority Among facilitate increased portability for workers whose salary tends to be in the participation rate would similarly employees that leave employment to increase if MEPs include an automatic lowest 10 percent of the salary range, work for another employer that adopted this figure is about 40 percent.110 One enrollment feature like most large the same MEP.113 This might occur retirement plans. reason that these take-up rates are when the employers that adopted the relatively high is that many plans use This proposed rule also has the automatic enrollment to enroll newly potential to increase equality among 111 Plan Sponsor Council of America, ‘‘60th hired workers, as well as, sometimes, Annual Survey of Profit Sharing and 401(k) Plans, men and women in terms of retirement existing workers. Automatic enrollment Reflecting 2016 Plan Year Experience’’ (2017), savings. As of 2012, working women are is particularly prevalent among large Table 107. participating in retirement plans at the plans; in 2016 about 75 percent of plans 112 A survey of plan sponsors indicates that in 2016, about 76 percent of 401(k) plans with 1–49 with 1,000–4,999 participants use 114 John J. Kalamarides, Robert J. Doyle, and participants accepted rollovers from other plans. Bennett Kleinberg, ‘‘Multiple Employer Plans: Among larger plans, the figure is much higher; for Expanding Retirement Savings Opportunities,’’ 108 See DOL Field Assistance Bulletin 2008–04, example, approximately 95 percent of plans with Prudential (Feb. 2017). https://www.dol.gov/agencies/ebsa/employers-and- 1,000–4,999 participants accept rollovers. The full 115 advisers/guidance/field-assistance-bulletins/2008- details are more complex because many 401(k) The Ariel/Aon Hewitt Study, ‘‘401(k) Plans in 04. plans responding yes accept rollover from some Living Color: A Study of 401(k) Savings Disparities 109 These statistics apply to private industry. U.S. sources, such as another 401(k) plan, but not others, Across Racial and Ethnic Groups,’’ (April 2012). Bureau of Labor Statistics, National Compensation such as a defined benefit pension or an IRA. 116 Id. Survey, Employee Benefits in the U.S. (March 113 Paul M. Secunda, ‘‘Uber Retirement,’’ 117 Id. 2018). Marquette Law School Legal Studies Paper No. 17– 118 Id. 110 Id. 1, (Jan. 2017). 119 Id.

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same rate as working men,120 but savings vehicle due to lack of access to The Department continually strives to women are still less prepared for a workplace retirement plan do not reap detect and correct filing errors and to retirement than men due to differences this relative advantage. This proposed improve filing instructions. in labor force participation and rule would likely increase the number Nonetheless, data quality could be household production. In addition to of American workers with access to a improved insofar as MEPs meeting the having more time out of the labor force tax-qualified workplace retirement plan, requirements of the proposal would be on average, women are more likely to which would spread this financial likely to possess the expertise to file work part time, leading to lower savings advantage to some people who are not Form 5500 correctly. Moreover, it might in DC plans and lower accruals in DB currently receiving it. require fewer resources for the plans. In 2014, among Vanguard’s three Department to detect and correct filing i. Improved Data Collection million participants, the median amount errors among a relatively small number accumulated in defined contribution This proposed rule also has the of reports filed by large MEPs than pension plan accounts was $36,875 for potential to improve the Department’s among a far larger number of reports men and $24,446 for women. For data collection for purposes of its ERISA filed by separate small plans. enforcement. As noted above, the defined benefit pension plans in 2010, 6. Costs men received $17,856 in median expansion of MEPs is likely to lead to income, whereas women received some employers who previously filed The proposed rule would not impose $12,000. For individuals that are 65 and their own Form 5500s 123 to join a MEP any direct costs because it merely older, women have a median household that files a single Form 5500 on behalf clarifies which persons may act as an income that is 26 percent less income of its participating employers. Since ‘‘employer’’ within the meaning of than that for men.121 This proposed rule MEPs are usually large plans, they will section 3(5) of ERISA in sponsoring a could help women in the workforce likely have a much more detailed filing MEP. The rule imposes no mandates but increase saving for retirement because of with associated schedules and an audit rather is permissive relative to baseline increased access and portability, report. This filing will tend to be higher conditions. Concerns have been especially to the degree that there would quality, more accurate data than the expressed, however, that MEPs could be be benefits for part-time workers and Department currently receives when a vulnerable to abuse, such as fraud, self-employed workers. collection of participating employers are mishandling of plan assets or charging The Code generally gives tax filing as single-employer plans. That is excessive fees. Abuses might result from advantages to certain retirement savings both because the required filing for the fact that employers are not directly over most other forms of savings.122 plans with more than 100 participants overseeing the plan. For example, Consequently, all else being equal, a requires more detail and because employers acting as plan sponsors of worker who is saving money in tax- participating employers would start single-employer plans can be effective qualified retirement savings vehicle being part of an audit when they were fiduciaries as they have incentives to generally can enjoy higher lifetime not audited previously. This audit protect their plans. In the case of a MEP, consumption and wealth than one who would add a layer of review that may however, an adopting employer will does not. The magnitude of the relative help to prevent fraud and abuse. And on have limited fiduciary duties and may advantage generally depends on the the whole, the proposal would both lead assume other participating employers worker’s tax bracket, the amount to more robust data collection for the are more thoroughly policing the plan. contributed to the plan, the timing of Department to undertake its research, In fact, GAO found that some MEPs’ contributions and withdrawals, and the oversight, and enforcement marketing materials, and even MEP investment performance of the assets in responsibilities under ERISA. representatives, mislead employers the account. Workers that do not The Department also believes that this about fiduciary responsibilities with contribute to a qualified retirement proposal would improve the quality of claims that joining a MEP removes their information collected. The Department fiduciary responsibility entirely.124 Less monitoring provides an environment 120 The authors’ estimates are based on analysis has encountered instances of separate of the Survey of Income and Program Participation Form 5500 filings that fail to account where abuses can occur. On the other using interviews that were conducted in 2012. properly for each participating hand, having multiple participating Jennifer Erin Brown, Nari Rhee, Joelle Saad-Lessler, employer’s plan financial and employers monitoring a MEP plan and Diane Oakley, ‘‘Shortchanged in Retirement: sponsor may actually lead to heightened Continuing Challenges to Women’s Financial demographic information on a granular Future,’’ National Institute on Retirement Security, enough level for accurate reporting of protections for the collective. (March 2016). each participating employer’s proper MEPs have the potential to build up 121 Household income is the sum of income from proportion of the MEP as a whole. The a substantial amount of assets quickly, all sources including wages, Social Security, Department also has at times received particularly where employers that defined benefit pensions, withdrawals from defined already offer plans join MEPs and contribution accounts and IRAs, and other. Id. almost identical filings for each 122 But for the special tax status of retirement participating employer within a MEP. transfer existing retirement assets to the contributions and investments, employer This duplication can lead to an MEP, thus making them a target for contributions to pension plans and income earned overstatement or understatement of fraud and abuse. Because the assets are on pension assets generally would be taxable to participant counts, amount of assets, used to fund future retirement employees as the contributions are made and as the distributions, such fraudulent schemes income is earned, and employees would not receive amount of fees, and other important any deduction or exclusion for their pension financial and demographic data for could be hidden or difficult to detect for contributions. Currently under the Code, employer single employer plans and a failure to be a long period. A 2012 GAO report contributions to qualified pension plans and, able to assess the statistics of all MEPs. regarding federal oversight of data and generally, employee contributions made at the coordination of MEPs discusses election of the employee through salary reduction are not taxed until distributed to the employee, and 123 Although the individual participating potential abuses by MEPs, such as income earned on pension assets is not taxed until employers are filing their own Forms 5500 (or distributed. The tax expenditure for ‘‘net exclusion Forms 5500–SF), the entity may be providing Form 124 U.S. Government Accountability Office, GAO, of pension contributions and earnings’’ is computed 5500 preparation and filing services for all the 12–665, ‘‘Private Sector Pensions—Federal as the income taxes forgone on current tax-excluded participating employers and be acting as a ‘‘batch Agencies Should Collect Data and Coordinate pension contributions and earnings less the income submitter’’ and otherwise taking advantage of Oversight of Multiple Employer Plans,’’ (Sept. 2012) taxes paid on current pension distributions. certain economies of scale. (https://www.gao.gov/products/GAO-12-665).

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charging excessive fees or mishandling statute and regulations including consume less to save more, or plan assets.125 If MEPs are at greater risk independent auditing and related alternatively offset their new savings by for fraud and abuse than single- attestation requirements. Employers going into debt or by reducing savings employer plans, and some employers may consider these attributes when in non-retirement accounts or future who are currently sponsoring single- evaluating retirement options because retirement savings. Consequently, the employer retirement plans decide to they may reduce the potential for fraud, long run net change in consumption and join a MEP instead, that could put more abuse, and mismanagement when PEOs investment and effect on the federal participants and their assets at greater perform employment functions on budget is uncertain. risk of fraud and abuse. But single- behalf of client employers. employer DC plans are also vulnerable 9. Uncertainty 7. Transfers to these abuses and to mismanagement, As discussed above, the Department and some MEPs may be more secure Several transfers are possible as a expects this proposed rule would than some otherwise separate small result of this proposed rule. To the expand workers’ access to employment- plans. The Department is not aware of extent the expansion of MEPs leads based retirement plans by easing the any direct information indicating employers that previously sponsored burden of offering retirement benefits whether the risk for fraud and abuse is other types of retirement plans to for employers—particularly small greater in the MEP context than in other terminate or freeze these plans and employers. However, the exact extent to plans. Many small employers have adopt a MEP, there may be a transfer which access to employment-based relationships based on trust with trade between the employer and the retirement plans would increase under associations that may sponsor MEPs employees, although the direction of the this proposed rule is uncertain. under the proposal, and those transfer is unclear. Additionally, if Several reports suggest that, although associations have an interest in employers terminate or freeze other important, employers may not consider maintaining these trust relationships by plans to enroll in a MEP, and if that offering retirement plans a priority as ensuring that fraud does not occur in MEP utilizes different service providers compared to other types of benefits. The MEPs they sponsor. Nevertheless, and asset types than the terminated most commonly offered benefit is paid employers choosing to begin and plan, those different service providers leave, followed by health insurance; continue participating in a MEP should would experience gains or losses of retirement plans rank third.126 This ensure that the MEP is sponsored and income or market share. Service order holds true for small employers, as operated by high quality, reputable providers that specialize in providing well.127 Another survey of employers providers. services to MEPs might benefit at the confirms that small employers offer The Department does not have a basis expense of other providers who health insurance more often than to believe that there will be increased specialize in providing services to small retirement plans.128 That study also risk of fraud and abuse due to the plans. suggests that company earnings and the proposed rule’s provisions with respect The proposed rule could also result in number of employees affect the decision to PEOs. As stated earlier in the asset transfers if MEPs invest in whether or not to offer retirement plans: preamble, a PEO’s assumption and different types of assets. For example, Employers that experience increases in performance of substantial employment small plans tend to rely more on mutual earnings or the number of employees are functions on behalf of its client funds, while larger plans have greater more likely to offer retirement plans.129 employers is a lynchpin of the proposal. access to other types of investment The top reason provided for employers Requiring the PEO to provide vehicles such as bank common to start offering a retirement plan is the employment functions mitigates to some collective trusts and insurance company increase in business profits.130 extent fraud concerns because the PEO pooled separate accounts, which allow Similarly, in another survey, employers will be a fiduciary and bear all of the for specialization and plan specific fees. not offering retirement plans cite ‘‘the responsibilities associated with that. This movement of assets could see company is not big enough’’ most The Department believes this proposal profits move from mutual funds to other frequently as the reason why they do mitigates fraud concerns associated with types of investment managers. not offer retirement plans.131 Although the expansion of PEO-sponsored plans. Finally, the Code provides substantial this rule would make it easier and less Moreover, the proposal provides a tax preferences for retirement savings. If costly for employers to offer a safe harbor for certain ‘‘certified access to retirement plans and savings workplace retirement savings vehicle, professional employer organization’’ increase as a result of this proposed these surveys suggest that small (CPEO) within the meaning of section rule, a transfer will occur flowing from employers are not likely to adopt a MEP 7705 of the Code and regulations all taxpayers to those individuals unless their business is in a strong thereunder. Generally, a CPEO is a PEO receiving tax preferences as a result of financial position and generating that demonstrates a specified level of new and increased retirement savings. sufficient revenue streams. Also, it can structural and financial integrity under 8. Impact on the Federal Budget federal tax law. To become and remain 126 Board of Governors of the Federal Reserve a CPEO, the PEO must satisfy certain The effects of the proposed rule on System, ‘‘Report on the Economic Well-Being of requirements as to its federal the federal budget are uncertain. U.S. Households in 2017’’ (May 2018). employment tax compliance and as to Because the proposed rule would 127 The Pew Charitable Trusts, ‘‘Employer the status of its positive working capital, increase access to retirement plans, tax Barriers to and Motivations for Offering Retirement have certain background and experience revenues would be reduced in the short Benefits,’’ 2017. 128 Transamerica Center for Retirement Studies, in functioning as a PEO, be organized run due to the tax deferral associated ‘‘All About Retirement: An Employer Survey, 17th and have a physical business location with an increase in retirement savings. Annual Transamerica Retirement Survey’’ (Aug. within the United States, report its But the amount of the reduction would 2017). annual audited financials to the IRS, depend upon how many more dollars 129 The Pew Charitable Trusts, ‘‘Employer Barriers to and Motivations for Offering Retirement and meet bonding and other would be invested in retirement plans Benefits,’’ 2017. requirements described in the CPEO receiving traditional tax treatment rather 130 Id. than after-tax Roth treatment. And it is 131 Transamerica Center for Retirement Studies, 125 Id. unclear to what degree people would ‘‘All About Retirement,’’ 2017.

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be quite challenging for a small contributions up to three percent of provider to publicize the program to employer or self-employed individual to compensation, or a non-elective employees without endorsement, to determine which plan is most contribution set at two percent of collect contributions through payroll appropriate. Business owners must compensation. deductions, and to remit them to the understand the characteristics and Participants can withdraw funds from IRA provider; and features of the available options in order their SIMPLE–IRA at any time subject to • The employer receives no to choose the most suitable plan. A federal income taxes. A 25 percent consideration in the form of cash or discussion of some of these options and additional tax may apply to withdrawals otherwise, other than reasonable their features follows: occurring within two years of compensation for services actually SEP: Simplified Employee Pensions commencing participation, if the rendered in connection with payroll can be established by sole proprietors, participant is under age 591⁄2. A 10 deductions.133 partnerships, and corporations to percent additional tax may apply after Solo 401(k): Self-employed provide retirement plan coverage to the two-year period, if the participant is individuals with no employees other employees. SEPs must be offered to all under age 591⁄2. Participants cannot take than themselves and their spouses may employees who are at least 21 years old, loans from their SIMPLE IRAs. establish a self-employed 401(k), were employed by the employer in three Similar to SEPs, SIMPLE IRA plans colloquially referred to as a solo 401(k). out of the last five years, and received are easy to set up and have few As an employee, a self-employed compensation for the year ($600 for administrative burdens. The employer individual may make salary deferrals up 2018). may use IRS Form 5304–SIMPLE or to the lesser of 100 percent of SEPs are completely employer funded 5305–SIMPLE to set up the plan, and compensation or $18,500 in 2018.134 and they cannot accept employee there is no annual filing requirement for They also can make nonelective contributions.132 Each year the the employer. Banks or other financial contributions up to 25% of employer can set the level of institutions handle most of the compensation provided that, when contributions it wants to make, if any. paperwork. Similar to SEPs, some added to any salary deferrals, the total The employer usually makes a companies offer to set up SIMPLE IRAs contribution does not exceed the lesser contribution to each eligible employee’s with no set-up fees or annual of 100 percent of a participant’s SEP–IRA that is equal to the same maintenance charges. compensation or $55,000 135 (for 2018). percentage of salary for each employee. Payroll Deduction IRAs: An easy way In addition, those aged 50 or older can The annual per-participant contribution for small employers to provide their make additional (‘‘catch-up’’) cannot exceed the lesser of 25 percent employees with an opportunity to save contributions of $6,000. of compensation or $55,000 in 2018. for retirement is by establishing payroll Withdrawals are permitted only upon Participants can withdraw funds from deduction IRAs. Many people not the occurrence of a specified event their SEP–IRA at any time subject to covered by a workplace retirement plan (retirement, plan termination, etc.), and federal income taxes, and possibly a 10 could save through an IRA, but do not they are subject to federal income taxes percent additional tax on early do so on their own. A payroll deduction and possibly a 10 percent additional tax distributions, if the participant is under IRA at work can simplify the process if the participant is under age 591⁄2. The age 591⁄2. Participants cannot take loans and encourage employees to get started. plan may permit loans and hardship from their SEP–IRAs. The employer sets up the payroll withdrawals. Generally, these plans are easy to set deduction IRA program with a bank, Solo 401(k) plans are more up; the business owner may use IRS insurance company or other financial administratively burdensome than other Form 5305–SEP to establish the plan, institution. Then each employee types of plans available to small and in some circumstance there are no chooses whether to participate and if so, employers. A model form is not set-up fees or annual maintenance the amount of payroll deduction for available to establish the plan. A Form charges. SEPs normally do not have to contribution to the IRA. Employees are 5500 must be filed when plan assets file a Form 5500. always 100 percent vested in (have exceed $250,000. SIMPLE IRA Plan: The Savings ownership in) all the funds in their Credit for Pension Start-Up Costs: A Incentive Match Plan for Employees of IRAs. Participant loans are not tax credit is available for small Small Employers allows businesses with permitted. Withdrawals are permitted employers to claim part of the ordinary fewer than 100 employees to establish anytime, but they are subject to income and necessary costs to start a SEP, an IRA for each employee. The tax (except for certain distributions from SIMPLE IRA, or 401(k) plan. To be employer must make the plan available nondeductible IRAs and Roth IRAs). An eligible for the credit, an employer must to all employees who received additional 10 percent additional tax have had no more than 100 employees compensation of at least $5,000 in any may be imposed if the employee is who received at least $5,000 of prior two years and are reasonably under age 591⁄2. compensation from the employer during expected to earn at least $5,000 in the Employees’ contributions are limited the tax year preceding the first credit current year. In 2018, employees are to $5,500 for 2018. Additional ‘‘catch- year. The credit is limited to 50 percent allowed to make salary deferral up’’ contributions of $1,000 per year are of the qualified cost to set up and contributions up to the lesser of 100 permitted for employees age 50 or over. administer the plan, up to a maximum percent of compensation or $12,500. Employees control where their money is of $500 per year for each of the first Employees 50 or older may also make invested and also bear the investment three years of the plan. additional (‘‘catch-up’’) contributions of risk. Saver’s Credit: A nonrefundable tax up to $3,000. The employer also must Payroll deduction IRAs are not credit for certain low- and moderate- make either a matching contribution covered by ERISA if: income individuals (including self- • No contributions are made by the dollar-for-dollar for employee employed) who contribute to their plans employer; also is available (‘‘Saver’s Credit’’). The • Participation is completely 132 This rule does not apply to a SEP in effect on voluntary for employees; 133 29 CFR 2510.3–2(d). December 31, 1996, if the SEP provided for pre-tax • employee contributions (commonly referred to as a The employer’s sole involvement in 134 IRC section 402(g). SARSEP) as of that date. the program is to permit the IRA 135 IRC section 415(c).

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amount of the Saver’s Credit is 50 Although this rule would ease the how many small employers would join percent, 20 percent, or 10 percent of the burden of employers, particularly small a MEP, whether they would offer participant’s contribution to an IRA or employers, in offering retirement plans matching contributions, and whether an employer-sponsored retirement plan for their workers, it is uncertain how and how those contributions would such as a 401(k) depending on the many more employers would offer differ from those offered previously. individual’s adjusted gross income retirement plans to their workers Several additional factors may (reported on Form 1040 series return). because of this proposed rule and how influence employer participation in The maximum credit amount is $2,000 many more employees would chose to expanded or newly established MEPs. ($4,000 if married filing jointly). participate in those retirement plans. To For large employers, even though the Comparison of Options: The options begin, workers employed by small potential cost savings associated with discussed above may better serve an employers not offering retirement plans filing Form 5500s and audit reports employer’s needs than a MEP would in tend to be younger workers, lower-paid discussed earlier can be substantial, the some circumstances. Some companies workers, part-time workers, or savings may not be large enough to offer to set up solo 401(k) plans with no immigrants,139 characteristics that at persuade them to join a MEP. Switching set-up fees.136 Despite these currently least one survey suggests reduce the from an existing well-established plan available options for self-employed lack of demand for retirement to a MEP could be a difficult and costly workers, about 94 percent of self- benefits.140 Indeed, one study found procedure in the short term. employed (not wage and salary workers) that large employers not sponsoring Furthermore, some employers may be did not participate in retirement plans retirement plans tended to have similar hesitant to join a MEP due to the unified in 2013.137 Although these low levels of characteristics among their employees: plan rule,145 colloquially referred to as take-up with these other options create Higher proportions of part-time or part- the ‘‘one bad apple’’ rule. Under the some uncertainty that this proposed rule year employees, younger employees, unified plan rule, the qualification of a would persuade many self-employed employees with lower earnings, and MEP is determined with respect to all individuals to join a MEP, this employees with less education. Another employers maintaining the MEP. uncertainty alone is no basis to ignore study found that the unobservable Consequently, the failure by one MEPs as a possible solution to a stronger factors influencing the decision to be employer maintaining the plan (or by retirement for America’s workers. self-employed were also likely to the plan itself) to satisfy an applicable decrease participation in retirement SEP and SIMPLE IRA plans, for qualification requirement will result in plans.141 This implies the low example, could meet the needs of many the disqualification of the section 413(c) sponsorship rate at small firms could be small employers. As discussed above, plan for all employers maintaining the due more to differences in demand for they are easy to set up and have low plan. In addition to the directives to the retirement benefits by employees than start-up and administration costs. Secretary of Labor, described earlier, the to the higher per-employee Executive Order directs the Secretary of Furthermore, small employers can claim 142 administration costs. the Treasury to consider proposing tax credits for part of the costs of Another factor influencing employee starting up SEP or SIMPLE IRA plans amendments to regulations or other participation in retirement savings plans guidance regarding the circumstances in and certain employees may take is employers’ matching contributions,143 advantage of the Saver’s Credit. Despite which a MEP may satisfy the tax which this rule would not directly qualification requirements, including these advantageous features, these plans affect. While most small plan sponsors did not gain much traction in the the consequences if one or more offer matching contributions, small plan employers that sponsored or adopted market, and the effect of MEPs is sponsors are a little less likely to offer uncertain. This line of reasoning the plan fails to take one or more actions matching contributions than large plan necessary to meet those suggests that increased access to MEPs sponsors.144 It is difficult to anticipate may only have modest success in requirements.146 increasing retirement coverage. 139 Copeland, ‘‘Employment-Based Retirement In sum, there are many challenges and In addition to these plan options, Plan Participation, 2013.’’ Constantijn W.A. Panis inherent uncertainties associated with there are other ways that existing small & Michael J. Brien ‘‘Target Populations of State- efforts to expand the coverage of Level Automatic IRA Initiatives,’’ (August 28, 2015) retirement plans, but this proposed rule employers can offer retirement plans at (available at https://www.dol.gov/sites/default/files/ low costs. For micro plans with assets ebsa/researchers/analysis/retirement/target- would provide another opportunity for less than $5 million, employers can use populations-of-state-level-automatic-ira- small employers and the self-employed providers of bundled financial services initiatives.pdf). to adopt a retirement savings plan. By that include both payroll and 140 The Pew Charitable Trusts, ‘‘Employer reducing some of the burdens associated Barriers to and Motivations for Offering Retirement with setting up and administering recordkeeping services on their 401(k) Benefits,’’ 2017. products. In 2016, about 69 percent of 141 Sharon A. Devaney and Yi-Wen Chien, retirement plans, this proposed rule plans with less than $1 million in assets ‘‘Participation in Retirement Plans: A Comparison could lower costs and encourage used these bundled providers.138 Given of the Self-employed and Wage and Salary employers, particularly small Workers,’’ Compensation and Working Conditions, employers, to establish a retirement that multiple low-cost options already (Winter 2000) (available at https://www.bls.gov/ exist for small employers, it is unclear opub/mlr/cwc/participation-in-retirement-plans-a- savings plan for their workers. to what degree small employers and comparison-of-the-self-employed-and-wage-and- their workers would benefit from also salary-workers.pdf). percent for large plan sponsors. Transamerica having the option to join various MEPs. 142 Peter Brady and Michael Bogdan, ‘‘Who Gets Center for Retirement Studies, ‘‘All about Retirement Plans and Why: An Update,’’ ICI Retirement,’’ 2017). Plan Sponsor Council of Research Perspective, vol. 17, No. 3 (March 2011). America, ‘‘60th Annual Survey of Profit Sharing 136 Kerry Hannon, ‘‘The Best Retirement Plans for 143 Cerulli Associates, U.S. Evolution of the and 401(k) Plans Reflecting 2016 Plan Year the Self-Employed.’’ Forbes, (April 1, 2011). Retirement Investor 2017 (available at https:// Experience,’’ 2017. 137 Copeland, ‘‘Employment-Based Retirement www.cerulli.com/vapi/public/ 145 Treas. Reg. § 1.413–2(a)(3)(iv). Plan Participation, 2013.’’ getcerullifile?filecid=Cerulli-2017-US-Evolution-of- 146 The Department of the Treasury and the IRS 138 Cerulli Associates, U.S. Retirement Markets the-Retirement-Investor-Information-Packet). have informed the Department that they are actively 2016. (available at https://www.cerulli.com/vapi/ 144 Transamerica’s employer survey found that considering matters relating to the Executive Order, public/getcerullifile?filecid=Cerulli-US-Retirement- the share of small plan sponsors offering matching including whether additional regulatory or other Markets-2016-Information-Packet). contributions was 77 percent compared with 84 guidance would be beneficial.

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10. Regulatory Alternatives five or more criteria from the list in entities, section 603 of the RFA requires As required by E.O. 12866, the paragraph (c)(2)(ii) of the proposal. In the agency to present an initial Department considered various considering possible alternatives, the regulatory flexibility analysis (IRFA) of alternative approaches in developing Department considered requiring PEOs the proposed rule. The Department has this proposed rule, which are discussed to satisfy additional criteria listed in determined that this proposed rule, below. paragraph (c)(2)(ii) of the proposal. which would clarify the persons that Covering Other Types of MEPS: The Additionally, the Department may act as an ‘‘employer’’ within the Executive Order on Strengthening considered requiring PEOs to satisfy meaning of section 3(5) of ERISA in Retirement Security in America called fewer criteria listed in paragraph sponsoring a MEP, is likely to have a on the Department to consider whether (c)(2)(ii) of the proposal. Ultimately, for significant impact on a substantial businesses or organizations other than this proposal, the Department chose five number of small entities. Therefore, the groups or associations of employers and as the number of criteria because the Department provides its IRFA of the PEOs should be able to sponsor a MEP covered PEOs then must meet at least proposed rule, below. half of the relevant criteria. The by acting indirectly in the interest of a. Need for and Objectives of the Rule participating employers in relation to Department is of the view that meeting at least half of the listed criteria As discussed earlier in this preamble, the plan within the meaning of section demonstrates convincingly that the PEO the proposed rule is necessary to 3(5) of ERISA. The Department is aware is performing substantial employment expand access to MEPs, which could of two other types or categories of MEPs functions and ensures that PEOs that enable groups of private-sector not specifically addressed in the satisfy the safe harbor provision do not employers to participate in a collective proposed rule.147 The first category represent borderline cases under the retirement plan. MEPs meeting the includes so-called ‘‘corporate MEPs,’’ employer definition in section 3(5) of requirements of the proposed rule could which are plans that cover employees of ERISA. be an efficient way to reduce costs and related employers, such as affiliates and Working Owner Definition: The complexity associated with establishing subsidiary companies, but that are not proposed definition of working owner and maintaining defined contribution in the same controlled group, within the would require that a person must work plans, which could encourage more meaning of section 414(b) and (c) of the a certain number of hours (i.e., 20 hours plan formation and broader availability Code. The second category consists of per week or 80 hours per month) or of more affordable workplace retirement ‘‘open MEPs,’’ which are pension plans have wages or self-employment income savings plans, especially among small that cover employees of employers with above a certain level (i.e., wages or employers and certain working owners. no relationship other than their joint income must equal or exceed the Thus, the Department intends and participation in the MEP, which often working owner’s cost of coverage to expects that the proposed rule would are referred to as ‘‘pooled employer participate in the group or association’s deliver benefits primarily to the plans.’’ MEPs pool the assets of health plan if the individual is employees of many small businesses unrelated employers to pay the benefits participating in that plan). In and their families including many and cover costs. The Department considering possible alternatives, the working owners, as well as, many small considered, but decided not to include Department considered relying only the businesses themselves. such categories of MEPs in the proposal hours worked threshold. However, the because they implicate different policy Department chose the formulation in b. Affected Small Entities concerns. Nevertheless, consistent with this proposal (i.e., allowing either the The Small Business Administration the Executive Order, in Section E above hours worked threshold or the income estimates that 99.9 percent of employer in this preamble, the Department level threshold), because it best clarified firms meet its definition of a small specifically solicits public comments on when a working owner could join a business.148 The applicability of these whether it should address one or more group or association retirement plan and proposed rules does not depend on the of these other categories of MEPs, by paralleled the working owner definition size of the firm as defined by the Small regulation or other means. It also solicits from the AHP Rule. Business Administration. Small comments on whether the rule should 11. Paperwork Reduction Act businesses, including sole proprietors, apply to types of pension plans other can join MEPs as long as they are than defined contribution pension The proposed rule is not subject to the eligible to do so and the MEP sponsor plans. requirements of the Paperwork meets the requirements of the proposed PEO Safe Harbor: The proposal Reduction Act of 1995 (PRA 95) (44 rule. The Department believes that the contains two regulatory safe harbors for U.S.C. 3501 et seq.) because it does not smallest firms, those with less than 50 PEOs to determine whether they will be contain a collection of information as employees, are most likely to benefit considered to perform substantial defined in 44 U.S.C. 3502(3). from the savings and increased choice employment functions on behalf of its 12. Regulatory Flexibility Act derived from the expanded MEPs client-employers. The first safe harbor coverage under the proposed rule. The Regulatory Flexibility Act (5 provides that a PEO will satisfy the Section D.4, the ‘‘Affected Entities’’ U.S.C. 601 et seq.) (RFA) imposes requirement if, among other things, it is section, above discusses which firms certain requirements with respect to a CPEO and meets at least two criteria currently are covered by MEPs. These federal rules that are subject to the in the list in paragraph (c)(2)(ii)(D) same types of firms, which are notice and comment requirements of through (I) of the proposal. The second disproportionately small businesses, are safe harbor is for PEOs that do not section 553(b) of the Administrative satisfy the CPEO safe harbor but meet Procedure Act (5 U.S.C. 551 et seq.) and 148 The Small Business Administration, Office of that are likely to have a significant Advocacy, 2018 Small Business Profile. https:// 147 A 2012 GAO report separated MEPs into four economic impact on a substantial www.sba.gov/sites/default/files/advocacy/2018- categories. U.S. Government Accountability Office, number of small entities. Unless an Small-Business-Profiles-US.pdf. Lasted Accessed GAO, ‘‘12–665, ‘‘Private Sector Pensions—Federal 10/03/2018. The SBA also reports that there are Agencies Should Collect Data and Coordinate agency determines that a proposal is not 5,881,267 business with between 1–499 employees. Oversight of Multiple Employer Plans,’’ (Sept. likely to have a significant economic These firms are able to enroll in MEPs if they are 2012). impact on a substantial number of small eligible.

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more likely to be covered in the future RIA above discusses these significant implementing policies that have under this proposal. Approximately 8 regulatory alternatives considered by ‘‘substantial direct effects’’ on the million self-employed workers between the Department in more detail. States, the relationship between the ages 21 and 70, representing six percent national government and States, or on d. Duplicate, Overlapping, or Relevant of all similarly aged workers, have no the distribution of power and Federal Rules employees and usually work at least 20 responsibilities among the various hours per week. These self-employed The proposed rule would not conflict levels of government. Federal agencies workers would become eligible to join with any relevant federal rules. As promulgating regulations that have MEPs under the proposal.149 discussed above, the proposed rule federalism implications must consult would merely broaden the conditions c. Impact of the Rule with State and local officials and under which the Department will view describe the extent of their consultation As stated above, by expanding MEPs, a group or association as acting as an and the nature of the concerns of State this proposed rule could provide a more ‘‘employer’’ under ERISA for purposes and local officials in the preamble to the affordable option for retirement savings of offering a MEP, and make clear the final rule. coverage for many small businesses, conditions for PEO sponsorship. As In the Department’s view, these thereby potentially yielding economic such, the proposed criteria could also proposed regulations would not have benefits for participating small result in more MEPs being treated federalism implications because they businesses and their employees. Some consistently under the Code and title I advantages of an ERISA-covered would have not have a direct effect on of ERISA, including MEPs administered the States, the relationship between the retirement plan (including MEPs, SEP– by PEOs for the benefit of the employees IRAs, and SIMPLE IRAs) over IRA-based national government and the States, or of their client employers, as described on the distribution of power and savings options outside the workplace in Rev. Proc. 2002–21. include: (1) Higher contribution limits; responsibilities among various levels of (2) potentially lower investment 13. Congressional Review Act government. management fees, especially in larger The proposed rule is subject to the The Department welcomes input from plans; (3) a well-established uniform Congressional Review Act (CRA) affected States and other interested regulatory structure with important provisions of the Small Business parties regarding this assessment. consumer protections, including Regulatory Enforcement Fairness Act of 16. Executive Order 13771 Reducing fiduciary obligations, recordkeeping and 1996 (5 U.S.C. 801 et seq.) and, if Regulation and Controlling Regulatory disclosure requirements, legal finalized, will be transmitted to Costs accountability provisions, and spousal Congress and the Comptroller General protections; (4) automatic enrollment; for review. The proposed rule is a Executive Order 13771, titled and (5) stronger protections from ‘‘major rule’’ as that term is defined in Reducing Regulation and Controlling creditors. At the same time, they 5 U.S.C. 804(2), because it is likely to Regulatory Costs, was issued on January provide employers with choice among result in an annual effect on the 30, 2017. This proposed rule is expected plan features and the flexibility to tailor economy of $100 million or more. to be an E.O. 13771 deregulatory action, retirement plans that meet their because it would provide critical 14. Unfunded Mandates Reform Act business and employment needs. guidance that would expand small There are no new record keeping or Title II of the Unfunded Mandates businesses’ access to high quality reporting requirements for compliance Reform Act of 1995 (Pub. L. 104–4) retirement plans at lower costs than with the rule and, in fact, the requires each federal agency to prepare would otherwise be available, by recordkeeping and reporting a written statement assessing the effects removing certain Department-imposed requirements could decrease for some of any federal mandate in a proposed or restrictions on the establishment and small employers under the proposal. If final agency rule that may result in an maintenance of MEPs under ERISA. an employer joins a MEP meeting the expenditure of $100 million or more List of Subjects in 29 CFR Part 2510 requirements of the proposal, it can save (adjusted annually for inflation with the some costs associated with filing Form base year 1995) in any one year by State, Employee benefit plans, Pensions. 5500 and fulfilling audit requirements local, and tribal governments, in the For the reasons stated in the because a MEP is considered a single aggregate, or by the private sector. For preamble, the Department of Labor plan. Thus, one Form 5500 and audit purposes of the Unfunded Mandates proposes to amend 29 CFR part 2510 as report would satisfy the reporting Reform Act, as well as Executive Order follows: requirements, and each participating 12875, this proposal does not include employer would not need to file its any federal mandate that the PART 2510—DEFINITIONS OF TERMS own, separate Form 5500 and, for large Department expects would result in USED IN SUBCHAPTERS C, D, E, F, G, plans or those few small plans that do such expenditures by State, local, or AND L OF THIS CHAPTER not meet the small plan audit waiver, an tribal governments, or the private sector. This is because the proposal merely audit report. These reports are normally ■ 1. The authority citation for part 2510 clarifies which persons may act as an prepared by a combination of legal is revised to read as follows: professionals, human resource ‘‘employer’’ within the meaning of professionals and accountants. section 3(5) of ERISA in sponsoring a Authority: 29 U.S.C. 1002(1), 1002(2), The Department considered several MEP and does not require any action or 1002(3), 1002(5), 1002(16), 1002(21), alternatives such as whether to cover impose any requirement on the public 1002(37), 1002(38), 1002(40), 1002(42), 1031, and 1135; Secretary of Labor’s Order No. 1– other types of MEPs and it developing sector or states. 2011, 77 FR 1088 (Jan. 9, 2012); Sec. 2510.3– its formulation of the PEO Safe Harbor 15. Federalism Statement 101 and 2510.3–102 also issued under sec. and Working Owner definition. The 102 of Reorganization Plan No. 4 of 1978, 5 ‘‘Regulatory Alternatives’’ section of the Executive Order 13132 outlines U.S.C. App. At 237 (2012), (E.O. 12108, 44 fundamental principles of federalism. FR 1065 (Jan. 3, 1979) and 29 U.S.C. 1135 149 DOL tabulations of the June 2018 Current E.O. 13132 requires federal agencies to note. Sec. 2510.3–38 is also issued under sec. Population Survey basic monthly data. follow specific criteria in forming and 1, Pub. L. 105–72, 111 Stat. 1457 (1997).

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■ 2. Section 2510.3–3 is amended by the Act and this chapter, a bona fide (A) The employers are in the same revising paragraph (c) introductory text group or association of employers trade, industry, line of business or to read as follows: capable of establishing a MEP shall profession; or include a group or association of (B) Each employer has a principal § 2510.3–3 Employee benefit plan. employers that meets the following place of business in the same region that * * * * * requirements: does not exceed the boundaries of a (c) Employees. For purposes of this (i) The primary purpose of the group single State or a metropolitan area (even section and except as provided in or association may be to offer and if the metropolitan area includes more § 2510.3–5(e) and § 2510.3–55(d): provide MEP coverage to its employer than one State). * * * * * members and their employees; however, (ii) In the case of a group or ■ 3. Revise the heading for § 2510.3–5 to the group or association also must have association that is sponsoring a MEP read as follows: at least one substantial business purpose under this section and that is itself an unrelated to offering and providing MEP employer member of the group or § 2510.3–5 Definition of Employer— coverage or other employee benefits to Association Health Plans. association, the group or association its employer members and their will be deemed for purposes of * * * * * employees. For purposes of satisfying paragraph (b)(2)(i)(A) of this section to ■ 4. Add § 2510.3–55 to read as follows: the standard of this paragraph (b)(1)(i), be in the same trade, industry, line of as a safe harbor, a substantial business § 2510.3–55 Definition of Employer— business, or profession, as applicable, as Association Retirement Plans and Other purpose is considered to exist if the the other employer members of the Multiple Employer Pension Benefit Plans. group or association would be a viable group or association. entity in the absence of sponsoring an (a) In general. The purpose of this (c)(1) Bona fide professional employer employee benefit plan. For purposes of section is to clarify which persons may organization. A professional employer this paragraph (b)(1)(i), a business act as an ‘‘employer’’ within the organization (PEO) is a human-resource purpose includes promoting common meaning of section 3(5) of the Act in company that contractually assumes business interests of its members or the sponsoring a multiple employer defined certain employer responsibilities of its common economic interests in a given contribution pension plan (hereinafter client employers. For purposes of title I trade or employer community and is not ‘‘MEP’’). The Act defines the term of the Act and this chapter, a bona fide required to be a for-profit activity; ‘‘employee pension benefit plan’’ in PEO is capable of establishing a MEP. A (ii) Each employer member of the section 3(2), in relevant part, as any bona fide PEO is an organization that group or association participating in the plan, fund, or program established or meets the following requirements: plan is a person acting directly as an maintained by an employer, employee (i) The organization performs employer of at least one employee who organization, or by both an employer substantial employment functions, as is a participant covered under the plan; described in paragraph (c)(2) of this and an employee organization, to the (iii) The group or association has a section, on behalf of its client extent by its express terms or as a result formal organizational structure with a employers, and maintains adequate of surrounding circumstances such governing body and has by-laws or other records relating to such functions; plan, fund, or program provides similar indications of formality; retirement income to employees or (iv) The functions and activities of the (ii) The organization has substantial results in a deferral of income by group or association are controlled by control over the functions and activities employees for periods extending to the its employer members, and the group’s of the MEP, as the plan sponsor (within termination of covered employment or or association’s employer members that the meaning of section 3(16)(B) of the beyond. For purposes of being able to participate in the plan control the plan. Act), the plan administrator (within the establish and maintain an employee Control must be present both in form meaning of section 3(16)(A) of the Act), pension benefit plan within the and in substance; and a named fiduciary (within the meaning of section 3(2), an ‘‘employer’’ (v) The employer members have a meaning of section 402 of the Act); under section 3(5) of the Act includes commonality of interest as described in (iii) The organization ensures that any person acting directly as an paragraph (b)(2) of this section; each client employer that adopts the employer, or any person acting (vi) The group or association does not MEP acts directly as an employer of at indirectly in the interest of an employer make plan participation through the least one employee who is a participant in relation to an employee benefit plan. association available other than to covered under the defined contribution A group or association of employers is employees and former employees of MEP; and specifically identified in section 3(5) of employer members, and their (iv) The organization ensures that the Act as a person able to act directly beneficiaries; and participation in the MEP is available or indirectly in the interest of an (vii) The group or association is not a only to employees and former employer, including for purposes of bank or trust company, insurance issuer, employees of the organization and client establishing or maintaining an employee broker-dealer, or other similar financial employers, and their beneficiaries. benefit plan. A bona fide group or services firm (including pension record (2) Criteria for substantial association of employers (as defined in keepers and third-party administrators), employment functions. The criteria in paragraph (b) of this section) and a bona or owned or controlled by such an this paragraph (c)(2) are relevant to fide professional employer organization entity or any subsidiary or affiliate of whether a PEO performs substantial (as described in paragraph (c) of this such an entity, other than to the extent employment functions on behalf of its section) shall be deemed to be able to such an entity, subsidiary or affiliate client employers. Although a single act in the interest of an employer within participates in the group or association criterion alone may, depending on the the meaning of section 3(5) of the Act in its capacity as an employer member facts and circumstances of the particular by satisfying the criteria set forth in of the group or association. situation and the particular criterion, be paragraphs (b) and (c) of this section, (2) Commonality of interest. (i) sufficient to satisfy paragraph (c)(1)(i) of respectively. Employer members of a group or this section, as a safe harbor, an (b)(1) Bona fide group or association association will be treated as having a organization shall be considered to of employers. For purposes of title I of commonality of interest if either: perform substantial employment

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functions on behalf of its client including method and amount, of MEP, and the requirement in paragraph employers if— employees of its client-employers that (b)(1)(vi) of this section that the group (i) The organization is a ‘‘certified adopt the plan in addition to the client- or association does not make professional employer organization’’ employers’ responsibility to determine participation through the group or (CPEO) as defined in section 7705(a) of employee compensation; association available other than to the Internal Revenue Code, and (F) The organization is responsible for certain employees and former regulations thereunder, the CPEO has providing workers’ compensation employees and their beneficiaries. entered into a ‘‘service contract’’ within coverage in satisfaction of applicable (2) The term ‘‘working owner’’ as used the meaning of section 7705(e)(2) of the state law to employees of its client- in this paragraph (d) means any person Internal Revenue Code with respect to employers that adopt the plan, without who a responsible plan fiduciary its client-employers that adopt the regard to the receipt or adequacy of reasonably determines is an individual: payment from those client-employers; defined contribution MEP with respect (i) Who has an ownership right of any to the client-employer employees (G) The organization is responsible for integral human-resource functions of its nature in a trade or business, whether participating in the MEP, pursuant to incorporated or unincorporated, which it satisfies the criteria in client-employers that adopt the plan, such as job-description development, including a partner or other self- paragraphs (c)(2)(ii)(A), (B), and (C) of employed individual; this section, and the organization meets background screening, drug testing, (ii) Who is earning wages or self- any two or more of the criteria set forth employee-handbook preparation, employment income from the trade or in paragraph (c)(2)(ii)(D) though (I) of performance review, paid time-off business for providing personal services this section; or tracking, employee grievances, or exit (ii) The organization meets any five or interviews, in addition to the client to the trade or business; and more of the following criteria with employer’s responsibility to perform (iii) Who either: respect to client-employer employees these same functions; (A) Works on average at least 20 hours participating in the plan: (H) The organization is responsible for per week or at least 80 hours per month (A) The organization is responsible for regulatory compliance of its client- providing personal services to the payment of wages to employees of its employers participating in the plan in working owner’s trade or business, or client-employers that adopt the plan the areas of workplace discrimination, (B) In the case of a MEP described in without regard to the receipt or family-and-medical leave, citizenship or paragraph (b) of this section, if adequacy of payment from those client- immigration status, workplace safety applicable, has wages or self- employers; and health, or Program Electronic employment income from such trade or (B) The organization is responsible for Review Management labor certification, business that at least equals the working reporting, withholding, and paying any in addition to the client-employer’s owner’s cost of coverage for applicable federal employment taxes for responsibility for regulatory participation by the working owner and its client employers that adopt the plan, compliance; or any covered beneficiaries in any group without regard to the receipt or (I) The organization continues to have health plan sponsored by the group or adequacy of payment from those client- employee-benefit-plan obligations to association in which the individual is employers; MEP participants after the client participating or is eligible to participate. (C) The organization is responsible for employer no longer contracts with the (3) The determination under this recruiting, hiring, and firing workers of organization. paragraph (d) must be made when the its client-employers that adopt the plan (d) Dual treatment of working owners working owner first becomes eligible for in addition to the client-employer’s as employers and employees. (1) A participation in the defined contribution responsibility for recruiting, hiring, and working owner of a trade or business MEP and continued eligibility must be firing workers; without common law employees may periodically confirmed pursuant to (D) The organization is responsible for qualify as both an employer and as an reasonable monitoring procedures. establishing employment policies, employee of the trade or business for establishing conditions of employment, purposes of the requirements in Signed at Washington, DC, October 16, and supervising employees of its client- paragraph (b) of this section, including 2018. employers that adopt the plan in the requirement in paragraph (b)(1)(ii) of Preston Rutledge, addition to the client-employer’s this section that each employer member Assistant Secretary, Employee Benefits responsibility to perform these same of the group or association adopting the Security Administration, Department of functions; MEP must be a person acting directly as Labor. (E) The organization is responsible for an employer of one or more employees [FR Doc. 2018–23065 Filed 10–22–18; 8:45 am] determining employee compensation, who are participants covered under the BILLING CODE 4510–29–P

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Reader Aids Federal Register Vol. 83, No. 205 Tuesday, October 23, 2018

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING OCTOBER

Federal Register/Code of Federal Regulations At the end of each month the Office of the Federal Register General Information, indexes and other finding 202–741–6000 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since Laws 741–6000 the revision date of each title. 810...... 49498 Presidential Documents 3 CFR 905...... 49499, 53003 Executive orders and proclamations 741–6000 Proclamations: 920...... 49312 The United States Government Manual 741–6000 9791...... 50241 944...... 53003 9792...... 50243 Other Services 985...... 50527 9793...... 50245 986...... 50531 741–6020 Electronic and on-line services (voice) 9794...... 50247 989...... 53402 Privacy Act Compilation 741–6050 9795...... 50249 1212...... 49314 9796...... 50251 9797...... 50253 ELECTRONIC RESEARCH 8 CFR 9798...... 50803 Proposed Rules: 9799...... 51299 World Wide Web 103...... 51114 9800...... 51613 212...... 51114 Full text of the daily Federal Register, CFR and other publications 9801...... 51615 213...... 51114 is located at: www.govinfo.gov. 9802...... 51621 214...... 51114 9803...... 52111 Federal Register information and research tools, including Public 245...... 51114 9804...... 52113 Inspection List and electronic text are located at: 248...... 51114 www.federalregister.gov. 9805...... 52933 9806...... 52935 10 CFR E-mail 9807...... 52937 52...... 51304 Administrative Orders: FEDREGTOC (Daily Federal Register Table of Contents Electronic 72...... 53159 Memorandums: Mailing List) is an open e-mail service that provides subscribers Proposed Rules with a digital form of the Federal Register Table of Contents. The Memorandum of September 10, 2...... 50533 digital form of the Federal Register Table of Contents includes 72...... 53191 HTML and PDF links to the full text of each document. 2018 ...... 50237 Memorandum of 431...... 49501 To join or leave, go to https://public.govdelivery.com/accounts/ October 16, 2018 ...... 53157 12 CFR USGPOOFR/subscriber/new, enter your email address, then Notices: follow the instructions to join, leave, or manage your Notice of October 17, 45...... 50805 subscription. 2018 ...... 52941 201...... 49472 PENS (Public Law Electronic Notification Service) is an e-mail Presidential 204...... 49473 service that notifies subscribers of recently enacted laws. Determinations: 237...... 50805 No. 2018–12 of 349...... 50805 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html September 11, 624...... 50805 and select Join or leave the list (or change settings); then follow 2018 ...... 50239 1221...... 50805 the instructions. No. 2018–13 of 1231...... 49987 FEDREGTOC and PENS are mailing lists only. We cannot September 28, 1239...... 52950 respond to specific inquiries. 2018 ...... 53363 1273...... 52950 Reference questions. Send questions and comments about the No. 2019–02 of 1290...... 52115 Federal Register system to: [email protected] October 5, 2018 ...... 51617 Proposed Rules: No. 2019–03 of 30...... 50046 The Federal Register staff cannot interpret specific documents or October 5, 2018 ...... 51619 722...... 49857 regulations. 1083...... 51653 5 CFR FEDERAL REGISTER PAGES AND DATE, OCTOBER 9800...... 49769 14 CFR 25 ...... 53163, 53166, 53168 7 CFR 49265–49458...... 1 29...... 51623, 51624 49459–49768...... 2 51...... 50475 39 ...... 49265, 49269, 49272, 49769–49986...... 3 318...... 49987 49275, 49475, 49780, 49784, 49987–50254...... 4 319...... 49987 49786, 49789, 49791, 49793, 50255–50474...... 5 400...... 51301 50477, 50479, 50482, 50814, 50475–50802...... 9 900...... 52943 50816, 50818, 50821, 51304, 50803–51300...... 10 906...... 52944 51313, 51815, 51819, 51823, 51301–51620...... 11 945...... 49776 51825, 51829, 52118, 52120, 982...... 52946 51621–51814...... 12 52123, 52126, 52131, 52135, 1220...... 53365 52137, 52140, 52143, 52305, 51815–52114...... 15 1400...... 49459 52751, 52754, 52756, 53171, 52115–52304...... 16 1416...... 49459 53366, 53368 52305–52750...... 17 Proposed Rules: 71 ...... 49277, 49482, 49483, 52751–52942...... 18 56...... 50527 50255, 50256, 50823, 51315, 52943–53158...... 19 62...... 50527 51832, 51833, 51834, 52147 53159–53362...... 22 70...... 50527 91...... 52954 53363–53562...... 23 226...... 50038 97...... 53174, 53177

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Proposed Rules: 24 CFR 202...... 52336 64...... 50289 21...... 50536 570...... 50257 25...... 53193 38 CFR 45 CFR 39 ...... 49317, 50047, 50537, 26 CFR 3...... 52322, 53179 102...... 51369 50539, 50860, 50862, 51887, 36...... 50506 1 ...... 50258, 50864, 51072 51889, 52171, 52173, 53404, Proposed Rules: 46 CFR 53407, 53409 Proposed Rules: 17...... 52345 502...... 50290 61...... 53195 1...... 51904, 52726 503...... 50290 71 ...... 49506, 50050, 51895, 301...... 51906, 52726 39 CFR 515...... 50290 51897, 51898, 51900, 51901, 602...... 51904 20...... 52323 520...... 50290 51903 111...... 51359, 52326 29 CFR 530...... 50290 3010...... 52154 15 CFR 4001...... 49799 3050...... 49286 535...... 50290 540...... 50290 902...... 49994, 52760 4022...... 49799, 51836 Proposed Rules: 550...... 50290 4043...... 49799 20...... 52351 Proposed Rules: 555...... 50290 4044...... 49799 111...... 52353 740...... 53411 560...... 50290 758...... 53411 Proposed Rules: 3050...... 52178 541...... 49869 Proposed Rules: 16 CFR 2510...... 53534 40 CFR 401...... 52355 404...... 52355 410...... 50484 9 ...... 49295, 49806, 50838, 31 CFR 51360 1234...... 53371 47 CFR Proposed Rules: 800...... 51316 52 ...... 49295, 49297, 49298, 1130...... 50542 801...... 51322 49300, 49492, 49826, 50007, 1...... 51867 50010, 50012, 50014, 50018, 27...... 53190 17 CFR 32 CFR 50022, 50024, 50264, 50266, 52...... 53377 73...... 50035 210...... 50148 310...... 52317 50271, 50274, 50506, 50849, 227...... 52962 706...... 52768 50851, 50854, 51361, 51366, Proposed Rules: 229...... 50148 Proposed Rules: 51629, 52772, 52983 54...... 53420 230...... 50148, 52962 151...... 53020 61...... 53183, 63...... 53026 239...... 50148 553...... 53412 63...... 51842, 53183 76...... 51911 70...... 49300 240...... 50148 33 CFR 81...... 50024, 52157 48 CFR 249...... 50148 82...... 50026 274...... 50148 100 ...... 49489, 51625, 52770 801...... 49302 131...... 52163 420...... 52767 117 ...... 49278, 49279, 49280, 811...... 49302 50007, 50259, 51628, 51837, 141...... 51636 832...... 49302 Proposed Rules: 180 ...... 50284, 51857, 51863, 4...... 52902 51838, 52148, 52319, 52976, 852...... 49302 53375, 53376 52986, 52991, 52996 870...... 49302 210...... 49630 700...... 52694 229...... 49630 165 ...... 49281, 49283, 50260, Proposed Rules: 50262, 50503, 51334, 51336, 720...... 52694 13...... 53421 239...... 49630 721 ...... 49295, 49806, 50838, 240 ...... 49630, 50297, 53007 51338, 51628, 51838, 52320, 15...... 53421 52977, 52979, 52981 51360 16...... 53421 249...... 49630 723...... 52694 Proposed Rules: 232...... 50052 725...... 52694 18 CFR 100...... 52333 242...... 50052 790...... 52694 165 ...... 50310, 50545, 53023, 252...... 50052 Proposed Rules: 791...... 52694 2...... 51654 53199 Proposed Rules: 38...... 51654 49 CFR 9...... 51910, 51911 34 CFR 541...... 53396 20 CFR 611...... 52148 52 ...... 49330, 49509, 49870, 49872, 49894, 50052, 50312, Proposed Rules: 416...... 51836 614...... 52148 10...... 50053 636...... 52148 50314, 50548, 50551, 50865, Proposed Rules: 50867, 51403, 53201 172...... 52878 404...... 51400 649...... 52148 175...... 52878 680...... 52148 60...... 52056 408...... 51400 62...... 49897 395...... 50055 416...... 51400 693...... 52148 555...... 50872 695...... 52148 70...... 49509 81...... 50556 571...... 50872, 51766 21 CFR 696...... 52148 591...... 50872 697...... 52148 82...... 49332 172...... 50487, 50490 85...... 53204 1152...... 50326 177...... 50490 698...... 52148 Proposed Rules: 699...... 52148 86...... 49344, 53204 573...... 49485 180...... 52787 523...... 53204 866...... 52313 Proposed Rules: 271...... 49900, 50869 531...... 53204 868...... 52964 Ch. VI...... 51906 721 ...... 49903, 50872, 51910, 533...... 53204 878 ...... 52966, 52968, 52970 51911, 52179 536...... 53204 882...... 52315, 52972 36 CFR 537...... 53204 886...... 52973 242...... 50758 42 CFR Proposed Rules: 1007...... 50826 411...... 49832 50 CFR 112...... 53196 1008...... 50826 412...... 49832 17...... 52775 117...... 53197 1009...... 50826 413...... 49832, 49836 100...... 50758 573...... 49508 1011...... 50826 424...... 49832, 49836 300...... 52760 Proposed Rules: 495...... 49836 622 ...... 50295, 51390, 52330 22 CFR 242...... 49322 Proposed Rules: 635 ...... 50857, 51391, 52169 5...... 50823 403...... 52789 648...... 53399 37 CFR 121...... 50003 405...... 49513 655...... 53399 123...... 50003 42...... 51340 423...... 49513 660...... 50510 201...... 51840, 52150 665...... 49495 23 CFR Proposed Rules: 44 CFR 679 ...... 49496, 49497, 49994, 658 Appendix C...... 49487 201...... 52176, 52336 Ch. I ...... 49302 50036, 51399, 52332, 52760

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Proposed Rules: 100...... 49322 622...... 50056, 51424 697...... 50061 17 ...... 50560, 50574, 50582, 229...... 53422 648...... 50059, 53440 698...... 51426 50610, 51418, 51570

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in today’s List of Public enacted public laws. To Laws. subscribe, go to http:// LIST OF PUBLIC LAWS Public Laws Electronic listserv.gsa.gov/archives/ Last List October 18, 2018 Notification Service publaws-l.html (PENS) Note: No public bills which Note: This service is strictly have become law were for E-mail notification of new received by the Office of the PENS is a free electronic mail laws. The text of laws is not Federal Register for inclusion notification service of newly available through this service. PENS cannot respond to specific inquiries sent to this address.

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