Vol. 84 Wednesday, No. 215 November 6, 2019

Pages 59711–59916

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 84, No. 215

Wednesday, November 6, 2019

Agency for Healthcare Research and Quality Federal Voting Assistance Program, 59720–59723 NOTICES Agency Information Collection Activities; Proposals, Submissions, and Approvals, 59811–59813 Education Department NOTICES Agricultural Marketing Service Agency Information Collection Activities; Proposals, PROPOSED RULES Submissions, and Approvals: Marketing Order: Impact Evaluation to Inform the Teacher and School Olives Grown in California, 59736–59739 Leader Incentive Program, 59795 International Study of Adult Skills and Learning Agriculture Department [Program for the International Assessment of Adult See Agricultural Marketing Service Competencies (PIAAC) Cycle II] 2022 Field Test, See Food and Nutrition Service 59795–59796 See Forest Service

Army Department Employment and Training Administration RULES NOTICES Obtaining Information from Financial Institutions, 59723 Federal-State Unemployment Compensation Program: Certifications for 2019 under the Federal Unemployment Centers for Disease Control and Prevention Tax Act, 59841–59842 NOTICES Agency Information Collection Activities; Proposals, Energy Department Submissions, and Approvals: See Federal Energy Regulatory Commission Reporting of Pregnancy Success Rates from Assisted Reproductive Technology Programs, 59814–59815 Environmental Protection Agency Centers for Medicare & Medicaid Services RULES NOTICES Air Quality State Implementation Plans; Approvals and Medicare and Medicaid Programs: Promulgations: Quarterly Listing of Program Issuances—July through Massachusetts; Transport State Implementation Plans for September 2019, 59815–59830 the 1997 and 2008 Ozone Standards, 59728–59730 PROPOSED RULES Children and Families Administration Ocean Dumping: NOTICES Cancellation of Final Designation for an Ocean Dredged Agency Information Collection Activities; Proposals, Material Disposal Site, 59744–59746 Submissions, and Approvals: Prevention of Significant Deterioration, Nonattainment New National Human Trafficking Training and Technical Source Review, and Title V: Assistance Center Evaluation Package, 59830–59831 Treatment of Corn Milling Facilities Under the Major Civil Rights Commission Emitting Facility Definition; Reconsideration, 59743– 59744 NOTICES Meetings; Sunshine Act, 59768 Farm Credit Administration Coast Guard NOTICES RULES Meetings; Sunshine Act, 59807 Safety Zone: Missouri River, Mile Markers 377.5 to 378, Parkville, MO, 59724–59726 Federal Aviation Administration San Juan Harbor, San Juan, PR, 59726–59728 RULES PROPOSED RULES Airworthiness Directives: Drawbridge Operations: Airbus SAS Airplanes, 59711–59718 Lacombe Bayou, LA, 59741–59743 Saab AB, Saab Aeronautics (Formerly Known as Saab AB, Saab Aerosystems) Airplanes, 59718–59720 Commerce Department PROPOSED RULES See International Trade Administration Airworthiness Directives: See National Oceanic and Atmospheric Administration Bombardier, Inc., Airplanes, 59739–59741 See Office of the Under-Secretary for Economic Affairs

Defense Department Federal Communications Commission See Army Department PROPOSED RULES See Navy Department In the Matter of Use of Common Antenna Site, RULES Modernization of Media Regulation Initiative, 59756– Defense Logistics Agency, 59723–59724 59761

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Federal Contract Compliance Programs Office Food and Drug Administration PROPOSED RULES NOTICES Affirmative Action and Nondiscrimination Obligations of Agency Information Collection Activities; Proposals, Federal Contractors and Subcontractors: Submissions, and Approvals: TRICARE and Certain Other Health Care Providers, Assessment of Terms and Phrases Commonly Used in 59746–59756 Prescription Drug Promotion, 59833–59836 Threshold of Regulation for Substances Used in Food- Contact Articles, 59831–59832 Federal Deposit Insurance Corporation Requests for Nominations: NOTICES Industry Organizations Interested in Participating in the Agency Information Collection Activities; Proposals, Selection Process for Nonvoting Industry Submissions, and Approvals: Representatives and Nonvoting Industry Information Collection for Innovation Pilot Programs, Representatives on the Allergenic Products Advisory 59808–59809 Committee, 59832–59833

Federal Energy Regulatory Commission Food and Nutrition Service NOTICES NOTICES Combined Filings, 59796–59806 Agency Information Collection Activities; Proposals, Environmental Assessments; Availability, etc.: Submissions, and Approvals: Aquenergy Systems, LLC; Pelzer Hydro Company, LLC; Supplemental Nutrition Assistance Program—Trafficking Consolidated Hydro Southeast, LLC; Pelzer Hydro Controls and Fraud Investigations, 59764–59765 Company, LLC; Consolidated Hydro Southeast, LLC, 59803 Forest Service Bear Swamp Power Co., LLC, 59799 NOTICES Shell Energy North America (US), L.P., 59799 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Meetings: Cooperative Wildland Fire Management and Stafford Act Grid-Enhancing Technologies; Workshop, 59804–59805 Response Agreements, 59767–59768 Records Governing Off-the-Record Communications, 59801– Environmental Impact Statements; Availability, etc.: 59802 Caribou-Targhee National Forest; Idaho; Caribou-Targhee Request for Temporary Waiver: National Forest and Curlew National Grassland MarkWest Hydrocarbon, LLC, 59798–59799 Integrated Weed Management Analysis, 59765–59767 Request under Blanket Authorization: Southern Star Central Gas Pipeline, Inc., 59807 Health and Human Services Department Settlement Agreement: See Agency for Healthcare Research and Quality Exelon Generation Co., LLC, 59801 See Centers for Disease Control and Prevention See Centers for Medicare & Medicaid Services Federal Maritime Commission See Children and Families Administration NOTICES See Food and Drug Administration Order Granting Hearing and Directing Great Northern and See Health Resources and Services Administration Southern Navigation Co. LLC dba French America Line See Substance Abuse and Mental Health Services to Show Cause, 59809–59811 Administration Health Resources and Services Administration Federal Mine Safety and Health Review Commission NOTICES NOTICES Meetings: Meetings; Sunshine Act, 59811 Advisory Commission on Childhood Vaccines, 59836

Federal Motor Carrier Safety Administration Homeland Security Department See Coast Guard PROPOSED RULES Commercial Driver’s License Standards: Interior Department Application for Exemption; Wilson Logistics, 59761– 59763 See Land Management Bureau NOTICES Agency Information Collection Activities; Proposals, Internal Revenue Service Submissions, and Approvals: NOTICES CMV Driver Medication Form, 59903–59907 Agency Information Collection Activities; Proposals, Submissions, and Approvals, 59915–59916

Federal Railroad Administration International Trade Administration NOTICES NOTICES Application: Antidumping or Countervailing Duty Investigations, Orders, Approval of Discontinuance or Modification of a Railroad or Reviews: Signal System, 59914–59915 Certain Cold-Rolled Steel Flat Products from the United Funding Opportunity: Kingdom, 59771–59773 Restoration and Enhancement Grants Program, 59907– Certain New Pneumatic Off-the-Road Tires from the 59914 People’s Republic of China, 59770–59771

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International Trade Commission Office of the Under-Secretary for Economic Affairs NOTICES NOTICES Investigations; Determinations, Modifications, and Rulings, Request for Nominations: etc.: Advisory Committee on Data for Evidence Building; Certain Earpiece Devices and Components Thereof, Establishment, 59768–59770 59838–59840 Refillable Stainless Steel Kegs from China and Germany, Overseas Private Investment Corporation 59840 NOTICES Meetings; Sunshine Act, 59849 Labor Department Postal Service See Employment and Training Administration NOTICES See Federal Contract Compliance Programs Office Meetings; Sunshine Act, 59849 See Workers Compensation Programs Office Securities and Exchange Commission Land Management Bureau NOTICES RULES Application: Minerals Management: MEMX, LLC, 59854–59855 Adjustment of Cost Recovery Fees, 59730–59734 Self-Regulatory Organizations; Proposed Rule Changes: NOTICES Cboe EDGX Exchange, Inc., 59866–59878 Realty Action: Miami International Securities Exchange, LLC, 59855– Recreation and Public Purposes Act Classification, 59866 Nevada, 59837–59838 MIAX Emerald, LLC, 59878–59889 MIAX PEARL, LLC, 59889–59900 National Aeronautics and Space Administration NYSE Arca, Inc., 59849–59854, 59900–59903 NOTICES Meetings: Substance Abuse and Mental Health Services National Space-Based Positioning, Navigation, and Administration Timing Advisory Board, 59843 NOTICES Agency Information Collection Activities; Proposals, National Oceanic and Atmospheric Administration Submissions, and Approvals, 59836–59837 RULES Fisheries of the Northeastern United States: Susquehanna River Basin Commission Summer Flounder Fishery; Quota Transfer from North NOTICES Carolina to Connecticut, 59735 Meetings, 59903 NOTICES Takes of Marine Mammals Incidental to Specified Transportation Department Activities: See Federal Aviation Administration Astoria Waterfront Bridge Replacement Phase 2 Project, See Federal Motor Carrier Safety Administration 59773–59794 See Federal Railroad Administration

National Transportation Safety Board Treasury Department NOTICES See Internal Revenue Service SES Performance Review Board, 59843 Workers Compensation Programs Office NOTICES Navy Department Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 59842–59843 Fiscal Year 2019 Performance Review Board Membership, 59794–59795 Reader Aids Nuclear Regulatory Commission Consult the Reader Aids section at the end of this issue for NOTICES phone numbers, online resources, finding aids, and notice License Amendment; Application: of recently enacted public laws. Tennessee Valley Authority; Watts Bar Nuclear Plant, To subscribe to the Federal Register Table of Contents Units 1 and 2 Revisions to Technical Specification electronic mailing list, go to https://public.govdelivery.com/ Table 3.3.5–1, 59846–59849 accounts/USGPOOFR/subscriber/new, enter your e-mail License Application: address, then follow the instructions to join, leave, or Perma-Fix Northwest Richland, Inc., 59843–59845 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.

7 CFR Proposed Rules: 932...... 59736 14 CFR 39 (4 documents) ...... 59711, 59713, 59716, 59718 Proposed Rules: 39...... 59739 32 CFR Ch. XII...... 59723 233...... 59720 504...... 59723 33 CFR 165 (2 documents) ...... 59724, 59726 Proposed Rules: 117...... 59741 40 CFR 52...... 59728 Proposed Rules: 51...... 59743 52...... 59743 70...... 59743 71...... 59743 228...... 59744 41 CFR Proposed Rules: 60–1...... 59746 60–300...... 59746 60–741...... 59746 43 CFR 3000...... 59730 47 CFR Proposed Rules: 73...... 59756 49 CFR Proposed Rules: 395...... 59761 50 CFR 648...... 59735

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Rules and Regulations Federal Register Vol. 84, No. 215

Wednesday, November 6, 2019

This section of the FEDERAL REGISTER 30, West Building Ground Floor, Room Freighter, A330–300, A340–200, A340– contains regulatory documents having general W12–140, 1200 New Jersey Avenue SE, 300, A340–500, and A340–600 series applicability and legal effect, most of which Washington, DC 20590. airplanes. are keyed to and codified in the Code of • Hand Delivery: U.S. Department of This AD was prompted by reports that Federal Regulations, which is published under Transportation, Docket Operations, M– non-approved POCs may have been 50 titles pursuant to 44 U.S.C. 1510. 30, West Building Ground Floor, Room installed on the affected airplanes. The The Code of Federal Regulations is sold by W12–140, 1200 New Jersey Avenue SE, FAA is issuing this AD to address the Superintendent of Documents. Washington, DC 20590, between 9 a.m. possible non-approved POC installation, and 5 p.m., Monday through Friday, which could lead to reduced available except Federal holidays. oxygen capacity, possibly resulting in DEPARTMENT OF TRANSPORTATION For the material incorporated by injury to airplane occupants following a reference (IBR) in this AD, contact the depressurization event. See the MCAI Federal Aviation Administration EASA, Konrad-Adenauer-Ufer 3, 50668 for additional background information. Cologne, Germany; telephone +49 221 14 CFR Part 39 Related IBR Material Under 1 CFR Part 89990 1000; email [email protected]; 51 [Docket No. FAA–2019–0718; Product internet www.easa.europa.eu. You may Identifier 2019–NM–128–AD; Amendment find this IBR material on the EASA EASA AD 2019–0176 describes 39–19771; AD 2019–21–05] website at https://ad.easa.europa.eu. procedures for performing a one-time SDI of each POC and, depending on RIN 2120–AA64 You may view this IBR material at the FAA, Transport Standards Branch, 2200 findings, replacement with a serviceable Airworthiness Directives; Airbus SAS South 216th St., Des Moines, WA. For part. Airplanes information on the availability of this This material is reasonably available material at the FAA, call 206–231–3195. because the interested parties have AGENCY: Federal Aviation It is also available in the AD docket on access to it through their normal course Administration (FAA), DOT. the internet at https:// of business or by the means identified ACTION: Final rule; request for www.regulations.gov by searching for in the ADDRESSES section. comments. and locating Docket No. FAA–2019– FAA’s Determination 0718. SUMMARY: The FAA is adopting a new This product has been approved by airworthiness directive (AD) for certain Examining the AD Docket the aviation authority of another Airbus SAS Model A330–200, A330– You may examine the AD docket on country, and is approved for operation 200 Freighter, A330–300, A340–200, in the United States. Pursuant to a A340–300, A340–500, and A340–600 the internet at https:// www.regulations.gov by searching for bilateral agreement with the State of series airplanes. This AD was prompted Design Authority, the FAA has been by reports that non-approved passenger and locating Docket No. FAA–2019– 0718; or in person at Docket Operations notified of the unsafe condition oxygen containers (POCs) may have described in the MCAI referenced been installed on the affected airplanes. between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays. above. The FAA is issuing this AD This AD requires a one-time special because we evaluated all pertinent detailed inspection (SDI) of each POC, The AD docket contains this AD, the regulatory evaluation, any comments information and determined the unsafe and replacement if necessary, as condition exists and is likely to exist or specified in a European Union Aviation received, and other information. The street address for Docket Operations is develop on other products of the same Safety Agency (EASA) AD, which is type design. incorporated by reference. The FAA is listed above. Comments will be issuing this AD to address the unsafe available in the AD docket shortly after Requirements of This AD condition on these products. receipt. This AD requires accomplishing the DATES: This AD becomes effective FOR FURTHER INFORMATION CONTACT: actions specified in the EASA AD November 21, 2019. Vladimir Ulyanov, Aerospace Engineer, described previously, as incorporated by The Director of the Federal Register International Section, Transport reference, except for any differences approved the incorporation by reference Standards Branch, FAA, 2200 South identified as exceptions in the of a certain publication listed in this AD 216th St., Des Moines, WA 98198; regulatory text of this AD. as of November 21, 2019. telephone and fax 206–231–3229. Explanation of Required Compliance The FAA must receive comments on SUPPLEMENTARY INFORMATION: this AD by December 23, 2019. Information Discussion ADDRESSES: You may send comments, In the FAA’s ongoing efforts to using the procedures found in 14 CFR The EASA, which is the Technical improve the efficiency of the AD 11.43 and 11.45, by any of the following Agent for the Member States of the process, the FAA initially worked with methods: European Union, has issued EASA AD Airbus and EASA to develop a process • Federal eRulemaking Portal: Go to 2019–0176, dated July 19, 2019 (‘‘EASA to use certain EASA ADs as the primary https://www.regulations.gov. Follow the AD 2019–0176’’) (also referred to as the source of information for compliance instructions for submitting comments. Mandatory Continuing Airworthiness with requirements for corresponding • Fax: 202–493–2251. Information, or ‘‘the MCAI’’), to correct FAA ADs. The FAA has since • Mail: U.S. Department of an unsafe condition for certain Airbus coordinated with other manufacturers Transportation, Docket Operations, M– SAS Model A330–200, A330–200 and civil aviation authorities (CAAs) to

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use this process. As a result, EASA AD FAA–2019–0718, after the FAA final FAA–2019–0718; Product Identifier 2019–0176 will be incorporated by rule is published. 2019–NM–128–AD’’ at the beginning of reference in the FAA final rule. This your comments. The FAA specifically FAA’s Justification and Determination AD, therefore, requires compliance with invites comments on the overall of the Effective Date EASA AD 2019–0176 in its entirety, regulatory, economic, environmental, through that incorporation, except for Since there are currently no domestic and energy aspects of this AD. The FAA any differences identified as exceptions operators of these products, notice and will consider all comments received by in the regulatory text of this AD. Using opportunity for public comment before the closing date and may amend this AD common terms that are the same as the issuing this AD are unnecessary. In based on those comments. heading of a particular section in the addition, for the reasons stated above, The FAA will post all comments EASA AD does not mean that operators the FAA finds that good cause exists for received, without change, to https:// need comply only with that section. For making this amendment effective in less www.regulations.gov, including any example, where the AD requirement than 30 days. personal information you provide. The refers to ‘‘all required actions and Comments Invited FAA will also post a report compliance times,’’ compliance with summarizing each substantive verbal this AD requirement is not limited to This AD is a final rule that involves contact received about this AD. the section titled ‘‘Required Action(s) requirements affecting flight safety, and and Compliance Time(s)’’ in the EASA the FAA did not precede it by notice Costs of Compliance AD. Service information specified in and opportunity for public comment. Currently, there are no affected U.S.- EASA AD 2019–0176 that is required for The FAA invites you to send any registered airplanes. If an affected compliance with EASA AD 2019–0176 written relevant data, views, or airplane is imported and placed on the will be available on the internet at arguments about this AD. Send your U.S. Register in the future, the FAA will https://www.regulations.gov by comments to an address listed under the provide the following cost estimates to searching for and locating Docket No. ADDRESSES section. Include ‘‘Docket No. comply with this AD:

ESTIMATED COSTS FOR REQUIRED ACTIONS

Cost per Labor cost Parts cost product

1 work-hour × $85 per hour = $85 ...... $0 $85

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

ESTIMATED COSTS OF ON-CONDITION ACTIONS

Cost per Labor cost Parts cost product

2 work-hours × $85 per hour = $170 ...... (*) $170 * * The FAA has received no definitive data that would enable the agency to provide parts cost estimates for the on-condition replacements specified in this AD.

Authority for This Rulemaking develop on products identified in this on the States, on the relationship rulemaking action. between the national government and Title 49 of the United States Code the States, or on the distribution of specifies the FAA’s authority to issue This AD is issued in accordance with power and responsibilities among the rules on aviation safety. Subtitle I, authority delegated by the Executive various levels of government. section 106, describes the authority of Director, Aircraft Certification Service, the FAA Administrator. Subtitle VII: as authorized by FAA Order 8000.51C. For the reasons discussed above, I Aviation Programs, describes in more In accordance with that order, issuance certify that this AD: detail the scope of the Agency’s of ADs is normally a function of the (1) Is not a ‘‘significant regulatory authority. Compliance and Airworthiness action’’ under Executive Order 12866, The FAA is issuing this rulemaking Division, but during this transition period, the Executive Director has (2) Will not affect intrastate aviation under the authority described in in Alaska, and Subtitle VII, Part A, Subpart III, Section delegated the authority to issue ADs 44701: ‘‘General requirements.’’ Under applicable to transport category (3) Will not have a significant that section, Congress charges the FAA airplanes and associated appliances to economic impact, positive or negative, with promoting safe flight of civil the Director of the System Oversight on a substantial number of small entities aircraft in air commerce by prescribing Division. under the criteria of the Regulatory Flexibility Act. regulations for practices, methods, and Regulatory Findings procedures the Administrator finds List of Subjects in 14 CFR Part 39 necessary for safety in air commerce. The FAA determined that this AD This regulation is within the scope of will not have federalism implications Air transportation, Aircraft, Aviation that authority because it addresses an under Executive Order 13132. This AD safety, Incorporation by reference, unsafe condition that is likely to exist or will not have a substantial direct effect Safety.

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Adoption of the Amendment (1) Alternative Methods of Compliance 216th St., Des Moines, WA. For information (AMOCs): The Manager, International on the availability of this material at the Accordingly, under the authority Section, Transport Standards Branch, FAA, FAA, call 206–231–3195. EASA AD 2019– delegated to me by the Administrator, has the authority to approve AMOCs for this 0176 may be found in the AD docket on the the FAA amends 14 CFR part 39 as AD, if requested using the procedures found internet at https://www.regulations.gov by follows: in 14 CFR 39.19. In accordance with 14 CFR searching for and locating Docket No. FAA– 39.19, send your request to your principal 2019–0718. PART 39—AIRWORTHINESS inspector or local Flight Standards District (5) You may view this material that is DIRECTIVES Office, as appropriate. If sending information incorporated by reference at the National directly to the International Section, send it Archives and Records Administration ■ 1. The authority citation for part 39 to the attention of the person identified in (NARA). For information on the availability paragraph (j) of this AD. Information may be continues to read as follows: of this material at NARA, email fedreg.legal@ emailed to: 9-ANM-116-AMOC-REQUESTS@ nara.gov, or go to: https://www.archives.gov/ Authority: 49 U.S.C. 106(g), 40113, 44701. faa.gov. Before using any approved AMOC, federal-register/cfr/ibr-locations.html. notify your appropriate principal inspector, § 39.13 [Amended] or lacking a principal inspector, the manager Issued in Des Moines, Washington, on October 18, 2019. ■ 2. The FAA amends § 39.13 by adding of the local flight standards district office/ certificate holding district office. Dionne Palermo, the following new airworthiness (2) Contacting the Manufacturer: For any directive (AD): Acting Director, System Oversight Division, requirement in this AD to obtain instructions Aircraft Certification Service. from a manufacturer, the instructions must 2019–21–05 Airbus SAS: Amendment 39– [FR Doc. 2019–24160 Filed 11–5–19; 8:45 am] 19771; Docket No. FAA–2019–0718; be accomplished using a method approved Product Identifier 2019–NM–128–AD. by the Manager, International Section, BILLING CODE 4910–13–P Transport Standards Branch, FAA; or EASA; (a) Effective Date or Airbus SAS’s EASA Design Organization This AD becomes effective November 21, Approval (DOA). If approved by the DOA, DEPARTMENT OF TRANSPORTATION 2019. the approval must include the DOA- authorized signature. Federal Aviation Administration (b) Affected ADs (3) Required for Compliance (RC): For any None. service information referenced in EASA AD 14 CFR Part 39 2019–0176 that contains RC procedures and (c) Applicability tests: Except as required by paragraph (i)(2) [Docket No. FAA–2019–0724; Product This AD applies to Airbus SAS Model of this AD, RC procedures and tests must be Identifier 2019–NM–134–AD; Amendment A330–200, A330–200 Freighter, A330–300, done to comply with this AD; any procedures 39–19773; AD 2019–21–07] A340–200, A340–300, A340–500, and A340– or tests that are not identified as RC are 600 series airplanes, certificated in any recommended. Those procedures and tests RIN 2120–AA64 category, as identified in European Union that are not identified as RC may be deviated Aviation Safety Agency (EASA) AD 2019– from using accepted methods in accordance Airworthiness Directives; Airbus SAS 0176, dated July 19, 2019 (‘‘EASA AD 2019– with the operator’s maintenance or Airplanes 0176’’). inspection program without obtaining approval of an AMOC, provided the AGENCY: Federal Aviation (d) Subject procedures and tests identified as RC can be Administration (FAA), DOT. Air Transport Association (ATA) of done and the airplane can be put back in an ACTION: Final rule; request for America Code 35, Oxygen. airworthy condition. Any substitutions or comments. changes to procedures or tests identified as (e) Reason RC require approval of an AMOC. SUMMARY: The FAA is adopting a new This AD was prompted by reports that non- airworthiness directive (AD) for certain approved passenger oxygen containers (j) Related Information (POCs) may have been installed on the For more information about this AD, Airbus SAS Model A350–941 airplanes. affected airplanes. The FAA is issuing this contact Vladimir Ulyanov, Aerospace This AD was prompted by a report of AD to address possible non-approved POC Engineer, International Section, Transport cracked external lugs of the aluminum installation, which could lead to reduced Standards Branch, FAA, 2200 South 216th cargo door latch fittings in the lower available oxygen capacity, possibly resulting St., Des Moines, WA 98198; telephone and part of the forward and aft cargo doors. in injury to airplane occupants following a fax 206–231–3229. This AD requires repetitive detailed depressurization event. (k) Material Incorporated by Reference inspections of the external lugs of the (f) Compliance (1) The Director of the Federal Register aluminum cargo door latch fittings for Comply with this AD within the approved the incorporation by reference cracks, and corrective actions if compliance times specified, unless already (IBR) of the service information listed in this necessary, as specified in a European done. paragraph under 5 U.S.C. 552(a) and 1 CFR Union Aviation Safety Agency (EASA) part 51. AD, which is incorporated by reference. (g) Requirements (2) You must use this service information Accomplishing the installation of new Except as specified in paragraph (h) of this as applicable to do the actions required by aluminum cargo door latch fittings AD: Comply with all required actions and this AD, unless this AD specifies otherwise. constitutes terminating action for the (i) European Union Aviation Safety Agency compliance times specified in, and in repetitive detailed inspections. The accordance with, EASA AD 2019–0176. (EASA) AD 2019–0176, dated July 19, 2019. (ii) [Reserved] FAA is issuing this AD to address the (h) Exceptions to EASA AD 2019–0176 (3) For information about EASA AD 2019– unsafe condition on these products. (1) Where EASA AD 2019–0176 refers to its 0176, contact the EASA, at Konrad- DATES: This AD becomes effective effective date, this AD requires using the Adenauer-Ufer 3, 50668 Cologne, Germany; November 21, 2019. effective date of this AD. telephone +49 221 89990 6017; email ADs@ The Director of the Federal Register (2) The ‘‘Remarks’’ section of EASA AD easa.europa.eu; Internet approved the incorporation by reference 2019–0176 does not apply to this AD. www.easa.europa.eu. You may find this EASA AD on the EASA website at https:// of a certain publication listed in this AD (i) Other FAA AD Provisions ad.easa.europa.eu. as of November 21, 2019. The following provisions also apply to this (4) You may view this material at the FAA, The FAA must receive comments on AD: Transport Standards Branch, 2200 South this AD by December 23, 2019.

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ADDRESSES: You may send comments, Mandatory Continuing Airworthiness reference in the FAA final rule. This using the procedures found in 14 CFR Information, or ‘‘the MCAI’’), to correct AD, therefore, requires compliance with 11.43 and 11.45, by any of the following an unsafe condition for certain Airbus EASA AD 2019–0181 in its entirety, methods: SAS Model A350–941 airplanes. through that incorporation, except for • Federal eRulemaking Portal: Go to This AD was prompted by a report of any differences identified as exceptions https://www.regulations.gov. Follow the cracked external lugs of the aluminum in the regulatory text of this AD. Using instructions for submitting comments. cargo door latch fittings in the lower common terms that are the same as the • Fax: 202–493–2251. part of the forward and aft cargo doors. heading of a particular section in the • Mail: U.S. Department of The FAA is issuing this AD to address EASA AD does not mean that operators Transportation, Docket Operations, M– this condition, which, if not detected need comply only with that section. For 30, West Building Ground Floor, Room and corrected, could result in rapid example, where the AD requirement W12–140, 1200 New Jersey Avenue SE, decompression or loss of structural refers to ‘‘all required actions and Washington, DC 20590. integrity of the airplane. See the MCAI compliance times,’’ compliance with • Hand Delivery: U.S. Department of for additional background information. this AD requirement is not limited to Transportation, Docket Operations, M– Related IBR Material Under 1 CFR Part the section titled ‘‘Required Action(s) 30, West Building Ground Floor, Room 51 and Compliance Time(s)’’ in the EASA W12–140, 1200 New Jersey Avenue SE, AD. Service information specified in Washington, DC 20590, between 9 a.m. EASA AD 2019–0181 describes EASA AD 2019–0181 that is required for and 5 p.m., Monday through Friday, procedures for repetitive detailed compliance with EASA AD 2019–0181 except Federal holidays. inspections of the external lugs of the will be available on the internet at For the material incorporated by aluminum cargo door latch fittings for https://www.regulations.gov by reference (IBR) in this AD, contact the cracks and corrective actions if searching for and locating Docket No. EASA, Konrad-Adenauer-Ufer 3, 50668 necessary. Corrective actions include FAA–2019–0724 after the FAA final Cologne, Germany; telephone +49 221 installation of new aluminum cargo rule is published. 89990 1000; email [email protected]; door latch fittings. This material is FAA’s Justification and Determination internet www.easa.europa.eu. You may reasonably available because the of the Effective Date find this IBR material on the EASA interested parties have access to it website at https://ad.easa.europa.eu. through their normal course of business Since there are currently no domestic You may view this IBR material at the or by the means identified in the operators of this product, notice and FAA, Transport Standards Branch, 2200 ADDRESSES section. opportunity for public comment before South 216th St., Des Moines, WA. For FAA’s Determination issuing this AD are unnecessary. In information on the availability of this addition, for the reasons stated above, This product has been approved by material at the FAA, call 206–231–3195. the FAA finds that good cause exists for the aviation authority of another It is also available in the AD docket on making this amendment effective in less country, and is approved for operation the internet at https:// than 30 days. www.regulations.gov by searching for in the United States. Pursuant to a Comments Invited and locating Docket No. FAA–2019– bilateral agreement with the State of Design Authority, the FAA has been 0724. This AD is a final rule that involves notified of the unsafe condition requirements affecting flight safety, and Examining the AD Docket described in the MCAI referenced the FAA did not precede it by notice above. The FAA is issuing this AD You may examine the AD docket on and opportunity for public comment. because the agency evaluated all the internet at https:// The FAA invites you to send any pertinent information and determined www.regulations.gov by searching for written relevant data, views, or the unsafe condition exists and is likely and locating Docket No. FAA–2019– arguments about this AD. Send your to exist or develop on other products of 0724; or in person at Docket Operations comments to an address listed under the the same type design. between 9 a.m. and 5 p.m., Monday ADDRESSES section. Include ‘‘Docket No. through Friday, except Federal holidays. Requirements of This AD FAA–2019–0724; Product Identifier The AD docket contains this AD, the This AD requires accomplishing the 2019–NM–134–AD’’ at the beginning of regulatory evaluation, any comments actions specified in EASA AD 2019– your comments. The FAA specifically received, and other information. The 0181 described previously, as invites comments on the overall street address for Docket Operations is incorporated by reference, except for regulatory, economic, environmental, listed above. Comments will be any differences identified as exceptions and energy aspects of this AD. The FAA available in the AD docket shortly after in the regulatory text of this AD. will consider all comments received by receipt. the closing date and may amend this AD FOR FURTHER INFORMATION CONTACT: Explanation of Required Compliance based on those comments. Kathleen Arrigotti, Aerospace Engineer, Information The FAA will post all comments International Section, Transport In the FAA’s ongoing efforts to received, without change, to http:// Standards Branch, FAA, 2200 South improve the efficiency of the AD www.regulations.gov, including any 216th St., Des Moines, WA 98198; process, the FAA initially worked with personal information you provide. The telephone and fax 206–231–3218. Airbus and EASA to develop a process FAA will also post a report SUPPLEMENTARY INFORMATION: to use certain EASA ADs as the primary summarizing each substantive verbal source of information for compliance contact received about this AD. Discussion with requirements for corresponding Costs of Compliance The EASA, which is the Technical FAA ADs. The FAA has since Agent for the Member States of the coordinated with other manufacturers Currently, there are no affected European Union, has issued EASA AD and civil aviation authorities (CAAs) to U.S.-registered airplanes. If an affected 2019–0181, dated July 26, 2019 (‘‘EASA use this process. As a result, EASA AD airplane is imported and placed on the AD 2019–0181’’) (also referred to as the 2019–0181 will be incorporated by U.S. Register in the future, the following

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are the cost estimates to comply with this AD:

ESTIMATED COSTS FOR REQUIRED ACTIONS

Cost per Labor cost Parts cost product

6 work-hour × $85 per hour = $510 ...... $0 $510

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

ESTIMATED COSTS OF ON-CONDITION ACTIONS

Cost per Labor cost Parts cost product

49 work-hours × $85 per hour = $4,165 ...... $83,600 $87,765

According to the manufacturer, some the Director of the System Oversight 2019–21–07 Airbus SAS: Amendment 39– or all of the costs of this AD may be Division. 19773; Docket No. FAA–2019–0724; covered under warranty, thereby Product Identifier 2019–NM–134–AD. Regulatory Findings reducing the cost impact on affected (a) Effective Date individuals. The FAA does not control The FAA has determined that this AD This AD becomes effective November 21, warranty coverage for affected will not have federalism implications 2019. individuals. As a result, the FAA has under Executive Order 13132. This AD included all known costs in the cost will not have a substantial direct effect (b) Affected ADs estimate. on the States, on the relationship None. between the national government and Authority for This Rulemaking the States, or on the distribution of (c) Applicability Title 49 of the United States Code power and responsibilities among the This AD applies to Airbus SAS Model specifies the FAA’s authority to issue various levels of government. A350–941 airplanes, certificated in any rules on aviation safety. Subtitle I, For the reasons discussed above, I category, as identified in European Union section 106, describes the authority of certify that this AD: Aviation Safety Agency (EASA) AD 2019– the FAA Administrator. Subtitle VII: (1) Is not a ‘‘significant regulatory 0181, dated July 26, 2019 (‘‘EASA AD 2019– Aviation Programs, describes in more action’’ under Executive Order 12866, 0181’’). detail the scope of the Agency’s (2) Will not affect intrastate aviation (d) Subject authority. in Alaska, and (3) Will not have a significant Air Transport Association (ATA) of The FAA is issuing this rulemaking America Code 53, Fuselage. under the authority described in economic impact, positive or negative, Subtitle VII, Part A, Subpart III, Section on a substantial number of small entities (e) Reason 44701: ‘‘General requirements.’’ Under under the criteria of the Regulatory This AD was prompted by a report of that section, Congress charges the FAA Flexibility Act. cracked external lugs of the aluminum cargo with promoting safe flight of civil List of Subjects in 14 CFR Part 39 door latch fittings in the lower part of the forward and aft cargo doors. The FAA is aircraft in air commerce by prescribing Air transportation, Aircraft, Aviation regulations for practices, methods, and issuing this AD to address this condition, safety, Incorporation by reference, which, if not detected and corrected, could procedures the Administrator finds Safety. necessary for safety in air commerce. result in rapid decompression or loss of structural integrity of the airplane. This regulation is within the scope of Adoption of the Amendment that authority because it addresses an Accordingly, under the authority (f) Compliance unsafe condition that is likely to exist or delegated to me by the Administrator, Comply with this AD within the develop on products identified in this the FAA amends 14 CFR part 39 as compliance times specified, unless already rulemaking action. follows: done. This AD is issued in accordance with (g) Requirements authority delegated by the Executive PART 39—AIRWORTHINESS Director, Aircraft Certification Service, DIRECTIVES Except as specified in paragraph (h) of this as authorized by FAA Order 8000.51C. AD: Comply with all required actions and In accordance with that order, issuance ■ 1. The authority citation for part 39 compliance times specified in, and in of ADs is normally a function of the continues to read as follows: accordance with, EASA AD 2019–0181. Compliance and Airworthiness Authority: 49 U.S.C. 106(g), 40113, 44701. (h) Exceptions to EASA AD 2019–0181 Division, but during this transition § 39.13 [Amended] (1) Where EASA AD 2019–0181 refers to its period, the Executive Director has effective date, this AD requires using the delegated the authority to issue ADs ■ 2. The FAA amends § 39.13 by adding effective date of this AD. applicable to transport category the following new airworthiness (2) The ‘‘Remarks’’ section of EASA AD airplanes and associated appliances to directive (AD): 2019–0181 does not apply to this AD.

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(i) Other FAA AD Provisions EASA AD on the EASA website at https:// of a certain publication listed in this AD The following provisions also apply to this ad.easa.europa.eu. as of December 11, 2019. (4) You may view this material at the FAA, AD: ADDRESSES: For the material (1) Alternative Methods of Compliance Transport Standards Branch, 2200 South 216th St., Des Moines, WA. For information incorporated by reference (IBR) in this (AMOCs): The Manager, International AD, contact the EASA, at Konrad- Section, Transport Standards Branch, FAA, on the availability of this material at the has the authority to approve AMOCs for this FAA, call 206–231–3195. This material may Adenauer-Ufer 3, 50668 Cologne, AD, if requested using the procedures found be found in the AD docket on the internet at Germany; telephone +49 221 89990 in 14 CFR 39.19. In accordance with 14 CFR https://www.regulations.gov by searching for 1000; email [email protected]; 39.19, send your request to your principal and locating Docket No. FAA–2019–0724. internet www.easa.europa.eu. You may inspector or local Flight Standards District (5) You may view this material that is find this IBR material on the EASA Office, as appropriate. If sending information incorporated by reference at the National website at https://ad.easa.europa.eu. directly to the International Section, send it Archives and Records Administration You may view this IBR material at the (NARA). For information on the availability to the attention of the person identified in FAA, Transport Standards Branch, 2200 paragraph (j) of this AD. Information may be of this material at NARA, email fedreg.legal@ emailed to: 9-ANM-116-AMOC-REQUESTS@ nara.gov, or go to: https://www.archives.gov/ South 216th St., Des Moines, WA. For faa.gov. Before using any approved AMOC, federal-register/cfr/ibr-locations.html. information on the availability of this material at the FAA, call 206–231–3195. notify your appropriate principal inspector, Issued in Des Moines, Washington, on or lacking a principal inspector, the manager October 18, 2019. It is also available in the AD docket on of the local flight standards district office/ the internet at https:// Dionne Palermo, certificate holding district office. www.regulations.gov by searching for (2) Contacting the Manufacturer: For any Acting Director, System Oversight Division, and locating Docket No. FAA–2019– Aircraft Certification Service. requirement in this AD to obtain instructions 0522. from a manufacturer, the instructions must [FR Doc. 2019–24191 Filed 11–5–19; 8:45 am] be accomplished using a method approved BILLING CODE 4910–13–P Examining the AD Docket by the Manager, International Section, Transport Standards Branch, FAA; or EASA; You may examine the AD docket on the internet at https:// or Airbus SAS’s EASA Design Organization DEPARTMENT OF TRANSPORTATION Approval (DOA). If approved by the DOA, www.regulations.gov by searching for the approval must include the DOA- Federal Aviation Administration and locating Docket No. FAA–2019– authorized signature. 0522; or in person at Docket Operations (3) Required for Compliance (RC): For any 14 CFR Part 39 between 9 a.m. and 5 p.m., Monday service information referenced in EASA AD through Friday, except Federal holidays. 2019–0181 that contains RC procedures and The AD docket contains this final rule, tests: Except as required by paragraph (i)(2) [Docket No. FAA–2019–0522; Product of this AD, RC procedures and tests must be Identifier 2019–NM–082–AD; Amendment the regulatory evaluation, any done to comply with this AD; any procedures 39–19737; AD 2019–19–01] comments received, and other or tests that are not identified as RC are information. The address for Docket RIN 2120–AA64 recommended. Those procedures and tests Operations is U.S. Department of that are not identified as RC may be deviated Airworthiness Directives; Airbus SAS Transportation, Docket Operations, M– from using accepted methods in accordance Airplanes 30, West Building Ground Floor, Room with the operator’s maintenance or W12–140, 1200 New Jersey Avenue SE, inspection program without obtaining AGENCY: Federal Aviation Washington, DC 20590. approval of an AMOC, provided the procedures and tests identified as RC can be Administration (FAA), Department of FOR FURTHER INFORMATION CONTACT: done and the airplane can be put back in an Transportation (DOT). Sanjay Ralhan, Aerospace Engineer, airworthy condition. Any substitutions or ACTION: Final rule. International Section, Transport changes to procedures or tests identified as Standards Branch, FAA, 2200 South RC require approval of an AMOC. SUMMARY: The FAA is adopting a new 216th St., Des Moines, WA 98198; airworthiness directive (AD) for all (j) Related Information telephone and fax 206–231–3223. Airbus SAS Model A320–251N and SUPPLEMENTARY INFORMATION: For more information about this AD, –271N airplanes, and Model A321– contact Kathleen Arrigotti, Aerospace 251N, –253N, –271N, and –272N Discussion Engineer, International Section, Transport Standards Branch, FAA, 2200 South 216th airplanes. This AD was prompted by The EASA, which is the Technical St., Des Moines, WA 98198; telephone and reports that the regulated bleed Agent for the Member States of the fax 206–231–3218. temperature was measured above the European Union, has issued EASA AD design target with a temperature (k) Material Incorporated by Reference 2019–0094, dated April 26, 2019 regulation shift phenomenon, and (‘‘EASA AD 2019–0094’’) (also referred (1) The Director of the Federal Register investigation results show that incorrect to as the Mandatory Continuing approved the incorporation by reference temperature regulation can degrade Airworthiness Information, or ‘‘the (IBR) of the service information listed in this pneumatic system components located paragraph under 5 U.S.C. 552(a) and 1 CFR MCAI’’), to correct an unsafe condition part 51. downstream of the pre-cooler. This AD for all Airbus SAS Model A320–251N (2) You must use this service information requires uploading improved bleed and –271N airplanes, and Model A321– as applicable to do the actions required by monitoring computer (BMC) software 251N, –253N, –271N, and –272N this AD, unless this AD specifies otherwise. (SW), as specified in a European Union airplanes. (i) European Union Aviation Safety Agency Aviation Safety Agency (EASA) AD, The FAA issued a notice of proposed (EASA) AD 2019–0181, dated July 26, 2019. which is incorporated by reference. The rulemaking (NPRM) to amend 14 CFR (ii) [Reserved] FAA is issuing this AD to address the part 39 by adding an AD that would (3) For information about EASA AD 2019– unsafe condition on these products. 0181, contact the EASA, Konrad-Adenauer- apply to all Airbus SAS Model A320– Ufer 3, 50668 Cologne, Germany; telephone DATES: This AD is effective December 251N and –271N airplanes, and Model +49 221 89990 6017; email ADs@ 11, 2019. A321–251N, –253N, –271N, and –272N easa.europa.eu; Internet The Director of the Federal Register airplanes. The NPRM published in the www.easa.europa.eu. You may find this approved the incorporation by reference Federal Register on July 8, 2019 (84 FR

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32338). The NPRM proposed to require Comments • Do not add any additional burden uploading improved BMC SW. upon the public than was already The FAA gave the public the proposed in the NPRM. This AD was prompted by reports that opportunity to participate in developing the regulated bleed temperature was this final rule. The FAA has considered Related IBR Material Under 1 CFR Part measured above the design target with the comment received. The Air Line 51 a temperature regulation shift Pilots Association, International (ALPA) EASA AD 2019–0094 describes phenomenon, and investigation results stated that it supports the NPRM. procedures for uploading BMC SW show that incorrect temperature Conclusion standard 4.3. regulation can degrade pneumatic This material is reasonably available system components located downstream The FAA reviewed the relevant data, because the interested parties have of the pre-cooler. The FAA is issuing considered the comment received, and access to it through their normal course this AD to address this condition, determined that air safety and the of business or by the means identified which, if not corrected, could lead to public interest require adopting this in the ADDRESSES section. hot air leakage and consequent bleed final rule as proposed, except for minor loss, possibly resulting in the reduction editorial changes. The FAA has Costs of Compliance of the system equipment safety margin. determined that these minor changes: The FAA estimates that this AD See the MCAI for additional background • Are consistent with the intent that affects 85 airplanes of U.S. registry. The information. was proposed in the NPRM for FAA estimates the following costs to addressing the unsafe condition; and comply with this AD:

ESTIMATED COSTS FOR REQUIRED ACTIONS

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

4 work-hours × $85 per hour = $340 ...... $0 $340 $28,900

Authority for This Rulemaking Regulatory Findings § 39.13 [Amended] Title 49 of the United States Code This AD will not have federalism ■ 2. The FAA amends § 39.13 by adding specifies the FAA’s authority to issue implications under Executive Order the following new airworthiness rules on aviation safety. Subtitle I, 13132. This AD will not have a directive (AD): substantial direct effect on the States, on section 106, describes the authority of 2019–19–01 Airbus SAS: Amendment 39– the FAA Administrator. Subtitle VII: the relationship between the national 19737; Docket No. FAA–2019–0522; Aviation Programs, describes in more government and the States, or on the Product Identifier 2019–NM–082–AD. distribution of power and detail the scope of the Agency’s (a) Effective Date authority. responsibilities among the various levels of government. This AD is effective December 11, 2019. The FAA is issuing this rulemaking For the reasons discussed above, I (b) Affected ADs under the authority described in certify that this AD: Subtitle VII, Part A, Subpart III, Section None. (1) Is not a ‘‘significant regulatory 44701: ‘‘General requirements.’’ Under action’’ under Executive Order 12866, (c) Applicability that section, Congress charges the FAA (2) Will not affect intrastate aviation This AD applies to all Airbus SAS Model with promoting safe flight of civil in Alaska, and A320–251N and –271N airplanes, and Model aircraft in air commerce by prescribing (3) Will not have a significant A321–251N, –253N, –271N, and –272N regulations for practices, methods, and airplanes, certificated in any category. procedures the Administrator finds economic impact, positive or negative, on a substantial number of small entities (d) Subject necessary for safety in air commerce. under the criteria of the Regulatory This regulation is within the scope of Air Transport Association (ATA) of Flexibility Act. America Code 36, Pneumatic. that authority because it addresses an unsafe condition that is likely to exist or List of Subjects in 14 CFR Part 39 (e) Reason develop on products identified in this Air transportation, Aircraft, Aviation This AD was prompted by reports that the rulemaking action. regulated bleed temperature was measured safety, Incorporation by reference, This AD is issued in accordance with above the design target with a temperature Safety. regulation shift phenomenon, and authority delegated by the Executive Adoption of the Amendment investigation results show that incorrect Director, Aircraft Certification Service, temperature regulation can degrade as authorized by FAA Order 8000.51C. Accordingly, under the authority pneumatic system components located In accordance with that order, issuance delegated to me by the Administrator, downstream of the pre-cooler. The FAA is of ADs is normally a function of the the FAA amends 14 CFR part 39 as issuing this AD to address this condition, Compliance and Airworthiness follows: which, if not corrected, could lead to hot air Division, but during this transition leakage and consequent bleed loss, possibly period, the Executive Director has PART 39—AIRWORTHINESS resulting in the reduction of the system delegated the authority to issue ADs DIRECTIVES equipment safety margin. applicable to transport category (f) Compliance ■ 1. The authority citation for part 39 airplanes and associated appliances to Comply with this AD within the the Director of the System Oversight continues to read as follows: compliance times specified, unless already Division. Authority: 49 U.S.C. 106(g), 40113, 44701. done.

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(g) Requirements (IBR) of the service information listed in this EMS and structural attachments. The Except as specified in paragraph (h) of this paragraph under 5 U.S.C. 552(a) and 1 CFR FAA is issuing this AD to address the AD: Comply with all required actions and part 51. unsafe condition on these products. (2) You must use this service information compliance times specified in, and in DATES: This AD is effective December accordance with, European Union Aviation as applicable to do the actions required by this AD, unless this AD specifies otherwise. 11, 2019. Safety Agency (EASA) AD 2019–0094, dated The Director of the Federal Register April 26, 2019 (‘‘EASA AD 2019–0094’’). (i) European Union Aviation Safety Agency (EASA) AD 2019–0094, dated April 26, 2019. approved the incorporation by reference (h) Exceptions to EASA AD 2019–0094 (ii) [Reserved] of a certain publication listed in this AD (1) Where EASA AD 2019–0094 refers to its (3) For information about EASA AD 2019– as of December 11, 2019. effective date, this AD requires using the 0094, contact the EASA, at Konrad- ADDRESSES: For service information effective date of this AD. Adenauer-Ufer 3, 50668 Cologne, Germany; identified in this final rule, contact Saab telephone +49 221 89990 6017; email ADs@ (2) The ‘‘Remarks’’ section of EASA AD AB, Saab Aeronautics, SE–581 88, 2019–0094 does not apply to this AD. easa.europa.eu; Internet www.easa.europa.eu. You may find this Linko¨ping, Sweden; phone: +46 13 18 (i) Other FAA AD Provisions EASA AD on the EASA website at https:// 5591; fax: +46 13 18 4874; email: The following provisions also apply to this ad.easa.europa.eu. [email protected]; AD: (4) You may view this material at the FAA, internet: https://www.saabgroup.com. (1) Alternative Methods of Compliance Transport Standards Branch, 2200 South You may view this service information (AMOCs): The Manager, International 216th St., Des Moines, WA. For information at the FAA, Transport Standards Section, Transport Standards Branch, FAA, on the availability of this material at the Branch, 2200 South 216th St., Des has the authority to approve AMOCs for this FAA, call 206–231–3195. This material may Moines, WA. For information on the AD, if requested using the procedures found be found in the AD docket on the internet at in 14 CFR 39.19. In accordance with 14 CFR https://www.regulations.gov by searching for availability of this material at the FAA, 39.19, send your request to your principal and locating Docket No. FAA–2019–0522. call 206–231–3195. It is also available inspector or local Flight Standards District (5) You may view this material that is on the internet at https:// Office, as appropriate. If sending information incorporated by reference at the National www.regulations.gov by searching for directly to the International Section, send it Archives and Records Administration and locating Docket No. FAA–2019– to the attention of the person identified in (NARA). For information on the availability 0520. paragraph (j) of this AD. Information may be of this material at NARA, email fedreg.legal@ emailed to: 9-ANM-116-AMOC-REQUESTS@ nara.gov, or go to: https://www.archives.gov/ Examining the AD Docket faa.gov. Before using any approved AMOC, federal-register/cfr/ibr-locations.html. You may examine the AD docket on notify your appropriate principal inspector, Issued in Des Moines, Washington, on the internet at https:// or lacking a principal inspector, the manager September 23, 2019. of the local flight standards district office/ www.regulations.gov by searching for certificate holding district office. Dionne Palermo, and locating Docket No. FAA–2019– (2) Contacting the Manufacturer: For any Acting Director, System Oversight Division, 0520; or in person at Docket Operations requirement in this AD to obtain instructions Aircraft Certification Service. between 9 a.m. and 5 p.m., Monday from a manufacturer, the instructions must [FR Doc. 2019–24159 Filed 11–5–19; 8:45 am] through Friday, except Federal holidays. be accomplished using a method approved BILLING CODE 4910–13–P The AD docket contains this final rule, by the Manager, International Section, the regulatory evaluation, any Transport Standards Branch, FAA; or EASA; comments received, and other or Airbus SAS’s EASA Design Organization DEPARTMENT OF TRANSPORTATION information. The address for Docket Approval (DOA). If approved by the DOA, Operations is U.S. Department of the approval must include the DOA- Federal Aviation Administration authorized signature. Transportation, Docket Operations, M– (3) Required for Compliance (RC): For any 30, West Building Ground Floor, Room service information referenced in EASA AD 14 CFR Part 39 W12–140, 1200 New Jersey Avenue SE, 2019–0094 that contains RC procedures and [Docket No. FAA–2019–0520; Product Washington, DC 20590. tests: Except as required by paragraph (i)(2) Identifier 2019–NM–046–AD; Amendment FOR FURTHER INFORMATION CONTACT: of this AD, RC procedures and tests must be 39–19770; AD 2019–21–04] Shahram Daneshmandi, Aerospace done to comply with this AD; any procedures Engineer, International Section, or tests that are not identified as RC are RIN 2120–AA64 recommended. Those procedures and tests Transport Standards Branch, FAA, 2200 that are not identified as RC may be deviated Airworthiness Directives; Saab AB, South 216th St., Des Moines, WA 98198; from using accepted methods in accordance Saab Aeronautics (Formerly Known as phone and fax: 206–231–3220. with the operator’s maintenance or Saab AB, Saab Aerosystems) SUPPLEMENTARY INFORMATION: inspection program without obtaining Airplanes approval of an AMOC, provided the Discussion procedures and tests identified as RC can be AGENCY: Federal Aviation The European Union Aviation Safety done and the airplane can be put back in an Administration (FAA), Department of Agency (EASA), which is the Technical airworthy condition. Any substitutions or Transportation (DOT). Agent for the Member States of the changes to procedures or tests identified as RC require approval of an AMOC. ACTION: Final rule. European Union, has issued EASA AD 2019–0054, dated March 18, 2019 (j) Related Information SUMMARY: The FAA is adopting a new (‘‘EASA AD 2019–0054’’) (also referred For more information about this AD, airworthiness directive (AD) for certain to as the Mandatory Continuing contact Sanjay Ralhan, Aerospace Engineer, Saab AB, Saab Aeronautics Model Airworthiness Information, or ‘‘the International Section, Transport Standards SAAB 2000 airplanes. This AD was MCAI’’), to correct an unsafe condition Branch, FAA, 2200 South 216th St., Des prompted by reports of loose and for certain Saab AB, Saab Aeronautics Moines, WA 98198; telephone and fax 206– irregular fasteners at the forward end of Model SAAB 2000 airplanes. 231–3223. the nacelle upper longeron, where the The FAA issued a notice of proposed (k) Material Incorporated by Reference bulkhead frame and struts are attached rulemaking (NPRM) to amend 14 CFR (1) The Director of the Federal Register to the engine mounting structure (EMS). part 39 by adding an AD that would approved the incorporation by reference This AD requires modification of the apply to certain Saab AB, Saab

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Aeronautics Model SAAB 2000 Comments Related Service Information Under 1 airplanes. The NPRM published in the CFR Part 51 The FAA gave the public the Federal Register on July 2, 2019 (84 FR 31524). The NPRM was prompted by opportunity to participate in developing Saab has issued Service Bulletin reports of loose and irregular fasteners this final rule. The FAA received no 2000–54–036, Revision 02, dated at the forward end of the nacelle upper comments on the NPRM or on the January 18, 2019. This service longeron, where the bulkhead frame and determination of the cost to the public. information describes procedures for struts are attached to the EMS. The Conclusion modification of the EMS and structural NPRM proposed to require modification attachments. The FAA reviewed the relevant data of the EMS and structural attachments. This service information is reasonably The FAA is issuing this AD to address and determined that air safety and the available because the interested parties loose and irregular fasteners of the EMS public interest require adopting this have access to it through their normal which could cause development of final rule as proposed, except for minor cracks in the EMS, leading to failure of editorial changes. The FAA has course of business or by the means the affected engine mount-to-airplane determined that these minor changes: identified in the ADDRESSES section. • structural connection, possibly resulting Are consistent with the intent that Costs of Compliance in significant airframe vibrations and was proposed in the NPRM for detrimental effects on the surrounding addressing the unsafe condition; and The FAA estimates that this AD pylon/nacelle structure, and loss of • Do not add any additional burden affects 11 airplanes of U.S. registry. The structural integrity. See the MCAI for upon the public than was already FAA estimates the following costs to additional background information. proposed in the NPRM. comply with this AD:

ESTIMATED COSTS FOR REQUIRED ACTIONS

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

256 work-hours × $85 per hour = $21,760 ...... $2,500 $24,260 $266,860

The FAA has received no definitive applicable to transport category PART 39—AIRWORTHINESS data that would enable the agency to airplanes and associated appliances to DIRECTIVES provide cost estimates for the on- the Director of the System Oversight condition repairs specified in this AD. Division. ■ 1. The authority citation for part 39 continues to read as follows: Authority for This Rulemaking Regulatory Findings Authority: 49 U.S.C. 106(g), 40113, 44701. Title 49 of the United States Code This AD will not have federalism § 39.13 [Amended] specifies the FAA’s authority to issue implications under Executive Order rules on aviation safety. Subtitle I, 13132. This AD will not have a ■ 2. The FAA amends § 39.13 by adding section 106, describes the authority of substantial direct effect on the States, on the following new airworthiness the FAA Administrator. Subtitle VII: the relationship between the national directive (AD): Aviation Programs, describes in more government and the States, or on the 2019–21–04 Saab AB, Saab Aeronautics detail the scope of the Agency’s distribution of power and (Formerly Known as Saab AB, Saab authority. responsibilities among the various Aerosystems): Amendment 39–19770; The FAA is issuing this rulemaking levels of government. Docket No. FAA–2019–0520; Product under the authority described in Identifier 2019–NM–046–AD. Subtitle VII, Part A, Subpart III, Section For the reasons discussed above, I (a) Effective Date 44701: ‘‘General requirements.’’ Under certify that this AD: that section, Congress charges the FAA (1) Is not a ‘‘significant regulatory This AD is effective December 11, 2019. with promoting safe flight of civil action’’ under Executive Order 12866, (b) Affected ADs aircraft in air commerce by prescribing (2) Will not affect intrastate aviation None. regulations for practices, methods, and in Alaska, and procedures the Administrator finds (c) Applicability necessary for safety in air commerce. (3) Will not have a significant This AD applies to Saab AB, Saab This regulation is within the scope of economic impact, positive or negative, Aeronautics (formerly known as Saab AB, that authority because it addresses an on a substantial number of small entities Saab Aerosystems) Model SAAB 2000 unsafe condition that is likely to exist or under the criteria of the Regulatory airplanes, certificated in any category, all Flexibility Act. serial numbers, except serial numbers 006, develop on products identified in this 043, 056, and 061. rulemaking action. List of Subjects in 14 CFR Part 39 This AD is issued in accordance with (d) Subject authority delegated by the Executive Air transportation, Aircraft, Aviation Air Transport Association (ATA) of Director, Aircraft Certification Service, safety, Incorporation by reference, America Code 54, Nacelles/pylons. Safety. as authorized by FAA Order 8000.51C. (e) Reason In accordance with that order, issuance Adoption of the Amendment This AD was prompted by reports of loose of ADs is normally a function of the and irregular fasteners at the forward end of Compliance and Airworthiness Accordingly, under the authority the nacelle upper longeron, where the Division, but during this transition delegated to me by the Administrator, bulkhead frame and struts are attached to the period, the Executive Director has the FAA amends 14 CFR part 39 as engine mounting structure (EMS). The FAA delegated the authority to issue ADs follows: is issuing this AD to address loose and

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irregular fasteners of the EMS which could information. This MCAI may be found in the Federal Voting Assistance Program cause development of cracks in the EMS, AD docket on the internet at https:// (FVAP) to remove internal policy and leading to failure of the affected engine www.regulations.gov by searching for and assignments of responsibility and mount-to-airplane structural connection, locating Docket No. FAA–2019–0520. otherwise make administrative updates. possibly resulting in significant airframe (2) For more information about this AD, vibrations and detrimental effects on the contact Shahram Daneshmandi, Aerospace The FVAP assists service members surrounding pylon/nacelle structure, and loss Engineer, International Section, Transport serving away from home and other of structural integrity. Standards Branch, FAA, 2200 South 216th overseas citizens in exercising their St., Des Moines, WA 98198; phone and fax: voting rights by serving as a critical (f) Compliance 206–231–3220. resource for these individuals to Comply with this AD within the (3) Service information identified in this successfully register to vote and to vote compliance times specified, unless already AD that is not incorporated by reference is absentee. done. available at the addresses specified in paragraphs (k)(3) and (4) of this AD. DATES: This rule is effective on (g) Modification of the EMS and Structural November 6, 2019. Attachments (k) Material Incorporated by Reference FOR FURTHER INFORMATION CONTACT: Within 3,000 flight hours or 24 months, (1) The Director of the Federal Register Scott Wiedmann, 571–372–0760. whichever occurs first after the effective date approved the incorporation by reference of this AD, modify the EMS and structural (IBR) of the service information listed in this SUPPLEMENTARY INFORMATION: The attachments, in accordance with the paragraph under 5 U.S.C. 552(a) and 1 CFR Federal Voting Assistance Program Accomplishment Instructions of Saab Service part 51. (FVAP) works to ensure Service Bulletin 2000–54–036, Revision 02, dated (2) You must use this service information members, their eligible family members January 18, 2019. Where Saab Service as applicable to do the actions required by and overseas citizens are aware of their Bulletin 2000–54–036, Revision 02, dated this AD, unless this AD specifies otherwise. right to vote and have the tools and January 18, 2019, specifies to contact Saab for (i) Saab Service Bulletin 2000–54–036, resources to successfully do so from appropriate action: Before further flight, Revision 02, dated January 18, 2019. anywhere in the world. Additional accomplish corrective actions in accordance (ii) [Reserved] with the procedures specified in paragraph (3) For service information identified in information regarding internal DoD (i)(2) of this AD. this AD, contact Saab AB, Saab Aeronautics, processes related to this program is SE–581 88, Linko¨ping, Sweden; phone: +46 contained in DoD Instruction 1000.04, (h) Credit for Previous Actions 13 18 5591; fax: +46 13 18 4874; email: ‘‘Federal Voting Assistance Program,’’ This paragraph provides credit for actions [email protected]; which is publicly available at http:// required by paragraph (g) of this AD, if those internet: https://www.saabgroup.com. www.esd.whs.mil/Portals/54/ actions were performed before the effective (4) You may view this service information Documents/DD/issuances/dodi/ date of this AD using Saab Service Bulletin at the FAA, Transport Standards Branch, 100004p.pdf?ver=2017-12-01-105434- 2000–54–036, dated November 6, 2018; or 2200 South 216th St., Des Moines, WA. For Saab Service Bulletin 2000–54–036, Revision information on the availability of this 817. 01, dated January 7, 2019. material at the FAA, call 206–231–3195. This regulatory action amends Part 233 to remove DoD internal policies and (i) Other FAA AD Provisions (5) You may view this service information that is incorporated by reference at the procedures, which do not require The following provisions also apply to this National Archives and Records rulemaking and are otherwise publicly AD: Administration (NARA). For information on available on www.fvap.gov and in DoD (1) Alternative Methods of Compliance the availability of this material at NARA, Instruction 1000.04. This rule also (AMOCs): The Manager, International email [email protected], or go to: https:// Section, Transport Standards Branch, FAA, makes administrative updates to legal www.archives.gov/federal-register/cfr/ibr- citations. Finally, this rule removes the has the authority to approve AMOCs for this locations.html. AD, if requested using the procedures found responsibility for the Under Secretary of in 14 CFR 39.19. In accordance with 14 CFR Issued in Des Moines, Washington, on Defense for Personnel and Readiness 39.19, send your request to your principal October 18, 2019. (USD (P&R)) to establish a inspector or local Flight Standards District Dionne Palermo, demonstration project to permit absent Office, as appropriate. If sending information Acting Director, System Oversight Division, uniformed services voters to vote for directly to the International Section, send it Aircraft Certification Service. Federal office through an electronic to the attention of the person identified in [FR Doc. 2019–24161 Filed 11–5–19; 8:45 am] paragraph (j)(2) of this AD. Information may voting system. BILLING CODE 4910–13–P be emailed to: 9-ANM-116-AMOC- Background [email protected]. Before using any approved AMOC, notify your appropriate This part was last published on principal inspector, or lacking a principal DEPARTMENT OF DEFENSE September 18, 2012, as an interim final inspector, the manager of the local flight rule (77 FR 57487). The rule provided standards district office/certificate holding Office of the Secretary direction and guidance to the district office. Department of Defense and other (2) Contacting the Manufacturer: For any 32 CFR Part 233 Federal departments and agencies in requirement in this AD to obtain corrective establishing voting assistance programs actions from a manufacturer, the action must [Docket ID: DOD–2019–OS–0103] be accomplished using a method approved for citizens covered by the Uniformed by the Manager, International Section, RIN 0790–AI27 and Overseas Citizens Absentee Voting Transport Standards Branch, FAA; or the Act (UOCAVA) as modified by the European Union Aviation Safety Agency Federal Voting Assistance Program Military and Overseas Voter (EASA); or Saab AB, Saab Aeronautics’ EASA (FVAP) Empowerment Act. It established policy Design Organization Approval (DOA). If AGENCY: Office of the Under Secretary of and assigned responsibilities for the approved by the DOA, the approval must development and implementation of include the DOA-authorized signature. Defense for Personnel and Readiness, DoD. installation voter assistance (IVA) (j) Related Information ACTION: Final rule. offices. It also established policy for the (1) Refer to Mandatory Continuing development and implementation, Airworthiness Information (MCAI) EASA AD SUMMARY: This regulatory action amends jointly with each State, of procedures 2019–0054, dated March 18, 2019, for related the Department of Defense rule for the for persons to apply to register to vote

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at recruitment offices of the Military XVI, § 1604, Dec. 28, 2001, 115 Stat. E.O. 13771, ‘‘Reducing Regulation and Services. 1277, as amended by Public Law 108– Controlling Regulatory Costs,’’ do not No comments were received during 375, div. A, title V, § 567, Oct. 28, 2004, apply. the comment period that ended on 118 Stat. 1919, which established a Congressional Review Act, 5 U.S.C. November 19, 2012. This finalizes the demonstration project under which interim final rule with the exception of absent uniformed services voters were 804(2) removing internal policies and permitted to vote in a general election Under the Congressional Review Act, procedures and making administrative for Federal office through an electronic a major rule may not take effect until at updates. voting system. least 60 days after submission to Legal Authority for This Program Summary of Major Provisions Congress of a report regarding the rule. A major rule is one that would have an This regulatory action: FVAP administers the UOCAVA, 52 annual effect on the economy of $100 U.S.C. Chapter 203, on behalf of the • Removes DoD internal policies and procedures, which do not require million or more, or have certain other Secretary of Defense, as the Presidential impacts. designee under 52 U.S.C. 20301(a). See rulemaking and are available on Executive Order No. 12642, Designation Government websites in order to This rule is not a major rule under the of Secretary of Defense as Presidential increase transparency and clarity for the Congressional Review Act. Designee, 53 FR 21975 (June 8, 1988). public. Sec. 202, Public Law 104–4, ‘‘Unfunded • Removes the responsibility for the United States citizens under Mandates Reform Act’’ UOCAVA include: USD(P&R) to establish a demonstration • Members and eligible family project to permit absent uniformed Section 202 of the Unfunded members of the Uniformed Services services voters to vote for Federal office Mandates Reform Act of 1995 (UMRA) (Army, Navy, Marine Corps, Air Force, through an electronic voting system. In (2 U.S.C. 1532) requires agencies assess Coast Guard, United States Public the National Defense Authorization Act anticipated costs and benefits before Health Service Commissioned Corps, for Fiscal Year 2015, Congress issuing any rule whose mandates and National Oceanic and Atmospheric eliminated this requirement. DoD no require spending in any 1 year of $100 Administration Commissioned Corps). longer explores program million in 1995 dollars, updated • Members of the Merchant Marines. implementation in this area. annually for inflation. This rule will not • • U.S. citizens residing outside of the Makes administrative changes to mandate any requirements for State, United States. the United State Code citations. In 2014, local, or tribal governments, nor will 52 U.S.C. 20506, requires State voter the Law Revision Counsel, U.S. House affect private sector costs. registration agencies to provide of Representatives transferred individuals the opportunity to register provisions relating to voting and Public Law 96–354, ‘‘Regulatory to vote or to change their voter elections were in the United States Code Flexibility Act’’ (5 U.S.C. 601) registration data when they apply for or from Titles 2 and 42 into a new Title 52, The DoD certifies that this rule is not receive services or assistance. Voting and Elections. No statutory text subject to the Regulatory Flexibility Act The Secretary of Defense under 10 was altered. The provisions were (5 U.S.C. 601) because it would not, if U.S.C. 1566 must prescribe regulations relocated from one place to another in promulgated, have a significant to require the Military Services (Army, the Code. Navy, Air Force, and Marine Corps) to economic impact on a substantial Executive Order 12866, ‘‘Regulatory implement voting assistance programs number of small entities. Therefore, the Planning and Review’’, Executive Order that comply with DoD directives. Regulatory Flexibility Act, as amended, The Military Services, under 10 13563, ‘‘Improving Regulation and does not require us to prepare a U.S.C. 1566a, must designate Regulatory Review’’, and Executive regulatory flexibility analysis. Installation Voter Assistance Offices to Order 13771, ‘‘Reducing Regulation and Controlling Regulatory Costs’’ Public Law 96–511, ‘‘Paperwork make voting assistance available for Reduction Act’’ (44 U.S.C. Chapter 35) military members, their eligible family Executive Orders 12866 and 13563 members and eligible citizens. The direct agencies to assess all costs and It has been determined that 32 CFR Secretary of Defense may authorize the benefits of available regulatory part 233 does not impose reporting or Secretaries of the military departments alternatives and, if regulation is recordkeeping requirements under the to designate offices on military necessary, to select regulatory Paperwork Reduction Act of 1995. approaches that maximize net benefits installations as voter registration Executive Order 13132, ‘‘Federalism’’ agencies under 52 U.S.C. 20506(a)(2) for (including potential economic, all purposes of such act. environmental, public health and safety Executive Order 13132 establishes 52 U.S.C. 20506(c) requires the effects, distribute impacts, and equity). certain requirements that an agency Secretary of Defense jointly with each Executive Order 13563 emphasizes the must meet when it promulgates a final State, to develop and implement importance of quantifying both costs rule that imposes substantial direct procedures for persons to apply to and benefits, of reducing costs, of requirement costs on State and local register to vote at recruitment offices of harmonizing rules, and of promoting governments, preempts State law, or the Armed Forces. flexibility. It has been determined that otherwise has Federalism implications. 52 U.S.C. 22301(c)(1) requires this rule is not a significant regulatory This rule will not have a substantial Government departments, agencies, and action. effect on State and local governments. other entities, upon the Presidential The amendments to this rule remove designee’s request to distribute balloting duplicative and unnecessary rule text, List of Subjects in 32 CFR Part 233 and makes other administrative materials and cooperate in carrying out Civil rights, Elections, Voting rights. UOCAVA. changes. This rule has been deemed not Public Law 113–291, div. A, title V, significant under Executive Order (E.O.) For the reasons stated in the § 593, Dec. 19, 2014, 128 Stat. 3395 12866, ‘‘Regulatory Planning and preamble, the Department of Defense repeals Public Law 107–107, div. A, title Review,’’ therefore, the requirements of amends 32 CFR part 233 as follows:

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PART 233—FEDERAL VOTING Uniformed services. The Army, Navy, ■ c. Redesignating paragraphs (a)(3) ASSISTANCE PROGRAM (FVAP) Air Force, Marine Corps, and Coast through (19) as (a)(2) through (18). Guard, the commissioned corps of the ■ d. In newly redesignated paragraph ■ 1. The authority citation for part 233 Public Health Service, and the (a)(2): is revised to read as follows: commissioned corps of the National ■ i. Removing ‘‘42 U.S.C. 1973ff–1’’ and Authority: E.O. 12642; 10 U.S.C. 1566a; 52 Oceanic and Atmospheric adding in its place ‘‘52 U.S.C. 20302’’. U.S.C. 20506; 52 U.S.C. Ch. 203. Administration. ■ ii. Removing ‘‘42 U.S.C. 1973ff’’ and Voter registration agency. An office adding in its place ‘‘52 U.S.C. Ch. 203’’. § 233.1 [Amended] designated pursuant to 52 U.S.C. 20506 ■ e. In newly redesignated paragraph ■ 2. Amend § 233.1 by: to perform voter registration activities. (a)(3), removing ‘‘Consult with the ■ a. In paragraph (a), removing ‘‘42 Pursuant to 52 U.S.C. 20506(c), a Defense State Liaison Office which is U.S.C. 1973ff–1973ff–6’’ and adding in recruitment office of the Military the DoD office for contact and its place ‘‘52 U.S.C. Ch. 203’’. Services is considered to be a voter coordination with Federal, State, and ■ b. In paragraph (c), removing ‘‘42 registration agency. All IVA offices are local government entities for legislative U.S.C. 1973gg–5’’ and adding in its also designated as voter registration and other policy matters involving place ‘‘52 U.S.C. 20506’’. agencies pursuant to 52 U.S.C. voting assistance and elections pursuant 20506(a)(2). to 42 U.S.C. 1973ff et seq.’’. § 233.2 [Amended] Voting assistance officer (VAO). An ■ f. In newly redesignated paragraph ■ 3. Amend § 233.2(c) by removing ‘‘42 individual responsible for voting (a)(4): U.S.C. 1973ff(c)’’ and adding in its place assistance. ■ i. Adding a ‘‘,’’ after ‘‘DoD ‘‘52 U.S.C. 20301(c)’’. Components’’. § 233.4 [Amended] ■ 4. Amend § 233.3 by: ■ ii. Removing ‘‘42 U.S.C. 1973ff(b)(5)’’ ■ a. In the introductory paragraph: ■ 5. Amend § 233.4 by: and adding in its place ‘‘52 U.S.C. ■ i. Removing ‘‘Joint Publication 1–02’’ ■ a. In paragraph (a), removing ‘‘42 20301(b)(5)’’. and adding in its place ‘‘DoD Dictionary U.S.C. 1973ff(b)(5)’’ and adding in its ■ g. In newly redesignated paragraph of Military Terms’’. place ‘‘52 U.S.C. 20301(b)(5)’’. (a)(5), removing ‘‘42 U.S.C. 1973ff et ■ ii. Removing ‘‘http://www.dtic.mil/ ■ b. In paragraph (d), removing ‘‘42 seq.’’ and adding in its place ‘‘52 U.S.C. doctrine/dod_dictionary/’’ and adding U.S.C. 1973ff’’ and adding in its place Ch. 203’’. in its place ‘‘http://www.jcs.mil/ ‘‘52 U.S.C. 20301’’. ■ h. In newly redesignated paragraph Doctrine’’. § 233.5 [Amended] (a)(6)(iv), removing ‘‘42 U.S.C. 1973ff– ■ b. Revising the definition of 1(e)(4)’’ and adding in its place ‘‘52 ‘‘Installation voter assistance (IVA) ■ 6. Amend § 233.5 by: ■ U.S.C. 20302(e)(4).’’ offices’’. a. In paragraph (a)(1), removing ■ i. In newly redesignated paragraph ■ c. Removing the definitions of ‘‘http://www.dtic.mil/whs/directives/ (a)(6)(vii): ‘‘Metrics,’’ ‘‘Senior service voting corres/pdf/512402p.pdf.’’ and adding in ■ i. Removing ‘‘42 U.S.C. 1973ff(b)(6)’’ representative (SSVR),’’ and ‘‘Service its place ‘‘https://www.esd.whs.mil/ and adding in its place ‘‘52 U.S.C. voting action officer (SVAO)’’. Portals/54/Documents/DD/issuances/ 20301(b)(6)’’. ■ d. Revising the definitions of ‘‘State’’ dodd/512402p.pdf.’’ ■ ii. Removing ‘‘42 U.S.C. 1973ff–4A’’ ■ b. In paragraph (a)(2), removing ‘‘42 and ‘‘Uniformed services’’. and adding in its place ‘‘52 U.S.C. U.S.C. 1973gg–5, and 42 U.S.C. 1973ff— ■ e. Removing the definition of ‘‘Unit 20308’’. voting assistance officer (UVAO)’’. 1973ff–6’’ and adding in its place ‘‘52 ■ j. In newly redesignated paragraph ■ f. Revising the definition of ‘‘Voter U.S.C. 20506; 52 U.S.C. Ch. 203’’. ■ (a)(6)(viii), removing ‘‘Director,’’. registration agency’’. c. In paragraph (a)(3): ■ ■ i. Removing ‘‘42 U.S.C. 1973gg–5, 42 k. In newly redesignated paragraph ■ g. Adding the definition of ‘‘Voting (a)(7): assistance officer (VAO)’’ in U.S.C. 1973ff—1973ff–6’’, and adding in ■ its place ‘‘52 U.S.C. 20506; 52 U.S.C. Ch. i. Adding a ‘‘,’’ after ‘‘but not limited alphabetical order. to’’. The revisions and additions read as 203’’. ■ ■ ii. Removing ‘‘42 U.S.C. 1973ff et follows: ii. Removing ‘‘Section 1604 of Public Law 107–107, ‘‘The National Defense seq.’’ and adding in its place ‘‘52 U.S.C. § 233.3 Definitions. Authorization Act for Fiscal Year 2002,’’ Ch. 203’’. ■ and Section 567 of Public Law 108–375, iii. Removing ‘‘42 U.S.C. 1973ff(6)’’ * * * * * and adding in its place ‘‘52 U.S.C. Installation voter assistance (IVA) ‘‘The National Defense Authorization 20301(6)’’. offices. The office designated by the Act for Fiscal Year 2005’’.’’ ■ iv. Removing ‘‘42 U.S.C. 1973ff–4A’’ installation commander, pursuant to 10 ■ d. In paragraph (a)(4), removing ‘‘42 and adding in its place ‘‘52 U.S.C. U.S.C. 1556a, to provide voter assistance U.S.C. 1973gg–5’’ and adding in its 20308.’’ to military personnel, voting-age place ‘‘52 U.S.C. 20506’’. ■ ■ l. In newly redesignated paragraph military dependents, Government e. In paragraph (a)(5), removing ‘‘42 U.S.C. 1973ff–1(g)’’ and adding in its (a)(8), removing ‘‘42 U.S.C. 1973ff(7)’’ employees, contractors, and other and adding in its place ‘‘52 U.S.C. civilian U.S. citizens with access to the place ‘‘52 U.S.C. 20302(g)’’. ■ f. Removing paragraphs (a)(6), (b), (c), 20301(7)’’. installation. IVA offices also serve as ■ m. Removing newly redesignated voter registration agencies pursuant to and (d). ■ g. Redesignating paragraph (e) as paragraphs (a)(10) and (11), and 52 U.S.C. 20506(a)(2). paragraph (b). redesignating newly redesignated (a)(12) * * * * * ■ h. Removing paragraph (f). and (a)(13) as (a)(10) and (a)(11). State. A State of the United States, the ■ 7. Amend § 233.6 by: ■ n. In newly redesignated paragraph District of Columbia, the ■ a. In paragraph (a), removing ‘‘The (a)(10), removing ‘‘42 U.S.C. 1973ff– Commonwealth of Puerto Rico, Guam, Director,’’. 1(g)’’ and adding in its place ’’ 52 U.S.C. the Virgin Islands, and American ■ b. In paragraph (a)(1), removing ‘‘42 20302(g)’’. Samoa. U.S.C. 1973ff’’ and adding in its place ■ o. Removing newly redesignated * * * * * ‘‘52 U.S.C. Ch. 203.’’ paragraphs (a)(14) and (15), and

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redesignating newly redesignated (a)(16) ■ gg. In paragraph (c)(2)(vi): Financial Institutions,’’ last updated on as (a)(12). ■ i. Adding ‘‘installation,’’ before October 19, 2005 (70 FR 60723), ■ p. Removing newly redesignated ‘‘embassy’’. provides DA policies, procedures, and paragraph (a)(17). ■ ii. Adding ‘‘U.S.’’ before ‘‘civilians’’. restrictions governing access to and ■ q. Redesignating newly redesignated The revisions and additions read as disclosure of financial records paragraph (a)(18) as (a)(13). follows: maintained by financial institutions ■ r. In newly redesignated paragraph during the conduct of Army (a)(13), removing ‘‘42 U.S.C. 1973ff’’ and § 233.6 Procedures. investigations or inquiries. The revision adding in its place ‘‘52 U.S.C. 20301.’’ * * * * * of 32 CFR part 275 supersedes the rule ■ s. Removing paragraphs (b)(1) through (c) * * * at 32 CFR part 504, necessitating its (b)(4), and redesignating (b)(5) as (b)(1). (2) * * * removal from the CFR. ■ t. In newly redesignated paragraph (iii) * * * The name, mailing address, The DA has determined that (b)(1)(i), removing ‘‘42 U.S.C. 1973gg– email address, and telephone number of publication of this removal action for 5(a)(2)’’ and adding in its place ‘‘52 this individual shall be provided to the public comment is unnecessary because U.S.C. 20506(a)(2)’’. FVAP. the policies removed are currently ■ u. In newly redesignated paragraph * * * * * articulated in 32 CFR part 275, and (b)(1)(iii), removing ‘‘42 U.S.C. 1973gg– Dated: October 28, 2019. internal DA policies will continue to be 5(a)(4)’’ and adding in its place ‘‘52 maintained in Army Regulation 190–6, Aaron T. Siegel, U.S.C. 20506(a)(4)’’. ‘‘Obtaining Information from Financial ■ v. In newly redesignated paragraph Alternate OSD Federal Register Liaison Institutions’’ (last updated February 9, Officer, Department of Defense. (b)(1)(iv)(B), removing ‘‘uniformed 2006, and available at https:// services members’’ and adding in its [FR Doc. 2019–23816 Filed 11–5–19; 8:45 am] armypubs.army.mil/ProductMaps/ place ‘‘members of a uniformed BILLING CODE 5001–06–P PubForm/Details.aspx?PUB_ID=50304). service’’. This rule is not significant under ■ w. Removing newly redesignated Executive Order (E.O.) 12866, DEPARTMENT OF DEFENSE paragraphs (b)(1)(iv)(C)(2), (D) and (H), ‘‘Regulatory Planning and Review.’’ and redesignating paragraphs Department of the Army Therefore, the provisions of Executive (b)(1)(iv)(E), (F), and (G) as paragraphs Order 13771, ‘‘Reducing Regulation and (b)(1)(iv)(D), (E), and (F). 32 CFR Part 504 Controlling Regulatory Costs,’’ are not ■ x. Removing paragraphs (b)(6) through applicable to this removal action. (b)(22), and redesignating (b)(23) as [Docket ID: USA–2017–HQ–0008] This removal supports a (b)(2). recommendation of the DoD Regulatory RIN 0702–AA99 ■ y. Removing paragraphs (b)(24) Reform Task Force. through (b)(29), and redesignating Obtaining Information From Financial List of Subjects in 32 CFR Part 504 (b)(30) as (b)(3). Institutions ■ z. In newly redesignated paragraph Banks, banking, Business and (b)(3)(i): AGENCY: Department of the Army, DoD. industry, Investigations, Law ■ i. Removing ‘‘http://www.eac.gov/ ACTION: Final rule. enforcement, Military personnel, voter/Register_to_Vote’’ and adding in Privacy. its place ‘‘https://www.eac.gov/voters/ SUMMARY: This final rule removes the register-and-vote-in-your-state/’’. Department of the Army (DA) PART 504—[REMOVED] ■ ii. Removing ‘‘http://www.dtic.mil/ regulation, which describes the ■ Accordingly, by the authority of 5 whs/directives/infomgt/forms/forminfo/ procedures for complying with the Right U.S.C. 301, 32 CFR part 504 is removed. forminfopage2084.html’’ and adding in to Financial Privacy Act (RFPA). On its place ‘‘http://www.esd.whs.mil/ May 29, 2019, the Department of Brenda S. Bowen, Portals/54/Documents/DD/forms/dd/ Defense (DoD) revised its overarching Army Federal Register Liaison Officer. dd2645.pdf.’’ regulation for compliance with the [FR Doc. 2019–24030 Filed 11–5–19; 8:45 am] ■ aa. In newly redesignated paragraph RFPA which supersedes this part. This BILLING CODE 5001–03–P (b)(3)(v): part is now unnecessary and should be ■ i. Removing ‘‘Director,’’. removed from the CFR. ■ ii. Removing ‘‘two’’ and adding in its DATES: This rule is effective on DEPARTMENT OF DEFENSE place ‘‘2’’. November 6, 2019. ■ iii. Removing ‘‘42 U.S.C. 1973gg(6)(i)’’ Office of the Secretary and adding in its place ‘‘52 U.S.C. FOR FURTHER INFORMATION CONTACT: Mr. Daniel Perkins, 703–614–3309. 20507(i).’’ 32 CFR Chapter XII ■ bb. Removing paragraphs (b)(31) SUPPLEMENTARY INFORMATION: The through (b)(32), and redesignating overarching DoD regulation at 32 CFR [Docket ID: DOD–2019–OS–0091] part 275, ‘‘Right to Financial Privacy (b)(33) as (b)(4). Defense Logistics Agency ■ cc. In paragraph (c)(2), removing ‘‘42 Act,’’ was revised on May 29, 2019 (84 U.S.C. 1973ff(c)’’ and adding in its place FR 24708). That rule updates policies, ACTION: Final rule. ‘‘52 U.S.C. 20301(c).’’ responsibilities, and prescribes ■ dd. In paragraph (c)(2)(ii), removing procedures for obtaining access to SUMMARY: The Department of Defense is ‘‘42 U.S.C. 1973ff’’ and adding in its financial records maintained by publishing this technical amendment to place ‘‘52 U.S.C. 20301’’ and revising financial institutions. It implements 12 amend the chapter heading that relates the last sentence. U.S.C. Chapter 35 by providing to the Defense Logistics Agency (DLA), ■ ee. In paragraph (c)(2)(iii), removing guidance on the requirements and which is a component of the ‘‘Director,’’. conditions for obtaining financial Department of Defense. In revising this ■ ff. In paragraph (c)(2)(v), removing records. The DA regulation at 32 CFR chapter heading, the Department of ‘‘Director,’’. part 504, ‘‘Obtaining Information from Defense is establishing that the DLA is

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a component office and not a separate prohibits persons and vessels from safety hazards associated with the agency. entering the safety zone unless firework display over the Missouri DATES: This rule is effective on authorized by the Captain of the Port River. Sector Upper Mississippi River (COTP) November 6, 2019. III. Legal Authority and Need for Rule FOR FURTHER INFORMATION CONTACT: or a designated representative. The Coast Guard is issuing this rule Patricia Toppings at 571–372–0485. DATES: This rule is effective from 8 p.m. through 9:30 p.m. on December 6, 2019. under authority in 46 U.S.C. 70034 SUPPLEMENTARY INFORMATION: Title 32, (previously 33 U.S.C. 1231). The Subtitle B, Chapter XII of the CFR is ADDRESSES: To view documents Captain of the Port Sector Upper titled ‘‘Defense Logistics Agency.’’ mentioned in this preamble as being Mississippi River (COTP) has According to the Office of the Federal available in the docket, go to https:// determined that potential hazards Register’s interpretation of 1 CFR www.regulations.gov, type USCG–2019– associated with the firework display chapter I, the DLA as the sole ‘‘owner’’ 0847 in the ‘‘SEARCH’’ box and click over the Missouri River will be a safety of this chapter is the only agency that ‘‘SEARCH.’’ Click on Open Docket concern for anyone in the zone. This can amend these regulations. However, Folder on the line associated with this rule is needed to protect persons, the DLA is not an agency separate from rule. vessels, and the marine environment on the Department of Defense, but a FOR FURTHER INFORMATION CONTACT: If the navigable waters within the safety component of it. you have questions on this rule, call or zone while the firework display is being Adding the Department of Defense to email Lieutenant Commander Christian conducted. the heading of chapter XII establishes Barger, Waterways Management that the DLA is part of, and subordinate Division, Sector Upper Mississippi IV. Discussion of the Rule to, the Department of Defense with River, U.S. Coast Guard; telephone 314– This rule establishes a temporary respect to authority over chapter XII. 269–2560, email Christian.J.Barger@ safety zone from 8 p.m. through 9:30 This ensures that the Department of uscg.mil. p.m. on December 6, 2019 or until the Defense can also amend chapter XII SUPPLEMENTARY INFORMATION: firework display is completed, when necessary. Therefore, the whichever occurs first. The safety zone Department of Defense is updating the I. Table of Abbreviations covers all navigable waters from mile title of Chapter XII. CFR Code of Federal Regulations marker 377.5 to mile marker 378 on the SUBTITLE B—[AMENDED] DHS Department of Homeland Security Missouri River. FR Federal Register The duration of this safety zone is ■ Accordingly, by the authority of 5 NPRM Notice of proposed rulemaking intended to protect persons, vessels, and U.S.C. 301, 32 CFR chapter XII is § Section the marine environment on these amended by revising the heading of U.S.C. United States Code navigable waters while the fireworks chapter XII to read Chapter XII— II. Background Information and display is being conducted. No vessel or Department of Defense, Defense Regulatory History person will be permitted to enter the Logistics Agency. safety zone without obtaining The Coast Guard is issuing this Dated: October 25, 2019. permission from the COTP or a temporary rule without prior notice and designated representative. A designated Aaron T. Siegel, opportunity to comment pursuant to representative is a commissioned, Alternate OSD Federal Register Liaison authority under section 4(a) of the warrant, or petty officer of the U.S. Officer, Department of Defense. Administrative Procedure Act (APA) (5 Coast Guard assigned to units under the [FR Doc. 2019–23685 Filed 11–5–19; 8:45 am] U.S.C. 553(b)). This provision operational control of USCG Sector BILLING CODE 5001–06–P authorizes an agency to issue a rule Upper Mississippi River. To seek entry without prior notice and opportunity to into the safety zone, contact the COTP comment when the agency for good or a designated representative via VHF– DEPARTMENT OF HOMELAND cause finds that those procedures are FM channel 16 or by telephone at 314– SECURITY ‘‘impracticable, unnecessary, or contrary 269–2332. Persons and vessels to the public interest.’’ Under 5 U.S.C. permitted to enter this closure must Coast Guard 553(b)(B), the Coast Guard finds that transit at their slowest safe speed and good cause exists for not publishing a comply with all lawful directions issued 33 CFR Part 165 notice of proposed rulemaking (NPRM) by the COTP or the designated [Docket Number USCG–2019–0847] with respect to this rule because it is representative. impracticable. We must establish this The COTP or a designated RIN 1625–AA00 safety zone by December 6, 2019, and representative will inform the public of we lack sufficient time to provide a Safety Zone; Missouri River, Mile the enforcement date for this safety reasonable comment period and then Markers 377.5 to 378, Parkville, MO zone, through Local Notices to Mariners consider those comments before issuing (LNMs), Broadcast Notice to Mariners AGENCY: Coast Guard, DHS. the rule. The NPRM process would (BNM), and/or Marine Safety ACTION: Temporary final rule. delay establishment of the safety zone Information Bulletins (MSIBs) as until after the date of the firework appropriate. SUMMARY: The Coast Guard is display and compromise public safety. establishing a temporary safety zone for Under 5 U.S.C. 553(d)(3), the Coast V. Regulatory Analyses all navigable waters of the Missouri Guard finds that good cause exists for We developed this rule after River from mile marker 377.5 to mile making this rule effective less than 30 considering numerous statutes and marker 378. This action is necessary to days after publication in the Federal Executive orders related to rulemaking. provide for the safety of life on these Register. Delaying the effective date of Below we summarize our analyses navigable waters near the Platte Landing this rule would be contrary to public based on a number of these statutes and Park, Parkville, MO during a fireworks interest because immediate action is Executive orders, and we discuss First display on December 6, 2019. This rule necessary to respond to the potential Amendment rights of protestors.

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A. Regulatory Planning and Review Small businesses may send comments we do discuss the effects of this rule Executive Orders 12866 and 13563 on the actions of Federal employees elsewhere in this preamble. who enforce, or otherwise determine direct agencies to assess the costs and F. Environment benefits of available regulatory compliance with, Federal regulations to We have analyzed this rule under alternatives and, if regulation is the Small Business and Agriculture Department of Homeland Security necessary, to select regulatory Regulatory Enforcement Ombudsman Directive 023–01 and Environmental approaches that maximize net benefits. and the Regional Small Business Planning COMDTINST 5090.1 (series), Executive Order 13771 directs agencies Regulatory Fairness Boards. The Ombudsman evaluates these actions which guide the Coast Guard in to control regulatory costs through a annually and rates each agency’s complying with the National budgeting process. This rule has not responsiveness to small business. If you Environmental Policy Act of 1969 (42 been designated a ‘‘significant wish to comment on actions by U.S.C. 4321–4370f), and have regulatory action,’’ under Executive employees of the Coast Guard, call 1– determined that this action is one of a Order 12866. Accordingly, this rule has 888–REG–FAIR (1–888–734–3247). The category of actions that do not not been reviewed by the Office of Coast Guard will not retaliate against individually or cumulatively have a Management and Budget (OMB), and small entities that question or complain significant effect on the human pursuant to OMB guidance it is exempt about this rule or any policy or action environment. This safety zone impacts from the requirements of Executive of the Coast Guard. less than one mile stretch of the Order 13771. Missouri River for up to one and a one This regulatory action determination C. Collection of Information half hours on December 6, 2019 and will is based on size, location, and duration This rule will not call for a new prohibit entry through the fireworks of the safety zone. This safety zone collection of information under the display. It is categorically excluded impacts a one-half mile stretch of the Paperwork Reduction Act of 1995 (44 from further review under paragraph Missouri River for one and a half hours U.S.C. 3501–3520). L60 (a) in Table 3–1 of U.S. Coast Guard on December 6, 2019. Additionally this Environmental Planning Implementing rule allows vessels to seek permission to D. Federalism and Indian Tribal Procedures. A Record of Environmental enter the zone. Governments Consideration supporting this B. Impact on Small Entities A rule has implications for federalism determination is available in the docket under Executive Order 13132, where indicated under ADDRESSES. The Regulatory Flexibility Act of Federalism, if it has a substantial direct 1980, 5 U.S.C. 601–612, as amended, effect on the States, on the relationship G. Protest Activities requires Federal agencies to consider between the national government and The Coast Guard respects the First the potential impact of regulations on the States, or on the distribution of Amendment rights of protesters. small entities during rulemaking. The power and responsibilities among the Protesters are asked to call or email the term ‘‘small entities’’ comprises small various levels of government. We have person listed in the FOR FURTHER businesses, not-for-profit organizations analyzed this rule under that Order and INFORMATION CONTACT section to that are independently owned and have determined that it is consistent coordinate protest activities so that your operated and are not dominant in their with the fundamental federalism message can be received without fields, and governmental jurisdictions principles and preemption requirements jeopardizing the safety or security of with populations of less than 50,000. described in Executive Order 13132. people, places or vessels. The Coast Guard certifies under 5 U.S.C. Also, this rule does not have tribal 605(b) that this rule will not have a implications under Executive Order List of Subjects in 33 CFR Part 165 significant economic impact on a 13175, Consultation and Coordination Harbors, Marine safety, Navigation, substantial number of small entities. with Indian Tribal Governments, Reporting and recordkeeping While some owners or operators of because it does not have a substantial requirements, Security measures, vessels intending to transit the safety direct effect on one or more Indian Waterways. zone may be small entities, for the tribes, on the relationship between the For the reasons discussed in the reasons stated in section V.A above, this Federal Government and Indian tribes, preamble, the Coast Guard amends 33 rule will not have a significant or on the distribution of power and CFR part 165 as follows: economic impact on any vessel owner responsibilities between the Federal or operator because the rule will allow Government and Indian tribes. If you PART 165—REGULATED NAVIGATION persons and vessels to seek permission believe this rule has implications for AREAS AND LIMITED ACCESS AREAS to enter the zone and coordinated entry federalism or Indian tribes, please call may be arranged on a case by case basis. or email the person listed in the FOR ■ 1. The authority citation for part 165 Additionally, coordination with several FURTHER INFORMATION CONTACT section continues to read as follows: waterways users has taken place to above. Authority: 46 U.S.C 70034, 70051; 33 CFR mitigate as much impact as possible. E. Unfunded Mandates Reform Act 1.05–1, 6.04–1, 6.04–6, and 160.5; Under section 213(a) of the Small Department of Homeland Security Delegation Business Regulatory Enforcement The Unfunded Mandates Reform Act No. 0170.1. Fairness Act of 1996 (Pub. L. 104–121), of 1995 (2 U.S.C. 1531–1538) requires ■ 2. Add § 165.T08–0847 to read as we want to assist small entities in Federal agencies to assess the effects of follows: understanding this rule. If the rule their discretionary regulatory actions. In would affect your small business, particular, the Act addresses actions § 165.T08–0847 Safety Zone; Missouri organization, or governmental that may result in the expenditure by a River, Mile Marker 377.5 to 378, Parkville, jurisdiction and you have questions State, local, or tribal government, in the MO. concerning its provisions or options for aggregate, or by the private sector of (a) Location. The following area is a compliance, please call or email the $100,000,000 (adjusted for inflation) or safety zone: In the vicinity of mile person listed in the FOR FURTHER more in any one year. Though this rule markers 378 to 377.5 on the Missouri INFORMATION CONTACT section. will not result in such an expenditure, River.

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(b) Period of enforcement. This Juan Harbor and a 50-yard radius Therefore, it would be contrary to the section will be enforced on December 6, around each vessel when moored at the public interest for the existing safety 2019 from 8 p.m. through 9:30 p.m., or Puma Energy dock, Catan˜ o Oil dock, or zone to lapse. until the firework display is completed, Wharf B. This safety zone is needed to Under 5 U.S.C. 553(d)(3), the Coast whichever comes first. protect personnel, transiting vessels, Guard finds that good cause exists for (c) Regulations. (1) In accordance with and Liquefied Gas carriers. Entry of making this rule effective less than 30 the general regulations in § 165.23, entry vessels or persons into this zone is days after publication in the Federal of vessels or persons into this zone is prohibited unless specifically Register for the same reasons discussed prohibited unless specifically authorized by the Captain of the Port above. authorized by the Captain of the Port San Juan or his designated III. Legal Authority and Need for Rule Sector Upper Mississippi River (COTP) representative. The Coast Guard is issuing this rule or designated representative. A DATES: This rule is effective from 12:01 under authority in 46 U.S.C. 70034. designated representative is a a.m. on November 16, 2019 until 11:59 Potential hazards associated with LNG commissioned, warrant, or petty officer p.m. on February 28, 2020. of the U.S. Coast Guard assigned to carriers continues to be a safety concern FOR FURTHER INFORMATION CONTACT: If for anyone within 50-yards of these units under the operational control of you have questions about this USCG Sector Upper Mississippi River. carriers. The purpose of this rule is to rulemaking, call or email Lieutenant extend the safety zone until February (2) Vessels requiring entry into this Commander Pedro Mendoza, Sector San safety zone must request permission 28, 2020 to ensure the safety of vessels Juan Prevention Department, Waterways and the navigable waters within a 50- from the COTP or a designated Management Division, U.S. Coast representative. To seek entry into the yard radius of LNG and LPG carriers Guard; telephone 787–729–2374, email transiting San Juan Harbor while the safety zone, contact the COTP or the [email protected]. representative via VHF–FM channel 16 NPRM process for establishing a revised SUPPLEMENTARY INFORMATION: or by telephone at 314–269–2332. safety zone in § 165.754 is completed. (3) Persons and vessels permitted to I. Table of Abbreviations This temporary final rule continues to enter this safety zone must transit at safeguard vessels at an adjacent berthing CFR Code of Federal Regulations location, Puerto Nuevo Berth B, which their slowest safe speed and comply DHS Department of Homeland Security with all lawful directions issued by the FR Federal Register supplies LNG to the Puerto Rico Electric COTP or the designated representative. LNG Liquefied Natural Gas Power Authority (PREPA) and other (e) Information broadcasts. The COTP NPRM Notice of proposed rulemaking industrial sectors. § Section or a designated representative will IV. Discussion of the Rule inform the public of the enforcement U.S.C. United States Code This rule extends the duration of the dates and times for this safety zone, as II. Background Information and temporary safety zone on navigable well as any emergent safety concerns Regulatory History that may delay the enforcement of the waters within one half mile around each The Coast Guard is issuing this zone, through Local Notices to Mariners Liquefied Gas carrier entering and temporary rule without prior notice and departing San Juan Harbor and a 50- (LNM), Broadcast Notice to Mariners opportunity to comment pursuant to (BNM), and/or Marine Safety yard radius around each vessel when authority under section 4(a) of the moored. This extension is necessary Information Bulletins (MSIB) as Administrative Procedure Act (APA) (5 appropriate. while the NPRM process of revising the U.S.C. 553(b)). This provision existing regulation in § 165.754 to add Dated: October 31, 2019. authorizes an agency to issue a rule LNG carriers is ongoing. The first safety S.A. Stoermer, without prior notice and opportunity to zone on this matter was effective from Captain, U.S. Coast Guard, Captain of the comment when the agency for good September 13, 2019 until 11:59 p.m. on Port Sector Upper Mississippi River. cause finds that those procedures are November 15, 2019. This regulation [FR Doc. 2019–24210 Filed 11–5–19; 8:45 am] ‘‘impracticable, unnecessary, or contrary extends the safety zone until 11:59 p.m. BILLING CODE 9110–04–P to the public interest.’’ Under 5 U.S.C. on February 28, 2020. No vessel or 553(b)(B), the Coast Guard finds that person will be permitted to enter the good cause exists for not publishing a safety zone without obtaining DEPARTMENT OF HOMELAND notice of proposed rulemaking (NPRM) permission from the COTP or a SECURITY because initial immediate action was designated representative. needed to safeguard incoming, moored, If authorization to enter, transit Coast Guard and outgoing LNG carriers within San through, anchor in, or remain within the Juan Harbor, San Juan, Puerto Rico. This safety zone is granted by the COTP San 33 CFR Part 165 rule extends the duration of the existing Juan or a designated representative, all [Docket Number USCG–2019–0686] safety zone, which would have expired persons and vessels receiving such on November 15, 2019, to ensure, to the authorization must comply with the RIN 1625–AA00 extent practicable, the immediate, instructions of the COTP San Juan or a continued need to safeguard incoming, Safety Zone; San Juan Harbor, San designated representative. The Coast moored, and outgoing LNG carriers Juan, PR Guard will provide notice of the safety within the San Juan Harbor. zone through Local Notice to Mariners, AGENCY: Coast Guard, DHS. Specifically, this rule is being extended Broadcast Notice to Mariners via VHF– ACTION: Temporary final rule. while go through February 28, 2020. FM marine channel 16, and designated This is necessary considering the NPRM on-scene representatives. SUMMARY: The Coast Guard is extending process and allows for time to receive the duration of a temporary safety zone public comment in order to complete V. Regulatory Analyses for all navigable waters within an area the rulemaking process to revise the We developed this rule after of one half mile around each Liquefied existing safety zone for LPG carriers in considering numerous statutes and Gas carrier entering and departing San § 165.754 to include LNG carriers. Executive orders related to rulemaking.

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Below we summarize our analyses understanding this rule. If the rule their discretionary regulatory actions. In based on a number of these statutes and would affect your small business, particular, the Act addresses actions Executive orders, and we discuss First organization, or governmental that may result in the expenditure by a Amendment rights of protestors. jurisdiction and you have questions State, local, or tribal government, in the concerning its provisions or options for A. Regulatory Planning and Review aggregate, or by the private sector of compliance, please call or email the $100,000,000 (adjusted for inflation) or Executive Orders 12866 and 13563 person listed in the FOR FURTHER more in any one year. Though this rule direct agencies to assess the costs and INFORMATION CONTACT section. will not result in such an expenditure, benefits of available regulatory Small businesses may send comments we do discuss the effects of this rule alternatives and, if regulation is on the actions of Federal employees elsewhere in this preamble. necessary, to select regulatory who enforce, or otherwise determine approaches that maximize net benefits. compliance with, Federal regulations to F. Environment Executive Order 13771 directs agencies the Small Business and Agriculture to control regulatory costs through a Regulatory Enforcement Ombudsman We have analyzed this rule under budgeting process. This rule has not and the Regional Small Business Department of Homeland Security been designated a ‘‘significant Regulatory Fairness Boards. The Directive 023–01 and Environmental regulatory action,’’ under Executive Ombudsman evaluates these actions Planning COMDTINST 5090.1 (series), Order 12866. Accordingly, this rule has annually and rates each agency’s which guide the Coast Guard in not been reviewed by the Office of responsiveness to small business. If you complying with the National Management and Budget (OMB), and wish to comment on actions by Environmental Policy Act of 1969 (42 pursuant to OMB guidance it is exempt employees of the Coast Guard, call 1– U.S.C. 4321–4370f), and have from the requirements of Executive 888–REG–FAIR (1–888–734–3247). The determined that this action is one of a Order 13771. Coast Guard will not retaliate against category of actions that do not This regulatory action determination small entities that question or complain individually or cumulatively have a is based on the size, available about this rule or any policy or action significant effect on the human exceptions to the enforcement of the of the Coast Guard. environment. This rule involves a safety safety zone, and notice to mariners. The zone lasting 36 days that will prohibit regulated area will impact small C. Collection of Information entry within one half mile around each designated areas of navigable channels This rule will not call for a new Liquefied Gas carrier entering and within San Juan Harbor. The rule will collection of information under the departing San Juan Harbor and a 50- allow vessels to seek permission to Paperwork Reduction Act of 1995 (44 yard radius around each vessel when enter, transit through, anchor in, or U.S.C. 3501–3520). remain within the safety zone. moored. The duration of the zone is Additionally, notifications to the marine D. Federalism and Indian Tribal intended to protect personnel, vessels, community will be made through Local Governments and the marine environment in these Notice to Mariners, Broadcast Notice to A rule has implications for federalism navigable waters while the NPRM to Mariners via VHF–FM marine channel under Executive Order 13132, modify the San Juan Harbor, San Juan, 16, and on-scene representatives. The Federalism, if it has a substantial direct Puerto Rico safety zone is properly notifications will allow the public to effect on the States, on the relationship proposed and implemented. It is plan operations around the affected between the national government and categorically excluded from further areas. the States, or on the distribution of review under paragraph L60(a) in Table power and responsibilities among the 3–1 of U.S. Coast Guard Environmental B. Impact on Small Entities various levels of government. We have Planning Implementing Procedures. A The Regulatory Flexibility Act of analyzed this rule under that Order and Record of Environmental Consideration 1980, 5 U.S.C. 601–612, as amended, have determined that it is consistent supporting this determination is requires Federal agencies to consider with the fundamental federalism available in the docket where indicated the potential impact of regulations on principles and preemption requirements under ADDRESSES. small entities during rulemaking. The described in Executive Order 13132. term ‘‘small entities’’ comprises small Also, this rule does not have tribal G. Protest Activities businesses, not-for-profit organizations implications under Executive Order The Coast Guard respects the First that are independently owned and 13175, Consultation and Coordination Amendment rights of protesters. operated and are not dominant in their with Indian Tribal Governments, fields, and governmental jurisdictions because it does not have a substantial Protesters are asked to call or email the FOR FURTHER with populations of less than 50,000. direct effect on one or more Indian person listed in the The Coast Guard certifies under 5 U.S.C. tribes, on the relationship between the INFORMATION CONTACT section to 605(b) that this rule will not have a Federal Government and Indian tribes, coordinate protest activities so that your significant economic impact on a or on the distribution of power and message can be received without substantial number of small entities. responsibilities between the Federal jeopardizing the safety or security of While some owners or operators of Government and Indian tribes. If you people, places or vessels. vessels intending to transit the safety believe this rule has implications for List of Subjects in 33 CFR Part 165 zone may be small entities, for the federalism or Indian tribes, please call reasons stated in section V.A above, this or email the person listed in the FOR Harbors, Marine safety, Navigation rule will not have a significant FURTHER INFORMATION CONTACT section (water), Reporting and recordkeeping economic impact on any vessel owner above. requirements, Security measures, or operator. Waterways. Under section 213(a) of the Small E. Unfunded Mandates Reform Act Business Regulatory Enforcement The Unfunded Mandates Reform Act For the reasons discussed in the Fairness Act of 1996 (Pub. L. 104–121), of 1995 (2 U.S.C. 1531–1538) requires preamble, the Coast Guard amends 33 we want to assist small entities in Federal agencies to assess the effects of CFR part 165 as follows:

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PART 165—REGULATED NAVIGATION all persons and vessels must comply ENVIRONMENTAL PROTECTION AREAS AND LIMITED ACCESS AREAS with the instructions of the COTP or his AGENCY designated representative. ■ 1. The authority citation for part 165 40 CFR Part 52 continues to read as follows: (3) Vessels encountering emergencies, which require transit through the [EPA–R01–OAR–2008–0108; FRL–10001– Authority: 46 U.S.C. 70034, 70051; 33 CFR moving safety zone, should contact the 37–Region 1] 1.05–1, 6.04–1, 6.04–6, and 160.5; Coast Guard patrol craft or Duty Officer Department of Homeland Security Delegation Air Plan Approval; Massachusetts; No. 0170.1. on VHF Channel 16. In the event of an Transport State Implementation Plans emergency, the Coast Guard patrol craft ■ 2. Add § 165.T07–0686 to read as for the 1997 and 2008 Ozone Standards follows: may authorize a vessel to transit through the safety zone with a Coast Guard AGENCY: Environmental Protection § 165.T07–0686 Safety Zone; San Juan designated escort. Agency (EPA). Harbor, San Juan, PR. (4) The COTP and the Duty Officer at ACTION: Final rule. (a) Location. A moving safety zone is Sector San Juan, Puerto Rico, can be SUMMARY: The Environmental Protection established in the following area: contacted at telephone number 787– (1) The waters around Liquefied Gas Agency (EPA) is approving State (LNG) carriers entering San Juan Harbor 289–2041. The Coast Guard Patrol Implementation Plan (SIP) revisions in an area one half mile around each Commander enforcing the safety zone submitted by the Commonwealth of vessel, beginning one mile north of the can be contacted on VHF–FM channels Massachusetts that address the San Juan Harbor #1 Sea Buoy, in 16 and 22A. interstate transport of air pollution approximate position 18–29.3 N, 66– (5) All persons and vessels must requirements of the Clean Air Act for 07.6 W and continuing until the vessel comply with the instructions of on- the 1997 and 2008 ozone national is moored at the Puma Energy dock, scene patrol personnel. On-scene patrol ambient air quality standards (NAAQS) Catan˜ o Oil dock, or Wharf B in personnel include commissioned, (i.e., ozone transport SIPs). The approximate position 18–25.8 N, 66– warrant, or petty officers of the U.S. intended effect of this action is to 06.5 W. All coordinates are North Coast Guard. Coast Guard Auxiliary and approve the two transport SIPs as American Datum 1983. local or state officials may be present to revisions to the Massachusetts SIP. This (2) The waters around Liquefied Gas inform vessel operators of the action is being taken in accordance with carriers in a 50-yard radius around each requirements of this section, and other the Clean Air Act. vessel when moored at the Puma Energy applicable laws. DATES: This rule is effective on dock, Catan˜ o Oil dock, or Wharf B. December 6, 2019. (d) Notification. The zone described (3) The waters around Liquefied Gas ADDRESSES: EPA has established a in paragraphs (a)(1) through (3) of this carriers departing San Juan Harbor in an docket for this action under Docket section will be activated upon entry of area one half mile around each vessel Identification No. EPA–R01–OAR– beginning at the Puma Energy Dock, an LNG carrier into the navigable waters 2008–0108. All documents in the docket Catan˜ o Oil dock, or Wharf B in of the United States in the San Juan are listed on the https:// approximate position 18–25.8 N, 66– Captain of the Port Zone. An LNG www.regulations.gov website. Although 06.5 W when the vessel gets underway, carrier will be identifiable by the Bravo listed in the index, some information is and continuing until the stern passes flag (red international signal flag under not publicly available, i.e., CBI or other the San Juan Harbor #1 Sea Buoy, in Pub. 102, International Code of Signals) information whose disclosure is approximate position 18–28.3 N, 66– flying from the outermost halyard restricted by statute. Certain other 07.6 W. All coordinates referenced use (above the pilot house) where it can material, such as copyrighted material, datum: NAD 83. most easily be seen. In addition to is not placed on the internet and will be (b) Definition. As used in this section, visual identification of an LNG carrier, publicly available only in hard copy the term ‘‘designated representative’’ Coast Guard Sector San Juan will give form. Publicly available docket means a Coast Guard Patrol notice through Mariners Broadcast materials are available at https:// Commander, including a Coast Guard Notice to Mariners for the purpose of www.regulations.gov or at the U.S. coxswain, petty officer, or other officer Environmental Protection Agency, EPA operating a Coast Guard vessel and a enforcement of the temporary safety Region 1 Regional Office, Air and Federal, State, and local officer zone. Radiation Division, 5 Post Office designated by or assisting the Captain of (e) Enforcement period. This section Square—Suite 100, Boston, MA. EPA the Port (COTP) San Juan in the will be enforced from 12:01 a.m. on requests that if at all possible, you enforcement of the safety zone. November 16, 2019 through 11:59 p.m. contact the contact listed in the FOR (c) Regulations. (1) No person or on February 28, 2020. vessel may enter, transit, or remain in FURTHER INFORMATION CONTACT section to Dated: October 31, 2019. the safety zone unless authorized by the schedule your inspection. The Regional COTP San Juan, Puerto Rico, or a E.P. King, Office’s official hours of business are designated Coast Guard commissioned, Captain, U.S. Coast Guard, Captain of the Monday through Friday, 8:30 a.m. to warrant, or petty officer. Those in the Port San Juan. 4:30 p.m., excluding legal holidays. safety zone must comply with all lawful [FR Doc. 2019–24158 Filed 11–5–19; 8:45 am] FOR FURTHER INFORMATION CONTACT: orders or directions given to them by the BILLING CODE 9110–04–P Alison C. Simcox, Air Quality Branch, COTP or the designated Coast Guard U.S. Environmental Protection Agency, commissioned, warrant, or petty officer. EPA Region 1, 5 Post Office Square— (2) Persons desiring to transit the area Suite 100, (Mail code 05–2), Boston, MA of the safety zones may contact the 02109–3912, tel. (617) 918–1684, email COTP San Juan or his designated [email protected]. representative to seek permission to SUPPLEMENTARY INFORMATION: transit the area. If permission is granted, Throughout this document whenever

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‘‘we,’’ ‘‘us,’’ or ‘‘our’’ is used, we mean However, no party challenged that • Is not a significant regulatory action EPA. aspect of the CSAPR Update in subject to Executive Order 13211 (66 FR Wisconsin and nothing in the Wisconsin 28355, May 22, 2001); Table of Contents court’s opinion overturned that finding • Is not subject to requirements of I. Background or called it into doubt. Consequently, Section 12(d) of the National II. Response to Comments Wisconsin v. EPA likewise does not bar Technology Transfer and Advancement III. Final Action approval of the Commonwealth’s Act of 1995 (15 U.S.C. 272 note) because IV. Statutory and Executive Order Reviews Transport SIP for the 2008 ozone application of those requirements would I. Background NAAQS. be inconsistent with the Clean Air Act; and On August 14, 2019 (84 FR 40344), III. Final Action • Does not provide EPA with the EPA published a Notice of Proposed discretionary authority to address, as Rulemaking (NPRM) for the EPA is approving transport SIPs that were submitted to address interstate appropriate, disproportionate human Commonwealth of Massachusetts. health or environmental effects, using The NPRM proposed approval of SIP transport requirements for CAA section practicable and legally permissible revisions that address the interstate 110(a)(2)(D)(i)(I) for the 1997 and 2008 methods, under Executive Order 12898 transport of air pollution requirements ozone NAAQS as a revision to the Massachusetts SIP. (59 FR 7629, February 16, 1994). of section 110(a)(2)(D)(i)(I) of the Clean In addition, the SIP is not approved Air Act for the 1997, 2008, and 2015 IV. Statutory and Executive Order to apply on any Indian reservation land ozone national ambient air quality Reviews or in any other area where EPA or an standards (NAAQS) (i.e., ozone Indian tribe has demonstrated that a transport SIPs). The formal SIP revisions Under the Clean Air Act, the Administrator is required to approve a tribe has jurisdiction. In those areas of were submitted by Massachusetts on Indian country, the rule does not have January 31, 2008; February 9, 2018; and SIP submission that complies with the provisions of the Act and applicable tribal implications and will not impose September 27, 2018. In today’s action, substantial direct costs on tribal we are approving the transport SIPs for Federal regulations. 42 U.S.C. 7410(k); 40 CFR 52.02(a). Thus, in reviewing SIP governments or preempt tribal law as the 1997 and 2008 ozone NAAQS. We specified by Executive Order 13175 (65 will take final action on the transport submissions, EPA’s role is to approve state choices, provided that they meet FR 67249, November 9, 2000). SIP for the 2015 ozone NAAQS at a later The Congressional Review Act, 5 date. the criteria of the Clean Air Act. Accordingly, this action merely U.S.C. 801 et seq., as added by the Small The rationale for EPA’s proposed Business Regulatory Enforcement action is explained in the NPRM and approves state law as meeting Federal requirements and does not impose Fairness Act of 1996, generally provides will not be restated here. One public that before a rule may take effect, the comment was received on the NPRM. additional requirements beyond those imposed by state law. For that reason, agency promulgating the rule must II. Response to Comments this action: submit a rule report, which includes a copy of the rule, to each House of the EPA received one comment during • Is not a significant regulatory action Congress and to the Comptroller General the comment period stating that EPA subject to review by the Office of of the United States. EPA will submit a cannot ‘‘rely on a rule that a court has Management and Budget under report containing this action and other now vacated,’’ referring to the recent Executive Orders 12866 (58 FR 51735, required information to the U.S. Senate, ruling by the United States Court of October 4, 1993) and 13563 (76 FR 3821, the U.S. House of Representatives, and Appeals for the District of Columbia January 21, 2011); the Comptroller General of the United Circuit in Wisconsin v. EPA, No. 16– • Is not an Executive Order 13771 1406, 2019 WL 4383259 (D.C. Cir. Sept. States prior to publication of the rule in regulatory action because this action is the Federal Register. A major rule 13, 2019), on EPA’s Cross State Air not significant under Executive Order Pollution Rule Update for the 2008 cannot take effect until 60 days after it 12866; is published in the Federal Register. Ozone NAAQS (‘‘CSAPR Update Rule’’), • Does not impose an information 81 FR 74504 (October 26, 2016). As an This action is not a ‘‘major rule’’ as collection burden under the provisions defined by 5 U.S.C. 804(2). initial matter, the commenter is of the Paperwork Reduction Act (44 incorrect; the court remanded the U.S.C. 3501 et seq.); List of Subjects in 40 CFR Part 52 CSAPR Update Rule to EPA but did not • Is certified as not having a Environmental protection, Air vacate it. Wisconsin, 2019 WL 4383259, significant economic impact on a pollution control, Incorporation by at *26. In any event, our proposed substantial number of small entities reference, Nitrogen dioxide, Ozone, approval of the Commonwealth’s under the Regulatory Flexibility Act (5 Particulate matter, Sulfur oxides, Transport SIP for the 1997 ozone U.S.C. 601 et seq.); Volatile organic compounds. NAAQS did not rely on the CSAPR • Update Rule. Thus, the court’s ruling in Does not contain any unfunded Dated: October 22, 2019. Wisconsin does not affect our approval mandate or significantly or uniquely Dennis Deziel, of Massachusetts’ Transport SIP for the affect small governments, as described Regional Administrator, EPA Region 1. in the Unfunded Mandates Reform Act 1997 ozone NAAQS. Part 52 of chapter I, title 40 of the With respect to the 2008 ozone of 1995 (Pub. L. 104–4); • Does not have Federalism Code of Federal Regulations is amended NAAQS, our proposed approval relied as follows: in part on EPA’s finding in the CSAPR implications as specified in Executive Update Rule that emissions from Order 13132 (64 FR 43255, August 10, PART 52—APPROVAL AND Massachusetts do not significantly 1999); PROMULGATION OF contribute to nonattainment or interfere • Is not an economically significant IMPLEMENTATION PLANS with maintenance of the 2008 ozone regulatory action based on health or NAAQS in any downwind state, see 84 safety risks subject to Executive Order ■ 1. The authority citation for part 52 FR at 40346–47 (citing 81 FR at 74506). 13045 (62 FR 19885, April 23, 1997); continues to read as follows:

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Authority: 42 U.S.C. 7401 et seq. CAA for 1997 Ozone NAAQS,’’ and § 52.1120 Identification of plan ■ 2. Section 52.1120 is amended in the ‘‘Interstate transport requirements of * * * * * table in paragraph (e) by adding entries CAA for 2008 Ozone NAAQS’’ at the (e) * * * for ‘‘Interstate transport requirements of end of the table to read as follows;

MASSACHUSETTS NON REGULATORY

Name of nonregulatory SIP pro- Applicable geo- State submittal graphic or non- EPA approved date 3 Explanations vision attainment area date/effective date

******* Interstate transport requirements Statewide ...... January 31, 2008 .. November 6, 2019 [Insert Fed- Approved with respect to re- of CAA for 1997 Ozone eral Register citation]. quirements for CAA section NAAQS. 110(a)(2)(D)(i)(I). Interstate transport requirements Statewide ...... February 9, 2018 .. November 6, 2019 [Insert Fed- Approved with respect to re- of CAA for 2008 Ozone eral Register citation]. quirements for CAA section NAAQS. 110(a)(2)(D)(i)(I).

[FR Doc. 2019–23593 Filed 11–5–19; 8:45 am] deaf (TDD) may leave a message for effective less than 30 days after BILLING CODE 6560–50–P these individuals with the Federal Relay publication. See 43 CFR 3000.10(c). Service (FRS) at 1–800–877–8339, 24 II. Discussion of Final Rule hours a day, 7 days a week. As set forth in the 2005 Cost Recovery DEPARTMENT OF THE INTERIOR SUPPLEMENTARY INFORMATION: Rule, the fee updates are based on the Bureau of Land Management I. Background change in the IPD–GDP. The BLM’s minerals program publishes the updated The BLM has specific authority to 43 CFR Part 3000 cost recovery fees, which become charge fees for processing applications effective on October 1, the start of the [18X.LLWO310000.L13100000.PP0000] and other documents relating to public fiscal year (FY). RIN 1004–AE70 lands under section 304 of the Federal This rule updates the cost recovery Land Policy and Management Act of fees established by the cost recovery fee Minerals Management: Adjustment of 1976 (FLPMA), 43 U.S.C. 1734. In 2005, rule published on September 28, 2018 Cost Recovery Fees the BLM published a final cost recovery (83 FR 48957), effective October 1, 2018. rule (70 FR 58854) that established new This rule updates the cost recovery fees AGENCY: Bureau of Land Management, fees or revised fees and service charges Interior. used in Fiscal Year 2019 for Fiscal Year for processing documents related to its 2020. The update adjusts the 2019 fees ACTION: Final rule. minerals programs (‘‘2005 Cost based on the change in the IPD–GDP Recovery Rule’’). In addition, the 2005 SUMMARY: This final rule updates the from the 4th Quarter of 2017 to the 4th Cost Recovery Rule also established the fees set forth in the Bureau of Land Quarter of 2018. method the BLM would use to adjust Management (BLM) mineral resources Under this rule, 24 fees will remain those fees and service charges on an regulations for the processing of certain the same and 24 fees will increase. Of annual basis. minerals program-related actions. It also the 24 fees that are being increased by adjusts certain filing fees for minerals- At 43 CFR 3000.12(a), the regulations this rule, 13 will increase by $5 each, related documents. These updated fees provide that the BLM will annually seven will increase by $10 each, two include those for actions such as lease adjust fees established in subchapter C will increase by $15 each, and two will renewals and mineral patent (43 CFR parts 3000–3900) according to increase by more than $15. The largest adjudications. changes in the Implicit Price Deflator for increase, $75, will be applied to the fee Gross Domestic Product (IPD–GDP), for adjudicating a mineral patent DATES: This final rule is effective which is published quarterly by the U.S. application containing more than 10 November 6, 2019. Department of Commerce. See also 43 claims, which will increase from $3,215 ADDRESSES: You may send inquiries or CFR 3000.10. This final rule updates to $3,290. The fee for adjudicating a suggestions to Director (630), Bureau of those fees and service charges consistent patent application containing 10 or Land Management, 2134LM, 1849 C with that direction. The fee adjustments fewer claims will increase by $40, from Street NW, Washington, DC 20240; in this rule are based on the $1,605 to $1,645. It is important to note Attention: RIN 1004–AE70. mathematical formula set forth in the that the ‘‘real’’ values of the fees are not FOR FURTHER INFORMATION CONTACT: 2005 Cost Recovery Rule. The public actually increasing, since real values Lorenzo Trimble, Acting Chief, Division had an opportunity to comment on that account for the effect of inflation. In real of Fluid Minerals, 202–912–7342, adjustment procedure as part of the terms, the values of the fees are simply [email protected]; Alfred Elser, Acting 2005 rulemaking. Accordingly, the being adjusted to account for the Chief, Division of Solid Minerals, 202– Department of the Interior for good changes in the prices of goods and 912–7114, [email protected]; or Chandra cause finds under 5 U.S.C. 553(b)(B) and services produced in the United States. Little, Regulatory Affairs, 202–912– (d)(3) that notice and public comment The calculations that resulted in the 7403, [email protected]. Persons who use procedures are unnecessary and that the new fees are included in the table a telecommunications device for the fee adjustments in this rule may be below:

3 To determine the EPA effective date for a Federal Register document cited in this column for specific provision listed in this table, consult the the particular provision.

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Existing fee 1 Existing IPD–GDP New fee 5 Fixed cost recovery fees New value 4 (FY 2019) value 2 increase 3 (FY 2020)

Oil & Gas (parts 3100, 3110, 3120, 3130, 3150): Noncompetitive lease application ...... $425 $427.283 $9.998 $437.281 $435 Competitive lease application ...... 165 165.819 3.880 169.699 170 Assignment and transfer of record title or operating rights ...... 95 95.656 2.238 97.894 100 Overriding royalty transfer, payment out of production ...... 15 12.752 0.298 13.050 15 Name change, corporate merger or transfer to heir/devisee ...... 225 223.197 5.222 228.419 230 Lease consolidation ...... 470 471.909 11.042 482.951 485 Lease renewal or exchange ...... 425 427.283 9.998 437.281 435 Lease reinstatement, Class I ...... 85 82.893 1.939 84.832 85 Leasing under right-of-way ...... 425 427.283 9.998 437.281 435 Geophysical exploration permit application—Alaska 6 ...... 25 25.000 1.712 26.712 25 Renewal of exploration permit—Alaska 6 ...... 25 25.000 1.712 26.712 25 Geothermal (part 3200): Noncompetitive lease application ...... 425 427.283 9.998 437.281 435 Competitive lease application ...... 165 165.819 3.880 169.699 170 Assignment and transfer of record title or operating right ...... 95 95.656 2.238 97.894 100 Name change, corporate merger or transfer to heir/devisee ...... 225 223.197 5.222 228.419 230 Lease consolidation ...... 470 471.909 11.042 482.951 485 Lease reinstatement...... 85 82.893 1.939 84.832 85 Nomination of lands ...... 120 119.383 2.793 122.176 120 Plus per acre nomination fee ...... 0.12 0.119 0.002 0.121 0.12 Site license application ...... 65 63.771 1.492 65.263 65 Assignment or transfer of site license ...... 65 63.771 1.492 65.263 65 Coal (parts 3400, 3470): License to mine application ...... 15 12.752 0.298 13.050 15 Exploration license application ...... 350 350.749 8.207 358.956 360 Lease or lease interest transfer ...... 70 70.163 1.641 71.804 70 Leasing of Solid Minerals Other Than Coal and Oil Shale (parts 3500, 3580): Applications other than those listed below ...... 40 38.267 0.895 39.162 40 Prospecting permit amendment ...... 70 70.163 1.641 71.804 70 Extension of prospecting permit ...... 115 114.789 2.686 117.475 115 Lease modification or fringe acreage lease ...... 30 31.896 0.746 32.642 35 Lease renewal ...... 550 548.454 12.833 561.287 560 Assignment, sublease, or transfer of operating rights ...... 30 31.897 0.746 32.643 35 Transfer of overriding royalty ...... 30 31.897 0.746 32.643 35 Use permit...... 30 31.897 0.746 32.643 35 Shasta and Trinity hardrock mineral lease ...... 30 31.897 0.746 32.643 35 Renewal of existing sand and gravel lease in Nevada ...... 30 31.897 0.746 32.643 35 Multiple Use; Mining (Group 3700): Notice of protest of placer mining operations ...... 15 12.752 0.298 13.050 15 Mining Law Administration (parts 3800, 3810, 3830, 3850, 3860, 3870): Application to open lands to location ...... 15 12.752 0.298 13.050 15 Notice of Location ...... 20 19.122 0.447 19.569 20 Amendment of location ...... 15 12.752 0.298 13.050 15 Transfer of mining claim/site ...... 15 12.752 0.298 13.050 15 Recording an annual FLPMA filing ...... 15 12.752 0.298 13.050 15 Deferment of assessment work ...... 115 114.789 2.686 117.475 115 Recording a notice of intent to locate mining claims on Stockraising Homestead Act lands ...... 30 31.897 0.746 32.643 35 Mineral Patent adjudication (more than ten claims) ...... 3,215 3,214.181 75.211 3,289.392 3,290 (ten or fewer claims) ...... 1,605 1,607.074 37.605 1,644.679 1,645 Adverse claim ...... 115 114.789 2.686 117.475 115 Protest ...... 70 70.163 1.641 71.804 70 Oil Shale Management (parts 3900, 3910, 3930): Exploration License Application ...... 335 336.422 7.872 344.294 345 Assignment or sublease of record title or overriding royalty ...... 70 68.431 1.601 70.032 70 Source for Implicit Price Deflator for Gross Domestic Product data: U.S. Department of Commerce, Bureau of Economic Analysis; Table 1.1.9. Implicit Price Def Product (accessed on August 13, 2019) web link: https://apps.bea.gov/iTable/iTable.cfm?reqid=19&step=2%20- %20reqid=19&step=3&isuri=1&1921=survey&1903=13.

III. How Fees Are Adjusted 2 The Existing Value is the figure from the New 5 The New Fee for FY 2020 is the New Value The BLM took the base values (or Value column in the previous year’s rule. rounded to the nearest $5 for values equal to or ‘‘existing values’’) upon which it 3 From 4th Quarter 2017 (108.713) to 4th Quarter greater than $1 or rounded to the nearest penny for 2018 (111.256), the IPD–GDP increased by 2.34 values under $1. percent. The value in the IPD–GDP Increase column 6 In previous updates to the BLM’s cost recovery 1 The Existing Fee was established by the 2018 is 2.34 percent of the Existing Value. Two (FY 2019) cost recovery fee update rule published fees, the BLM did not increase the fees for exceptions are noted in footnote 6. September 28, 2018 (83 FR 48957), effective ‘‘Geophysical exploration permit application— 4 October 1, 2018. The sum of the Existing Value and the IPD–GDP Alaska’’ or ‘‘Renewal of exploration permit— Increase is the New Value. Continued

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derived the FY 2019 cost recovery fees recipients. This rule applies an The final rule may affect a large (or ‘‘existing fees’’) and multiplied it by inflationary adjustment factor to number of small entities because 24 fees the percent change in the IPD–GDP existing user fees for processing certain for activities on public lands will be (2.34 percent for this update) to generate actions associated with the onshore increased. The adjustments result in no the ‘‘IPD–GDP increases’’ (in dollars). minerals programs. increase in the fees for processing 24 The BLM then added the ‘‘IPD–GDP Finally, this rule will not raise novel actions relating to the BLM’s minerals increases’’ to the ‘‘existing values’’ to legal or policy issues. As explained programs. The highest adjustment, in generate the ‘‘new values.’’ The BLM above, this rule simply implements an dollar terms, is for adjudications of then calculated the ‘‘new fees’’ by annual process to account for inflation mineral patent applications involving rounding the ‘‘new values’’ to the that was adopted by and explained in more than 10 mining claims; that fee closest multiple of $5 for fees equal to the 2005 Cost Recovery Rule. will increase by $75. It is important to or greater than $1, or to the nearest cent note that the ‘‘real’’ values of the fees Reducing Regulation and Controlling for fees under $1. The ‘‘new fees’’ are are not actually increasing, since real Regulatory Costs (E.O. 13771) the updated cost recovery fees for FY values account for the effect of inflation. 2020. This action is not an E.O. 13771 In real terms, the values of the fees are regulatory action because it is not simply being adjusted to account for the IV. Procedural Matters significant under E.O. 12866. changes in the prices of goods and Regulatory Planning and Review The Regulatory Flexibility Act services produced in the United States. (Executive Order 12866) Accordingly, the BLM has concluded This final rule will not have a This document is not a significant that the economic effect of the rule’s significant economic effect on a rule, and the Office of Management and changes will not be significant, even for substantial number of small entities as Budget has not reviewed this rule under small entities. defined under the Regulatory Flexibility Executive Order 12866. For the 2005 Cost Recovery Rule, the The BLM has determined that the rule Act (5 U.S.C. 601 et seq.). As a result, BLM completed a Regulatory Flexibility will not have an annual effect on the a Regulatory Flexibility Analysis is not Act threshold analysis, which is economy of $100 million or more. It will required. The Small Business available for public review in the not adversely affect in a material way Administration defines small entities as administrative record for that rule. For the economy, a sector of the economy, individual, limited partnerships, or instructions on how to view a copy of productivity, competition, jobs, the small companies considered to be at that analysis, please contact one of the environment, public health or safety, or arm’s length from the control of any persons listed in the FOR FURTHER State, local, or tribal governments or parent companies if they meet the INFORMATION CONTACT section above. The communities. The changes in this rule following size requirements as analysis for the 2005 rule concluded are much smaller than those in the 2005 established for each North American that the fees would not have a final rule, which did not approach the Industry Classification System (NAICS) significant economic effect on a threshold in Executive Order 12866. For code: substantial number of small entities. instructions on how to view a copy of • Iron ore mining (NAICS code 212210): The fee increases implemented in this the analysis prepared in conjunction 750 or fewer employees rule are substantially smaller than those with the 2005 final rule, please contact • Gold ore mining (NAICS code provided for in the 2005 rule. one of the persons listed in the FOR 212221): 1,500 or fewer employees • Silver ore mining (NAICS code The Small Business Regulatory FURTHER INFORMATION CONTACT section Enforcement Fairness Act above. 212222): 250 or fewer employees This rule will not create • Uranium-Radium-Vanadium ore This final rule is not a ‘‘major rule’’ inconsistencies or otherwise interfere mining (NAICS code 212291): 250 or as defined at 5 U.S.C. 804(2). The final with an action taken or planned by fewer employees rule will not have an annual effect on another agency. This rule does not • All Other Metal ore mining (NAICS the economy greater than $100 million; change the relationships of the onshore code 212299): 750 or fewer employees it will not result in major cost or price minerals programs with other agencies’ • Bituminous Coal and Lignite Surface increases for consumers, industries, actions. These relationships are Mining (NAICS code 212111): 1,250 government agencies, or regions; and it included in agreements and memoranda or fewer employees will not have significant adverse effects of understanding that will not change • Bituminous Coal Underground on competition, employment, with this rule. Mining (NAICS code 212112): 1,500 investment, productivity, innovation, or In addition, this final rule does not or fewer employees the ability of U.S.-based enterprises to materially affect the budgetary impact of • Crude Petroleum Extraction (NAICS compete with foreign-based enterprises. entitlements, grants, or loan programs, code 211120): 1,250 or fewer Accordingly, a Small Entity Compliance or the rights and obligations of their employees Guide is not required. • Natural Gas Extraction (NAICS code Alaska’’ based on a provision in the Energy Policy 211130): 1,250 or fewer employees Executive Order 13132, Federalism Act of 2005 which prohibited fee increases ‘‘related • All Other Non-Metallic Mineral to processing drilling-related permit applications This final rule will not have a and use authorizations.’’ See, e.g., 83 FR 48957, Mining (NAICS code 212399): 500 or substantial direct effect on the States, on 48959 (Sept. 28, 2018) (citing Pub. L. 109–58). fewer employees the relationship between the national However, that provision was repealed by legislation The SBA would consider many, if not government and the States, or on the in 2014 and replaced with a narrower restriction on fee increases that does not apply to these permits. most, of the operators with whom the distribution of power and Public Law 113–291. From 4th Quarter 2014 BLM works in the onshore minerals responsibilities among the various (104.123) to 4th Quarter 2018 (111.256), the IPD– programs to be small entities. The BLM levels of government. In accordance GDP increased by 6.85 percent. The change in IDP– notes that this final rule does not affect with Executive Order 13132, the BLM GDP was not large enough to increase the new fee above $25 for this update. In future years, the BLM service industries, for which the SBA therefore finds that the final rule does will update this fee based upon a 1-year change in has a different definition of ‘‘small not have federalism implications, and a IDP–GDP, as it does for the other fees. entity.’’ federalism assessment is not required.

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The Paperwork Reduction Act of 1995 Civil Justice Reform (Executive Order or survey requiring peer review under 12988) the Information Quality Act (Pub. L. This rule does not contain 106–554). information collection requirements that In accordance with Executive Order require a control number from the Office 12988, the BLM finds that this final rule Effects on the Nation’s Energy Supply of Management and Budget in will not unduly burden the judicial (Executive Order 13211) system and meets the requirements of accordance with the Paperwork In accordance with Executive Order sections 3(a) and 3(b)(2) of the Executive Reduction Act of 1995 (44 U.S.C. 3501– 13211, the BLM has determined that Order. 3521). After the effective date of this this final rule is not likely to have a rule, the new fees may affect the non- The National Environmental Policy Act significant adverse effect on the supply, hour burdens associated with the (NEPA) distribution, or use of energy. It merely following control numbers: The BLM has determined that this adjusts certain administrative cost Oil and Gas final rule qualifies as a routine financial recovery fees to account for inflation. transaction and a regulation of an Author (1) 1004–0034 which expires June 30, administrative, financial, legal, or The principal author of this rule is 2021; procedural nature that is categorically Chandra Little of the Division of (2) 1004–0137 which expired October excluded from environmental review Regulatory Affairs, Bureau of Land 31, 2021 under NEPA pursuant to 43 CFR 46.205 Management. (3) 1004–0162 which expires October and 46.210(c) and (i). The final rule 31, 2021; does not meet any of the 12 criteria for List of Subjects in 43 CFR Part 3000 exceptions to categorical exclusions Public lands—mineral resources, (4) 1004–0185 which expires listed at 43 CFR 46.215. Therefore, Reporting and recordkeeping December 31, 2021; neither an environmental assessment requirements. Geothermal nor an environmental impact statement is required in connection with the rule For reasons stated in the preamble, (5) 1004–0132 which expires February (40 CFR 1508.4). the Bureau of Land Management 29, 2020; amends 43 CFR part 3000 as follows: The Unfunded Mandates Reform Act of Coal 1995 PART 3000—MINERALS MANAGEMENT: GENERAL (6) 1004–0073 which expires January The BLM has determined that this final rule is not significant under the 31, 2020; ■ 1. The authority citation for part 3000 Unfunded Mandates Reform Act of continues to read as follows: Mining Claims 1995, 2 U.S.C. 1501 et seq., because it will not result in State, local, private Authority: 16 U.S.C. 3101 et seq.; 30 U.S.C. (7) 1004–0025 which expires February 181 et seq., 301–306, 351–359, and 601 et 28, 2022; sector, or tribal government expenditures of $100 million or more in seq.; 31 U.S.C. 9701; 40 U.S.C. 471 et seq.; (8) 1004–0114 which expires January any one year, 2 U.S.C. 1532. This rule 42 U.S.C. 6508; 43 U.S.C. 1701 et seq.; and Pub. L. 97–35, 95 Stat. 357. 31, 2020; and will not significantly or uniquely affect Leasing of Solid Minerals Other Than small governments. Therefore, the BLM Subpart 3000—General Oil Shale is not required to prepare a statement containing the information required by ■ 2. Amend § 3000.12 by revising (9) 1004–0121 which expires August the Unfunded Mandates Reform Act. paragraph (a) to read as follows: 31, 2019.7 Consultation and Coordination With § 3000.12 What is the fee schedule for Takings Implication Assessment Indian Tribal Governments (Executive fixed fees? (Executive Order 12630) Order 13175) (a) The table in this section shows the As required by Executive Order In accordance with Executive Order fixed fees that must be paid to the BLM 12630, the BLM has determined that 13175, the BLM has determined that for the services listed for FY 2020. this rule will not cause a taking of this final rule does not include policies These fees are nonrefundable and must private property. No private property that have tribal implications. be included with documents filed under rights will be affected by a rule that Specifically, the rule would not have this chapter. Fees will be adjusted merely updates fees. The BLM therefore substantial direct effects on one or more annually according to the change in the certifies that this final rule does not Indian tribes. Consequently, the BLM Implicit Price Deflator for Gross represent a governmental action capable did not utilize the consultation process Domestic Product (IPD–GDP) by way of of interference with constitutionally set forth in Section 5 of the Executive publication of a final rule in the Federal protected property rights. Order. Register and will subsequently be posted on the BLM website (http:// Information Quality Act 7 A renewal request for control number 1004– www.blm.gov) before October 1 each 0121 was submitted to the Office of Management In developing this rule, the BLM did year. Revised fees are effective each year and Budget on July 24, 2019. not conduct or use a study, experiment, on October 1.

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TABLE 1 TO PARAGRAPH (a)—FY 2020 PROCESSING AND FILING FEE TABLE

Document/action FY 2020 fee

Oil & Gas (parts 3100, 3110, 3120, 3130, 3150): Noncompetitive lease application ...... $435 Competitive lease application ...... 170 Assignment and transfer of record title or operating rights ...... 100 Overriding royalty transfer, payment out of production ...... 15 Name change, corporate merger or transfer to heir/devisee ...... 230 Lease consolidation ...... 485 Lease renewal or exchange ...... 435 Lease reinstatement, Class I ...... 85 Leasing under right-of-way ...... 435 Geophysical exploration permit application—Alaska ...... 25 Renewal of exploration permit—Alaska ...... 25 Geothermal (part 3200): Noncompetitive lease application ...... 435 Competitive lease application ...... 170 Assignment and transfer of record title or operating rights ...... 100 Name change, corporate merger or transfer to heir/devisee ...... 230 Lease consolidation ...... 485 Lease reinstatement ...... 85 Nomination of lands ...... 120 plus per acre nomination fee ...... 0.12 Site license application ...... 65 Assignment or transfer of site license ...... 65 Coal (parts 3400, 3470): License to mine application ...... 15 Exploration license application ...... 360 Lease or lease interest transfer ...... 70 Leasing of Solid Minerals Other Than Coal and Oil Shale (parts 3500, 3580): Applications other than those listed below ...... 40 Prospecting permit application amendment ...... 70 Extension of prospecting permit ...... 115 Lease modification or fringe acreage lease ...... 35 Lease renewal ...... 560 Assignment, sublease, or transfer of operating rights ...... 35 Transfer of overriding royalty ...... 35 Use permit ...... 35 Shasta and Trinity hardrock mineral lease ...... 35 Renewal of existing sand and gravel lease in Nevada ...... 35 Public Law 359; Mining in Powersite Withdrawals: General (part 3730): Notice of protest of placer mining operations ...... 15 Mining Law Administration (parts 3800, 3810, 3830, 3850, 3860, 3870): Application to open lands to location ...... 15 Notice of location 1 ...... 20 Amendment of location ...... 15 Transfer of mining claim/site ...... 15 Recording an annual FLPMA filing ...... 15 Deferment of assessment work ...... 115 Recording a notice of intent to locate mining claims on Stockraising Homestead Act lands ...... 35 Mineral patent adjudication ...... * 3,290 ** 1,645 Adverse claim ...... 115 Protest ...... 70 Oil Shale Management (parts 3900, 3910, 3930): Exploration license application ...... 345 Application for assignment or sublease of record title or overriding royalty ...... 70 1 To record a mining claim or site location, this processing fee along with the initial maintenance fee and the one-time location fee required by statute (43 CFR part 3833) must be paid. * (More than 10 claims.) ** (10 or fewer claims.)

* * * * * Casey Hammond, Acting Assistant Secretary, Land and Minerals Management. [FR Doc. 2019–24116 Filed 11–5–19; 8:45 am] BILLING CODE 4310–84–P

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DEPARTMENT OF COMMERCE quotas for North Carolina and concurrence of the NMFS Greater Connecticut. Atlantic Regional Administrator, can National Oceanic and Atmospheric DATES: transfer or combine summer flounder Administration Effective November 5, 2019, through December 31, 2019. commercial quota under § 648.102(c)(2). The Regional Administrator is required 50 CFR Part 648 FOR FURTHER INFORMATION CONTACT: to consider the criteria in Cynthia Ferrio, Fishery Management § 648.102(c)(2)(i)(A) through (C) in the Specialist, (978) 281–9180. [Docket No. 190312234–9412–01; RTID evaluation of requests for quota transfers 0648–XX024] SUPPLEMENTARY INFORMATION: or combinations. Regulations governing the summer North Carolina is transferring 40,000 Fisheries of the Northeastern United flounder fishery are found in 50 CFR lb (18,144 kg) of summer flounder States; Summer Flounder Fishery; 648.100 through 648.110. These commercial quota to Connecticut Quota Transfer From NC to CT regulations require annual specification through mutual agreement of the states. of a commercial quota that is The revised summer flounder quotas for AGENCY: National Marine Fisheries apportioned among the coastal states fishing year 2019 are: North Carolina, Service (NMFS), National Oceanic and from Maine through North Carolina. The 2,886,555 lb (1,309,319 kg); and Atmospheric Administration (NOAA), process to set the annual commercial Connecticut, 293,119 lb (132,957 kg). Commerce. quota and the percent allocated to each Classification ACTION: Notification of quota transfer. state is described in § 648.102, and the revised 2019 allocations were published This action is taken under 50 CFR SUMMARY: NMFS announces that the on May 17, 2019 (84 FR 22392). part 648 and is exempt from review State of North Carolina is transferring a The final rule implementing under Executive Order 12866. portion of its 2019 commercial summer Amendment 5 to the Summer Flounder Authority: 16 U.S.C. 1801 et seq. flounder quota to the State of Fishery Management Plan, as published Connecticut. This quota adjustment is in the Federal Register on December 17, Dated: October 31, 2019. necessary to comply with the Summer 1993 (58 FR 65936), provided a Ngagne Jafnar Gueye, Flounder, Scup, and Black Sea Bass mechanism for transferring summer Acting Director, Office of Sustainable Fishery Management Plan quota transfer flounder commercial quota from one Fisheries, National Marine Fisheries Service. provisions. This announcement informs state to another. Two or more states, [FR Doc. 2019–24182 Filed 11–5–19; 8:45 am] the public of the revised commercial under mutual agreement and with the BILLING CODE 3510–22–P

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Proposed Rules Federal Register Vol. 84, No. 215

Wednesday, November 6, 2019

This section of the FEDERAL REGISTER Rulemaking Services Branch, Marketing 13563 and 13175. This action falls contains notices to the public of the proposed Order and Agreement Division, within a category of regulatory actions issuance of rules and regulations. The Specialty Crops Program, AMS, USDA, that the Office of Management and purpose of these notices is to give interested 1400 Independence Avenue SW, Stop Budget (OMB) exempted from Executive persons an opportunity to participate in the 0237, Washington, DC 20250–0237; Order 12866 review. Additionally, rule making prior to the adoption of the final rules. Telephone: (202) 720–2491, Fax: (202) because this proposed rule does not 720–8938, or Email: meet the definition of a significant [email protected] or regulatory action, it does not trigger the DEPARTMENT OF AGRICULTURE [email protected]. requirements contained in Executive Small businesses may request Order 13771. See OMB’s Memorandum Agricultural Marketing Service information on complying with this titled ‘‘Interim Guidance Implementing regulation by contacting Richard Lower, Section 2 of the Executive Order of 7 CFR Part 932 Marketing Order and Agreement January 30, 2017, titled ‘Reducing Division, Specialty Crops Program, [Doc. No.: AMS–SC–19–0081; SC–19– Regulation and Controlling Regulatory 932–2] AMS, USDA, 1400 Independence Costs’ ’’ (February 2, 2017). Avenue SW, STOP 0237, Washington, This proposed rule has been reviewed Olives Grown in California; Proposed DC 20250–0237; Telephone: (202) 720– under Executive Order 12988, Civil Amendments to the Marketing Order 2491, Fax: (202) 720–8938, or Email: Justice Reform. This proposed rule is No. 932 [email protected]. not intended to have retroactive effect. SUPPLEMENTARY INFORMATION: This This proposed rule would not be AGENCY: Agricultural Marketing Service, action, pursuant to 5 U.S.C. 553, deemed to preclude, preempt, or USDA. proposes amendments to regulations supersede any State program covering ACTION: Proposed rule. issued to carry out a marketing order as olives grown in California. The Act provides that administrative SUMMARY: This proposed rule invites defined in 7 CFR 900.2(j). This proposed comments on proposed amendments to rule is issued under Marketing Order proceedings must be exhausted before Marketing Order No. 932, which No. 932, as amended (7 CFR part 932), parties may file suit in court. Under regulates the handling of olives grown regulating the handling of olives grown section 8c(15)(A) of the Act (7 U.S.C. in California. The proposed amendment in California. Part 932 (referred to as the 608c(15)(A)), any handler subject to an would change the California Olive ‘‘Order’’) is effective under the order may file with USDA a petition Committee’s (Committee) quorum Agricultural Marketing Agreement Act stating that the order, any provision of requirements. of 1937, as amended (7 U.S.C. 601–674), the order, or any obligation imposed in hereinafter referred to as the ‘‘Act.’’ The connection with the order is not in DATES: Comments must be received by Committee locally administers the accordance with law and request a December 6, 2019. Order and is comprised of olive modification of the order or to be ADDRESSES: Interested persons are producers and handlers operating exempted therefrom. A handler is invited to submit written comments within the area of production. afforded the opportunity for a hearing concerning this proposed rule. Section 8c(17) of the Act (7 U.S.C on the petition. After the hearing, USDA Comments must be sent to the Docket 608c(17)) and the applicable rules of would rule on the petition. The Act Clerk, Marketing Order and Agreement practice and procedure governing the provides that the district court of the Division, Specialty Crops Program, formulation of marketing agreements United States in any district in which AMS, USDA, 1400 Independence and orders (7 CFR part 900.43) authorize the handler is an inhabitant, or has his Avenue SW, STOP 0237, Washington, amendment of the Order through this or her principal place of business, has DC 20250–0237; Fax: (202) 720–8938; or informal rulemaking action. The jurisdiction to review USDA’s ruling on internet: http://www.regulations.gov. All Agricultural Marketing Service (AMS) the petition, provided an action is filed comments should reference the will consider comments received in no later than 20 days after the date of document number and the date and response to this proposed rule, and entry of the ruling. page number of this issue of the Federal based on all the information available, Section 1504 of the Food, Register and will be made available for will determine if the Order amendment Conservation, and Energy Act of 2008 public inspection in the Office of the is warranted. If AMS determines (2008 Farm Bill) (Pub. L. 110–246) Docket Clerk during regular business amendment of the Order would amended section 8c(17) of the Act, hours, or can be viewed at: http:// effectuate the declared policy of the Act, which in turn required the addition of www.regulations.gov. All comments a subsequent proposed rule and notice supplemental rules of practice to 7 CFR submitted in response to this proposed of referendum would be issued and part 900 (73 FR 49307; August 21, rule will be included in the record and producers would be allowed to vote for 2008). The amendment of section 8c(17) will be made available to the public. or against the proposed Order of the Act and the supplemental rules of Please be advised that the identity of the amendments. AMS would then issue a practice authorize the use of informal individuals or entities submitting the final rule effectuating any amendments rulemaking (5 U.S.C. 553) to amend comments will be made public on the approved by producers in the Federal fruit, vegetable, and nut internet at the address provided above. referendum. marketing agreements and orders. USDA FOR FURTHER INFORMATION CONTACT: The Department of Agriculture may use informal rulemaking to amend Melissa Schmaedick, Senior Marketing (USDA) is issuing this proposed rule in marketing orders depending upon the Specialist, or Andrew Hatch, Chief, conformance with Executive Orders nature and complexity of the proposed

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amendments, the potential regulatory language would define a quorum as and increase its effectiveness by and economic impacts on affected consisting of at least 10 members and, allowing the Committee to conduct entities, and any other relevant matters. if the committee is increased by the business as long as the minimum AMS has considered these factors and addition of a public member, a quorum number of members are in attendance. has determined that the amendment would consist of at least 11 members. It would also reduce the risk of proposed herein is not unduly complex The proposed modification would members incurring costs from traveling and the nature of the proposed also clarify that alternate members to meetings at which business cannot be amendment is appropriate for utilizing acting as members could satisfy the conducted due to lack of a quorum. the informal rulemaking process to quorum requirement. The Committee’s amend the Order. A discussion of the proposed amendment, which would Initial Regulatory Flexibility Analysis potential regulatory and economic modify the second sentence of the Pursuant to the requirements set forth impacts on affected entities is discussed current § 932.36, adds a phrase in the Regulatory Flexibility Act (RFA) later in the ‘‘Initial Regulatory recognizing that alternate members who (5 U.S.C. 601–612), AMS has considered Flexibility Analysis’’ section of this are serving in place of an absent the economic impact of this action on proposed rule. member should be counted as full small entities. Accordingly, AMS has The Committee unanimously Committee members in the context of prepared this initial regulatory recommended the amendments qualifying a quorum. This proposed flexibility analysis. following deliberations at a public phrase reiterates the authority of The purpose of the RFA is to fit meeting held on July 29, 2019. The alternate members as specified in regulatory actions to the scale of proposed action would amend the Order § 932.30. For clarity and consistency, businesses subject to such actions so by changing the Committee’s quorum USDA recommends adding the same that small businesses will not be unduly requirements. phrase to the first sentence of § 932.36. or disproportionately burdened. Section 932.25 establishes an The proposed revision to the sentence Marketing orders issued pursuant to the administrative committee, the California would read as follows: ‘‘Decisions of the Act, and rules issued thereunder, are Olive Committee, with 16 members committee shall be by majority vote of unique in that they are brought about (eight producer members and eight the members, including alternates acting through group action of essentially handler members) and further allows as members, present and voting, and a small entities acting on their own the committee to be increased by a quorum must be present: . . .’’ This behalf. public member (who is not be a proposed additional revision would There are approximately 900 producer or handler of olives nor an clarify that alternate members acting as officer or employee or director of any producers of olives in the production members could not only fulfill quorum area and two handlers subject to producer or handler of olives) for a total requirements, but they would also be regulation under the Order. The Small of 17 members. In addition, this section able to vote as members on matters of Business Administration (SBA) defines requires that each member has an Committee business in the absence of small agricultural producers as those alternate who meets the same their member. This proposed addition having annual receipts of less than qualifications as the member. The has been incorporated into the $1,000,000, and small agricultural Committee currently operates with 17 amendatory text of this document. members and 17 alternate members. Since promulgation of the Order in service firms as those whose annual Section 932.30 further states that each 1965, the California olive industry has receipts are less than $30,000,000 (13 alternate member shall act in the place seen reductions of 64 percent (from CFR 121.201). and stead of such member (a) during 2500 to 900) and 93 percent (from 28 to According to the National such member’s absence, and (b) in the two) in the number of California olive Agricultural Statistics Service (NASS) event of such member’s removal, producers and handlers, respectively. data, as of June 2019 the average price resignation, disqualification or death, Industry consolidation has resulted in to producers for the 2018 crop year was until a successor for such member’s increased difficulties in filling $766.00 per ton, and total assessable unexpired term has been selected and Committee member seats as well as volume for the 2018 crop year was has qualified. fulfilling quorum requirements at 17,953 tons. Based on production, the Section 932.36 establishes the meetings. total number of California olive Committee’s quorum requirements. Given the current quorum producers, and price paid to those Current requirements state that a requirement of a minimum of five producers, the average annual producer quorum must consist of at least 10 producers and five handlers in revenue is less than $1,000,000 ($766.00 members of whom at least five must be attendance, the absence of just one times 17,953 tons equals $13,751,998 producer members and at least five must individual could result in the lack of a divided by 900 producers equals an be handler members and, if the quorum. Without a quorum, the average annual producer revenue of Committee is increased by the addition Committee is unable to vote on business $15,280.00). Therefore, most olive of a public member, a quorum must decisions or make regulatory producers may be classified as small consist of at least 11 members of which recommendations to USDA. Meetings entities. Both handlers may be classified at least five must be producer members without a quorum are also costly as as large entities under the SBA’s and at least five must be handler attendees must travel to attend the definitions because their annual receipts members. Given that the Committee meeting, thus incurring travel costs in are greater than $30,000,000. currently has a public member, a addition to time lost operating their The proposed change would revise quorum of 11 members of which five businesses. the quorum requirement for Committee must be producers and five must be Adjusting the current quorum meetings by removing the requirement handlers is required. requirement as proposed would lower of having five producer members and This proposed action would amend the risk of not reaching a quorum during five handler members in attendance to § 932.36 by removing the requirement of scheduled meetings due to the absence form a quorum. The proposed modified having five producer members and five of the required number of producer or language would define a quorum as handler members in attendance to form handler members. This change would consisting of at least 10 members and, a quorum. The proposed modified streamline the Committee’s operations if the committee is increased by the

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addition of a public member, a quorum assigned OMB No. 0581–0178 Vegetable at the previously mentioned address in would consist of at least 11 members. and Specialty Crops. No changes in the FOR FURTHER INFORMATION CONTACT The Committee unanimously those requirements are necessary section. recommended the proposed amendment because of this action. Should any General Findings at a public meeting on July 29, 2019. If changes become necessary, they would this proposed amendment is approved be submitted to OMB for approval. The findings hereinafter set forth are in a referendum, there would be no This proposed rule would impose no supplementary to the findings and direct financial effects on producers or additional reporting or recordkeeping determinations which were previously handlers as it is primarily requirements on either small or large made in connection with the issuance of administrative in nature. The proposed California olive handlers. As with all Marketing Order 932; and all said amendment would increase the Federal marketing order programs, previous findings and determinations efficiency of the Committee’s operations reports and forms are periodically are hereby ratified and affirmed, except and allow it to respond more quickly to reviewed to reduce information insofar as such findings and the industry’s needs. requirements and duplication by determinations may be in conflict with Since 1965, when the marketing order industry and public-sector agencies. the findings and determinations set was established, the number of AMS is committed to complying with forth herein. producers and handlers operating in the the E-Government Act, to promote the 1. Marketing Order 932 as hereby industry has decreased significantly, use of the internet and other dropping from 2,500 to 900 (64 percent) information technologies to provide proposed to be amended and all the and from 28 to two (93 percent), increased opportunities for citizen terms and conditions thereof, would respectively. Industry consolidation has access to Government information and tend to effectuate the declared policy of made it difficult to find enough services, and for other purposes. the Act; members to fill positions on the USDA has not identified any relevant 2. Marketing Order 932 as hereby Committee. Moreover, fulfilling quorum Federal rules that duplicate, overlap, or proposed to be amended regulates the requirements at meetings has also conflict with this action. handling of olives grown in California become increasingly challenging. The Committee’s meetings were and is applicable only to persons in the Changing the quorum requirement widely publicized throughout the respective classes of commercial and from the current 11 member California olive production area. All industrial activity specified in the requirement, of which five must be interested persons were invited to Order; producers and five must be handlers, to attend the meetings and encouraged to 3. Marketing Order 932 as hereby simply the attendance of 11 members participate in Committee deliberations proposed to be amended is limited in would increase meeting efficiency by on all issues. Like all Committee application to the smallest regional making the quorum requirement more meetings, the July 29, 2019, meeting was production area which is practicable, easily fulfilled. This proposed change public, and all entities, both large and consistent with carrying out the would also reduce costs to members and small, were encouraged to express their declared policy of the Act, and the Committee and USDA staff who travel views on the proposed amendment. issuance of several marketing orders to meetings where a quorum is not Interested persons are invited to applicable to subdivisions of the established. If implemented, the submit comments on the proposed production area would not effectively proposed amendment is not expected to amendments to the Order, including carry out the declared policy of the Act; result in any increases in economic comments on the regulatory and 4. Marketing Order 932 as hereby costs or burden to industry members, information collection impacts of this proposed to be amended prescribes, USDA staff or consumers. action on small businesses. insofar as practicable, such different Alternatives to this proposed Following an analysis of any terms applicable to different parts of the amendment, including making no comments received on the amendments production area as are necessary to give changes at this time, were considered by in this proposed rule, AMS will due recognition to the differences in the the Committee. One alternative evaluate all available information and production and marketing of olives included lowering the required number determine whether to proceed. If AMS produced or packed in the production of producer or handler members in determines that the amendments would area; and effectuate the declared policy of the Act, attendance. However, given that there 5. All handling of olives produced or a proposed rule and notice of are only two handlers in operation packed in the production area as referendum would be issued, and within the industry, this option was still defined in Marketing Order 932 is in the producers would be provided the considered too restrictive by the current of interstate or foreign opportunity to vote for or against the Committee. Therefore, the alternatives commerce or directly burdens, proposed amendments. were not considered viable by the obstructs, or affects such commerce. Committee. Information about the referendum, AMS believes the proposed including dates and voter eligibility A 30-day comment period is provided amendment is justified and necessary to requirements, would be published in a to allow interested persons to respond ensure the Committee’s ability to locally future issue of the Federal Register. A to these proposed amendments. administer the program. Modifying the final rule would then be issued to Comments received during the quorum requirement as proposed in this effectuate the amendments if it is comment period on the amendments rule would ensure a more efficient and favored by producers participating in proposed will be analyzed, and if AMS orderly flow of business. the referendum. determines to proceed based on all the A small business guide on complying information presented, a producer Paperwork Reduction Act with fruit, vegetable, and specialty crop referendum would be conducted to In accordance with the Paperwork marketing agreements and orders may determine producer support for the Reduction Act of 1995 (44 U.S.C. be viewed at: http://www.ams.usda.gov/ proposed amendment. If favored by Chapter 35), the Order’s information rules-regulations/moa/small-businesses. producers participating in the collection requirements have been Any questions about the compliance referendum, a final rule would then be previously approved by OMB and guide should be sent to Richard Lower issued to effectuate it.

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List of Subjects in 7 CFR Part 932 Secretary’s approval changes in the 30, West Building Ground Floor, Room Olives, Marketing agreements, number of affirmative votes required for W12–140, 1200 New Jersey Avenue SE, adoption of any proposition voted upon Washington, DC 20590. Reporting and recordkeeping • requirements. by means of a mail or telegram ballot: Hand Delivery: Deliver to Mail address above between 9 a.m. and 5 For the reasons set forth in the Provided, That the number of preamble, 7 CFR part 932 is proposed to affirmative votes required for adoption p.m., Monday through Friday, except be amended as follows: shall not be less than ten, and in any Federal holidays. case an equal number of producer For service information identified in PART 932—OLIVES GROWN IN member and handler member votes this NPRM, contact Bombardier, Inc., CALIFORNIA shall be required for adoption and, if the 200 Coˆte-Vertu Road West, Dorval, committee is increased by the addition Que´bec H4S 2A3, Canada; North ■ 1. The authority citation for 7 CFR of a public member, the number of America toll-free phone: 1–866–538– part 932 continues to read as follows: affirmative votes required for adoption 1247 or direct-dial phone: 1–514–855– Authority: 7 U.S.C. 601–674. shall be increased by one. 2999; email: Dated: November 1, 2019. [email protected]; internet: § 932.36 [Amended] Bruce Summers, https://www.bombardier.com. You may ■ 2. Amend § 932.36 to read as follows: view this service information at the Administrator, Agricultural Marketing FAA, Transport Standards Branch, 2200 § 932.36 Procedure. Service. South 216th St., Des Moines, WA. For Decisions of the committee shall be by [FR Doc. 2019–24224 Filed 11–5–19; 8:45 am] information on the availability of this majority vote of the members, including BILLING CODE 3410–02–P material at the FAA, call 206–231–3195. alternates acting as members, present and voting, and a quorum must be Examining the AD Docket present: Provided, That decisions DEPARTMENT OF TRANSPORTATION You may examine the AD docket on requiring a recommendation to the the internet at https:// Federal Aviation Administration Secretary on matters pertaining to grade www.regulations.gov by searching for and size regulations shall require at and locating Docket No. FAA–2019– 14 CFR Part 39 least 10 affirmative votes, at least 5 of 0728; or in person at Docket Operations which must be from producer members [Docket No. FAA–2019–0728; Product between 9 a.m. and 5 p.m., Monday and at least 5 of which must be from Identifier 2019–NM–071–AD] through Friday, except Federal holidays. handler members and, if the committee RIN 2120–AA64 The AD docket contains this NPRM, the is increased by the addition of a public regulatory evaluation, any comments member, at least 11 affirmative votes Airworthiness Directives; Bombardier, received, and other information. The shall be required, at least 5 of which Inc., Airplanes street address for Docket Operations is must be from producer members and at listed above. Comments will be least 5 of which must be from handler AGENCY: Federal Aviation available in the AD docket shortly after members. A quorum shall consist of at Administration (FAA), DOT. receipt. least 10 members, including alternates ACTION: Notice of proposed rulemaking FOR FURTHER INFORMATION CONTACT: acting as members, and, if the (NPRM). committee is increased by the addition Steven Dzierzynski, Aerospace of a public member, a quorum shall SUMMARY: The FAA proposes to adopt a Engineer, Avionics and Electrical consist of at least 11 members, new airworthiness directive (AD) for Systems Services Section, FAA, New including alternates acting as members. certain Bombardier, Inc., Model BD– York ACO Branch, 1600 Stewart Except in case of an emergency, a 100–1A10 airplanes. This proposed AD Avenue, Suite 410, Westbury, NY minimum of 5 days advance notice shall was prompted by a report that during 11590; phone: 516–228–7367; fax: 516– be given with respect to any meeting of ALTS CAP or (V) ALTS CAP mode, the 794–5531; email: 9-avs-nyaco-cos@ the committee. In case of an emergency, flight guidance/autopilot does not faa.gov. to be determined within the discretion account for engine failure while SUPPLEMENTARY INFORMATION: of the chairman of the committee, as capturing an altitude. This proposed AD much advance notice of a meeting as is would require revising the existing Comments Invited practicable in the circumstances shall be airplane flight manual (AFM) to provide The FAA invites you to send any given. The committee may vote by mail the flightcrew with new warnings for written relevant data, views, or or telegram upon due notice to all ‘‘Autoflight’’ and ‘‘Engine Failure in arguments about this proposal. Send members, but any proposition to be so Climb During ALTS CAP.’’ The FAA is your comments to an address listed voted upon first shall be explained proposing this AD to address the unsafe under the ADDRESSES section. Include accurately, fully, and identically by mail condition on these products. ‘‘Docket No. FAA–2019–0728; Product or telegram to all members. When voted DATES: The FAA must receive comments Identifier 2019–NM–071–AD’’ at the on by such method, at least 14 on this proposed AD by December 23, beginning of your comments. The FAA affirmative votes, of which seven shall 2019. specifically invites comments on the be producer member votes and seven ADDRESSES: You may send comments, overall regulatory, economic, shall be handler member votes, shall be using the procedures found in 14 CFR environmental, and energy aspects of required for adoption and, if the 11.43 and 11.45, by any of the following this NPRM. The FAA will consider all committee is increased by the addition methods: comments received by the closing date of a public member, votes by mail or • Federal eRulemaking Portal: Go to and may amend this NPRM because of telegram shall require at least 15 https://www.regulations.gov. Follow the those comments. affirmative votes, of which at least 7 instructions for submitting comments. The FAA will post all comments shall be producer member votes and at • Fax: 202–493–2251. received, without change, to http:// least 7 shall be handler member votes. • Mail: U.S. Department of www.regulations.gov, including any The committee may recommend for the Transportation, Docket Operations, M– personal information you provide. The

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FAA will also post a report Related Service Information Under 1 country, and is approved for operation summarizing each substantive verbal CFR Part 51 in the United States. Pursuant to a contact received about this NPRM. Bombardier has issued the following bilateral agreement with the State of Design Authority, the FAA has been Discussion service information, which provides new warnings for ‘‘Autoflight’’ and notified of the unsafe condition Transport Canada Civil Aviation ‘‘Engine Failure in Climb During ALTS described in the MCAI and service (TCCA), which is the aviation authority CAP,’’ in the LIMITATIONS—System information referenced above. The FAA for Canada, has issued Canadian AD Limitations and the EMERGENCY is proposing this AD because the agency CF–2019–12, dated April 3, 2019 PROCEDURES—Powerplant sections of evaluated all the relevant information and determined the unsafe condition (referred to after this as the Mandatory the applicable AFM. • described previously is likely to exist or Continuing Airworthiness Information, Bombardier Challenger 300, Airplane Flight Manual, Publication No. develop on other products of the same or ‘‘the MCAI’’), to correct an unsafe CSP 100–1, Revision 55, dated April 8, type design. condition for certain Bombardier, Inc., 2019. Model BD–100–1A10 airplanes. • Bombardier Challenger 350, Proposed Requirements of This NPRM This proposed AD was prompted by Airplane Flight Manual, Publication No. This proposed AD would require a report that during ALTS CAP or (V) CH 350 AFM, Revision 21, dated April revising the existing AFM with new ALTS CAP mode, the flight guidance/ 8, 2019. warnings for ‘‘Autoflight’’ and ‘‘Engine autopilot does not account for engine These documents are distinct since Failure in Climb During ALTS CAP,’’ in they apply to different airplane models failure while capturing an altitude. The the LIMITATIONS—System Limitations in different configurations. This service FAA is proposing this AD to address the and the EMERGENCY PROCEDURES— information is reasonably available occurrence of an engine failure during Powerplant sections, as described because the interested parties have or before a climb while in ALTS CAP or previously. (V) ALTS CAP mode, as it could cause access to it through their normal course of business or by the means identified the airspeed to drop significantly below Costs of Compliance in the ADDRESSES section. the safe operating speed and may The FAA estimates that this proposed require prompt flightcrew intervention FAA’s Determination AD affects 252 airplanes of U.S. registry. to maintain a safe operating speed. See This product has been approved by The FAA estimates the following costs the MCAI for more information. the aviation authority of another to comply with this proposed AD:

ESTIMATED COSTS FOR REQUIRED ACTIONS

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

1 work-hour × $85 per hour = $85 ...... $0 $85 $21,420

Authority for This Rulemaking normally a function of the Compliance under the criteria of the Regulatory Title 49 of the United States Code and Airworthiness Division, but during Flexibility Act. this transition period, the Executive specifies the FAA’s authority to issue List of Subjects in 14 CFR Part 39 rules on aviation safety. Subtitle I, Director has delegated the authority to section 106, describes the authority of issue ADs applicable to transport Air transportation, Aircraft, Aviation the FAA Administrator. Subtitle VII: category airplanes and associated safety, Incorporation by reference, Aviation Programs, describes in more appliances to the Director of the System Safety. detail the scope of the Agency’s Oversight Division. The Proposed Amendment authority. Regulatory Findings The FAA is issuing this rulemaking under the authority described in The FAA determined that this Accordingly, under the authority Subtitle VII, Part A, Subpart III, Section proposed AD would not have federalism delegated to me by the Administrator, 44701: ‘‘General requirements.’’ Under implications under Executive Order the FAA proposes to amend 14 CFR part that section, Congress charges the FAA 13132. This proposed AD would not 39 as follows: with promoting safe flight of civil have a substantial direct effect on the aircraft in air commerce by prescribing States, on the relationship between the PART 39—AIRWORTHINESS regulations for practices, methods, and national Government and the States, or DIRECTIVES procedures the Administrator finds on the distribution of power and necessary for safety in air commerce. responsibilities among the various ■ 1. The authority citation for part 39 This regulation is within the scope of levels of government. continues to read as follows: that authority because it addresses an For the reasons discussed above, I Authority: 49 U.S.C. 106(g), 40113, 44701. unsafe condition that is likely to exist or certify this proposed regulation: develop on products identified in this § 39.13 [Amended] (1) Is not a ‘‘significant regulatory rulemaking action. ■ 2. The FAA amends § 39.13 by adding This proposed AD is issued in action’’ under Executive Order 12866, accordance with authority delegated by (2) Will not affect intrastate aviation the following new airworthiness the Executive Director, Aircraft in Alaska, and directive (AD): Certification Service, as authorized by (3) Will not have a significant Bombardier, Inc.: Docket No. FAA–2019– FAA Order 8000.51C. In accordance economic impact, positive or negative, 0728; Product Identifier 2019–NM–071– with that order, issuance of ADs is on a substantial number of small entities AD.

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(a) Comments Due Date standards district office/certificate holding effectively coordinate Tammany Trace The FAA must receive comments by district office. trail operations and maintenance with December 23, 2019. (2) Contacting the Manufacturer: For any drawbridge operations. requirement in this AD to obtain corrective (b) Affected ADs actions from a manufacturer, the action must DATES: Comments and related material None. be accomplished using a method approved must be received by the Coast Guard on by the Manager, New York ACO Branch, or before December 6, 2019. (c) Applicability FAA; or Transport Canada Civil Aviation ADDRESSES: You may submit comments This AD applies to Bombardier, Inc., (TCCA); or Bombardier, Inc.’s TCCA Design identified by docket number USCG– Model BD–100–1A10 airplanes, certificated Approval Organization (DAO). If approved by 2018–0953 using Federal eRulemaking in any category, serial numbers 20003 the DAO, the approval must include the through 20500 inclusive and 20501 through DAO-authorized signature. Portal at http://www.regulations.gov. 20752 inclusive. See the ‘‘Public Participation and (i) Related Information Request for Comments’’ portion of the (d) Subject (1) Refer to Mandatory Continuing SUPPLEMENTARY INFORMATION section for Air Transport Association (ATA) of Airworthiness Information (MCAI) Canadian further instructions on submitting America Code 22, Auto flight. AD CF–2019–12, dated April 3, 2019, for comments. related information. This MCAI may be (e) Reason found in the AD docket on the internet at FOR FURTHER INFORMATION CONTACT: If This AD was prompted by a report that https://www.regulations.gov by searching for you have questions about this proposed during ALTS CAP or (V) ALTS CAP mode, and locating Docket No. FAA–2019–0728. rulemaking, call or email Mr. Doug the flight guidance/autopilot does not (2) For more information about this AD, Blakemore, Eighth Coast Guard District account for engine failure while capturing an contact Steven Dzierzynski, Aerospace Bridge Administrator; telephone (504) altitude. The FAA is issuing this AD to Engineer, Avionics and Electrical Systems address the occurrence of an engine failure 671–2128, email Douglas.A.Blakemore@ Services Section, FAA, New York ACO uscg.mil. during or before a climb while in ALTS CAP Branch, 1600 Stewart Avenue, Suite 410, or (V) ALTS CAP mode, as it could cause the Westbury, NY 11590; phone: 516–228–7367; SUPPLEMENTARY INFORMATION: airspeed to drop significantly below the safe fax: 516–794–5531; email: 9-avs-nyaco-cos@ I. Table of Abbreviations operating speed and may require prompt faa.gov. flightcrew intervention to maintain a safe (3) For service information identified in CFR Code of Federal Regulations operating speed. this AD, contact Bombardier, Inc., 200 Coˆte- DHS Department of Homeland Security (f) Compliance Vertu Road West, Dorval, Que´bec H4S 2A3, FR Federal Register Canada; North America toll-free phone: 1– NPRM Notice of proposed rulemaking Comply with this AD within the 866–538–1247 or direct-dial phone: 1–514– STP St. Tammany Parish compliance times specified, unless already 855–2999; email: ac.yul@ Trace Tammany Trace done. aero.bombardier.com; internet: https:// § Section (g) Revision of the Airplane Flight Manual www.bombardier.com. You may view this (AFM) service information at the FAA, Transport II. Background, Purpose and Legal Basis Within 30 days after the effective date of Standards Branch, 2200 South 216th St., Des this AD: Revise the LIMITATIONS—System Moines, WA. For information on the Saint Tammany Parish (STP) has Limitations and the EMERGENCY availability of this material at the FAA, call requested to change the operating 206–231–3195. PROCEDURES—Powerplant sections of the requirements for the Tammany Trace existing AFM to include the information in Issued in Des Moines, Washington, on swing bridge across Lacombe Bayou, ‘‘Autoflight’’ and ‘‘Engine Failure in Climb October 28, 2019. mile 5.2, at Lacombe, St. Tammany During ALTS CAP’’ of Bombardier Dionne Palermo, Challenger 300, Airplane Flight Manual, Parish, Louisiana. This bridge currently Publication No. CSP 100–1, Revision 55, Acting Director, System Oversight Division, opens on signal according to 33 CFR dated April 8, 2019 (for airplanes having Aircraft Certification Service. 117.5. STP has requested to open the serial numbers 20003 through 20500 [FR Doc. 2019–24192 Filed 11–5–19; 8:45 am] bridge if vessels provide 2 hours inclusive); or Bombardier Challenger 350, BILLING CODE 4910–13–P advance notification. Airplane Flight Manual, Publication No. CH This bridge spans the Tammany Trace 350 AFM, Revision 21, dated April 8, 2019 which is a park area that is used by (for airplanes having serial numbers 20501 DEPARTMENT OF HOMELAND pedestrians and bicyclists. The Trace is through 20752 inclusive). SECURITY open from 7 a.m. to 7:30 p.m. daily. The (h) Other FAA AD Provisions bridge operates during Trace hours and The following provisions also apply to this Coast Guard is secured in the open to navigation AD: position when the Trace is closed. This (1) Alternative Methods of Compliance 33 CFR Part 117 bridge has a vertical clearance of 9.7 feet (AMOCs): The Manager, New York ACO [Docket No. USCG–2018–0953] above mean high water in the closed to Branch, FAA, has the authority to approve vessel position and unlimited vertical AMOCs for this AD, if requested using the RIN 1625–AA09 procedures found in 14 CFR 39.19. In clearance in the open to vessel traffic position. There are few vessel accordance with 14 CFR 39.19, send your Drawbridge Operation Regulations; movements through this bridge. From request to your principal inspector or local Lacombe Bayou, LA Flight Standards District Office, as 2015 through 2017 the bridge opened appropriate. If sending information directly AGENCY: Coast Guard, DHS. 197 times for vessel passage. This to the manager of the certification office, ACTION: Notice of proposed rulemaking. waterway is primarily used by send it to ATTN: Program Manager, recreational boaters in the Lacombe area Continuing Operational Safety, FAA, New SUMMARY: The Coast Guard proposes to and does not support commercial York ACO Branch, 1600 Stewart Avenue, Suite 410, Westbury, NY 11590; phone: 516– change the operating schedule that activity. 228–7300; fax: 516–794–5531. Before using governs the Tammany Trace swing In addition to bridge operations, STP any approved AMOC, notify your appropriate bridge across Lacombe Bayou, mile 5.2, bridge tenders assist with Trace bike, principal inspector, or lacking a principal at Lacombe, St. Tammany Parish, pedestrian and equestrian operations inspector, the manager of the local flight Louisiana. This action is necessary to and maintenance. This change would

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allow the parish to coordinate and from the requirements of Executive C. Collection of Information schedule Tammany Trace requirements Order 13771. This proposed rule would not call for and provide for the reasonable needs of This regulatory action determination a new collection of information under navigation. is based on the lack of commercial the Paperwork Reduction Act of 1995 The Coast Guard is issuing this NPRM vessel traffic on this waterway, and the (44 U.S.C. 3501–3520). under authority 33 U.S.C. 499. recreational boats that routinely transit the bridge under the proposed schedule. D. Federalism and Indian Tribal III. Discussion of Comments and Those vessels with a vertical clearance Governments Change requirement of less than 9.7 feet above A rule has implications for federalism The Coast Guard’s decision to mean high water may transit the bridge under Executive Order 13132, promulgate a drawbridge regulation at any time, and the bridge will open in Federalism, if it has a substantial direct depends primarily upon the effect of the case of emergency at any time. This effect on the States, on the relationship proposed rule on navigation to assure regulatory action takes into account the between the national government and that the rule provides for the reasonable reasonable needs of vessel and vehicular the States, or on the distribution of needs of navigation after consideration traffic. power and responsibilities among the of the rule on the impact to the public. B. Impact on Small Entities various levels of government. We have The Coast Guard must ensure that analyzed this proposed rule under that The Regulatory Flexibility Act of bridges across navigable waters do not Order and have determined that it is 1980, 5 U.S.C. 601–612, as amended, unreasonably obstruct waterway traffic consistent with the fundamental requires Federal agencies to consider and at the same time provide for the federalism principles and preemption the potential impact of regulations on reasonable needs of land traffic. requirements described in Executive small entities during rulemaking. The Order 13132. Drawbridge operations must balance the term ‘‘small entities’’ comprises small needs of vessel, vehicle, rail, pedestrian Also, this proposed rule does not have businesses, not-for-profit organizations tribal implications under Executive and recreational traffic in the overall that are independently owned and public interest. Order 13175, Consultation and operated and are not dominant in their Coordination with Indian Tribal Based on the number of times that fields, and governmental jurisdictions this bridge has opened for vessel traffic Governments, because it would not have with populations of less than 50,000. a substantial direct effect on one or in three years, the Coast Guard proposes The Coast Guard certifies under 5 U.S.C. that it is reasonable for vessels to more Indian tribes, on the relationship 605(b) that this proposed rule would not between the Federal Government and provide a 2 hour advance notice to open have a significant economic impact on the drawbridge. Indian tribes, or on the distribution of a substantial number of small entities. power and responsibilities between the IV. Discussion of Proposed Rule While some owners or operators of Federal Government and Indian tribes. vessels intending to transit the bridge The Coast Guard has reviewed the If you believe this proposed rule has may be small entities, for the reasons implications for federalism or Indian data and information provided by STP stated in section V.A above, this tribes, please contact the person listed and has determined that there should be proposed rule would not have a in the FOR FURTHER INFORMATION no adverse impact on vessels ability to significant economic impact on any CONTACT section. use Lacombe Bayou at the bridge vessel owner or operator. location. There are no other proposed Under section 213(a) of the Small E. Unfunded Mandates Reform Act changes to the operating schedule. The Business Regulatory Enforcement The Unfunded Mandates Reform Act regulatory text we are proposing appears Fairness Act of 1996 (Pub. L. 104–121), of 1995 (2 U.S.C. 1531–1538) requires at the end of this document. we want to assist small entities in Federal agencies to assess the effects of V. Regulatory Analyses understanding this proposed rule. If the their discretionary regulatory actions. In proposed rule would affect your small particular, the Act addresses actions We developed this proposed rule after business, organization, or governmental that may result in the expenditure by a considering numerous statutes and jurisdiction and you have questions State, local, or tribal government, in the Executive orders related to rulemaking. concerning its provisions or options for aggregate, or by the private sector of Below we summarize our analyses compliance, please contact the person $100,000,000 (adjusted for inflation) or based on these statutes and Executive listed in the FOR FURTHER INFORMATION more in any one year. Though this orders and we discuss First Amendment CONTACT section. proposed rule would not result in such rights of protestors. Small businesses may send comments an expenditure, we do discuss the on the actions of Federal employees A. Regulatory Planning and Review effects of this proposed rule elsewhere who enforce, or otherwise determine in this preamble. Executive Orders 12866 and 13563 compliance with, Federal regulations to direct agencies to assess the costs and the Small Business and Agriculture F. Environment benefits of available regulatory Regulatory Enforcement Ombudsman We have analyzed this proposed rule alternatives and, if regulation is and the Regional Small Business under Department of Homeland necessary, to select regulatory Regulatory Fairness Boards. The Security Management Directive 023–01 approaches that maximize net benefits. Ombudsman evaluates these actions and Commandant Instruction Executive Order 13771 directs agencies annually and rates each agency’s M16475.lD, which guide the Coast to control regulatory costs through a responsiveness to small business. If you Guard in complying with the National budgeting process. This NPRM has not wish to comment on actions by Environmental Policy Act of 1969 (42 been designated a ‘‘significant employees of the Coast Guard, call U.S.C. 4321–4370f), and have regulatory action,’’ under Executive 1–888–REG–FAIR (1–888–734–3247). determined that this action is one of a Order 12866. Accordingly, the NPRM The Coast Guard will not retaliate category of actions that do not has not been reviewed by the Office of against small entities that question or individually or cumulatively have a Management and Budget (OMB) and complain about this rule or any policy significant effect on the human pursuant to OMB guidance it is exempt or action of the Coast Guard. environment. This proposed rule

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involves a change to the operating PART 117—DRAWBRIDGE process. In response to the NRDC schedule of a drawbridge. It is OPERATION REGULATIONS Petition, the Environmental Protection categorically excluded from further Agency (EPA) grants the request for review under paragraph L49 of ■ 1. The authority citation for part 117 reconsideration with regard to NRDC’s Appendix A, Table 1 of DHS Instruction continues to read as follows: claim that the Ethanol Rule did not Manual 023–01–001–01, Rev. 01. We Authority: 33 U.S.C. 499; 33 CFR 1.05–1; appropriately address the Clean Air Act seek any comments or information that Department of Homeland Security Delegation (CAA) anti-backsliding requirements for may lead to the discovery of a No. 0170.1. nonattainment areas in the Ethanol significant environmental impact from ■ 2. Revise § 117.463 to read as follows: Rule. Therefore, the EPA is convening a this proposed rule. proceeding for reconsideration as § 117.463 Lacombe Bayou provided for under the CAA. In the near G. Protest Activities (a) The draw of the US190 bridge, future, the EPA will publish a document The Coast Guard respects the First mile 6.8 at Lacombe, shall open on in the Federal Register establishing a Amendment rights of protesters. signal if at least 48 hours notice is given. comment period and opportunity for a Protesters are asked to contact the (b) The draw of the Tammany Trace hearing for this proceeding. With person listed in the FOR FURTHER bridge, mile 5.2 at Lacombe, shall open regards to the other three claims raised INFORMATION CONTACT section to on signal if at least 2 hours notice is in the NRDC Petition, the EPA denies coordinate protest activities so that your given. the request for reconsideration. For message can be received without Dated: February 6, 2019. these claims, NRDC has failed to jeopardizing the safety or security of Paul F. Thomas, establish that they meet the criteria for people, places, or vessels. reconsideration under the CAA. Rear Admiral, U.S. Coast Guard, Commander, VI. Public Participation and Request for Eighth Coast Guard District. DATES: November 6, 2019. Comments ADDRESSES: Office of Air Quality Editorial Note: This document was Planning and Standards, U.S. We view public participation as submitted to the Office of the Federal essential to effective rulemaking, and Register on November 1, 2019. Environmental Protection Agency, Mail will consider all comments and material Code C504–03, Research Triangle Park, [FR Doc. 2019–24238 Filed 11–5–19; 8:45 am] N.C. 27711, received during the comment period. BILLING CODE 9110–04–P Your comment can help shape the FOR FURTHER INFORMATION CONTACT: Mr. outcome of this rulemaking. If you Dylan Mataway-Novak, Office of Air submit a comment, please include the Quality Planning and Standards, U.S. ENVIRONMENTAL PROTECTION Environmental Protection Agency, Mail docket number for this rulemaking, AGENCY indicate the specific section of this Code C504–03, Research Triangle Park, document to which each comment 40 CFR Parts 51, 52, 70, and 71 N.C. 27711, phone number (919) 541– applies, and provide a reason for each 5795 or by email at mataway- suggestion or recommendation. [EPA–HQ–OAR–2006–0089; FRL–10001–61– [email protected]. We encourage you to submit OAR] SUPPLEMENTARY INFORMATION: comments through the Federal Prevention of Significant Deterioration, I. Where can I get copies of this eRulemaking Portal at http:// Nonattainment New Source Review, document and other related www.regulations.gov. If your material and Title V: Treatment of Corn Milling information? cannot be submitted using http:// Facilities Under the ‘‘Major Emitting This Federal Register document, the www.regulations.gov, contact the person Facility’’ Definition; Reconsideration in the FOR FURTHER INFORMATION petition for reconsideration, and the CONTACT section of this document for AGENCY: Environmental Protection response letter to the petitioner are alternate instructions. Agency (EPA). available in the docket that the EPA We accept anonymous comments. All ACTION: Partial grant and partial denial established for the Ethanol Rule under comments received will be posted of a petition for reconsideration. Docket ID NO. EPA–HQ–OAR–2006– without change to http:// 0089. All documents in the docket are www.regulations.gov and will include SUMMARY: On March 2, 2009, the Natural listed in the index at http:// any personal information you have Resource Defense Council (NRDC) www.regulations.gov. Although listed in provided. For more about privacy and submitted a petition for reconsideration the index, some information is not the docket, visit http:// (the NRDC Petition) of the rule publicly available, i.e., Confidential www.regulations.gov/privacynotice. ‘‘Prevention of Significant Deterioration, Business Information or other Documents mentioned in this SNPRM Nonattainment New Source Review and information whose disclosure is as being available in this docket and all Title V: Treatment of Certain Ethanol restricted by statute. Certain other public comments, will be in our online Production Facilities Under the ‘Major material, such as copyrighted material, docket at http://www.regulations.gov Emitting Facility’ Definition’’ (the is not placed on the internet and will be and can be viewed by following that Ethanol Rule), published in the Federal publicly available only in hard copy website’s instructions. Additionally, if Register on May 1, 2007. The Ethanol form. Publicly available docket you go to the online docket and sign up Rule reinterpreted the component term materials are available either for email alerts, you will be notified ‘‘chemical process plants’’ within the electronically in the docket or in hard when comments are posted or a final statutory definition of ‘‘major emitting copy at the Docket, EPA/DC, EPA West, rule is published. facility’’ and regulatory definitions of Room 3334, 1301 Constitution Ave. NW, ‘‘major stationary source’’ under the Washington, DC. The Public Reading List of Subjects in 33 CFR Part 117 Prevention of Significant Deterioration Room is open from 8:30 a.m. to 4:30 Bridges. and Nonattainment New Source Review p.m. Monday through Friday, excluding For the reasons discussed in the programs and ‘‘major source’’ under title legal holidays. The telephone number preamble, the Coast Guard proposes to V, to exclude all facilities that produce for the Public Reading Room is (202) amend 33 CFR part 117 as follows: ethanol through a natural fermentation 566–1744, and the telephone number for

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the Office of Air and Radiation Docket ACTION: Proposed rule. comment, the EPA recommends that and Information Center is (202) 566– you include your name and other 1742. SUMMARY: The Environmental Protection contact information in the body of your Agency (EPA) proposes to cancel the comment and with any disk or CD–ROM II. Judicial Review final designation of an ocean dredged you submit. If the EPA cannot read your Section 307(b)(1) of the CAA indicates material disposal site (ODMDS) comment due to technical difficulties which Federal Courts of Appeal have pursuant to the Marine Protection, and cannot contact you for clarification, venue for petitions of review of final Research and Sanctuaries Act, as the EPA may not be able to consider actions by the EPA. This section amended (MPRSA). The ODMDS is in your comment. Electronic files should provides, in part, that petitions for the Atlantic Ocean offshore Wilmington, avoid the use of special characters, any review must be filed in the Court of North Carolina. This proposed action is form of encryption, and be free of any Appeals for the District of Columbia being taken because this site has been defects or viruses. For additional Circuit: (i) When the agency action replaced by another permanent site. In information about the EPA’s public consists of ‘‘nationally applicable addition, the EPA proposes to rename docket visit the EPA Docket Center regulations promulgated, or final actions the permanent site that exists for the homepage at http://www.epa.gov/ taken, by the Administrator,’’ or (ii) Wilmington, North Carolina area. epahome/dockets.htm. when such action is locally or regionally DATES: Comments must be received by Docket: Publicly available docket applicable, if ‘‘such action is based on December 23, 2019. materials are available either a determination of nationwide scope or ADDRESSES: Submit your comments, electronically at www.regulations.gov or effect and if in taking such action the identified by Docket ID No. EPA–R04– in hard copy during normal business Administrator finds and publishes that OW–2019–0592, by one of the following hours from the regional library at the such action is based on such a methods: U.S. Environmental Protection Agency, determination.’’ In the Ethanol Rule, the • www.regulations.gov: Follow the Region 4 Library, 9th Floor, 61 Forsyth EPA determined that the action was of on-line instructions for submitting Street, Atlanta, Georgia 30303. For nationwide scope and effect for the comments and accessing the docket and access to the documents at the Region purposes of CAA section 307(b)(1). See materials related to this proposed rule. 4 Library, contact the Region 4 Library 72 FR 24060, 24077 (May 1, 2007). • Email: [email protected]. • Reference Desk at (404) 562–8190, The EPA has determined that its Mail: Gary W. Collins, U.S. between the hours of 9:00 a.m. to 12:00 actions denying the petitions for Environmental Protection Agency, p.m., and between the hours of 1:00 reconsideration also are of nationwide Region 4, Water Division, Oceans and p.m. to 4:00 p.m., Monday through scope and effect because these actions Estuarine Management Section, 61 Friday, excluding Federal holidays, for directly relate to the Ethanol Rule that Forsyth Street, Atlanta, Georgia 30303. an appointment. Instructions: Direct your comments to the EPA previously determined are of FOR FURTHER INFORMATION CONTACT: Gary nationwide scope and effect. Thus, any Docket ID No. EPA–R04–OW–2019– 0592. The EPA’s policy is that all W. Collins, U.S. Environmental petitions for review of the final letters Protection Agency, Region 4, Water denying the petitions for comments received will be included in the public docket without change and Division, Oceans and Estuarine reconsideration must be filed in the Management Section, 61 Forsyth Street, Court of Appeals for the District of may be made available online at www.regulations.gov, including any Atlanta, Georgia 30303; phone number Columbia Circuit on or before January 6, (404) 562–9395; email: collins.garyw@ 2020. personal information provided, unless the comment includes information epa.gov. Dated: October 22, 2019. claimed to be Confidential Business SUPPLEMENTARY INFORMATION: Andrew R. Wheeler, Information (CBI) or other information Administrator. whose disclosure is restricted by statute. I. Potentially Affected Persons [FR Doc. 2019–23711 Filed 11–5–19; 8:45 am] Do not submit through Persons potentially affected by this BILLING CODE 6560–50–P www.regulations.gov or email, proposed action include those who seek information that you consider to be CBI or might seek permits or approval to or otherwise protected. The dispose of dredged material into ocean ENVIRONMENTAL PROTECTION www.regulations.gov website is an waters pursuant to the Marine AGENCY ‘‘anonymous access’’ system, which Protection, Research, and Sanctuaries means the EPA will not know your Act, as amended (MPRSA), 33 U.S.C. 40 CFR Part 228 identity or contact information unless 1401 to 1445. The EPA’s proposed you provide it in the body of your action would be relevant to persons, [EPA–R04–OW–2019–0592; FRL–10001–81– comment. If you send an email including organizations and government Region 4] comment directly to the EPA without bodies seeking to dispose of dredged Ocean Dumping: Cancellation of Final going through www.regulations.gov, material in ocean waters offshore of Designation for an Ocean Dredged your email address will be Wilmington, North Carolina. Currently, Material Disposal Site automatically captured and included as the U.S. Army Corps of Engineers part of the comment that is placed in the (USACE) would be most affected by this AGENCY: Environmental Protection public docket and made available on the action. Potentially affected categories Agency (EPA). internet. If you submit an electronic and persons include:

Category Examples of potentially regulated persons

Federal Government ...... U.S. Army Corps of Engineers Civil Works projects, U.S. Navy and other Federal agencies. Industry and general public ...... Port authorities, marinas and harbors, shipyards and marine repair facilities, berth owners. State, local and tribal governments ...... Governments owning and/or responsible for ports, harbors, and/or berths, government agen- cies requiring disposal of dredged material associated with public works projects.

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This table is not intended to be therefore not subject to review under uniquely affect small government exhaustive, but rather provides a guide Executive Orders 12866 and 13563 (76 entities. for readers regarding persons likely to FR 3821, January 21, 2011). e. Executive Order 13132: Federalism be affected by this proposed action. For b. Paperwork Reduction Act any questions regarding the This proposed action does not have applicability of this proposed action to This proposed action does not impose federalism implications. It does not a particular person, please refer to the an information collection burden under have substantial direct effects on the contact person listed in the preceding the provisions of the Paperwork States, on the relationship between the FOR FURTHER INFORMATION CONTACT Reduction Act, 44 U.S.C. 3501 et seq. national Government and the States, or section. Burden is defined at 5 CFR 1320.3(b). on the distribution of power and This proposed action does not require responsibilities among various levels of II. Background persons to obtain, maintain, retain, government, as specified in Executive Section 102(c) of the Marine report, or publicly disclose information Order 13132. Thus, Executive Order Protection, Research, and Sanctuaries to or for a Federal agency. 13132 does not apply to this action. The Act (MPRSA) of 1972, as amended, 33 c. Regulatory Flexibility EPA specifically solicits comment on U.S.C. 1401 et seq., gives the this proposed action from State and Administrator of EPA the authority to The Regulatory Flexibility Act (RFA) local officials. designate sites where ocean disposal generally requires Federal agencies to f. Executive Order 13175: Consultation may be permitted. On October 1, 1986, prepare a regulatory flexibility analysis and Coordination With Indian Tribal the Administrator delegated the of any rule subject to notice and Governments authority to designate ocean disposal comment rulemaking requirements sites to the Regional Administrator of under the Administrative Procedure Act This proposed action does not have the Region in which the sites are or any other statute unless the agency tribal implications, as specified in located. This proposed cancellation is certifies that the rule will not have a Executive Order 13175 because the being made pursuant to that authority. significant economic impact on a proposed action will not have a direct The EPA Ocean Dumping Regulations substantial number of small entities. effect on Indian Tribes, on the promulgated under MPRSA (40 CFR Small entities include small businesses, relationship between the Federal chapter I, subchapter H, § 228.11) state small organizations, and small Government and Indian Tribes, or on that modifications in disposal site use governmental jurisdictions. For the distribution of power and which involve withdrawal of disposal purposes of assessing the impacts of this responsibilities between the Federal sites from use will be made by rule on small entities, small entity is Government and Indian Tribes. Thus, promulgation in part 228. This site defined as: (1) A small business defined Executive Order 13175 does not apply cancellation is being published as by the Small Business Administration’s to this action. The EPA specifically proposed rulemaking in accordance size regulations at 13 CFR 121.201; (2) solicits additional comments on this with § 228.11(a) of the Ocean Dumping a small governmental jurisdiction that is proposed action from tribal officials. a government of a city, county, town, Regulations, which permits the g. Executive Order 13045: Protection of withdrawal of designated disposal sites school district, or special district with a population of less than 50,000; and (3) Children From Environmental Health from use based upon changed and Safety Risks circumstances concerning use of the a small organization that is any not-for- site. profit enterprise which is independently The EPA interprets Executive Order owned and operated and is not 13045 as applying only to those III. Proposed Action dominant in its field. The EPA regulatory actions that concern health or The proposed cancellation of the determined that this proposed action safety risks, such that the analysis designation of this site is needed as a will not have a significant economic required under Section 5–501 of the housekeeping measure. The ODMDS is impact on small entities. After Executive Order has the potential to no longer a suitable disposal option and considering the economic impacts of influence the regulation. This proposed has no foreseeable need. The this proposed rule, EPA certifies that action is not subject to Executive Order Wilmington site has been replaced by a this action will not have a significant 13045 because it does not establish an larger site due to changes in alignment economic impact on a substantial environmental standard intended to of the Federal navigation channel, number of small entities. This proposed mitigate health or safety risks. which now cuts through the original rule will not impose any requirements h. Executive Order 13211: Actions ODMDS. EPA also proposes to change on small entities. Concerning Regulations That the name of the New Wilmington d. Unfunded Mandates Reform Act Significantly Affect Energy Supply, ODMDS to the Wilmington ODMDS. This proposed action contains no Distribution, or Use IV. Statutory and Executive Order Federal mandates under the provisions This proposed action is not subject to Reviews of Title II of the Unfunded Mandates Executive Order 13211, ‘‘Actions This proposed action complies with Reform Act (UMRA) of 1995, 2 U.S.C. Concerning Regulations that applicable executive orders and 1531 to 1538, for State, local, or tribal Significantly Affect Energy Supply, statutory provisions as follows: governments or the private sector. This Distribution, or Use’’ (66 FR 28355) action imposes no new enforceable duty because it is not a ‘‘significant a. Executive Order 12866: Regulatory on any State, local or tribal governments regulatory action’’ as defined under Planning and Review and Executive or the private sector. Therefore, this Executive Order 12866. Order 13563: Improving Regulation and action is not subject to the requirements Regulatory Review of sections 202 or 205 of the UMRA. i. National Technology Transfer and This proposed action is not a This action is also not subject to the Advancement Act ‘‘significant regulatory action’’ under requirements of section 203 of the Section 12(d) of the National the terms of Executive Order 12866 (58 UMRA because it contains no regulatory Technology Transfer and Advancement FR 51735, October 4, 1993) and is requirements that might significantly or Act of 1995 (‘‘NTTAA’’), Public Law

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104–113, 12(d) (15 U.S.C. 272), directs PART 228—CRITERIA FOR THE of OFCCP’s authority over such the EPA to use voluntary consensus MANAGEMENT OF DISPOSAL SITES providers). OFCCP would nevertheless standards in its regulatory activities FOR OCEAN DUMPING have authority over health care unless to do so would be inconsistent providers participating in TRICARE if with applicable law or otherwise ■ 1. The authority citation for part 228 they hold a separate covered Federal impractical. Voluntary consensus continues to read as follows: contract or subcontract. Likewise, health standards are technical standards (e.g., Authority: 33 U.S.C. 1412 and 1418. care providers would remain subject to all other Federal, state, and local laws materials specifications, test methods, ■ 2. Section 228.15 is amended by prohibiting discrimination and sampling procedures, and business removing and reserving paragraph (h)(2) practices) that are developed or adopted providing for equal employment and revising paragraph (h)(20) opportunity. OFCCP has determined by voluntary consensus bodies. The introductory text to read as follows: NTTAA directs the EPA to provide that special circumstances in the national interest justify proposing the Congress, through OMB, explanations § 228.15 Dumping sites designated on a exemption as it would improve when the Agency decides not to use final basis. uniformed service members’ and available and applicable voluntary * * * * * (h) * * * veterans’ access to medical care, more consensus standards. This proposed efficiently allocate OFCCP’s limited action does not involve technical (20) Wilmington, North Carolina; Ocean Dredged Material Disposal Site. resources for enforcement activities, and standards. Therefore, the EPA is not provide greater uniformity, certainty, * * * * * considering the use of any voluntary and notice for health care providers [FR Doc. 2019–24066 Filed 11–5–19; 8:45 am] consensus standards. participating in TRICARE. BILLING CODE 6560–50–P j. Executive Order 12898: Federal DATES: To be assured of consideration, Actions To Address Environmental comments must be received on or before Justice in Minority Populations and DEPARTMENT OF LABOR December 6, 2019. Low-Income Populations ADDRESSES: Comments may be Office of Federal Contract Compliance submitted, identified by Regulatory Executive Order 12898 (59 FR 7629) Programs Information Number (RIN) 1250–AA08, establishes Federal executive policy on by one of the following methods: environmental justice. Its main 41 CFR Parts 60–1, 60–300, and 60–741 • Electronically: The Federal provision directs Federal agencies, to eRulemaking portal at http:// RIN 1250–AA08 the greatest extent practicable and www.regulations.gov. Follow the permitted by law, to make Affirmative Action and instructions found on that website for environmental justice part of their submitting comments. Nondiscrimination Obligations of • mission by identifying and addressing, Federal Contractors and Mail, Hand Delivery, or Courier: as appropriate, disproportionately high Subcontractors: TRICARE and Certain Addressed to Harvey D. Fort, Deputy and adverse human health or Other Health Care Providers Director, Division of Policy and Program environmental effects of their programs, Development, Office of Federal Contract policies, and activities on minority AGENCY: Office of Federal Contract Compliance Programs, 200 Constitution populations and low-income Compliance Programs, Labor. Avenue NW, Room C–3325, populations in the United States. The ACTION: Notice of proposed rulemaking. Washington, DC 20210. Instructions: Please submit one copy EPA determined that this proposed rule SUMMARY: The Office of Federal Contract of your comments by only one method. will not have disproportionately high Compliance Programs (OFCCP) is Due to security concerns, postal and adverse human health or proposing to amend its regulations delivery in Washington, DC, may be environmental effects on minority or pertaining to its authority over delayed. For faster submission, we low-income populations because it does TRICARE health care providers. The encourage commenters to transmit their not affect the level of protection proposed rule is intended to increase comment electronically via the http:// provided to human health or the access to care for uniformed service www.regulations.gov website. All environment. This proposed action is members and veterans and to provide submissions must include OFCCP’s only cancelling the designation of an certainty for health care providers who name for identification. ODMDS which is no longer viable. serve beneficiaries of TRICARE. It is Comments, including any personal also believed that this proposed rule information provided, become a matter List of Subjects in 40 CFR Part 228 may result in cost savings to the health of public record and will be posted on Environmental protection, Water care system. In a reconsideration of its http://www.regulations.gov. Do not pollution control. legal position, the proposed rule would include any personally identifiable or provide that OFCCP lacks authority over confidential business information that Authority: This proposed action is issued Federal health care providers who you do not want publicly disclosed. under the authority of Section 102 of the participate in TRICARE. In the The Department will also make all the Marine Protection, Research, and Sanctuaries alternative, the proposed rule would comments it receives available for Act, as amended, 33 U.S.C. 1401, 1411, 1412. establish a national interest exemption public inspection during normal Dated: August 27, 2019. from Executive Order 11246, Section business hours at OFCCP at the above Mary S. Walker, 503 of the Rehabilitation Act of 1973, address. If you need assistance to review Regional Administrator, Region 4. and the Vietnam Era Veterans’ the comments, the Department will Readjustment Assistance Act of 1974 for provide you with appropriate aids such For the reasons set out in the health care providers with agreements as readers or print magnifiers. To preamble, the EPA proposes to amend to furnish medical services and supplies schedule an appointment to review the chapter I, title 40 of the Code of Federal to individuals participating in TRICARE comments and/or to obtain this notice of Register as follows: (in the alternative to a reconsideration proposed rulemaking in an alternate

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format, please contact OFCCP at the or that of others, subject to certain permitting categorical exemption from telephone numbers or address listed limitations. Six years after President E.O. 11246 was part of the original below. Johnson signed E.O. 11246, Congress notice-and-comment regulation that FOR FURTHER INFORMATION CONTACT: added disability as a protected class implemented the Order, and has been in Harvey D. Fort, Deputy Director, through Section 503 of the place for over fifty years.13 The 7 Division of Policy and Program Rehabilitation Act. And in 1974, provisions permitting categorical Development, Office of Federal Contract Congress also covered veterans through exemptions from VEVRAA and Section Compliance Programs, 200 Constitution the Vietnam Era Veterans’ Readjustment 503 are patterned similarly and have Avenue NW, Room C–3325, Assistance Act, which prohibits been in place for decades as well.14 Washington, DC 20210. Telephone: discrimination on the basis of veteran Additionally, E.O. 11246’s predecessor, (202) 693–0104 (voice) or (202) 693– status. All three laws also require E.O. 10925, contained a similarly 1337 (TTY). Copies of this document Federal contractors to take affirmative worded exemption provision which was may be obtained in alternative formats steps to ensure equal employment implemented through a regulation (large print, braille, audio recording) by opportunity in their employment providing a substantially similar calling the numbers listed above. practices. categorical exemption.15 OFCCP has OFCCP has rulemaking authority SUPPLEMENTARY INFORMATION: granted categorical exemptions in the under all three laws.8 Additionally, national interest in the past.16 OFCCP I. Legal Authority OFCCP has authority to exempt a also may exercise prosecutorial Federal law requires Government contract from E.O. 11246, VEVRAA, and discretion in determining its contractors 1 to refrain from Section 503 if the Director of OFCCP enforcement priorities.17 OFCCP discriminating on the basis of race, sex, determines that special circumstances proposes this rule pursuant to all these and other grounds. Additionally, in the national interest require doing authorities. so.9 OFCCP’s regulations allow the Government contractors must take II. Introduction affirmative action to ensure equal Director to grant national interest employment opportunity.2 OFCCP, exemptions to groups or categories of OFCCP is proposing a rule that would situated in the Department of Labor contracts where he finds it clarify the scope of OFCCP’s authority 18 (Department), enforces these contracting impracticable to act upon each request and, to dispel any legal uncertainty, also requirements. OFCCP requires for an exemption individually or where further the national interest by Government contractors to furnish the exemption will substantially explicitly exempting certain health care information about their affirmative contribute to convenience in the providers from OFCCP’s enforcement action programs (AAPs) and related administration of the laws.10 These activities. Specifically, in the E.O. employment records and data so OFCCP categorical exemptions follow the 11246, VEVRAA, and Section 503 can ascertain compliance with the laws principle that an agency, whenever regulations, OFCCP would revise its it enforces.3 permitted, need not ‘‘continually . . . definition of ‘‘subcontractor’’—meaning OFCCP enforces three relitigate issues that may be established subcontractors regulated by OFCCP—to nondiscrimination and equal fairly and efficiently in a single exclude health care providers with employment opportunity laws that rulemaking proceeding’’ that ‘‘could agreements to furnish medical services apply to covered Federal contractors: invite favoritism, disunity, and and supplies to individuals Executive Order (E.O.) 11246, as inconsistency.’’ 11 These long-standing participating in TRICARE. amended,4 Section 503 of the regulatory provisions allowing for OFCCP is concerned about differences Rehabilitation Act of 1973, as amended categorical national interest exemptions in understanding among TRICARE (Section 503),5 and the Vietnam Era are owed deference.12 The provision health care providers regarding the Veterans’ Readjustment Assistance Act scope of OFCCP’s authority, and also of 1974, as amended (VEVRAA).6 In 7 29 U.S.C. 793(a). about the potential that OFCCP’s recent 1965, President Lyndon B. Johnson 8 E.O. 11246, section 201; 38 U.S.C. 4212(a)(2); 29 assertions of authority may be affecting U.S.C. 793(a); E.O. 11758, section 2; Sec’y Order 7– signed E.O. 11246, which (as amended) 2009, 74 FR 58834 (Nov. 13, 2009). prohibits discrimination on the basis of 9 E.O. 11246, section 204; E.O. 11758 sections 2– unamended or substantially reenacted statutes, are race, color, religion, sex, sexual 3, as amended; 29 U.S.C. 793(c)(1); 41 CFR 60– deemed to have received congressional approval and have the effect of law.’’) (quoting Cottage Sav. orientation, gender identity, and 300.4(b)(1). E.O. 11246 refers to an ‘‘exemption’’ while VEVRAA and Section 503 use the term Ass’n v. Commissioner, 499 U.S. 554, 561 (1991)) national origin, as well as ‘‘waiver.’’ This proposed rule uses the term 13 See 33 FR 7804, 7807 (May 28, 1968); see also discrimination against applicants or ‘‘exemption’’ to refer to both. 33 FR 3000, 3003 (Feb. 15, 1968) (notice of employees because they inquire about, 10 41 CFR 60–1.5(b)(1), 60–300.4(b)(1), 60– proposed rulemaking). discuss, or disclose their compensation 741.4(b)(1). 14 See 39 FR 20566, 20568 (June 11, 1974); 41 FR 11 Heckler v. Campbell, 461 U.S. 458, 467 (1983); 26386, 26387 (June 25, 1976). see also Lopez v. Davis, 531 U.S. 230, 243–44 15 See E.O. 10925, section 303; 41 CFR 60– 1 As used in this preamble, the term contractor (2001); Am. Hosp. Ass’n v. NLRB, 499 U.S. 606, 612 1.3(b)(1) (1962). includes, unless otherwise indicated, Federal (1991) (‘‘[E]ven if a statutory scheme requires 16 See OFCCP, Hurricane Recovery National Government contractors and subcontractors. When individualized determinations, the decision maker Interest Exemptions, https://www.dol.gov/ofccp/ used in reference to Executive Order 11246, it also has the authority to rely on rulemaking to resolve hurricanerecovery.htm. includes federally assisted construction contractors certain issues of general applicability unless 17 See 5 U.S.C. 701(a)(2); Heckler v. Chaney, 470 and subcontractors. Congress clearly expresses an intent to withhold U.S. 821, 831 (1985); Andrews v. Consol. Rail Corp., 2 See E.O. 11246, section 202(1); 29 U.S.C. 793(a); that authority.’’ (discussing Campbell, 461 U.S. at 831 F.2d 678, 687 (7th Cir. 1987); Clementson v. 38 U.S.C. 4212(a)(1); 41 CFR 60–1.40, 60–2.1 467; FPC v. Texaco, Inc., 377 U.S. 33, 41–44 (1964); Brock, 806 F.2d 1402, 1404–05 (9th Cir. 1986); through 60–2.17; id. §§ 60–300.40 through 60– United States v. Storer Broad. Co., 351 U.S. 192, Carroll v. Office of Fed. Contract Compliance 300.45; id. §§ 60–741.40 through 60–741.47. 205 (1956)). Programs, U.S. Dep’t of Labor, 235 F. Supp. 3d 79, 3 E.O. 11246, section 202(6); 41 CFR 60–1.4(a)(6), 12 Cf., e.g., United States v. Cleveland Indians 84 (D.D.C. 2017). 60–1.43; id. §§ 60–300.40(d), 60–300.81; id. §§ 60– Baseball Co., 532 U.S. 200, 220 (2001) (‘‘We do not 18 OFCCP often refers to the scope of its authority 741.40(d), 60–741.81; see also Chrysler Corp. v. resist according such deference in reviewing an to enforce equal employment opportunity Brown, 441 U.S. 281, 286 (1979). agency’s steady interpretation of its own 61-year- requirements as its jurisdiction. For this proposed 4 E.O. 11246, 30 FR 12319 (Sept. 24, 1965). old regulation implementing a 62-year-old statute. rulemaking, OFCCP believes the word authority is 5 29 U.S.C. 793. Treasury regulations and interpretations long more precise, since OFCCP does not have 6 38 U.S.C. 4212. continued without substantial change, applying to adjudicative power.

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uniformed service members’ and enforce the requirements of these three contractor and any person (in which the veterans’ access to health care.19 OFCCP laws and their implementing parties do not stand in the relationship has also recently established a regulations. Contractors agree to those of an employer and an employee): (1) moratorium on enforcing the affirmative requirements in the equal opportunity For the purchase, sale or use of personal action obligations for health care clauses included in their contracts with property or nonpersonal services which, providers deemed to be putative the Federal Government, clauses which in whole or in part, is necessary to the TRICARE subcontractors. OFCCP is also require contractors to ‘‘flow down’’ performance of any one or more accordingly proposing these changes to these requirements to any contracts; or (2) Under which any provide greater clarity to, and solicit subcontractors. The text of these clauses portion of the contractor’s obligation is set forth in E.O. 11246 section 202 feedback from, health care providers under any one or more contracts is and the implementing regulations for all and other stakeholders before the performed, undertaken or assumed.29 expiration of the moratorium on May 7, three programs, and is also found in part 2021. OFCCP has reexamined its 52 of title 48 of the Code of Federal Although, in general, organizations position that health care providers Regulations, which contains the Federal holding a contract or subcontract as participating in TRICARE are among Acquisition Regulation’s standard defined are covered under E.O. 11246, those Congress intended to be regulated contract clauses.21 Federal law provides Section 503, and VEVRAA, some and, for the reasons discussed below, that these clauses ‘‘shall be considered exemptions apply. Contractors that only now believes they are not. Given the to be part of every contract and hold contracts below OFCCP’s basic decade of confusion that has subcontract required by [law] to include monetary thresholds are exempt.30 accompanied this question, OFCCP also such a clause.’’ 22 This is true ‘‘whether Certain affirmative action requirements believes that lasting certainty for the or not the [equal opportunity clause] is only apply depending on the type and health care field and Government health physically incorporated in such dollar value of the contract held as well 23 care program serving current and retired contracts.’’ Persons who have no as the contractor’s number of members of the armed services and their contractual (or subcontractual) employees.31 The regulations also families is highly desirable. Therefore, relationships with the Federal exempt some categories of contracts Government, however, have no OFCCP is also proposing, in the under certain circumstances or for obligation to adhere to OFCCP’s alternative, an exemption for health care limited purposes, including those providers under TRICARE. OFCCP substantive requirements.24 OFCCP’s regulations define involving work performed outside the believes the exemption is justified by United States; certain contracts with special circumstances in the national ‘‘Government contract’’ as any agreement or modification thereof state or local governments; contracts interest. The exemption is expected to with religious corporations, improve uniformed service members’ between a department or agency of the associations, educational institutions or and veterans’ access to medical care and Federal Government and any person for societies; educational institutions more efficiently allocate OFCCP’s the purchase, sale or use of personal 25 limited resources for enforcement property or nonpersonal services. owned in whole or in part by a activities, and provide greater Agreements pertaining to programs or particular religion or religious uniformity, certainty, and notice for activities receiving Federal financial organization; and contracts involving 32 health care providers participating in assistance, however, are not considered work on or near an Indian reservation. 26 TRICARE. Whether under the rationale covered contracts, nor are other Additionally, as discussed earlier in of a lack of authority or via an noncontract Government programs or this NPRM, OFCCP has authority to activities. Federally assisted exemption from that authority, the exempt entities and categories of construction contracts, however, do change proposed to OFCCP’s regulatory entities from E.O. 11246, VEVRAA and come within OFCCP’s authority under text is the same: A revision of OFCCP’s Section 503 if the Director of OFCCP E.O. 11246.27 definition of ‘‘subcontractor’’ (i.e., determines that special circumstances subcontractors regulated by OFCCP) to As defined in regulation, a covered ‘‘contract’’ includes a ‘‘contract or a in the national interest require doing exclude health care providers who only 28 so.33 participate as providers in TRICARE. subcontract.’’ A prime contract is an agreement with the Federal Government The proposed rule is an E.O. 13771 29 agency itself. A ‘‘subcontract’’ is any Id. §§ 60–1.3, 60–300.2(x), 60–741.2(x). deregulatory action because it is 30 agreement or arrangement between a Id. §§ 60–1.5(a)(1), 60–300.4(a)(1), 60– expected to reduce compliance costs 741.4(a)(1). E.O. 11246’s basic obligations apply to and potentially the cost of litigation for businesses holding a Government contract in excess 21 See 48 CFR 52.222–26, 52.222–35, 52.222–36. of $10,000, or Government contracts which have, or regulated entities. 22 41 CFR 60–14(e), 60–741.5(e), 60–250.5(e). can reasonably be expected to have, an aggregate III. Administrative and Regulatory 23 Id. total value exceeding $10,000 in a 12-month period. Background 24 See 41 CFR 60–1.1 (‘‘The regulations in this E.O. 11246 also applies to government bills of part apply to all contracting agencies of the lading, depositories of Federal funds in any A. Overview of OFCCP’s Areas of Government and to contractors and subcontractors amount, and to financial institutions that are who perform under Government contracts, to the issuing and paying agents for U.S. Savings Bonds. Authority extent set forth in this part.’’); see also id. §§ 60– Section 503 applies to Federal contractors and E.O. 11246, VEVRAA, and Section 300.1(b), 60–741.1(b). subcontractors with contracts in excess of $15,000. 503 apply to entities holding covered 25 Id. §§ 60–1.3, 60–300.2(n), 60–741.2(k). VEVRAA applies to Federal contractors and 26 See id. §§ 60–1.1, 60–300.1(b), 60–741.4(a). subcontractors with contracts of $150,000 or more. Government contracts and Programs and activities receiving Federal financial The coverage thresholds under Section 503 and 20 subcontracts. OFCCP has authority to assistance must comply with various other VEVRAA increased from those listed in the statutes nondiscrimination laws, including Title VI of the and OFCCP’s regulations in accordance with the 19 See OFCCP, Directive 2014–01, TRICARE Civil Rights Act of 1964 (prohibiting discrimination inflationary adjustment requirements in 41 U.S.C. Subcontractor Enforcement Activities (May 7, on the basis of race, color, or national origin) and 1908. See 80 FR 38293 (July 2, 2015); 75 FR 53129 2014); OFCCP, Directive 2018–02, TRICARE Section 504 of the Rehabilitation Act of 1973 (Aug. 30, 2010). Subcontractor Enforcement Activities (May 18, (prohibiting discrimination on the basis of 31 41 CFR 60–1.40, 60–300.40, 60–741.40. 2018). disability). 32 See id. §§ 60–1.5, 60–300.4, 60–741.4. 20 See E.O. 11246, section 202; 29 U.S.C. 793(a); 27 41 CFR 60–1.1. 33 E.O. 11246, section 204; 29 U.S.C. 793(c)(1); 41 38 U.S.C. 4212(a)(1). 28 Id. §§ 60–1.3, 60–300.2, 60–741.2. CFR 60–300.4(b)(1).

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B. Overview of Prior Treatment of health care providers participating in that ‘‘the enactment of Section 715 of Health Care Providers Participating in TRICARE and other Government health the NDAA removes OFCCP’s TRICARE care programs. jurisdiction under either Prong One or OFCCP has routinely audited health Congress responded the next year. Prong Two based on the specific 43 care providers who are Government The National Defense Authorization Act contract at issue in this case.’’ contractors, and it would continue to do for Fiscal Year 2012 (NDAA) included a While the remand of Florida Hospital so under this proposal.34 Provided provision addressing the maintenance of was pending, Congress introduced below is a brief overview of TRICARE the adequacy of provider networks legislation to exempt all health care and developments regarding OFCCP’s under the TRICARE program and providers from OFCCP’s enforcement TRICARE health care providers as activities and held a hearing regarding interpretations and practice regarding 44 its authority over health care providers purported Government subcontractors. OFCCP’s enforcement activities. The participating in TRICARE. Sec. 715of the NDAA provided that, for Secretary of Labor at the time, in a letter the purpose of determining whether to the leaders of the House Committee 1. TRICARE network providers under TRICARE on Education and the Workforce and the TRICARE is the Federal health care provider network agreements are Subcommittee on Workforce Protection, program serving uniformed service Government subcontractors, a TRICARE stated that the leaders ‘‘ha[d] made clear members, retirees, and their families.35 managed care support contract that that, in [their] judgment, Congress TRICARE is managed by the Defense includes the requirement to establish, intended to eliminate entirely OFCCP’s Health Agency, which contracts with manage, or maintain a network of jurisdiction over TRICARE managed care support contractors to providers may not be considered to be subcontractors.’’ 45 The Secretary’s letter administer each TRICARE region. The a contract for the performance of health proposed that ‘‘in lieu of legislative managed care support contractors enter care services or supplies on the basis of action,’’ OFCCP would ‘‘exercise into agreements with individual and such requirement.38 In April 2012, 16 prosecutorial discretion over the next institutional health care providers in months after it had been issued, OFCCP five years to limit its enforcement order to create provider networks for formally rescinded Directive 293.39 activities with regard to TRICARE fee-for-service, preferred-provider, and Meanwhile, the Florida Hospital subcontractors.’’ 46 health maintenance organization litigation continued. Six months after In May 2014, OFCCP issued Directive (HMO)-like programs. Fee-for-service OFCCP formally rescinded Directive 2014–01, establishing a five-year plans reimburse beneficiaries or the 293, in October 2012, the Department’s moratorium on enforcement of health care provider for the cost of Administrative Review Board (ARB or affirmative action obligations for health covered services. The TRICARE HMO- Board) held that the NDAA’s care providers deemed to be TRICARE 47 like program involves beneficiaries amendment to the TRICARE statute subcontractors. OFCCP also generally agreeing to use military precluded OFCCP from asserting administratively closed its open treatment facilities and designated authority over the Florida hospital.40 compliance reviews of contractors civilian providers and to follow certain The Board dismissed OFCCP’s covered by the moratorium, which managed care rules and procedures to administrative complaint against the resulted in the dismissal of the Florida 48 obtain covered services. hospital. Four of the five judges agreed Hospital case. that the hospital did not satisfy the On May 18, 2018, OFCCP issued 2. OFCCP and Health Care Providers second prong of OFCCP’s regulatory Directive 2018–02, a two-year extension Participating in TRICARE 49 definition of ‘‘subcontract.’’ Two judges, of the previous moratorium. Pursuant In 2007, OFCCP for the first time in Judge Corchado and Judge Royce, would to this Directive, the moratorium will litigation asserted enforcement authority have found for the agency on the basis expire on May 7, 2021. OFCCP over a health care provider based solely of the first prong of the regulatory explained that it extended the on the hospital’s delivery of medical definition of ‘‘subcontract.’’ 41 moratorium out of concern that the care to TRICARE beneficiaries. The The Board subsequently granted approaching expiration of the provider in this case, a hospital in OFCCP’s request for reconsideration. moratorium and accompanying Florida, disagreed with OFCCP’s view, This time, a three-judge majority ruled uncertainty over the applicability of the and OFCCP initiated enforcement for the agency. In July 2013, the Board laws OFCCP enforces might contribute proceedings in 2008 under the caption concluded that the Florida hospital at to the difficulties veterans and OFCCP v. Florida Hospital of Orlando. issue satisfied the first prong of the uniformed service members face when In 2010, an administrative law judge agency’s regulatory definition of accessing health care. The Directive also (ALJ) found for the agency.36 ‘‘subcontract.’’ 42 The Department’s ARB explained that the extension would In December 2010—soon after the remanded to the ALJ, however, to provide additional time to receive ALJ’s decision in Florida Hospital— determine whether TRICARE 43 OFCCP issued a new directive on health constituted Federal financial assistance Id. at *25 (Igasaki & Edwards, JJ., dissenting). 44 H.R. 3633, Protecting Health Care Providers care providers that superseded previous outside OFCCP’s jurisdiction. Judge 37 from Increased Administrative Burdens Act, directives. Directive 293 asserted that Igasaki and Judge Edwards dissented on Hearing Before the Subcomm. On Workforce OFCCP had authority over certain the basis of their original opinion in the Protections of the H. Comm. on Educ. & the Board’s first decision. They concluded Workforce, 113th Cong. (Mar. 13, 2014) [hereinafter 34 As noted throughout this proposal, health care ‘‘2014 Hearing’’]. providers who are prime government contractors, or 45 Id. at 3–5 (Sec’y of Labor Thomas E. Perez, 38 who hold subcontracts apart from their provider Public Law 112–81, section 715, 125 Stat. 1298, Letter to Congressional Leaders, Mar. 11, 2014). relationship to a government health care program, 1477 (2011), codified at 10 U.S.C. 1097b(a)(3). 46 Id. at 4. included in this rule, would remain under OFCCP’s 39 See Notice of Rescission No. 301 (Apr. 25, 47 OFCCP, Directive 2014–01, TRICARE authority. 2012). Subcontractor Enforcement Activities (May 7, 35 See 32 CFR 199.17(a). 40 OFCCP v. FLA. Hosp. of Orlando, No. 11–011, 2014). 36 OFCCP v. Fla. Hosp. of Orlando, No. 2009– 2012 WL 5391420 (ARB Oct. 19, 2012). 48 OFCCP v. Fla. Hosp. of Orlando, No. 2009– OFC–00002, 2010 WL 8453896 (ALJ Oct. 18, 2010). 41 Judge Brown concluded that the question about OFC–00002 (ALJ Apr. 1, 2014). 37 See OFCCP, Directive 293, Coverage of Health the first prong was not properly before the Board. 49 OFCCP, Directive 2018–02, TRICARE Care Providers and Insurers (Dec. 16, 2010) 42 OFCCP v. Fla. Hosp. of Orlando, No. 11–011, Subcontractor Enforcement Activities (May 18, (rescinded Apr. 25, 2012). 2013 WL 3981196 (ARB July 22, 2013). 2018).

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feedback from stakeholders. The care services on the basis of such First, OFCCP is concerned that the Directive extended the scope of the requirement.’’ The ARB held in Florida prospect of exercising authority over moratorium to cover providers Hospital that it could nonetheless deem TRICARE providers is affecting or will participating in the Department of a health care provider a subcontractor affect the Government’s ability to Veterans Affairs’ health benefits where the TRICARE regional provide health care to uniformed service programs.50 administrator could not ‘‘fulfill its members, veterans, and their families. contract to create an integrated health IV. Proposal To Reconsider OFCCP’s Congressional inquiries and testimony, delivery system without the services Authority Over TRICARE as well as amicus filings in the Florida from network providers like Florida Hospital litigation, have brought to Since bringing the Florida Hospital 52 Hospital.’’ But, upon reconsideration, OFCCP’s attention the risk that health case over a decade ago, and as reiterated OFCCP now believes the dissenting in its 2014 and 2018 moratoria, OFCCP care providers may be declining to opinion in Florida Hospital gave the participate in Federal health care has consistently held the position that it better reading of the statute. The dissent programs that serve members of the holds authority over TRICARE explained that because the ‘‘managed military and veterans because of the providers.51 In preparing this proposed care prime contract . . . includes the rulemaking, OFCCP has carefully presumed costs of compliance with requirement to maintain a network of 54 examined the authorities it administers, providers, OFCCP’s jurisdiction is OFCCP’s regulations. The former its legal position as stated in litigation removed. Under Section 715, the president of a TRICARE managed care and repeated public statements and subcontract is no longer a ‘subcontract’ support contractor testified that he guidance, the decisions in Florida under [OFCCP’s regulatory definition] feared they would lose smaller Hospital, and Congress’s recent actions. because the element of the contract that providers in their network because of OFCCP has concluded that its recent is ‘necessary to the performance of any the administrative costs and burdens assertions of authority over TRICARE one or more contracts’ involves the associated with OFCCP’s requirements, providers warrant reconsideration. For provisions of health care network and he predicted that it would make it the reasons below, OFCCP now believes provider services to TRICARE ‘‘much more difficult to build and retain it does not have authority over these beneficiaries.’’ 53 The dissent’s reading provider networks.’’ 55 TRICARE providers simply because these would prevent the statute from managed care support contractors providers choose to participate in becoming a nullity—since the purpose similarly stated in an amicus brief that TRICARE. of creating a provider network is to subjecting TRICARE providers to When OFCCP issued Directive 293, provide health care. OFCCP’s requirements would ‘‘make the asserting authority over these health For this reason, after careful already difficult task of finding health care providers, Congress reacted quickly consideration, OFCCP has reconsidered care professionals willing to act as by enacting Section 715 of the 2012 its position and now believes it does not network providers even more NDAA. ‘‘Where an agency’s statutory have jurisdiction over TRICARE difficult.’’ 56 A partner of a law firm construction has been fully brought to providers. testified that he has seen health care the attention of the public and the Congress, and the latter has not sought V. Proposal To Establish a National provider clients choose not to to alter that interpretation although it Interest Exemption for Health Care participate in TRICARE and in other has amended the statute in other Providers Participating in TRICARE programs because of the costs of compliance.57 The American Hospital respects, then presumably the legislative OFCCP believes that lasting certainty intent has been correctly discerned.’’ N. Association also testified that some for TRICARE health care providers and hospitals may decline to participate out Haven Bd. of Ed. v. Bell, 456 U.S. 512, patients is highly desirable. Therefore, 535 (1982) (internal quotation marks OFCCP is also proposing, as an omitted). OFCCP’s history in this area alternative, an exemption from E.O. 54 2014 Hearing, supra note 44; Examining Recent shows the opposite with regard to Actions by the Office of Federal Contract 11246, Section 503, and VEVRAA for Compliance Programs, Hearing Before the TRICARE providers. health care providers with agreements Regarding section 715 itself, it was Subcomm. on Workforce Protections of the H. to furnish medical services and supplies Comm. on Education and the Workforce, 113th clearly intended, both by its text and by to individuals participating in Cong. (2013) [hereinafter 2013 Hearing]; Reviewing the surrounding context, to reverse the Impact of the Office of Federal Contract TRICARE. Nothing in the proposed OFCCP’s assertion of authority over Compliance Programs’ Regulatory and Enforcement action is intended to interfere with TRICARE providers. The section states, Actions, Hearing Before the Subcomm. on Health, OFCCP’s vital mission of enforcing Emp’t, Labor & Pensions of the H. Comm. on Educ. ‘‘For the purpose of determining equal employment opportunity in & the Workforce, 112th Cong. (2012). whether network providers’’—e.g., 55 2014 Hearing, supra note 44, at 24–26, 46–47, organizations that contract with the hospitals and physicians—‘‘are 149 (Prepared Statement and Testimony of Thomas Government. OFCCP would retain subcontractors ..., a TRICARE Carrato, President, Health Net Federal Services). authority over a health care provider 56 managed care support contract that Amicus Brief of Humana Military Health participating in such a network or Services, Inc., Health Net Federal Services, LLC, includes the requirement to establish, arrangement if the health care provider and TriWest Healthcare Alliance dated May 2, manage, or maintain a network of 2012, at 9, Fla. Hosp., 2013 WL 3981196; see also holds a separate covered Federal providers may not be considered to be Amicus Brief of Human Military Health Services, contract or subcontract. But as a contract for the performance of health Inc., Health Net Federal Services, LLC, and TriWest explained below, OFCCP believes that Healthcare Alliance dated December 29, 2010, at 2, there are several reasons why special Fla. Hosp., 2013 WL 3981196 (‘‘Subjecting the 50 Id. at 1 n.1. network providers to Federal Affirmative action 51 See, e.g., OFCCP, Frequently Asked Questions: circumstances in the national interest requirements will make it more difficult for the TRICARE Subcontractor Enforcement Activities (Q. warrant an exemption for TRICARE [TRICARE managed care support] contractors to ‘‘Our hospital participates in the Federal Employees health care providers who do not hold find and retain providers willing to sign network Health Benefits Program, but not TRICARE. Are we such separate contracts. agreements due to the added compliance covered by the Moratorium?’’ A. ‘‘No. If your requirements.’’). hospital does not participate in TRICARE, it is not 57 2014 Hearing, supra note 44, at 34–35, 47 covered by the Moratorium.’’), https://www.dol.gov/ 52 Fla. Hosp., 2013 WL 3981196, at *19. (Statement and Testimony of David Goldstein, ofccp/regs/compliance/faqs/tricare_faq.htm. 53 Id. at *29. Shareholder, Littler Mendelson P.C.).

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of concern that they could be found to into the future had it not been As noted earlier, of course, the be Federal contractors.58 voluntarily dismissed. OFCCP believes uniformed service members and Providers’ decisions not to participate its limited resources are better spent veterans’ health care providers may exacerbate the well-documented elsewhere, and it would be discussed here would still be subject to difficulties that uniformed service unreasonable to impose substantial OFCCP’s authority if they are prime members, veterans, and their families compliance costs on health care contractors or have a covered have accessing health care.59 The providers when the legal justification subcontract with a Government unique nature of the health care system for doing so would be open to challenge contractor. For example, a teaching heightens OFCCP’s concern about the in light of the language in the NDAA hospital that participates as a TRICARE refusal of providers to participate in and the question left unresolved in provider but that also has a research health care programs for uniformed Florida Hospital as to whether TRICARE contract with the Federal Government service members and veterans. Creating constitutes Federal financial assistance. would still be considered a covered adequate networks of providers is a Third, OFCCP believes an exemption contractor subject to OFCCP authority. critical component of ensuring access to would be in the national interest For all of these reasons, the Director health care. These networks need to because it would provide uniformity of OFCCP has determined that the offer comprehensive services and cover and certainty in the health care proposed exemption would be justified all geographical areas where community with regard to legal by special circumstances in the national beneficiaries reside. An inadequate obligations concerning participation in interest because it would increase network may mean that beneficiaries are TRICARE. OFCCP conducts a case-by- access to care for uniformed service unable to obtain urgent and life-saving case inquiry as to whether a particular members and veterans and allow treatment. The willingness of health entity is a covered subcontractor. The OFCCP to better allocate its resources, care providers to participate in proposed exemption would dispense and provide uniformity and certainty for TRICARE is thus especially important. with an agreement-by-agreement the Government and for health care OFCCP requests comments from analysis and the attendant uncertainty, providers. The Director of OFCCP is also stakeholders that will help it to more legal costs, and litigation risk. Providers proposing that the requirements would thoroughly evaluate the potential could choose to furnish medical be met for granting an exemption to a impact of OFCCP compliance on services to beneficiaries of different group or category of contracts. Since uniformed service members’ and types of TRICARE programs without there are tens of thousands of providers veterans’ health care provider networks. hiring costly lawyers and performing that may be eligible for the exemption, Particularly, OFCCP seeks comments time-intensive contract analysis to it would be impracticable for OFCCP to from health care providers regarding the determine, as best they can, whether act upon each provider’s request impact of potential Federal they are a subcontractor or simply a individually and issuing a group subcontractor status on their decision to provider. exemption would substantially participate in health care programs for This exception would also harmonize contribute to convenience in the uniformed service members and OFCCP’s approach with that of the administration of the laws.63 OFCCP veterans. Department of Defense. OFCCP is the requests comments from stakeholders Second, OFCCP believes that an office charged with administering and on the proposed exemption. exemption is in the national interest enforcing its authorities, but comity OFCCP is also considering and because pursuing enforcement efforts between agencies is desirable whenever requests comments on whether health against TRICARE providers is not the possible, reduces confusion for the care providers participating in the best use of its and providers’ resources public, and helps ensure evenhanded Federal Employees Health Benefits 64 were it to, consistent with its public and efficient administration of the law. Program (FEHBP) should not be position until the issuance of this The Department of Defense stated in the covered by OFCCP’s authority. OFCCP NPRM, attempt to exercise authority Florida Hospital litigation that ‘‘it is interested in comments from over those providers. Given the history would be impossible to achieve the stakeholders and health care providers in this area, such attempts—which TRICARE mission of providing that participate in other Government would occur in the absence of this affordable health care for our nation’s health care programs, such as FEHBP, NPRM—could again meet with active duty and retired military about the impact of OFCCP’s protracted litigation and unclear members and their families’’ if all requirements, if there is difficulty ultimate results: The Florida Hospital TRICARE providers were subject to attracting and retaining participating 60 case proceeded for seven years and OFCCP’s requirements. The providers, and whether a uniform rule would have continued for some time Department of Defense also classifies TRICARE as Federal financial assistance 63 41 CFR 60–1.5(b)(1), 60–300.4(b)(1), 60– 61 741.4(b)(1). 58 Id. at 17–18 (Prepared Statement of the in DoD Directive 1020.1. A unified approach should reduce confusion for 64 FEHBP is the Federal health care program American Hospital Association); 2013 Hearing, serving civilian Federal employees, annuitants, and supra note 54, at 139 (Testimony of Curt Kirschner, the public and assist coordination in their dependents. 5 U.S.C. 8901 et seq. The program Partner, Jones Day, on behalf of the American regulating Government contracts in the is administered by the U.S. Office of Personnel Hospital Association). health care field.62 Management. FEHBP offers two general types of 59 See, e.g., Government Accountability Office plans: Fee-for-service plans and HMO plans. The Report, GAO–18–361, TRICARE Surveys Indicate Department’s Administrative Review Board held 60 Nonenrolled Beneficiaries’ Access to Care Has OFCCP v. Fla. Hosp. of Orlando, No. 2009– OFCCP did not have authority over a health care Generally Improved (Mar. 2018), available at OFC–002, 2010 WL 8453896, at *2 (ALJ Oct. 18, provider based on a reimbursement agreement with https://www.gao.gov/assets/700/690964.pdf. The 2010). a health insurance carrier offering a fee-for-service GAO found that, although there has been a slight 61 See Dep’t of Defense, Directive 1020.1, FEHBP plan, but did have authority over a health improvement in TRICARE beneficiaries’ access to Nondiscrimination on the Basis of Handicap in care provider’s agreement to provide services care, 29 percent of nonenrolled beneficiaries still Programs and Activities Assisted or Conducted by pursuant to a FEHBP HMO plan. See OFCCP v. reported that they experienced problems finding a the Department of Defense, ¶ E1.1.2.21 (Mar. 31, UPMC Braddock, No. 08–048, 2009 WL 1542298 civilian provider. Nonenrolled beneficiaries are 1982). (ARB May 29, 2009), aff’d, UPMC Braddock v. those that have not enrolled in TRICARE Prime, 62 Note that this regulation would not affect Harris, 934 F. Supp. 2d 238 (D.D.C. 2013), vacated which is a managed care option that that mostly health care entities’ obligations under Title VII of as moot, UPMC Braddock v. Perez, 584 F. App’x 1 relies on military hospitals and clinics to provide the Civil Rights Act or other civil rights laws (D.C. Cir. 2014); In re Bridgeport Hosp., No. 00–023, care. enforced by other agencies. 2003 WL 244810 (ARB Jan. 31, 2003).

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is needed to avoid legal uncertainty. VII. Regulatory Analysis OFCCP’s authority over health care Some stakeholders have indicated that E.O. 12866 (Regulatory Planning and providers that provide services and other Government health care programs Review), E.O. 13563 (Improving supplies under TRICARE, improve may face difficulties similar to Regulation and Regulatory Review), uniformed service members’ and TRICARE.65 and E.O. 13771 (Reducing Regulation veterans’ access to medical care, more efficiently allocate OFCCP’s limited VI. Section-by-Section Analysis and Controlling Regulatory Costs) resources for enforcement activities, and Under E.O. 12866, the U.S. Office of provide greater uniformity, certainty, Section 60–1.3 Definitions Management and Budget’s (OMB’s) Office of Information and Regulatory and notice for health care providers OFCCP proposes adding a paragraph participating in TRICARE. The proposed to the definition of subcontract in the Affairs (OIRA) determines whether a regulatory action is significant and, rule is intended to address concerns E.O. 11246 regulations noting that a therefore, subject to the requirements of regarding the risk that health care subcontract does not include an E.O. 12866 and OMB review. Section providers may be declining to agreement between a health care 3(f) of E.O. 12866 defines a ‘‘significant participate in TRICARE, which reduces provider and health organization regulatory action’’ as an action that is the availability of medical services for pursuant to which the health care likely to result in a rule that: (1) Has an uniformed service members, veterans, provider agrees to furnish health care annual effect on the economy of $100 and their families. OFCCP is proposing services or supplies to beneficiaries of million or more, or adversely affects in to exempt health care providers with TRICARE. OFCCP also proposes adding a material way a sector of the economy, agreements to furnish medical services definitions of ‘‘agreement,’’ ‘‘health care productivity, competition, jobs, the and supplies to individuals provider,’’ and ‘‘health organization.’’ environment, public health or safety, or participating in TRICARE from E.O. State, local or tribal governments or Section 60–300.2 Definitions 11246, Section 503, and VEVRAA. communities (also referred to as Discussion of Impacts OFCCP proposes adding a paragraph economically significant); (2) creates serious inconsistency or otherwise to the definition of subcontract in the In this section, the Department VEVRAA regulations noting that a interferes with an action taken or planned by another agency; (3) presents a summary of the costs and subcontract does not include an materially alters the budgetary impacts savings associated with the changes agreement between a health care of entitlement grants, user fees, or loan proposed in this notice of proposed provider and health organization programs, or the rights and obligations rulemaking. The estimated labor cost to pursuant to which the health care of recipients thereof; or (4) raises novel contractors is reflected in Table 1, provider agrees to furnish health care legal or policy issues arising out of legal below. The mean hourly wage of services or supplies to beneficiaries of mandates, the President’s priorities, or Management Analysts (SOC 13–1111) is TRICARE. OFCCP also proposes adding the principles set forth in E.O. 12866. $45.38 and Human Resources Managers definitions of ‘‘agreement,’’ ‘‘health care The Office of Management and Budget (SOC 11–3121) is $60.91.66 The provider,’’ and ‘‘health organization.’’ has determined that this proposed rule Department adjusted these wage rates to is a significant action under E.O. 12866 Section 60–741.2 Definitions reflect fringe benefits such as health and has reviewed the proposed rule. insurance and retirement benefits, as OFCCP proposes adding a paragraph E.O. 13563 directs agencies to propose well as overhead costs such as rent, to the definition of subcontract in the or adopt a regulation only upon a utilities, and office equipment. The Section 503 regulations noting that a reasoned determination that its benefits Department used a fringe benefits rate of subcontract does not include an justify its costs; tailor the regulation to 46 percent 67 and an overhead rate of 17 impose the least burden on society, agreement between a health care percent,68 resulting in fully loaded consistent with obtaining the regulatory provider and health organization hourly compensation rates for objectives; and in choosing among Management Analysts of $73.97 ($45.38 pursuant to which the health care alternative regulatory approaches, select + ($45.38 × 46%) + ($45.38 × 17%)) and provider agrees to furnish health care those approaches that maximize net services or supplies to beneficiaries of Human Resources Managers of $99.28 benefits. E.O. 13563 recognizes that × × TRICARE. OFCCP also proposes adding some benefits are difficult to quantify ($60.91 + ($60.91 46%) + ($60.91 definitions of ‘‘agreement,’’ ‘‘health care and provides that, where appropriate 17%)). provider,’’ and ‘‘health organization.’’ and permitted by law, agencies may consider and discuss qualitatively 66 BLS, Occupational Employment Statistics, Occupational Employment and Wages, May 2018, values that are difficult or impossible to _ 65 2014 Hearing, supra note 44, at 17–18 https://www.bls.gov/oes/current/oes nat.htm. quantify, including equity, human 67 (Prepared Statement of the American Hospital BLS, Employer Costs for Employee dignity, fairness, and distributive Compensation, https://www.bls.gov/ncs/data.htm. Association), 25–26, 46–47 (Prepared Statement and impacts. Wages and salaries averaged $24.86 per hour Testimony of Thomas Carrato, President, Health Net worked in 2018, while benefit costs averaged Federal Services), 34–35, 39–40 (Statement and This proposed rule is expected to be an E.O. 13771 deregulatory action. $11.52, which is a benefits rate of 46%. Testimony of David Goldstein, Shareholder, Littler 68 Cody Rice, U.S. Environmental Protection Mendelson P.C.); 2013 Hearing, supra note 54, at The Need for the Regulation Agency, ‘‘Wage Rates for Economic Analyses of the 67–68, 139 (Statement and Testimony of Curt Toxics Release Inventory Program,’’ (June 10, 2002), Kirschner, Partner, Jones Day, on behalf of the The proposed regulatory changes are https://www.regulations.gov/document?D=EPA-HQ- American Hospital Association). needed to provide clarity regarding OPPT-2014-0650-0005.

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TABLE 1—LABOR COST

Fully loaded Major occupational groups Mean hourly Fringe benefit Overhead rate hourly wage rate compensation

Management Analysts ...... $45.38 46% 17% $73.97 Human Resources Managers ...... $60.91 46% 17% $99.28

The Department estimates that 48 community that will describe the new provided by OFCCP, or participate in an percent of the burden hours will be requirements and conduct listening OFCCP webinar to learn more about the associated with Management Analysts sessions to identify any specific new requirements. Consequently, the and 52 percent for Human Resources challenges contractors believe they face, estimated burden for rule Managers. Thus, the average hourly rate or may face, when complying with the familiarization is 42,309 hours (84,617 is estimated at $87.13 per hour (($73.97 requirements. establishments × 1⁄2 hour).69 The × .48) + (99.28 × .52)). The Department believes that human Department calculates the total Cost of Regulatory Familiarization resource personnel (human resource estimated cost of rule familiarization as × The Department acknowledges that 5 managers and management analysts) at $3,686,383 (42,309 hours $87.13/hour) CFR 1320.3(b)(1)(i) requires agencies to each health care contractor in the first year. The Department seeks include in the burden analysis for new establishment or firm within its public comments regarding the information collection requirements the authority will be responsible for estimated number of establishments that estimated time it takes for contractors to understanding or becoming familiar would review this rule, the estimated review and understand the instructions with the new requirements. Therefore, time to review the rule, and whether for compliance. To minimize the the Department estimates that it will management analysts and human burden, OFCCP will publish compliance take a minimum of 30 minutes for a resource managers would be the most assistance materials including, fact human resource professional at each likely staff members to review the rule. sheets and responses to ‘‘Frequently TRICARE contractor establishment to Table 2, below, reflects the estimated Asked Questions.’’ OFCCP may also either read the proposed rule, read the regulatory familiarization costs for the host webinars for the contractor compliance assistance materials proposed rule.

TABLE 2—REGULATORY FAMILIARIZATION COST

Total number of health care contractor establishments ...... 84,617. Time to review rule ...... 30 minutes. Management Analysts and Human Resources Managers fully loaded hourly compensation (weighted 52 percent and 48 per- $87.13. cent, respectively). Regulatory familiarization cost in the first year ...... $3,686,383.

Cost Savings providers participating in TRICARE.70 show cause notice. The scheduled While the proposed rule does not The Department further refined this health care providers included include any additional costs, it may universe to those entities with 50 or contractors ranging from 50 to more result in cost savings as it reconsiders more employees, since the greatest than 501 employees. burdens associated with the E.O. 11246, OFCCP’s authority over health care The Department identified the VEVRAA, and Section 503 requirements providers with agreements to furnish number of health care providers in the medical services and supplies to are associated with developing, updating, and maintaining AAPs.71 The U.S. Census Bureau’s Statistics of U.S. individuals participating in TRICARE, Department then determined the rate of Businesses, using North American and in the alternative, proposes a compliance using OFCCP’s compliance Industry Classification System (NAICS) national interest exemption from E.O. evaluation data from Fiscal Years 2012 621, 622, and 623. There are 707,634 11246, VEVRAA, and Section 503 for through June 2019. The data showed health care providers of which 28.3 these health care providers, thus that approximately 95 percent of health percent or 200,260 have 50 or more eliminating any requirements associated care providers scheduled for an OFCCP employees.72 with developing, updating, and compliance evaluation during that maintaining AAPs. period submitted their AAPs when To fully estimate the associated cost requested and the remaining 5 percent 71 The requirement to develop AAPs is based on savings, the Department could use submitted their AAPs after receiving a employing 50 or more employees and having a various data and information, only some contract that meets specific thresholds. OFCCP does not have information regarding the value of the of which are currently available. The 69 The determination of the estimated number of partial analysis that follows sets forth health care contractor establishments is discussed contracts or financial agreements. Thus, the under Cost Savings, below. estimated number of establishments may be relevant evidence and other helpful data overstated as it may include establishments that that could be used to produce a more 70 OFCCP considered using its most recent EEO– 1 numbers to conduct this analysis, but the have contracts of less than $50,000 (E.O. 11246 and robust cost savings estimate to be used reporting requirements are limited to prime section 503) or have contracts of less than $150,000 in the final rule. contractors and first tier subcontractors. However, (VEVRAA). To estimate the number of Federal OFCCP’s universe includes all tiers of 72 Number of Firms, Number of Establishments, contractors potentially impacted by the subcontractors that meet the jurisdictional Employment, and Annual Payroll by Enterprise thresholds. Using EEO–1 data would underestimate Employment Size for the United States, All proposed rule, the Department the impact of the proposed rule. Thus, OFCCP Industries: 2016, https://www2.census.gov/ identified the number of health care relied upon the analysis described herein. Continued

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The Department of Defense annual include an agreement between a health Summary of Transfer and Benefits report to Congress reported that there care provider and a health organization E.O. 13563 recognizes that some rules were 155,500 TRICARE Primary Care pursuant to which the health care have benefits that are difficult to Network Providers and 143,500 provider agrees to furnish services to quantify or monetize but are TRICARE Specialist Network Providers beneficiaries of TRICARE. The nevertheless important, and states that 73 in FY2018. The Department estimates clarification and amendment would agencies may consider such benefits. that 28.3 percent of these providers have result in a cost savings, as some affected This rule has equity and fairness 50 or more employees. The Department contractors would no longer be required benefits, which are explicitly recognized believes that 84,617 providers ((155,500 to comply with VEVRAA requirements × in E.O. 13563. + 143,500) 28.3%)) are potentially and to engage in such activities as The proposed rule is designed to impacted by the proposed rule. creating, updating, or maintaining achieve these benefits by providing Calculating cost savings is made more AAPs, listing job opportunity notices clear guidance to contractors, and difficult because the savings may with the local or state employment increasing contractor understanding of depend on whether the health care service delivery systems, or providing OFCCP’s authority as it relates to heath provider is still obligated to maintain an notifications to employees, care providers. If the proposed rule AAP under other contracts. Such subcontractors, or unions. The decreases the confusion of Federal obligations may come from many Department’s current OMB approved contractors, this impact most likely additional sources. For example, if the ICR for its VEVRAA requirements represents a transfer of value to providers would qualify as Federal (1250–0004), ICR Reference No: taxpayers (if contractor fees decrease contractors due to activities outside 201610–1250–001, estimates an average because they do not need to engage what is covered by this proposed rule; of 16.86 hours per contractor to comply third party representatives to interpret or if they contract with states that with the VEVRAA requirements. OFCCP’s requirements). mandate AAPs for certain employers.74 Therefore, the estimate of affected The rule also proposes to amend § 60– Alternative Discussion TRICARE providers may overstate the 741.2 to note that a subcontract does not include an agreement between a health In proposing this rule, the Department number of entities that would actually considered a non-regulatory alternative. realize cost savings as a result of this care provider and a health organization pursuant to which the health care This alternative was to continue issuing proposed rule. The Department requests moratoria or other sub regulatory comments that may assist refinement of provider agrees to furnish services to beneficiaries of TRICARE. The guidance in which OFCCP would the analysis, including: How often are exercise enforcement discretion and not health care providers subject to AAP clarification and amendment would result in a cost savings, as some affected schedule compliance evaluations of rules imposed by states, and how certain health care providers. The similar are the state-level requirements contractors would no longer be required to comply with Section 503 Department rejected this alternative, as to the provisions being rescinded by this it would result in much greater proposed rule? requirements and to engage in such activities as creating, updating, or uncertainty among the regulated The rule proposes to amend § 60–1.3 entities. The Department requests to note that a subcontract does not maintaining AAPs, or providing notifications to employees, comments on any regulatory alternatives include an agreement between a health it might consider. care provider and a health organization subcontractors, or unions. OFCCP’s pursuant to which the health care current OMB approved ICR for its Regulatory Flexibility Act and E.O. provider agrees to furnish services to Section 503 requirements (1250–0005), 13272 (Consideration of Small Entities) beneficiaries of TRICARE. The ICR Reference No: 201610–1250–002, estimates an average of 7.92 hours per The Regulatory Flexibility Act of 1980 clarification and amendment would (RFA), 5 U.S.C. 601 et seq., establishes result in a cost savings, as some affected contractor to comply with the Section 503 requirements. ‘‘as a principle of regulatory issuance contractors would no longer be required that agencies shall endeavor, consistent to comply with E.O. 11246 requirements Summary of Costs and Cost Savings with the objectives of the rule and and to engage in such activities as applicable statutes, to fit regulatory and creating, updating, or maintaining AAPs The Department estimates the informational requirements to the scale or providing notifications to employees, annualized costs of the proposed rule of the business organizations and subcontractors, or unions. The for rule familiarization at $419,569 at a governmental jurisdictions subject to Department’s current OMB approved discount rate of 3 percent or $490,522 regulation.’’ Public Law 96–354. The Information Collection Request (ICR) for at a discount rate of 7 percent. Act requires the consideration for the its supply and service program (1250– The Department invites comments impact of a proposed regulation on a 0003), ICR Reference No: 201811–1250– regarding the assumptions, data sources, wide-range of small entities including 001, estimates an average of 91.44 hours and methodologies used to estimate the small businesses, not-for-profit per contractor to comply with the E.O. impacts of this proposed rule. organizations, and small governmental 11246 requirements. Additionally, the Department solicits jurisdictions. The rule proposes to amend § 60– comments from health care providers on Agencies must perform a review to 300.2 to note that a subcontract does not their current costs of compliance that determine whether a proposed or final would be mitigated by this rulemaking. rule would have a significant economic _ _ programs-surveys/susb/tables/2016/us 6digitnaics impact on a substantial number of small 2016.xlsx?# (last accessed February 24, 2019). Finally, the Department requests 75 73 Evaluation of TRICARE Programs, Fiscal Year comments on any available data that entities. If the determination is that it 2019, Report to Congress, https://www.health.mil/ would indicate the extent to which would, then the agency must prepare a Military-Health-Topics/Access-Cost-Quality-and- health care providers, who are not regulatory flexibility analysis as Safety/Health-Care-Program-Evaluation/Annual- otherwise required due to separate described in the RFA.76 Evaluation-of-the-TRICARE-Program (last accessed September 17, 2019). Federal contracts or subcontracts, have 74 https://ballotpedia.org/Federal_and_state_ an expectation of compliance or have 75 See 5 U.S.C. 603. affirmative_action_and_anti-discrimination_laws. complied with current requirements. 76 Id.

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However, if an agency determines that 13132 regarding federalism, and has 46501, 3 CFR, 1978 Comp., p. 230, E.O. a proposed or final rule is not expected determined that it does not have 13279, 67 FR 77141, 3 CFR, 2002 Comp., p. to have a significant economic impact ‘‘federalism implications’’. This rule 258 and E.O. 13672, 79 FR 42971. on a substantial number of small will not ‘‘have substantial direct effects entities, section 605(b) of the RFA on the States, on the relationship Subpart A—Preliminary Matters; Equal provides that the head of the agency between the national government and Opportunity Clause; Compliance may so certify and a regulatory the States, or on the distribution of Reports flexibility analysis is not required. See power and responsibilities among the 5 U.S.C. 605. The certification must various levels of government.’’ ■ 2. In § 60–1.3, revise the definition of include a statement providing the ‘‘Subcontract’’ to read as follows: factual basis for this determination and E.O. 13175 (Consultation and § 60–1.3 Definitions. the reasoning should be clear. The Coordination With Indian Tribal Department does not expect this rule to Governments) * * * * * have a significant economic impact on This proposed rule does not have Subcontract. (1) Means any agreement a substantial number of small entities. tribal implications under E.O. 13175 or arrangement between a contractor The annualized cost at a discount rate that requires a tribal summary impact and any person (in which the parties do of 7 percent for rule familiarization is statement. The proposed rule does not not stand in the relationship of an $5.80 per entity ($43.57 in the first year) have substantial direct effects on one or employer and an employee): which is far less than 1 percent of the more Indian tribes, on the relationship (i) For the purchase, sale or use of annual revenue of the smallest of the between the Federal Government and personal property or nonpersonal small entities affected by this proposed Indian tribes or on the distribution of services which, in whole or in part, is rule. Therefore, the Department certifies power and responsibilities between the necessary to the performance of any one that this proposed rule will not have a Federal Government and Indian tribes. or more contracts; or significant impact on a substantial number of small affected entities. List of Subjects (ii) Under which any portion of the 41 CFR Part 60–1 contractor’s obligation under any one or Paperwork Reduction Act more contracts is performed, undertaken The Paperwork Reduction Act of 1995 Administrative practice and or assumed; and (44 U.S.C. 3507(d)) requires that the procedure, Equal employment opportunity, Government contracts, (2) Does not include an agreement Department consider the impact of between a health care provider and a paperwork and other information Reporting and recordkeeping requirements. health organization under which the collection burdens imposed on the health care provider agrees to provide public. According to the 1995 41 CFR Part 60–300 health care services or supplies to amendments to the Paperwork natural persons who are beneficiaries Reduction Act (5 CFR 1320.5(b)(2)(vi)), Administrative practice and under TRICARE. an agency may not collect or sponsor procedure, Civil rights, Employment, the collection of information or impose Equal employment opportunity, (i) An agreement means a relationship an information collection requirement Government contracts, Government between a health care provider and a unless the information collection procurement, Individuals with health organization under which the instrument displays a currently valid disabilities, Investigations, Reporting health care provider agrees to provide OMB control number. The Department and recordkeeping requirements, health care services or supplies to has determined that there is no new Veterans. natural persons who are beneficiaries requirement for information collection 41 CFR Part 60–741 under TRICARE. associated with this proposed rule. The Administrative practice and (ii) A health care provider is a information collection requirements procedure, Civil rights, Employment, physician, hospital, or other individual contained in the existing E.O. 11246, Equal employment opportunity, or entity that furnishes health care VEVRAA and Section 503 regulations Government contracts, Government services or supplies. are currently approved under OMB procurement, Individuals with (iii) A health organization is a Control No. 1250–0003 (OFCCP disabilities, Investigations, Reporting voluntary association, corporation, Recordkeeping and Reporting and recordkeeping requirements. partnership, managed care support Requirements—Supply and Service), contractor, or other nongovernmental OMB Control No. 1250–0004 (OFCCP Craig E. Leen, organization that is lawfully engaged in Recordkeeping and Reporting Director, Office of Federal Contract providing, paying for, insuring, or Requirements—38 U.S.C. 4212, Vietnam Compliance Programs. reimbursing the cost of health care Era Veterans’ Readjustment Assistance For the reasons set forth in the services or supplies under group Act of 1974, as amended), and OMB preamble, OFCCP proposes to amend 41 insurance policies or contracts, medical Control No. 1250–0005 (OFCCP CFR parts 60–1, 60–300, and 60–741 as or hospital service agreements, Recordkeeping and Reporting follows: membership or subscription contracts, Requirements—Section 503 of the network agreements, health benefits Rehabilitation Act of 1973, as amended, PART 60–1—OBLIGATIONS OF plans duly sponsored or underwritten 29 U.S.C. 703). Consequently, this CONTRACTORS AND by an employee organization or proposed rule does not require review SUBCONTRACTORS association of organizations and health by the Office of Management and maintenance organizations, or other Budget under the Paperwork Reduction ■ 1. The authority citation for part 60– similar arrangements, in consideration Act of 1995, 44 U.S.C. 3501 et seq. 1 continues to read as follows: of premiums or other periodic charges E.O. 13132 (Federalism) Authority: Sec. 201, E.O. 11246, 30 FR or payments payable to the health 12319, 3 CFR, 1964–1965 Comp., p. 339, as The Department has reviewed this amended by E.O. 11375, 32 FR 14303, 3 CFR, organization. proposed rule in accordance with E.O. 1966–1970 Comp., p. 684, E.O. 12086, 43 FR * * * * *

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PART 60–300—AFFIRMATIVE ACTION by an employee organization or or hospital service agreements, AND NONDISCRIMINATION association of organizations and health membership or subscription contracts, OBLIGATIONS OF FEDERAL maintenance organizations, or other network agreements, health benefits CONTRACTORS AND similar arrangements, in consideration plans duly sponsored or underwritten SUBCONTRACTORS REGARDING of premiums or other periodic charges by an employee organization or DISABLED VETERANS, RECENTLY or payments payable to the health association of organizations and health SEPARATED VETERANS, ACTIVE organization. maintenance organizations, or other DUTY WARTIME OR CAMPAIGN * * * * * similar arrangements, in consideration BADGE VETERANS, AND ARMED of premiums or other periodic charges FORCES SERVICE MEDAL VETERANS PART 60–741—AFFIRMATIVE ACTION or payments payable to the health AND NONDISCRIMINATION organization. ■ 3. The authority citation for part 60– OBLIGATIONS OF FEDERAL 300 continues to read as follows: * * * * * CONTRACTORS AND [FR Doc. 2019–23700 Filed 11–5–19; 8:45 am] Authority: 29 U.S.C. 793; 38 U.S.C. 4211 SUBCONTRACTORS REGARDING BILLING CODE 4510–45–P and 4212; E.O. 11758 (3 CFR, 1971–1975 INDIVIDUALS WITH DISABILITIES Comp., p. 841). ■ 5. The authority citation for part 60– Subpart A—Preliminary Matters, Equal 741 continues to read as follows: FEDERAL COMMUNICATIONS COMMISSION Opportunity Clause Authority: 29 U.S.C. 705 and 793; E.O. ■ 4. In § 60–300.2, revise paragraph (x) 11758 (3 CFR, 1971–1975 Comp., p. 841). 47 CFR Part 73 to read as follows: Subpart A—Preliminary Matters, Equal [MB Docket Nos. 19–282 and 17–105; FCC § 60–300.2 Definitions. Opportunity Clause 19–106] * * * * * ■ 6. In § 60–741.2, revise paragraph (x) In the Matter of Use of Common (x) Subcontract. (1) Means any to read as follows: Antenna Site, Modernization of Media agreement or arrangement between a Regulation Initiative contractor and any person (in which the § 60–741.2 Definitions. parties do not stand in the relationship * * * * * AGENCY: Federal Communications of an employer and an employee): (x) Subcontract. (1) Means any Commission. (i) For the purchase, sale or use of agreement or arrangement between a ACTION: Proposed rule. personal property or nonpersonal contractor and any person (in which the services which, in whole or in part, is parties do not stand in the relationship SUMMARY: In this document, the necessary to the performance of any one of an employer and an employee): Commission seeks comment on whether or more contracts; or (i) For the purchase, sale or use of it should eliminate or revise the (ii) Under which any portion of the personal property or nonpersonal requirements, in the Commission’s contractor’s obligation under any one or services which, in whole or in part, is rules, regarding access to FM and TV more contracts is performed, undertaken necessary to the performance of any one broadcast antenna sites. These rules or assumed; and or more contracts; or prohibit the grant, or renewal, of a (2) Does not include an agreement (ii) Under which any portion of the license for an FM or TV station if that between a health care provider and a contractor’s obligation under any one or applicant or licensee controls an health organization under which the more contracts is performed, undertaken antenna site that is peculiarly suitable health care provider agrees to provide or assumed; and for broadcasting in the area and does not health care services or supplies to (2) Does not include an agreement make the site available for use by other natural persons who are beneficiaries between a health care provider and a similar licensees. The Commission under TRICARE. health organization under which the seeks comment on whether these (i) An agreement means a relationship health care provider agrees to provide requirements, which are rarely invoked, between a health care provider and a health care services or supplies to are outdated and unnecessary in light of health organization under which the natural persons who are beneficiaries the significant changes in the broadcast health care provider agrees to provide under TRICARE. marketplace, including significant health care services or supplies to (i) An agreement means a relationship growth in the availability of broadcast natural persons who are beneficiaries between a health care provider and a infrastructure that has occurred since under TRICARE. health organization under which the these restrictions were first adopted (ii) A health care provider is a health care provider agrees to provide nearly 75 years ago. With this physician, hospital, or other individual health care services or supplies to proceeding, the Commission continues or entity that furnishes health care natural persons who are beneficiaries its efforts to modernize our rules and services or supplies. under TRICARE. eliminate or modify outdated and (iii) A health organization is a (ii) A health care provider is a unnecessary regulations. voluntary association, corporation, physician, hospital, or other individual DATES: partnership, managed care support or entity that furnishes health care Comments may be filed on or contractor, or other nongovernmental services or supplies. before December 6, 2019, and reply organization that is lawfully engaged in (iii) A health organization is a comments may be filed December 23, providing, paying for, insuring, or voluntary association, corporation, 2019. reimbursing the cost of health care partnership, managed care support ADDRESSES: Interested parties may services or supplies under group contractor, or other nongovernmental submit comments and reply comments, insurance policies or contracts, medical organization that is lawfully engaged in identified by MB Docket Nos. 19–282 or hospital service agreements, providing, paying for, insuring, or and 17–105, by any of the following membership or subscription contracts, reimbursing the cost of health care methods: network agreements, health benefits services or supplies under group D Federal Communications plans duly sponsored or underwritten insurance policies or contracts, medical Commission’s Website: http://

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apps.fcc.gov/ecfs/. Follow the licensees. We seek comment on whether has remained unchanged since 1945, instructions for submitting comments. these requirements, which are rarely suggests that the Commission at that D Mail: Filings can be sent by hand or invoked, are outdated and unnecessary time was concerned that exclusive use messenger delivery, by commercial in light of the significant changes in the of an antenna site could unduly restrict overnight courier, or by first-class or broadcast marketplace, including the number of FM and TV stations in a overnight U.S. Postal Service mail. All significant growth in the availability of particular area or otherwise impede filings must be addressed to the broadcast infrastructure that has competition among stations. Commission’s Secretary, Office of the occurred since these restrictions were 4. In addition, it appears that the Secretary, Federal Communications first adopted nearly 75 years ago. With Commission may have intended to Commission. this proceeding, we continue our efforts ensure that a renewal applicant or D People with Disabilities: Contact the to modernize our rules and eliminate or licensee that owns or controls a FCC to request reasonable modify outdated and unnecessary desirable antenna site make it available accommodations (accessible format regulations. to other licensees on reasonable terms. In its order proposing adoption of the documents, sign language interpreters, I. Background CART, etc.) by email: [email protected] common antenna site rule for FM or phone: 202–418–0530 or TTY: 202– 2. The earliest rules on record stations, the Commission noted that, 418–0432. adopted by the Federal Communications when there is an antenna site in a For detailed instructions for Commission (Commission) regarding particular area and ‘‘there is no other submitting comments and additional the use of common FM and TV antenna comparable site available in the area, [a] information on the rulemaking process, sites date from 1945. These rules licensee or applicant as a condition of see the SUPPLEMENTARY INFORMATION provide that no FM or TV broadcast being issued a license or renewal of section of this document. license, or license renewal, ‘‘will be license shall be required to make the use granted to any person who owns, leases, of his antenna site available to other FM FOR FURTHER INFORMATION CONTACT: Kim or controls a particular site which is Matthews, Media Bureau, Policy licensees upon the payment of a peculiarly suitable’’ for FM or TV Division, 202–418–2154, or email at reasonable rental and upon a showing broadcasting in a particular area, unless [email protected]. that the shared use of the antenna site the site is available for use by other FM will permit satisfactory operation of all SUPPLEMENTARY INFORMATION: This is a or TV licensees or there is another stations concerned.’’ With respect to summary of the Commission’s Notice of comparable site available in the area, section 73.635, the Commission has Proposed Rulemaking (NPRM), FCC 19– and ‘‘where the exclusive use of such noted that the common TV antenna rule 106, adopted and released on October site by the applicant or licensee would ‘‘makes clear that its purpose is to 25, 2019. The full text of this document unduly limit the number of’’ FM or TV remove unnecessary impediments to is available for public inspection and stations that can be authorized in a competition, ensuring that the public copying during regular business hours particular area or would ‘‘unduly will have access to a variety of different in the FCC Reference Center, Federal restrict competition among’’ FM or TV broadcast sources.’’ Communications Commission, 445 12th stations. Section 73.239 applies to 5. Needless to say, the broadcast Street SW, Room CY–A257, commercial full power FM radio marketplace has evolved substantially Washington, DC 20554. The complete stations, and section 73.635 applies to since the antenna site sharing rules were text may be purchased from the full power commercial and adopted. In 1945, there were 46 licensed Commission’s copy contractor, 445 12th noncommercial TV stations and Class A FM broadcast stations; today, there are Street SW, Room CY–B402, Washington, TV stations. Notably, the AM and 6,726 FM commercial stations and 4,179 DC 20554. This document will also be noncommercial educational FM radio FM educational stations. The terrestrial available via ECFS at http:// rules do not contain a provision radio broadcast market today also fjallfoss.fcc.gov/ecfs/. Documents will comparable to sections 73.239 and includes 4,610 a.m. stations, 2,178 low be available electronically in ASCII, 73.635 governing common use of AM power FM (LPFM) stations, and over Microsoft Word, and/or Adobe Acrobat. antenna sites. 8,000 FM translator and booster stations Alternative formats are available for 3. At the time the rules were adopted, that retransmit and extend the signal of people with disabilities (Braille, large FM and television broadcasting were a parent FM station. The TV print, electronic files, audio format) by still in their infancy, and the marketplace similarly has expanded sending an email to [email protected] or infrastructure available to broadcast a greatly since the rule regarding antenna calling the Commission’s Consumer and signal over the air was sparse. Towers sites was first adopted. In 1945, there Governmental Affairs Bureau at (202) used by AM radio stations, the first were nine television stations; today, 418–0530 (voice), (202) 418–0432 broadcasting service, were generally there are 1,757 commercial and (TTY). incompatible with use by FM radio or noncommercial educational full power television antennas. While the reason television stations, 387 Class A Synopsis underlying the initial adoption of television stations, almost 1,900 low 1. In this NPRM, we seek comment on common antenna site requirements is power television (LPTV) stations, and whether we should eliminate or revise unclear, they were adopted at a time more than 3,600 TV translator stations the requirements, in sections 73.239 and when shortages of equipment and that retransmit the signal of a parent TV 73.635 of the Commission’s rules, materials needed for broadcasting were station. regarding access to FM and TV a serious impediment to the 6. The dramatic increase in the broadcast antenna sites. As described in introduction of new broadcast services. number of television and radio stations more detail below, these rules prohibit In the 1940s, the Commission also since 1945 has contributed to a the grant, or renewal, of a license for an became concerned about the effect of corresponding increase in the number of FM or TV station if that applicant or ownership concentration and certain antenna sites suitable for broadcasting. licensee controls an antenna site that is anticompetitive broadcast network While some communications towers are peculiarly suitable for broadcasting in practices on competition and diversity owned and operated by FM and TV the area and does not make the site in the nascent broadcast industry. The broadcasters, the vast majority appear to available for use by other similar language of the rules themselves, which be owned by non-broadcast entities,

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including companies specializing in new entrants into FM or TV impending changes to the broadcast tower leasing such as American Tower, broadcasting would likely operate on industry, including the transition to Crown Castle, InSite Wireless Group, existing channels using existing ATSC 3.0 and the importance of and Vertical Bridge. Thus, while it broadcast infrastructure and existing distributed transmission system (DTS) appears that broadcasters were more broadcasters, with the exception of single frequency networks (SFN) to likely to have owned their towers in stations subject to the Incentive Auction ATSC 3.0, that will increase demand for 1945, this is less the case today, and repack, are unlikely to be changing antenna sites and provide a greater need there is now widespread availability of channels such that they will require for rules regarding access to common tower capacity from a variety of tower new towers. Were we to eliminate these antenna sites? To the extent that parties companies. Moreover, many antenna rules, would the likelihood increase that believe that there are not sufficient sites are available for lease and shared TV and FM broadcasters would need to towers and antenna sites available, they use by broadcasters and wireless construct their own towers? should document this concern with carriers, thereby helping broadcaster 9. We seek comment and data on specificity and data. Commenters that tower tenants and other entities to avoid whether requests for use of particular advocate in favor of or against retaining the capital investment, environmental, antenna sites under these rules are even the rules should discuss whether and zoning and other concerns involved in made in today’s broadcast marketplace. how the benefits of doing so outweigh building new communications towers. The only evidence we could find of the any costs. Are there any other The trend toward co-location of common antenna site rules being raised considerations or data that the communications towers on antenna is in the context of disputes in which Commission should take into account in farms has also reduced the cost and the rules are invoked unjustifiably, determining whether to retain these other barriers to entry associated with contributing to unnecessary nearly 75 year-old rules? the need to build new transmission adjudication expenses and delays. III. Procedural Matters facilities. In addition, the development Would elimination of the rules help of broadband antennas now permits conserve industry and Commission 12. Initial Regulatory Flexibility multiple FM and TV stations in a resources by avoiding unnecessary Analysis. As required by the Regulatory market to share an antenna, thereby complications in disputes between Flexibility Act of 1980, as amended reducing the cost of antenna and tower stations? To the extent legitimate (RFA), the Commission has prepared an facilities for the sharing stations and requests for access to an antenna site Initial Regulatory Flexibility Act permitting towers with broadband have been made, are such requests ever Analysis (IRFA) relating to this NPRM. antennas to accommodate more refused? Are such refusals, if any, based The IRFA is set forth in Appendix B. individual FM and TV tower tenants. on reasonable grounds? Are there 13. Initial Paperwork Reduction Act instances in which the terms of use are Analysis. This document may result in II. Discussion unreasonable? new or revised information collection 7. We invite comment on whether we 10. We ask commenters that advocate requirements subject to the Paperwork should eliminate or revise sections retaining the rules to provide Reduction Act of 1995 (PRA). If the 73.239 and 73.635 of our rules. In information and data about specific Commission adopts any new or revised particular, we invite comment on circumstances in which the rules have information collection requirement, the whether the requirements regarding the proven useful in promoting access to Commission will publish a notice in the use of common FM and TV antenna sites peculiarly suitable for Federal Register inviting the public to sites continue to serve the public broadcasting. In this regard, we note comment on the requirement, as interest in light of the vast changes in that, for both rules, four elements must required by the RA. In addition, the broadcasting marketplace and be satisfied in order to establish a pursuant to the Small Business infrastructure since they were first violation, and this may be part of the Paperwork Relief Act of 2002, the adopted nearly 75 years ago. For reason why it appears that no party that Commission seeks specific comment on example, to what extent do FM and TV has relied on sections 73.239 or 73.635 how it might ‘‘further reduce the broadcasters own towers today? in disputes regarding access to a tower information collection burden for small Publicly available information suggests or tower site has been successful in business concerns with fewer than 25 that the tower market is dominated by establishing a violation of either rule. employees.’’ non-broadcast owned tower companies Indeed, we are aware of no instance 14. Ex Parte Rules—Permit-But- that are in the business of leasing their where a license application or license Disclose. This proceeding shall be capacity. Is there currently a sufficient renewal application was denied on the treated as a ‘‘permit-but-disclose’’ supply of towers and antenna sites basis of a violation of these rules. If we proceeding in accordance with the suitable for FM and TV broadcast use? were to retain the rules, should they be Commission’s ex parte rules. Persons Does the current abundance of towers revised to make them more useful to making ex parte presentations must file and antenna sites owned or controlled parties seeking access to antenna sites? a copy of any written presentation or a by non-broadcast entities render the If so, what changes should we make? memorandum summarizing any oral rules regarding use of common antenna 11. We ask commenters who advocate presentation within two business days sites unnecessary? eliminating the common antenna site after the presentation (unless a different 8. Do these rules remain necessary to rules to discuss the potential benefits deadline applicable to the Sunshine ensure that today’s consumers have and costs of eliminating the rules. How period applies). Persons making oral ex access to an adequate variety of FM and burdensome are the rules for parte presentations are reminded that TV broadcast sources? Do they remain broadcasters? How would stations be memoranda summarizing the necessary to ‘‘remove unnecessary affected if the rules were eliminated. presentation must (1) list all persons impediments’’ to broadcast Would stations that own towers have an attending or otherwise participating in competition? Do the rules make sense as incentive to engage in anticompetitive the meeting at which the ex parte a practical matter given that there are behavior going forward if the rules were presentation was made, and (2) few new full-power FM or TV channels eliminated? Or, is it in their financial summarize all data presented and being allotted today and no new Class interest to lease capacity on their towers arguments made during the A TV channels being allotted? That is, to the extent requested? Are there presentation. If the presentation

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consisted in whole or in part of the are 8:00 a.m. to 7:00 p.m. All hand requirements, in Sections 73.635 and presentation of data or arguments deliveries must be held together with 73.239 of the Commission’s rules, already reflected in the presenter’s rubber bands or fasteners. Any regarding access to use of television and written comments, memoranda or other envelopes and boxes must be disposed FM broadcast antenna sites. These rules filings in the proceeding, the presenter of before entering the building. prohibit the grant of a license for a may provide citations to such data or D Commercial overnight mail (other broadcast television or FM station, or a arguments in his or her prior comments, than U.S. Postal Service Express Mail license renewal, to an entity that owns, memoranda, or other filings (specifying and Priority Mail) must be sent to 9050 leases, or controls a site that ‘‘is the relevant page and/or paragraph Junction Drive, Annapolis Junction, MD peculiarly suitable’’ for TV or FM numbers where such data or arguments 20701. broadcasting in a particular area unless can be found) in lieu of summarizing D U.S. Postal Service first-class, the site is available for use by other TV them in the memorandum. Documents Express, and Priority mail must be or FM licensees or there is another shown or given to Commission staff addressed to 445 12th Street SW, comparable site available in the area, during ex parte meetings are deemed to Washington, DC 20554. and where the exclusive use of the site be written ex parte presentations and 16. Availability of Documents. by the applicant or licensee ‘‘would must be filed consistent with rule Comments, reply comments, and ex unduly limit the number of’’ TV or FM 1.1206(b). In proceedings governed by parte submissions will be available for stations that can be authorized in a rule 1.49(f) or for which the public inspection during regular particular area or would ‘‘unduly Commission has made available a business hours in the FCC Reference restrict competition among’’ TV or FM method of electronic filing, written ex Center, Federal Communications stations. We seek comment on whether parte presentations and memoranda Commission, 445 12th Street SW, CY– these requirements are outdated and summarizing oral ex parte A257, Washington, DC 20554. These unnecessary in light of the significant presentations, and all attachments documents will also be available via changes in the broadcast marketplace, thereto, must be filed through the ECFS. Documents will be available including significant growth in the electronic comment filing system electronically in ASCII, Microsoft Word, availability of broadcast infrastructure available for that proceeding, and must and/or Adobe Acrobat. that has occurred since these be filed in their native format (e.g., .doc, 17. People With Disabilities. To restrictions were first adopted nearly 75 .xml, .ppt, searchable.pdf). Participants request materials in accessible formats years ago. With this proceeding, we in this proceeding should familiarize for people with disabilities (Braille, continue our efforts to modernize our themselves with the Commission’s ex large print, electronic files, audio rules and eliminate outdated and parte rules. format), send an email to [email protected] unnecessary regulations. 15. Filing Comments and Replies. or call the FCC’s Consumer & Pursuant to Sections 1.415 and 1.419 of Governmental Affairs Bureau at (202) B. Legal Basis the Commission’s rules, 47 CFR 1.415, 418–0530 (voice), (202) 418–0432 3. The action is authorized pursuant 1.419, interested parties may file (TTY). to Sections 1, 4(i), 4(j), 303, 307, and comments and reply comments on or 18. Additional Information. For 309 of the Communications Act, 47 before the dates indicated on the first additional information on this U.S.C. 151, 154(i), 154(j), 303, 307, 309. page of this document. Comments may proceeding, please contact Kim be filed using the Commission’s Matthews of the Media Bureau, Policy C. Description and Estimate of the Electronic Comment Filing System Division, [email protected], (202) Number of Small Entities to Which the (ECFS). See Electronic Filing of 418–2154. Proposed Rules Will Apply Documents in Rulemaking Proceedings, 4. The RFA directs agencies to 63 FR 24121 (1998). Initial Regulatory Flexibility Act D Electronic Filers: Comments may be Analysis provide a description of, and where filed electronically using the internet by 1. As required by the Regulatory feasible, an estimate of the number of accessing the ECFS: http:// Flexibility Act of 1980, as amended small entities that may be affected by fjallfoss.fcc.gov/ecfs2/. (‘‘RFA’’), the Commission has prepared the proposed rules, if adopted. The RFA D Paper Filers: Parties who choose to this Initial Regulatory Flexibility generally defines the term ‘‘small file by paper must file an original and Analysis (‘‘IRFA’’) concerning the entity’’ as having the same meaning as one copy of each filing. If more than one possible significant economic impact on the terms ‘‘small business,’’ ‘‘small docket or rulemaking number appears in small entities of the policies and rules organization,’’ and ‘‘small governmental the caption of this proceeding, filers proposed in the NPRM. Written public jurisdiction.’’ In addition, the term must submit two additional copies for comments are requested on this IRFA. ‘‘small business’’ has the same meaning each additional docket or rulemaking Comments must be identified as as the term ‘‘small business concern’’ number. responses to the IRFA and must be filed under the Small Business Act. A small D Filings can be sent by hand or by the deadlines for comments provided business concern is one which: (1) Is messenger delivery, by commercial on the first page of the NPRM. The independently owned and operated; (2) overnight courier, or by first-class or Commission will send a copy of the is not dominant in its field of operation; overnight U.S. Postal Service mail. All NPRM, including this IRFA, to the Chief and (3) satisfies any additional criteria filings must be addressed to the Counsel for Advocacy of the Small established by the SBA. Below, we Commission’s Secretary, Office of the Business Administration (SBA). In provide a description of such small Secretary, Federal Communications addition, the NPRM and IRFA (or entities, as well as an estimate of the Commission. summaries thereof) will be published in number of such small entities, where D All hand-delivered or messenger- the Federal Register. feasible. delivered paper filings for the 5. The rules we seek comment on Commission’s Secretary must be A. Need for, and Objectives of, the herein directly affect small FM radio delivered to FCC Headquarters at 445 Proposed Rule Changes and full power and Class A television 12th St. SW, Room TW–A325, 2. The NPRM seeks comment on stations. Below, we provide a Washington, DC 20554. The filing hours whether to eliminate or revise the description of these small entities, as

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well as an estimate of the number of criteria in the context of media entities, not be dominant in its field of operation. such small entities, where feasible. and the estimates of small businesses to We are unable at this time to define or 6. Radio Stations. This Economic which they apply may be over-inclusive quantify the criteria that would Census category ‘‘comprises to this extent. establish whether a specific television establishments primarily engaged in 9. Television Broadcasting. This broadcast station is dominant in its field broadcasting aural programs by radio to Economic Census category ‘‘comprises of operation. Accordingly, the estimate the public. Programming may originate establishments primarily engaged in of small businesses to which rules may in their own studio, from an affiliated broadcasting images together with apply does not exclude any television network, or from external sources.’’ The sound.’’ These establishments operate station from the definition of a small SBA has established a small business television broadcast studios and business on this basis and is therefore size standard for this category as firms facilities for the programming and possibly over-inclusive. Also, as noted having $38.5 million or less in annual transmission of programs to the public. above, an additional element of the receipts. Economic Census data for 2012 These establishments also produce or definition of ‘‘small business’’ is that the shows that 2,849 radio station firms transmit visual programming to entity must be independently owned operated during that year. Of that affiliated broadcast television stations, and operated. The Commission notes number, 2,806 firms operated with which in turn broadcast the programs to that it is difficult at times to assess these annual receipts of less than $25 million the public on a predetermined schedule. criteria in the context of media entities per year, 17 with annual receipts Programming may originate in their own and its estimates of small businesses to between $24,999,999 and $50 million, studio, from an affiliated network, or which they apply may be over-inclusive and 26 with annual receipts of $50 from external sources. The SBA has to this extent. million or more. Therefore, based on the created the following small business SBA’s size standard the majority of such size standard for such businesses: Those D. Description of Projected Reporting, entities are small entities. having $38.5 million or less in annual Recordkeeping, and Other Compliance 7. According to Commission staff receipts. The 2012 Economic Census Requirements review of the BIA/Kelsey, LLC’s Media reports that 751 firms in this category 13. The NPRM seeks comment on Access Pro Radio Database on January 8, operated in that year. Of this number, whether to eliminate or revise the 2018, about 11,372 (or about 99.9 656 had annual receipts of $25 million requirements, in Sections 73.635 and percent) of 11,383 commercial radio or less, 25 had annual receipts between 73.239 of the Commission’s rules, stations had revenues of $38.5 million $24,999,999 and $50 million, and 70 regarding access to use of television and or less and thus qualify as small entities had annual receipts of $50 million or FM broadcast antenna sites. These rules under the SBA definition. The more. Based on this data we therefore prohibit the grant of a license for a Commission has estimated that there are estimate that the majority of commercial broadcast television or FM station, or a 6,726 licensed FM commercial stations. television broadcasters are small entities license renewal, to an entity that owns, We note the Commission has also under the applicable SBA size standard. leases, or controls a site that ‘‘is estimated the number of licensed 10. The Commission has estimated peculiarly suitable’’ for TV or FM noncommercial (NCE) FM radio stations the number of licensed full power broadcasting in a particular area unless to be 4,179. However, the Commission commercial television stations to be the site is available for use by other TV does not compile or have access to 1,371. Of this total, 1,257 stations had or FM licensees or there is another information on the revenue of NCE revenues of $38.5 million or less, comparable site available in the area, stations that would permit it to according to Commission staff review of and where the exclusive use of the site determine how many such stations the BIA Kelsey Inc. Media Access Pro by the applicant or licensee ‘‘would would qualify as small entities. Television Database (BIA) on January 8, unduly limit the number of’’ TV or FM 8. We also note, that in assessing 2018, and therefore these licensees stations that can be authorized in a whether a business entity qualifies as qualify as small entities under the SBA particular area or would ‘‘unduly small under the above definition, definition. In addition, the Commission restrict competition among’’ TV or FM business control affiliations must be has estimated the number of licensed stations. Elimination of these rules included. The Commission’s estimate noncommercial educational (NCE) would reduce compliance requirements therefore likely overstates the number of television stations to be 386. These for full power and Class A television small entities that might be affected by stations are non-profit, and therefore and FM stations, which are currently its action, because the revenue figure on considered to be small entities. required to comply with the rules. The which it is based does not include or 11. There are also 387 Class A NPRM also seeks comment on whether, aggregate revenues from affiliated stations. Given the nature of these if the rules are retained, they should be companies. In addition, to be services, we will presume that all of revised and, if so, how. determined a ‘‘small business,’’ an these entities qualify as small entities entity may not be dominant in its field under the above SBA small business E. Steps Taken To Minimize Significant of operation. We further note that it is size standard. Impact on Small Entities and difficult at times to assess these criteria 12. We note, however, that in Significant Alternatives Considered in the context of media entities, and the assessing whether a business concern 14. The RFA requires an agency to estimate of small businesses to which qualifies as ‘‘small’’ under the above describe any significant alternatives that these rules may apply does not exclude definition, business (control) affiliations it has considered in reaching its any radio station from the definition of must be included. Our estimate, proposed approach, which may include a small business on these basis; thus, therefore, likely overstates the number the following four alternatives (among our estimate of small businesses may of small entities that might be affected others): (1) The establishment of therefore be over-inclusive. Also, as by our action, because the revenue differing compliance or reporting noted above, an additional element of figure on which it is based does not requirements or timetables that take into the definition of ‘‘small business’’ is that include or aggregate revenues from account the resources available to small the entity must be independently owned affiliated companies. In addition, entities; (2) the clarification, and operated. The Commission notes another element of the definition of consolidation, or simplification of that it is difficult at times to assess these ‘‘small business’’ requires that an entity compliance or reporting requirements

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under the rule for small entities; (3) the § 73.635 [Removed and Reserved] between 9 a.m. and 5 p.m. E.T., Monday use of performance, rather than design, ■ 3. Remove and Reserve § 73.635. through Friday, except Federal holidays. • standard; and (4) an exemption from [FR Doc. 2019–24148 Filed 11–5–19; 8:45 am] Fax: 1–202–493–2251. coverage of the rule, or any part thereof, BILLING CODE 6712–01–P Each submission must include the for small entities. Agency name and the docket number for 15. The NPRM seeks comment on this document. Note that DOT posts all whether to eliminate or revise the DEPARTMENT OF TRANSPORTATION comments received without change to requirements, in Sections 73.635 and www.regulations.gov, including any 73.239 of the Commission’s rules, Federal Motor Carrier Safety personal information included in a regarding access to use of television and Administration comment. Please see the Privacy Act FM broadcast antenna sites. Eliminating heading below. these requirements would eliminate the 49 CFR part 395 Docket: For access to the docket to costs of compliance with the read background documents or Commission’s rules, including any [Docket No. FMCSA–2019–0174] comments, go to www.regulations.gov at related managerial, administrative, any time or visit Room W12–140 on the Commercial Driver’s License legal, and operational costs. The NPRM ground level of the West Building, 1200 Standards: Application for Exemption; asks whether stations that own towers New Jersey Avenue SE, Washington, Wilson Logistics would have an incentive to engage in DC, between 9 a.m. and 5 p.m., ET, anticompetitive behavior going forward AGENCY: Federal Motor Carrier Safety Monday through Friday, except Federal if the rules are eliminated. The Administration (FMCSA), DOT. holidays. The on-line FDMS is available Commission also seeks comment on the ACTION: Notice of application for 24 hours each day, 365 days each year. alternative of not eliminating these exemption; request for comments. Privacy Act: In accordance with 5 requirements, or of revising them. U.S.C. 553(c), DOT solicits comments SUMMARY: FMCSA announces that F. Federal Rules That May Duplicate, from the public to better inform its Wilson Logistics has applied for an Overlap, or Conflict With the Proposed rulemaking process. DOT posts these exemption from the requirement that Rule comments, without edit, including any the holder of a Commercial Learner’s personal information the commenter 16. None. Permit (CLP) be accompanied by the provides, to www.regulations.gov, as IV. Ordering Clauses holder of a Commercial Driver’s License described in the system of records (CDL), seated in the front seat, while the notice (DOT/ALL–14 FDMS), which can 17. Accordingly, it is ordered that, commercial motor vehicle (CMV) is be reviewed at www.dot.gov/privacy. pursuant to the authority contained in being driven by the CLP holder. FOR FURTHER INFORMATION CONTACT: Mr. Sections 1, 4(i), 4(j), 303(r), 307, and 309 Specifically, Wilson Logistics requests of the Communications Act of 1934, as Richard Clemente, FMCSA Driver and an exemption to allow CLP holders who Carrier Operations Division; Office of amended, 47 U.S.C. 151, 154(i), 154(j), have successfully passed the CDL skills 303(r), 307, 309 this Notice of Proposed Carrier, Driver and Vehicle Safety test to drive a CMV without having a Standards; Telephone: 202–366–4325. Rulemaking is adopted. CDL holder seated in the front seat. 18. It is further ordered that the Email: [email protected]. If you have Wilson Logistics states that the CDL questions on viewing or submitting Commission’s Consumer and holder would remain in the CMV while Governmental Affairs Bureau, Reference material to the docket, contact Docket the CLP holder is driving, but not Services, telephone (202) 366–9826. Information Center shall send a copy of necessarily in the passenger seat. SUPPLEMENTARY INFORMATION: this Notice of Proposed Rulemaking, Wilson Logistics believes that the including the Initial Regulatory exemption, if granted, would promote I. Public Participation and Request for Flexibility Analysis, to the Chief greater productivity and help Comments Counsel for Advocacy of the Small individuals who have passed the CDL Business Administration. FMCSA encourages you to participate skills test return to actively earning a by submitting comments and related List of Subjects in 47 CFR Part 73 living faster. FMCSA requests public materials. Radio, Television. comment on Wilson Logistics’ application for exemption. Submitting Comments Federal Communications Commission. DATES: Comments must be received on If you submit a comment, please Katura Jackson, or before December 6, 2019. include the docket number for this Federal Register Liaison Officer. ADDRESSES: You may submit comments document (FMCSA–2019–0174), Proposed Rules identified by Federal Docket indicate the specific section of this document to which the comment For the reasons discussed in the Management System Number FMCSA– applies, and provide a reason for preamble, the Federal Communications 2019–0174 by any of the following suggestions or recommendations. You Commission proposes to amend 47 CFR methods: • Federal Rulemaking Portal: may submit your comments and part 73 to read as follows: www.regulations.gov. See the Public material online or by fax, mail, or hand PART 73—RADIO BROADCAST Participation and Request for Comments delivery, but please use only one of SERVICES section below for further information. these means. FMCSA recommends that • Mail: Docket Management Facility, you include your name and a mailing ■ 1. The Authority citation for part 73 U.S. Department of Transportation, 1200 address, an email address, or a phone continues to read as follows: New Jersey Avenue SE, West Building, number in the body of your document Authority: 47 U.S.C. 154, 155, 301, 303, Ground Floor, Room W12–140, so the Agency can contact you if it has 307, 309, 310, 334, 336, 339. Washington, DC 20590–0001. questions regarding your submission. • Hand Delivery or Courier: West To submit your comments online, go § 73.239 [Removed and Reserved] Building, Ground Floor, Room W12– to www.regulations.gov and put the ■ 2. Remove and Reserve § 73.239. 140, 1200 New Jersey Avenue SE, docket number, ‘‘FMCSA–2019–0174’’

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in the ‘‘Keyword’’ box, and click III. Request for Exemption network. Wilson Logistics argues that ‘‘Search.’’ When the new screen Wilson Logistics is a nationwide securing public transportation for each appears, click on ‘‘Comment Now!’’ motor carrier with a fleet of over 700 of the CLP holders under the first option button and type your comment into the commercial motor vehicles (CMVs). entails extreme cost burdens to the text box in the following screen. Choose Wilson Logistics seeks an exemption company; the second option is no better whether you are submitting your from the provision in 49 CFR because routing CLP holders directly to comment as an individual or on behalf 383.25(a)(1) that requires a CDL driver their home States, commonly without of a third party and then submit. An to be seated in the front seat of a CMV reference to shipper demand, introduces option to upload a file is provided. If operated by a CLP holder. Under Wilson extreme cost inefficiencies. you submit your comments by mail or Logistics’ exemption request, a CDL In addition, Wilson Logistics asserts hand delivery, submit them in an holder would remain in the vehicle that CDL-issuing agencies may require unbound format, no larger than 81⁄2 by while a CLP holder who has passed the several days, if not weeks, to secure the 11 inches, suitable for copying and skills test is driving—just not always in CLP holder’s licensure materials; CLP electronic filing. If you submit the front seat. Wilson Logistics believes holders suffer financial hardship during comments by mail and would like to this would allow the CLP holder to this waiting period. The exemption know that they reached the facility, participate in a revenue-generating trip sought would apply only to those please enclose a stamped, self-addressed back to his or her State of domicile to Wilson Logistics drivers who have postcard or envelope. FMCSA will obtain the CDL document, as the CDL passed the CDL skills test and hold valid CLPs. consider all comments and material can only be issued by the State of received during the comment period domicile. Wilson Logistics advises that, IV. Method To Ensure an Equivalent or and may grant or not grant this if granted, 400–500 CLP holders would Greater Level of Safety application based on your comments. operate under the terms of the exemption each year. To ensure an equivalent level of II. Legal Basis Wilson Logistics states that 49 CFR safety, Wilson Logistics asserts that it 383.25(a)(1) creates undue burdens on offers a company-sponsored, hands on, FMCSA has authority under 49 U.S.C. the company and its CLP holders, is cost on-the-job training program. In its 31136(e) and 31315 to grant exemptions intensive, and contributes to the driver program, CLP holders will spend a from certain parts of the Federal Motor shortage affecting the commercial minimum of two or three weeks driving Carrier Safety Regulations. FMCSA must trucking industry. Wilson Logistics over-the-road with a CDL instructor in publish a notice of each exemption explains that, previously, ‘‘it was not the passenger seat. Wilson’s CLP request in the Federal Register (49 CFR uncommon for States to issue temporary holders deliver loads to customers in all 381.315(a)). The Agency must provide CDLs to CLP holders for the return trip manner of weather and traffic the public an opportunity to inspect the to collect the CDL document from their conditions. Wilson Logistics trains information relevant to the application, State of domicile. During that time, CDL drivers on all aspects of the job before including any safety analyses that have holders were neither required to log drivers take their CDL exams, which been conducted. The Agency must themselves ‘on duty’ when supervising prepares them better for every part of provide an opportunity for public the CLP holder who had a temporary the job. comment on the request. CDL, nor did they always remain in the Once Wilson Logistics’ drivers pass passenger seat of the CMV. Under that their CDL skills test, administered by The Agency reviews safety analyses scenario, the productivity of the CMV, Wilson as a CDL third-party tester, the and public comments submitted, and the earnings capacity of the CDL and CLP holders have the passing scores in determines whether granting the CLP holders, and the logistics of the their possession. Wilson Logistics then exemption would likely achieve a level motor carrier’s freight network were all uploads the scores to the Commercial of safety equivalent to, or greater than, protected. Currently carriers must assign Skills Test Information Management the level that would be achieved by the a second CDL holder to the vehicle to System (CSTIMS) in accordance with current regulation (49 CFR 381.305). accomplish the on-duty work that was the State’s requirements and the State The Agency’s decision must be previously performed by the CLP holder Driver’s Licensing Agency for the published in the Federal Register (49 who had a temporary CDL.’’ students’ State of domicile to have CFR 381.315(b)) with the reasons for Wilson Logistics contends that access to the information. In addition to denying or granting the application and, compliance with the CDL rule leaves it the test scores, the drivers’ CLP if granted, the name of the person or with the following two options: (1) document would be scanned into the class of persons receiving the Secure some mode of public driver profiles with the company’s exemption, and the regulatory provision transportation from the State of training Compliance Department before being from which the exemption is granted. to the State of domicile to allow the CLP allowed to take their first load after the The notice of exemption also specifies holder to pick up his/her CDL document CDL skills test. Wilson Logistics would the effective period and explain the before returning to Wilson Logistics; or ensure that all CLP holders would have terms and conditions of the exemption. (2) route the team of drivers directly to their skills test scores in their The exemption may be renewed (49 CFR the CLP holder’s State of domicile, often possession at all times until they receive 381.300(b)). against the natural flow of the freight their CDL.

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Wilson Logistics notes that CLP seat is safer than current State A copy of Wilson Logistics’ holders who pass the skills test after regulations that allow a new CDL holder application for exemption is available training in their State of domicile would to drive unsupervised, moments after for review in the docket for this be allowed to start operating the CMV receiving the CDL. document. without someone in the passenger FMCSA has previously granted Issued on: October 29, 2019. seat—they would have received a similar exemptions to C.R. England— licensing document from the agency. Larry W. Minor, Wilson Logistics believes that initially in 2015, renewed in 2017 [82 Associate Administrator for Policy. FR 48889, Oct. 20, 2017]—and to New permitting a CLP holder to drive en [FR Doc. 2019–24100 Filed 11–5–19; 8:45 am] Prime, Inc. [82 FR 29143, June 27, route to his or her State of domicile BILLING CODE 4910–EX–P without a CDL holder in the passenger 2017].

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Notices Federal Register Vol. 84, No. 215

Wednesday, November 6, 2019

This section of the FEDERAL REGISTER collection codified in FNS regulations at individual member of a household to contains documents other than rules or 7 CFR 274.6(b)(5) and 274.6(b)(6). contact the State agency to provide an proposed rules that are applicable to the FNS’ Supplemental Nutrition explanation in cases where the number public. Notices of hearings and investigations, Assistance Program (SNAP) regulations of requests for card replacements is committee meetings, agency decisions and at 7 CFR 274.6(b)(5) allow State agencies determined excessive. The State agency rulings, delegations of authority, filing of petitions and applications and agency to deny a request for a replacement must notify the household in writing statements of organization and functions are SNAP Electronic Benefit Transfer (EBT) when it has reached the threshold, examples of documents appearing in this card until the household makes contact indicating that the next request for card section. with the State agency if the requests for replacement will require the client to replacement cards are determined to be contact the State agency to provide an excessive. The State agency may explanation for the request, before the DEPARTMENT OF AGRICULTURE determine the threshold for excessive replacement card will be issued. The card replacments, not to be less than State agency must also notify the Food and Nutrition Service four replacement cards in a 12-month household in writing once the threshold period. has been exceeded and the State agency Agency Information Collection FNS’ SNAP regulations at 274.6(b)(6) is withholding the card until contact is Activities: Comment Request— require State agencies to monitor EBT made. Supplemental Nutrition Assistance card replacement requests and send Excessive Replacement Card Notice: Program—Trafficking Controls and notices to households when they State agencies must monitor all client Fraud Investigations request four cards within a 12-month requests for EBT card replacements and AGENCY: Food and Nutrition Service period. The State agency shall be send a notice upon the fourth request in (FNS), USDA. exempt from sending this Excessive a 12-month period, alerting the Replacement Card Notice if it adopts the household their account is being ACTION: Notice. card withholding option in accordance monitored for potential suspicious SUMMARY: In accordance with the with 7 CFR 274.6(b)(5) and sends the activity. The State agency is exempt Paperwork Reduction Act of 1995, this requisite Withholding Replacement from sending this notice if they have notice invites the general public and Card Warning Notice on the fourth chosen to exercise the option to other public agencies to comment on replacement card request. withhold the replacement card until this proposed information collection. Comments are invited on: (a) Whether contact is made with the State agency. This is a revision of a currently the proposed collection of information FNS is currently aware out of the 53 approved collection codified in Food is necessary for the proper performance State agencies, six State agencies have and Nutrition Service (FNS) regulations. of the functions of the agency, including opted to follow our regulations at DATES: Written comments must be whether the information shall have 274.6(b)(5) to withhold replacement received on or before January 6, 2020. practical utility; (b) the accuracy of the cards. All other State agencies follow agency’s estimate of the burden of the our regulations at 274.6(b)(6) for the ADDRESSES: Comments may be sent to: proposed collection of information, Excessive Replacement Card Notice. Jane Duffield, Branch Chief, State including the validity of the Affected Public: Individuals/ Administration Branch, Program methodology and assumptions that were Households participating in SNAP and Accountability and Administration used; (c) ways to enhance the quality, State, Local or Tribal Government Division, Food and Nutrition Service, utility, and clarity of the information to Agencies that administer SNAP. U.S. Department of Agriculture, 3101 be collected; and (d) ways to minimize Estimated Number of Respondents: Park Center Drive, Room 818, the burden of the collection of 238,697. Card replacement data, Alexandria, VA 22302. Comments may information on those who are to adjusted for changes in SNAP caseload, also be submitted via email to respond, including use of appropriate suggest that about 238,644 households [email protected]. Comments automated, electronic, mechanical, or request four replacement EBT cards will also be accepted through the other technological collection within a 12-month period annually. Federal eRulemaking Portal. Go to techniques or other forms of information These households, plus the 53 State http://www.regulations.gov, and follow technology. agencies that must send the notices the online instructions for submitting Title: Supplemental Nutrition required by 7 CFR 274.6(b) make up the comments electronically. Assistance Program: Trafficking respondents. All responses to this notice will be Controls and Fraud Investigations. Estimated of Responses per summarized and included in the request OMB Number: 0584–0587. Respondent: There is an average for Office of Management and Budget Expiration Date: 1/31/2020. estimated 2.11 responses for each approval. All comments will be a matter Type of Request: Revision of a respondent. See the table below for of public record. currently approved collection. estimated responses for each type of FOR FURTHER INFORMATION CONTACT: Abstract: FNS regulations at 7 CFR respondent. Requests for additional information or 274.6(b) requires State Agencies to issue Estimated Total Annual Responses: copies of this information collection warning notices to withhold 503,712 (251,856 individuals/ should be directed to Richard replacement cards or a notice for households total annual response + Duckworth at 703–305–4271. excessive replacement cards. 251,856 States agencies total annual SUPPLEMENTARY INFORMATION: This is a Withhold Replacement Card Warning response). See the table below for revision of a currently approved Notice: State agencies may require an estimated responses for each type of

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respondent. Of the 238,644 households read each notice they receive and 28 we have fewer excessive replacement requesting four replacement EBT cards, minutes to make contact with the State EBT card requests and therefore fewer about 26,424 are estimated to be in the agency when required. There is an notices, and six States where the agencies have opted average estimated time of 0.04557373 (2) more States opt to follow our to follow our regulations at 274.6(b)(5) hours for each response. regulations at 274.6(b)(5) to withhold to withhold replacement cards. FNS Estimated Total Annual Burden on replacement cards, which requires some estimates that half of all recipients who Respondents: 22,956 hours (14,560.85 households to make contact with the receive a notice upon issuance of their burden hours for individuals/ State agency if they request excessive fourth card will request a fifth card. households and 8,396.20 for State replacement cards Estimated Time per Response: FNS agencies). The currently approved estimates that it will take State annual burden is 21,941 hours. The See the table below for estimated total personnel approximately 2 minutes to revision reflects two adjustments, reporting annual burden for each type of generate and mail each required notice neither of which is related to an FNS respondent. to the client, to comply with 7 CFR program change: There is no recordkeeping or third- 274.6; and that it will take SNAP (1) Because the number of households party disclosure burden contained in recipients approximately 2 minutes to participating in SNAP has decreased, this information collection request.

Estimated Estimated Responses average Respondent Activity number annually per Total annual number of Estimated respondents respondent responses hours per total hours response

Individuals or Household (I/H) ...... Read Withhold Replacement Card Warn- 26,424 1.00 26,424 0.03 880.81 ing Notice (274.6(b)(5)). Read Replacement Card Withheld Notice * 13,212 1.00 13,212 0.50 6,606.05 & Contact State Agency (274.6(b)(5)). Read Excessive Replacement Card No- 212,220 1.00 212,220 0.03 7,073.99 tice (274.6(b)(6)).

Individuals/Households Subtotal ...... 238,644 ...... 251,856 ...... 14,560.85

State Agency ...... Send Withhold Replacement Card Warn- 6 4,404.03 26,424 0.03 880.81 ing Notice (274.6(b)(5)). Send Replacement Card Withheld Notice 6 2,202.02 13,212 0.03 440.40 (274.6(b)(5)). Send Excessive Replacement Card No- 47 4,515.31 212,220 0.03 7,073.99 tice (274.6(b)(6)).

State Agencies Subtotal ...... 53 ...... 251,856 ...... 8,395.20

Overall Grand Total Burden ...... 238,697 2.11 503,712 0.0455737 22,956.05 * Note: The 13,212 Individuals/Households SNAP participants are the same I/H accounted for in the 26,424 and therefore not double counted.

Dated: October 18, 2019. invasive plan management on current who use telecommunication devices for Pamilyn Miller, and potential infested areas forest-wide. the deaf (TDD) may call the Federal Administrator, Food and Nutrition Service. A clear and comprehensive integrated Information Relay Service (FIRS) at 1– [FR Doc. 2019–24097 Filed 11–5–19; 8:45 am] invasive plant management strategy 800–877–8339 between 8 a.m. and 8 BILLING CODE 3410–30–P would allow for the implementation of p.m., Eastern Time, Monday through timely and effective invasive plant Friday. management and prevention projects SUPPLEMENTARY INFORMATION: Invasive DEPARTMENT OF AGRICULTURE and programs on the Forests. In the plants create many adverse absence of an aggressive invasive plant environmental effects, including, but Forest Service management program, the number, not limited to: Displacement of native density, and distribution of invasive Caribou-Targhee National Forest; plants; reduction in functionality of plants on both Forests is expected to habitat for wildlife; loss of threatened, Idaho; Caribou-Targhee National increase. endangered, and sensitive species; Forest and Curlew National Grassland increased soil erosion and reduced Integrated Weed Management Analysis DATES: Comments concerning the scope of the analysis must be received by water quality; alteration of physical and AGENCY: Forest Service, USDA. December 23, 2019. The draft EIS is biological properties of soil, including ACTION: Notice of intent to prepare an expected in May 2020 and the final EIS reduced soil productivity; changes to environmental impact statement. is expected in November 2020. the intensity and frequency of fires, and loss of recreational opportunities. SUMMARY: The Caribou-Targhee National ADDRESSES: Send written comments to Within the 2.9 million acres of the Forest will prepare an environmental Caribou-Targhee National Forest, 1405 Caribou-Targhee National Forest and impact statement (EIS) for invasive Hollipark Drive, Idaho Falls, ID 83401. Curlew National Grassland, less than plant management. Invasive plants are a Comments may also be sent via email to two percent are identified as being major threat to the biological diversity FS-comments-intermtn-caribou- infested with invasive, non-native, and/ and ecological integrity within and [email protected] or via facsimile to or state-listed noxious weeds. outside the Caribou-Targhee National (208) 557–5827. These invasive plant infestations have Forest and the Curlew National FOR FURTHER INFORMATION CONTACT: a high potential to expand on lands Grassland (Forests). The Forests propose Heidi Heyrend at (208) 557–5791 or within and adjacent to the Forests, to implement adaptive and integrated [email protected]. Individuals degrading desired plant communities

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and the values provided by those that have not become established, and size of known infestations, proximity to communities. Forest lands are also those that have the best likelihood of vectors or susceptible habitat, and threatened by invasive plants that have success of control. New analysis and ability to outcompete desirable plant not been found on the Forests but are planning is needed to make available species. The priority of species to be known to occur on adjacent lands. the most current tools and guide their treated would vary based on these Infestations can be prevented, best use. factors and could change over time. eliminated, or controlled through the Rehabilitation of degraded landscapes These priorities would be used to guide use of specific management practices. can inhibit the spread and selection of specific management establishment of invasive plants. Purpose and Need for Action activities for particular infestations. Appropriate rehabilitation efforts are a Rehabilitation activities would be The overall purpose of the proposed critical component of a fully functional designed and implemented based on the action is to reduce the negative effects invasive plant management program. conditions found in and around infested of invasive plants on the structure and The goals of rehabilitating degraded areas. Both active revegetation and function of native plant communities areas may include preventing new passive revegetation (allowing plants on and on other natural resource values. infestations, preventing the site to fill in a treated area) would be The proposal is in response to an reoccurrence of eradicated infestations, considered. Rehabilitation techniques underlying need to implement policy and/or reducing the density and spread would be assessed and implemented in and direction provided at the national, of existing infestations. Post-fire order to promote native plant regional, state, and forest levels rehabilitation efforts may incorporate communities that are resistant to (Executive Order 13112—Invasive one or more of the established control infestation by invasive plants. Species, 2004 National Invasive Species techniques outlined in the proposed Strategy and Implementation Plan, action. Possible Alternatives 2008–2012 National Invasive Species The No Action/Current Management Management Plan, 2009 Intermountain Proposed Action Alternative would continue current Region Invasive Species Management The Forests propose to implement Strategy, 2005 Idaho Strategic Plan for adaptive and integrated invasive plant weed management programs, Managing Noxious and Invasive Weeds, management on current and potential treatments, and levels of effort for and the amended Land and Resource infested areas forest-wide, including the controlling weeds on both Forests. Management Plans for the Caribou- Jedidiah Smith Wilderness Area and the Because of limited ability to respond Targhee National Forest and Curlew Winegar Hole Wilderness Area. rapidly to new treatment areas and National Grassland). Management activities would include updated methods, it is anticipated that The need for the proposed action is inventory and assessment designed to continuation of the current weed multifaceted. Forest resources are support early detection and rapid treatment program would not keep pace negatively impacted by existing and response, control methods, with the spread of weeds on both expanding invasive plant species implementation and effectiveness Forests. New weed invaders would populations. These species are known to monitoring, and rehabilitation. continue to establish populations that out-compete native plants, which can Activities would be implemented would likely increase in size. Under this result in reduced productivity and with federal, state, and local partners Alternative, it would likely not be biodiversity, habitat loss, and associated where opportunities exist. Infestations possible to be consistent with economic impacts. A timely response to outside of currently identified areas may management direction in all of the new infestations, new invasive plant include new sites that arise in the management areas on both Forests or to species, and landscape scale future, or sites that currently exist, but implement effectiveness monitoring and disturbances is needed. On the Forests, have not been identified in Forest adaptive management as prescribed in landscape-level tree mortality and inventories to date. the amended Land and Resource disturbance from insects and wildfires The proposed action includes the use Management Plans. have increased and are likely to of ground-based and aerial herbicide Responsible Official continue to increase the potential for applications, manual and mechanical invasive plant infestations. treatments, aquatic treatments, The responsible official will be the Existing decisions for invasive plant biological treatments, and combinations Forest Supervisor for the Caribou- management on the Forests do not of these treatments. Proposed control Targhee National Forest and the Curlew address new species or provide methods would be based on integrated National Grassland. priorities for managing new infestations. pest management principles and Nature of Decision To Be Made Updating these decisions would allow methods known to be effective for each the Forests to satisfy the need to target species. They include, but are not The responsible official will decide incorporate early detection and rapid limited to, mechanical techniques, such whether or not to treat invasive plants response into the invasive plant as mowing and pulling; cultural on the Caribou-Targhee National Forest management program. Invasive plant practices, such as the use of certified and the Curlew National Grassland, infestations already exist throughout the noxious weed-free hay; biological including the Jedidiah Smith Forests and without management will control agents, such as pathogens, Wilderness Area (123,451 acres) and the likely increase in density and insects, and controlled grazing; and Winegar Hole Wilderness Area (10,721 distribution. Active and adaptive herbicides that target specific invasive acres), and if so, what methods and integrated management is necessary to plant species. Control methods could be treatments will be used. contain invasive plants within existing employed alone or in combination. Permits or Licenses Required boundaries, reduce infestation densities, Treatment methods would be based on and retard the establishment of new the extent, location, type, and character Applicators must be licensed Idaho infestations. Control efforts would be of an infestation and would be professional herbicide applicators per focused on infestations that can realize implemented using project design Idaho Department of Agriculture Rules the greatest resource benefits—those features. Management priority would be Governing Pesticide Use and with the highest risk of spread, those based on factors such as number and Application (Idaho Code § 22–3404).

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Scoping Process received after that date will be The primary authorities allowing for This notice of intent initiates the considered to the extent practicable. the agreements are the Reciprocal Fire scoping process, which guides the ADDRESSES: Comments concerning this Protection Act, 42 U.S.C 1856, and the development of the EIS. Comments that notice should be addressed to Tim Stafford Act, 42 U.S.C. 5121. The would be most useful are those Melchert, Cooperative Fire Specialist, proposed Cooperative Wildland Fire concerning developing or refining the USDA Forest Service, 1400 Management and Stafford Act Response proposed action, and in particular, are Independence Avenue SW, Washington, Agreement template will allow site-specific concerns and those that can DC 20250. authorized agencies to streamline help us develop treatments that would Comments also may be submitted via coordination with other Federal, State, be responsive to our goal to control, facsimile to 208–387–5398 or by email local, and Tribal governments in contain, or eradicate invasive plants. It to: [email protected]. wildland fire protection activities, and is important that reviewers provide their The public may inspect comments to document in an agreement the roles comments at such times and in such received at Forest Service, U.S. and responsibilities among the parties, manner that they are useful to the Department of Agriculture, 1400 ensuring maximum protection of agency’s preparation of the EIS. Independence Avenue SW, Washington, resources. Therefore, comments should be DC 20250 during normal business To negotiate, develop, and administer provided prior to the close of the hours. Visitors are encouraged to call Cooperative Wildland Fire Management comment period and should clearly ahead to 202–205–1637 to facilitate and Stafford Act Response Agreements, articulate the reviewer’s concerns and entry to the building. the USDA Forest Service, DOI Bureau of contentions. Comments received in FOR FURTHER INFORMATION CONTACT: Tim Land Management, DOI Fish and response to this solicitation, including Melchert, Cooperative Fire Specialist, at Wildlife Service, DOI National Park names and addresses of those who USDA Forest Service, 208–387–5887. Service, and DOI Bureau of Indian comment, will be part of the public Individuals who use telecommunication Affairs must collect information from record for this proposed action. devices for the deaf (TDD) may call the willing State, local, and Tribal The decision for this project will be Federal Relay Service (FRS) at 1–800– governments from the pre-agreement to subject to the objection process at 36 877–8339 twenty-four hours a day, the closeout stage via telephone calls, CFR 218 subparts A and B. Only every day of the year, including emails, postal mail, and person-to- individuals or entities who submit holidays. person meetings. There are multiple means to communicate responses, timely and specific written comments SUPPLEMENTARY INFORMATION: In which include forms, optional forms, concerning the project during this or accordance with the Paperwork templates, electronic documents, in another designated public comment Reduction Act of 1995, Forest Service person, telephone, and email. The scope period established by the responsible will submit a request for a new of information collected includes the official will be eligible to file on information collection to Office of project type, project scope, financial objection. Management and Budget. Title: Cooperative Wildland Fire plan, statement of work, and Dated: October 16, 2019. cooperator’s business information. Allen Rowley, Management and Stafford Act Response Agreements. Without the collected information, Associate Deputy Chief, National Forest authorized Federal agencies would not System. OMB Number: 0596–0242. Type of Request: Extension of a be able to negotiate, create, develop, and [FR Doc. 2019–24222 Filed 11–5–19; 8:45 am] currently approved information administer cooperative agreements with BILLING CODE 3411–15–P collection. stakeholders for wildland fire Abstract: To allow the performance of protection, approved fire severity activities, and presidentially declared DEPARTMENT OF AGRICULTURE specific activities in cooperation with Federal, State, local, and Tribal emergencies or disasters. Authorized Federal agencies would be unable to Forest Service governments, Congress enacted authorities allowing the United States develop or monitor projects, make Information Collection: Cooperative Department of Agriculture (USDA) and payments, or identify financial and Wildland Fire Management and United States Department of the Interior accounting errors. Stafford Act Response Agreements (DOI) to enter into cooperative The regulations governing Federal agreements with fire organizations to financial assistance relationships are not AGENCY: Forest Service, USDA, Bureau improve efficiency. applicable to agreement templates under of Land Management DOI, Fish and These include: this information collection request. The Wildlife Service DOI, National Park 1. Facilitating the coordination and regulations in 2 CFR 200 set forth the Service DOI, and Bureau of Indian exchange of personnel, equipment, general rules that are applicable to all Affairs DOI. supplies, services, and funds among the grants and cooperative agreements made ACTION: Notice and request for comment. parties. by the Department of Agriculture and 2. Sustaining Wildland Fire Department of the Interior. Because the SUMMARY: In accordance with the Management activities, such as Federal government’s use of Cooperative Paperwork Reduction Act of 1995, the prevention, preparedness, Wildland Fire Management and Stafford Forest Service is seeking comments communication and education, fuels Act Response Agreements entered into from all interested individuals and treatment and hazard mitigation, fire under cited Federal statutes are not organizations on the extension with no planning. financial assistance for the benefit of the changes to the information collection, 3. Response strategies, tactics and recipient, but instead are entered into Cooperative Wildland Fire Management alternatives, suppression and post-fire for the mutual benefit of the Federal and Stafford Act Response Agreements. rehabilitation and restoration. government and the non-Federal DATES: Comments must be received in 4. Allow for the parties to respond to cooperators, the assistance regulations writing on or before January 6, 2020 to presidentially declared emergencies or in 2 CFR 200, as adopted and be assured of consideration. Comments disasters. supplemented by the Department of

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Agriculture and Department of Interior, FOR FURTHER INFORMATION CONTACT: Integrated Employment: 10:40 a.m.– are not applicable to such agreements. Brian Walch, (202) 376–8371; TTY: 11:20 a.m. This is a new information collection (202) 376–8116; publicaffairs@ Panel Three: The Nature of Existing request. The Cooperative Wildland Fire usccr.gov. 14(c) Programs: 11:30 a.m.–12:40 p.m. Management and Stafford Act Response Remarks by Former Pennsylvania SUPPLEMENTARY INFORMATION: Pursuant Agreement template can be viewed at Governor and U.S. Secretary of to the Government in the Sunshine Act, www.fs.fed.us/managing-land/fire/ Homeland Security Tom Ridge: 12:45 5 U.S.C. 552b, the U.S. Commission on master-agreement-template. p.m.–1:00 p.m. Estimate of Annual Burden: 4 to 24 Civil Rights will hold a public briefing Lunch break: 1:00 p.m.–2:00 p.m. hours annually per respondent. to examine the exemption under the Panel Four: Transitioning from 14(c) Type of Respondents: State, local, and Fair Labor Standards Act—the section Programs: 2:00 p.m.–3:10 p.m. Tribal governments. 14(c) waiver program—which permits Panel Five: Reform to the 14(c) Estimated Annual Number of employers to pay less than the Program at the Federal Level: 3:20 p.m.– Respondents: 320. minimum wage to individuals with 4:30 p.m. Estimated Annual Number of disabilities. In April 2018, the U.S. Open Public Comment Session: 5:30 Responses per Respondent: 1 to 4. Department of Labor reported that more p.m.–6:30 p.m. Estimated Total Annual Burden on than 1,800 employers held a waiver of Adjourn: 6:30 p.m. (Adjournment Respondents: 47,040 hours. minimum wage requirements, affecting time subject to change). Comment is invited on: (1) Whether at least some 150,000 workers. Reliable Dated: November 4, 2019. this collection of information is reports indicate that many employers David Mussatt, necessary for the stated purposes and with 14(c) certificates pay far below Supervisory Chief, Regional Programs Unit. the proper performance of the functions prevailing or minimum wage while of the Agency, including whether the segregating these employees from the [FR Doc. 2019–24353 Filed 11–4–19; 4:15 pm] information will have practical or non-disabled workforce. The BILLING CODE 6335–01–P scientific utility; (2) the accuracy of the Commission will investigate whether Agency’s estimate of the burden of the this violates the civil rights of people collection of information, including the with disabilities. The Commission will DEPARTMENT OF COMMERCE validity of the methodology and analyze the use of the 14(c) waiver Office of the Under Secretary for assumptions used; (3) ways to enhance program, its effect on people with Economic Affairs the quality, utility, and clarity of the disabilities, and oversight by the information to be collected; and (4) Departments of Labor and Justice. Advisory Committee on Data for ways to minimize the burden of the This briefing is open to the public. We Evidence Building collection of information on will offer an open comment session in respondents, including the use of which members of the public will have AGENCY: Office of the Under Secretary automated, electronic, mechanical, or an opportunity to address the for Economic Affairs, U.S. Department other technological collection Commission; detailed information, of Commerce (DOC). techniques or other forms of information including on registering for a three- ACTION: Notice of establishment of the technology. minute speaking slot, can be viewed Advisory Committee on Data for All comments received in response to here. Individuals may attend the Evidence Building (Advisory this notice, including names and briefing without the need to confirm Committee) and solicitation of addresses when provided, will be a attendance or RSVP. nominations for non-Federal matter of public record. Comments will The event will also live-stream. membership. be summarized and included in the (Information subject to change.) There SUMMARY: Notice is hereby given that submission request toward Office of will also be a public call-in line (listen- Management and Budget approval. the Advisory Committee on Data for only): 800–822–2024, conference ID: Evidence Building will be established Dated: October 18, 2019. 8561700. If attending in person, we ask and will terminate not later than two John Phipps, that you RSVP to publicaffairs@ years after the date of the first meeting. Deputy Chief, State and Private Forestry. usccr.gov. Persons with disabilities who The Advisory Committee will review, [FR Doc. 2019–24223 Filed 11–5–19; 8:45 am] need accommodation should contact analyze, and make recommendations on Pamela Dunston at 202–376–8105 or at BILLING CODE 3411–15–P how to promote the use of Federal data [email protected] at least seven business for evidence building. This notice also days before the date of the meeting. requests nominations for non-Federal The Commission welcomes the CIVIL RIGHTS COMMISSION members of the Advisory Committee to submission of additional material for ensure a wide range of member Sunshine Act Meeting Notice consideration as we prepare our report; candidates and a balanced Advisory please submit to subminimumwages@ Committee. AGENCY: United States Commission on usccr.gov no later than December 15, Civil Rights. 2019. Stay abreast of updates at DATES: Nominations must be received ACTION: Notice of Commission public www.usccr.gov and on Twitter and on or before midnight EST on December briefing, Subminimum Wages: Impacts Facebook. 4, 2019. The Department encourages on the Civil Rights of People with nominations submitted any time before Disabilities. Agenda the deadline. After that date, the Introductory Remarks: Chair Department will continue to accept DATES: Friday, November 15, 2019, 9:00 Catherine E. Lhamon: 9:00 a.m.–9:10 nominations under this notice to fill any a.m. Eastern Time (ET). a.m. vacancies that may arise. ADDRESSES: Place: National Place Panel One: The Federal Government’s ADDRESSES: All nomination materials Building, 1331 Pennsylvania Ave. NW, Role: 9:10 a.m.–10:30 a.m. should be emailed to [email protected]. Suite 1150, Washington, DC 20245 Panel Two: Data Regarding FOR FURTHER INFORMATION CONTACT: (Entrance on F Street NW). Subminimum Wages and Competitive Lucas Hitt at 4600 Silver Hill Rd., BE–

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64, Department of Commerce, accordance with the provisions of the review is conducted for each selected Washington, DC 20233; phone (301) Foundations for Evidence-Based nominee; therefore, individuals selected 278–9223; email: [email protected]. Policymaking Act of 2018 and the FACA for nomination will be required to SUPPLEMENTARY INFORMATION: The and the rules and regulations issued in provide detailed information concerning Federal Data Strategy offers a ten-year implementation of the FACA. such matters as financial holdings, vision for how the Federal Government The Chief Statistician of the United consultancies, and research grants or will accelerate the use of data to support States shall serve as the Chair of the contracts to permit evaluation of the foundations of democracy, deliver Advisory Committee. Members of the possible sources of conflict of interest. on mission, serve the public, and Advisory Committee from Federal Process and Deadline for Submitting steward resources while protecting agencies will be sourced separately from Nominations: Non-Federal individuals security, privacy, and confidentiality. this Notice and will be appointed by the can self-nominate or be nominated by The Strategy supports a coordinated Director of OMB. These Federal any individual or organization. To be approach to Federal data stewardship by members are as follows: One agency considered for the Advisory Committee, establishing more consistent and Chief Information Officer; one agency nominators should submit the following integrated data infrastructure and data Chief Privacy Officer; one agency Chief information: practices in order to more fully leverage Performance Officer; three members (1) Contact Information for the the value of data as a strategic asset. who are agency Chief Data Officers; nominee, consisting of: In keeping with the Strategy, the three members who are agency a. Name Foundations for Evidence-Based Evaluation Officers; three members who b. Title Policymaking Act of 2018 (the Act), are agency Statistical Officials who are c. Organization or Affiliation § 101(a)(2) (5 U.S.C. 315(a)) directed the members of the Interagency Council for d. Address OMB Director, or head of an agency Statistical Policy established under e. City, State, Zip designated by the Director, to establish section 3504(e)(8) of title 44. f. Telephone number an Advisory Committee on Data for The U.S. Department of Commerce g. Email address Evidence Building (Advisory Office of the Under Secretary for (2) Statement of interest limited to Committee). Pursuant to Section 9(a)(1) Economic Affairs is hereby soliciting 250 words on why the nominee wants of the Federal Advisory Committee Act nominations for the non-Federal to serve on the Advisory Committee and (FACA) (5 U.S.C., App.), and in members of the Advisory Committee. In the unique perspectives and experiences accordance with Title 41, Code of addition to the members listed above, the nominee would bring to the Federal Regulations, § 102–3.50(a), the Director of OMB will appoint at Advisory Committee. notice is hereby given that the Advisory least 10 committee members from non- (3) Resume´ limited to 3 pages Committee will be established and will Federal sources. As required by the Act, describing professional and academic terminate not later than two years after these members will be sourced from expertise, experience, and knowledge, the date of the first meeting. State and local governments and including any relevant experience Pursuant to authority granted in the nongovernmental stakeholders with serving on advisory committees and Office of Management and Budget expertise in government data policy, advisory panels, past and present; (OMB) letter dated September 3, 2019, privacy, technology, transparency (4) An affirmative statement that the the Advisory Committee will be policy, evaluation and research nominee is not a Federally registered administered and managed by the methodologies, and other relevant lobbyist, and that the nominee Department of Commerce Office of the subjects, of whom— understands that, if appointed, the Under Secretary for Economic Affairs (A) at least one shall have expertise in nominee will not be allowed to continue (OUSEA). transparency policy; to serve as an Advisory Committee (B) at least one shall have expertise in The Advisory Committee will review, member if the nominee becomes a privacy policy; analyze, and make recommendations on (C) at least one shall have expertise in Federally registered lobbyist; and (5) Optional letters of support. Please how to promote the use of Federal data statistical data use; for evidence building. Duties include: (D) at least one shall have expertise in do not send company, trade association, (1) Assisting the OMB Director in information management; organization brochures, or any other carrying out the duties outlined under (E) at least one shall have expertise in promotional information. Letters part D of subchapter III of chapter 35 of information technology; and submitted should total five pages or less title 44 (which concerns access to data (F) at least one shall be from the and must be formatted in Microsoft for evidence); research and evaluation community. Word or PDF. Should more information (2) evaluating and providing Committee members may serve for a be needed, OUSEA staff will contact the recommendations to the OMB Director term of 2 years or less. nominee, obtain information from the on how to facilitate data sharing, enable The Advisory Committee is expected nominee’s past affiliations, or obtain data linkage, and develop privacy to meet a minimum of three times per information from publicly available enhancing techniques; and year, with the possibility of additional sources, such as the internet. (3) reviewing the coordination of data meetings as the Chair may determine. Nominations may be emailed to sharing or availability for evidence Subcommittees may be formed to [email protected]. Nominations must building across all agencies. address specific issues. Subcommittees be received on or before midnight EST The Advisory Committee will submit will report directly to the Advisory on December 4, 2019. After that date, to the OMB Director, and make publicly Committee. the Department will continue to accept available, an annual report on its Because non-Federal Advisory nominations under this notice to fill any activities and findings. Committee members will serve as vacancies that may arise. The The establishment of the Advisory Special Government Employees, they Department encourages nominations Committee is necessary for the Office of will be subject to certain ethical submitted any time before the deadline. Management and Budget to carry out its restrictions and required to submit The Department is not responsible for mission and is in the public interest. certain information in connection with any technical difficulties submitting a The Advisory Committee will operate in the appointment process. An ethics nomination form.

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A joint OMB and Office of the Under Constitution Avenue NW, Washington, the purposes of these final results, Secretary for Economic Affairs selection DC 20230; telephone: (202) 482–5139. Commerce has made no changes to the team will review the nomination SUPPLEMENTARY INFORMATION: Preliminary Results. packages to identify a set of potential Final Results of the Review members that possesses the balance of Background qualifications required by law, and Commerce published the Preliminary Commerce determines that the provide a vetted slate of proposed Results of this administrative review on following weighted-average dumping candidates for appointment by the OMB August 23, 2019.1 We invited interested margins exist for the POR from Director. parties to comment on the Preliminary September 1, 2017 through August 31, The selection team will make Results; however, no interested party 2018: recommendations regarding submitted comments. membership based on criteria including: Weighted- Scope of the Order average (1) Professional or academic expertise, Exporter dumping experience, and knowledge; (2) The merchandise covered by this margin stakeholder representation; (3) order includes new pneumatic tires (percent) availability and willingness to serve; designed for off-the-road and off- and (4) relevant experience in working highway use, subject to certain Weihai Zhongwei Rubber Co., Ltd ...... 0.00 in committees and advisory panels. exceptions. The subject merchandise is Qingdao Honghua Tyre Factory 0.00 Nominees selected for appointment to currently classifiable under Harmonized the Advisory Committee will be notified Tariff Schedule of the United States Commerce’s policy regarding by return email and by a letter of (HTSUS) subheadings: 4011.20.10.25, conditional review of the China-wide appointment. 4011.20.10.35, 4011.20.50.30, entity applies to this administrative Nomination packages submitted 4011.20.50.50, 4011.61.00.00, review.5 Under this policy, the China- under this Federal Register Notice will 4011.62.00.00, 4011.63.00.00, wide entity will not be under review be considered if vacancies occur over 4011.69.00.00, 4011.92.00.00, unless a party specifically requests, or the two years that the Advisory 4011.93.40.00, 4011.93.80.00, Commerce self-initiates, a review of the Committee will be active. 4011.94.40.00, and 4011.94.80.00. The China-wide entity. Because no party Dated: October 31, 2019. HTSUS subheadings are provided for requested a review of the China-wide convenience and customs purposes Brian C. Moyer, entity in this review, and we did not only; the written product description of self-initiate a review, the entity is not Director, Bureau of Economic Analysis, the scope of the order is dispositive. A Performing the Non-Exclusive Functions and under review and the entity’s rate is not Duties of the Under Secretary for Economic full description of the scope of the order subject to change (i.e., 105.31 percent).6 Affairs. is contained in the Preliminary Decision Where the rates for the individually 2 [FR Doc. 2019–24172 Filed 11–5–19; 8:45 am] Memorandum. examined companies are all zero, de minimis, or based entirely on facts BILLING CODE 3510–MN–P Separate Rates available, section 735(c)(5)(B) of the In our Preliminary Results, Commerce Tariff Act of 1930, as amended (the Act) DEPARTMENT OF COMMERCE determined that information placed on provides that Commerce may use ‘‘any the record by Zhongwei and Qingdao reasonable method’’ to establish the all- International Trade Administration Honghua Tyre Factory (Honghua) others rate. As the margin calculated for demonstrates that these companies are [A–570–912] the mandatory respondent, Zhongwei, is entitled to separate rate status,3 which zero, we assigned Honghua, the sole 4 Certain New Pneumatic Off-the-Road we preliminarily granted. We received separate-rate respondent not selected for Tires From the People’s Republic of no comments since the issuance of the individual examination in this review, a China: Final Results of Antidumping Preliminary Results that provide a basis separate rate margin based on Duty Administrative Review; 2017– for reconsidering the determination Zhongwei’s weighted-average dumping 2018 with respect to the separate rate status margin, which we find to be reasonable of these entities. Therefore, for the final and consistent with practice.7 AGENCY: Enforcement and Compliance, results, we continue to find that International Trade Administration, Zhongwei and Honghua are eligible for Disclosure Department of Commerce. a separate rate. Commerce normally discloses the calculations performed regarding these SUMMARY: The Department of Commerce Changes Since the Preliminary Results (Commerce) finds that Weihai Zhongwei final results to parties in this proceeding Rubber Co., Ltd. (Zhongwei), an As noted above, we received no exporter of certain new pneumatic off- comments in response to the 5 See Antidumping Proceedings: Announcement Preliminary Results. Accordingly, for of Change in Department Practice for Respondent the-road tires (OTR tires) from the Selection in Antidumping Duty Proceedings and People’s Republic of China (China), did Conditional Review of the Nonmarket Economy 1 not sell merchandise in the United See Certain New Pneumatic Off-the-Road Tires Entity in NME Antidumping Duty Proceedings, 78 from the People’s Republic of China: Preliminary States at prices below normal value FR 65963 (November 4, 2013). Results of Antidumping Duty Administrative 6 The China-wide rate was determined in Certain during the period of review (POR) Review; 2017–2018, 84 FR 44283 (August 23, 2019) New Pneumatic Off-the-Road Tires from the September 1, 2017 through August 31, (Preliminary Results), and accompanying People’s Republic of China: Final Results of 2018. Preliminary Decision Memorandum (PDM). Antidumping Duty Administrative Review; 2012– 2 See Preliminary Results, PDM at 3–5. 2013, 80 FR 20197 (April 15, 2015). DATES: Applicable November 6, 2019. 3 See Zhongwei’s March 11, 2019 Section A 7 See, e.g., Multilayered Wood Flooring from the FOR FURTHER INFORMATION CONTACT: Questionnaire Response at 2–14; see also People’s Republic of China: Final Results of Keith Haynes, AD/CVD Operations, Honghua’s Letter, ‘‘Separate Rate Application: Antidumping Duty Administrative Review, Final Certain New Pneumatic Off-the-Road Tires from the Office III, Enforcement and Compliance, Determination of No Shipments, and Partial People’s Republic of China,’’ dated December 14, Rescission; 2015–2016, 83 FR 35461, 35462 (July 26, International Trade Administration, 2018. 2018) (citing Albemarle Corp. v. United States, 821 Department of Commerce, 1401 4 See Preliminary Results, PDM at 9–13. F. 3d 1345 (Fed. Cir. 2016)).

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within five days of the date of Commerce will not issue cash deposit period of review (POR) September 1, publication of this notice, in accordance instructions at the conclusion of this 2017 through August 31, 2018. with 19 CFR 351.224(b). However, administrative review. DATES: Applicable November 6, 2019. because no changes were made to the Notification to Importers FOR FURTHER INFORMATION CONTACT: preliminary calculations, we refer Thomas Schauer, AD/CVD Operations, parties to the preliminary disclosure This notice serves as a final reminder Office I, Enforcement and Compliance, 8 calculation memoranda. to importers of their responsibility International Trade Administration, under 19 CFR 351.402(f)(2) to file a Assessment Rates U.S. Department of Commerce, 1401 certificate regarding the reimbursement Constitution Avenue NW, Washington, Commerce will determine, and U.S. of antidumping duties prior to DC 20230; telephone: (202) 482–0410. Customs and Border Protection (CBP) liquidation of the relevant entries shall assess, antidumping duties on all during this review period. Failure to SUPPLEMENTARY INFORMATION: appropriate entries of subject comply with this requirement could Background merchandise in accordance with section result in Commerce’s presumption that On July 19, 2019, Commerce 751(a)(2)(C) of the Act and 19 CFR reimbursement of the antidumping published the Preliminary Results of the 351.212(b). Commerce intends to issue duties occurred and the subsequent administrative review of the assessment instructions to CBP 15 days assessment of double antidumping antidumping duty order on certain cold- after the date of publication of the final duties. rolled steel flat products (cold-rolled results of this review in the Federal 1 Register. Administrative Protective Order steel) from the United Kingdom. The For any individually examined This notice also serves as a final administrative review covers one respondent whose (estimated) ad reminder to parties subject to producer or exporter of the subject valorem weighted-average dumping administrative protective order (APO) of merchandise, Caparo Precision Strip, margin is not zero or de minimis (i.e., Ltd./Liberty Performance Steels Ltd. their responsibility concerning the 2 less than 0.50 percent), Commerce will return or destruction of proprietary (Liberty). We gave interested parties an calculate importer-specific ad valorem information disclosed under the APO in opportunity to comment on the assessment rates on the basis of the ratio Preliminary Results, and we received a accordance with 19 CFR 351.305(a)(3), 3 of the total amount of dumping which continues to govern business case brief from Liberty. We did not calculated for the importer’s examined proprietary information in this segment receive any rebuttal briefs. sales and the total entered value of those of the proceeding. Timely written Commerce conducted this review in sales, in accordance with 19 CFR notification of the return/destruction of accordance with sections 751(a)(1)(B) 351.212(b)(1).9 We will instruct CBP to APO materials or conversion to judicial and (2) of the Tariff Act of 1930, as assess antidumping duties on all protective order is hereby requested. amended (the Act). appropriate entries covered by this Failure to comply with the regulations Scope of the Order review when the importer-specific ad and terms of an APO is a violation The products covered by the valorem assessment rate calculated is which is subject to sanction. antidumping duty order are certain not zero or de minimis. Where either the cold-rolled (cold-reduced), flat-rolled respondent’s ad valorem weighted- Notification to Interested Parties steel products, whether or not annealed, average dumping margin is zero or de We are issuing and publishing these painted, varnished, or coated with minimis, or an importer-specific ad final results of administrative review in plastics or other non-metallic valorem assessment rate is zero or de accordance with sections 751(a)(1) and substances. The products subject to this minimis, we will instruct CBP to 777(i) of the Act. review are currently classified in the liquidate the appropriate entries Dated: October 30, 2019. Harmonized Tariff Schedule of the without regard to antidumping duties.10 Jeffrey I. Kessler, United States (HTSUS) under item Cash Deposit Requirements Assistant Secretary for Enforcement and numbers: 7209.15.0000, 7209.16.0030, Because the antidumping duty order Compliance. 7209.16.0060, 7209.16.0070, on OTR tires from China was revoked,11 [FR Doc. 2019–24220 Filed 11–5–19; 8:45 am] 7209.16.0091, 7209.17.0030, BILLING CODE 3510–DS–P 7209.17.0060, 7209.17.0070, 8 See Memorandum, ‘‘Administrative Review of 7209.17.0091, 7209.18.1530, the Antidumping Duty Order on Certain New 7209.18.1560, 7209.18.2510, Pneumatic Off-the-Road Tires from the People’s DEPARTMENT OF COMMERCE 7209.18.2520, 7209.18.2580, Republic of China; 2017–2018: Preliminary Results 7209.18.6020, 7209.18.6090, Surrogate Value Memorandum,’’ dated August 16, International Trade Administration 2019; see also Memorandum, ‘‘Analysis 7209.25.0000, 7209.26.0000, Memorandum for the Preliminary Results of the [A–412–824] 2017–2018 Review of the Antidumping Duty Order 1 See Certain Cold-Rolled Steel Flat Products from on Certain New Pneumatic Off-the-Road Tires from Certain Cold-Rolled Steel Flat Products the United Kingdom: Preliminary Results of the People’s Republic of China: Weihei Zhongwei Antidumping Duty Administrative Review; 2017– Rubber Co., Ltd.,’’ dated August 16, 2019. From the United Kingdom: Final 2018, 84 FR 34868 (July 19, 2019) (Preliminary 9 In these final results, Commerce applied the Results of Antidumping Duty Results). assessment rate calculation method adopted in Administrative Review; 2017–2018 2 In the Initiation Notice, we initiated a review of Antidumping Proceedings: Calculation of the ‘‘Caparo Precision Strip, Ltd./Liberty Performance Weighted-Average Dumping Margin and AGENCY: Enforcement and Compliance, Steels, Ltd.’’ See Initiation of Antidumping and Assessment Rate in Certain Antidumping International Trade Administration, Countervailing Duty Administrative Reviews, 83 FR Proceedings; Final Modification, 77 FR 8101 57411, 57417 (November 15, 2018) (Initiation (February 14, 2012). Department of Commerce. Notice). We have previously determined that 10 See 19 CFR 351.212(b)(1). SUMMARY: The Department of Commerce Liberty Performance Steels Ltd. is the successor-in- 11 See Certain New Pneumatic Off-the-Road Tires (Commerce) determines that the interest to Caparo Precision Strip, Ltd. from the People’s Republic of China: Final Results 3 See Liberty’s Letter, ‘‘Certain Cold-Rolled Steel of Sunset Reviews and Revocation of Antidumping producer/exporter subject to this review Flat Products from the United Kingdom: Liberty Duty and Countervailing Duty Orders, 84 FR 20616 made sales of subject merchandise at Performance Steels, Ltd. Case Brief,’’ dated August (May 10, 2019). less than normal value during the 19, 2019.

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7209.27.0000, 7209.28.0000, the Issues and Decision Memorandum is the weighted-average dumping margin 7209.90.0000, 7210.70.3000, attached as the appendix to this notice. established in the final results of this 7211.23.1500, 7211.23.2000, administrative review; (2) for Changes Since the Preliminary Results 7211.23.3000, 7211.23.4500, merchandise exported by producers or 7211.23.6030, 7211.23.6060, Based on the comments received we exporters not covered in this review but 7211.23.6090, 7211.29.2030, made changes for these final results covered in a prior completed segment of 7211.29.2090, 7211.29.4500, which are enumerated in the Issues and the proceeding, then the cash deposit 7211.29.6030, 7211.29.6080, Decision Memorandum. rate will continue to be the company- 7211.90.0000, 7212.40.1000, Final Results of the Administrative specific rate published for the most 7212.40.5000, 7225.50.6000, Review recently completed segment of this 7225.50.8080, 7225.99.0090, proceeding in which the company We determine that the following 7226.92.5000, 7226.92.7050, and participated; (3) if the exporter is not a weighted-average dumping margin 7226.92.8050. The products subject to firm covered in this review, a prior exists for Liberty for the period of the Order may also enter under the review, or the original investigation but September 1, 2017 through August 31, following HTSUS numbers: the producer has been covered in a prior 2018. 7210.90.9000, 7212.50.0000, completed segment of this proceeding, the cash deposit rate will be the rate 7215.10.0010, 7215.10.0080, Weighted- 7215.50.0016, 7215.50.0018, average established for the most recent segment 7215.50.0020, 7215.50.0061, Producer or exporter dumping for the producer of the merchandise; (4) 7215.50.0063, 7215.50.0065, margin the cash deposit rate for all other 7215.50.0090, 7215.90.5000, (percent) producers or exporters will continue to be 22.58 percent, the all-others rate 7217.10.1000, 7217.10.2000, Liberty Performance Steels Ltd .. 21.71 7217.10.3000, 7217.10.7000, established in the less-than-fair-value investigation.6 These cash deposit 7217.90.1000, 7217.90.5030, Assessment Rate 7217.90.5060, 7217.90.5090, requirements, when imposed, shall 7225.19.0000, 7226.19.1000, Pursuant to section 751(a)(2)(A) of the remain in effect until further notice. Act and 19 CFR 351.212(b)(1), 7226.19.9000, 7226.99.0180, Notification to Importers 7228.50.5015, 7228.50.5040, Commerce will determine, and U.S. 7228.50.5070, 7228.60.8000, and Customs and Border Protection (CBP) This notice serves as a final reminder 7229.90.1000. While the HTSUS shall assess, antidumping duties on all to importers of their responsibility subheadings are provided for appropriate entries of subject under 19 CFR 351.402(f)(2) to file a convenience and customs purposes, the merchandise in accordance with the certificate regarding the reimbursement written description is dispositive. A full final results of this review. of antidumping duties prior to description of the scope of the order is For Liberty, we calculated importer- liquidation of the relevant entries contained in the Issues and Decision specific assessment rates on the basis of during this POR. Failure to comply with Memorandum.4 the ratio of the total amount of this requirement could result in antidumping duties calculated for each Commerce presuming that Analysis of Comments Received importer’s examined sales and the total reimbursement of antidumping duties entered value of the sales in accordance occurred and the subsequent assessment The issues raised by Liberty in its case with 19 CFR 351.212(b)(1).5 For entries of double antidumping duties. brief have been addressed in the Issues of subject merchandise during the POR Notification Regarding Administrative and Decision Memorandum. The Issues produced by Liberty for which it did not Protective Orders and Decision Memorandum is a public know its merchandise was destined for document and is made available to the the United States, we intend to instruct This notice also serves as a final public via Enforcement and CBP to liquidate unreviewed entries at reminder to parties subject to Compliance’s Antidumping and the all-others rate if there is no rate for administrative protective order (APO) of Countervailing Duty Centralized the intermediate company(ies) involved their responsibility concerning the Electronic Service System (ACCESS). in the transaction. We intend to issue return or destruction of proprietary ACCESS is available to registered users liquidation instructions to CBP 15 days information disclosed under APO in at http://access.trade.gov and is after publication of these final results of accordance with 19 CFR 351.305(a)(3), available to all parties in the Central review. which continues to govern business Records Unit, room B8024 of the main proprietary information in this segment Commerce building. In addition, a Cash Deposit Requirements of the proceeding. Timely written complete version of the Issues and The following deposit requirements notification of the return or destruction Decision Memorandum can be accessed will be effective upon publication of of APO materials, or conversion to directly on the Enforcement and this notice for all shipments of cold- judicial protective order, is hereby Compliance website at http:// rolled steel from the United Kingdom requested. Failure to comply with the enforcement.trade.gov/frn/. The signed entered, or withdrawn from warehouse, regulations and terms of an APO is a Issues and Decision Memorandum and for consumption on or after the date of violation subject to sanction. the electronic version of the Issues and publication, as provided by section Notification to Interested Parties Decision Memorandum are identical in 751(a)(2)(C) of the Act: (1) The cash content. A list of the topics discussed in deposit rate for Liberty will be equal to We are issuing and publishing these final results of administrative review in 4 See Memorandum, ‘‘Certain Cold-Rolled Steel 5 In these final results, Commerce applied the Flat Products from the United Kingdom: Issues and assessment rate calculation method adopted in 6 See Certain Cold-Rolled Steel Flat Products from Decision Memorandum for the Final Results of Antidumping Proceedings: Calculation of the Brazil, India, the Republic of Korea, and the United Antidumping Duty Administrative Review; 2017– Weighted-Average Dumping Margin and Kingdom: Amended Final Affirmative Antidumping 2018,’’ dated concurrently with, and hereby Assessment Rate in Certain Antidumping Duty Determinations for Brazil and the United Kingdom adopted by, this notice (Issues and Decision Proceedings; Final Modification, 77 FR 8101 and Antidumping Duty Orders, 81 FR 64432, 64434 Memorandum). (February 14, 2012). (September 20, 2016).

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accordance with sections 751(a)(1) and DATES: Comments and information must incidental take authorization may be 777(i) of the Act and 19 CFR be received no later than December 6, provided to the public for review. 351.221(b)(5). 2019. Authorization for incidental takings shall be granted if NMFS finds that the Dated: October 30, 2019. ADDRESSES: Comments should be taking will have a negligible impact on Jeffrey I. Kessler, addressed to Jolie Harrison, Chief, the species or stock(s) and will not have Assistant Secretary for Enforcement and Permits and Conservation Division, an unmitigable adverse impact on the Compliance. Office of Protected Resources, National availability of the species or stock(s) for Marine Fisheries Service. Physical Appendix taking for subsistence uses (where comments should be sent to 1315 East- relevant). Further, NMFS must prescribe List of Topics Discussed in the Issues and West Highway, Silver Spring, MD 20910 Decision Memorandum the permissible methods of taking and and electronic comments should be sent other ‘‘means of effecting the least I. Summary to [email protected]. practicable adverse impact’’ on the II. Background Instructions: NMFS is not responsible affected species or stocks and their III. Scope of the Order for comments sent by any other method, habitat, paying particular attention to IV. Changes Since the Preliminary Results to any other address or individual, or V. Discussion of the Issues rookeries, mating grounds, and areas of Comment 1: Major-Input Adjustment received after the end of the comment similar significance, and on the Comment 2: Ministerial Error period. Comments received availability of such species or stocks for VI. Recommendation electronically, including all taking for certain subsistence uses attachments, must not exceed a 25- [FR Doc. 2019–24219 Filed 11–5–19; 8:45 am] (referred to in shorthand as megabyte file size. Attachments to BILLING CODE 3510–DS–P ‘‘mitigation’’); and requirements electronic comments will be accepted in pertaining to the mitigation, monitoring Microsoft Word or Excel or Adobe PDF and reporting of such takings are set DEPARTMENT OF COMMERCE file formats only. All comments forth. received are a part of the public record The definitions of all applicable National Oceanic and Atmospheric and will generally be posted online at MMPA statutory terms cited above are Administration https://www.fisheries.noaa.gov/ included in the relevant sections below. national/marine-mammal-protection/ National Environmental Policy Act RIN 0648–XR043 incidental-take-authorizations- construction-activities without change. To comply with the National Takes of Marine Mammals Incidental to All personal identifying information Environmental Policy Act of 1969 Specified Activities; Taking Marine (e.g., name, address) voluntarily (NEPA; 42 U.S.C. 4321 et seq.) and Mammals Incidental to Astoria submitted by the commenter may be NOAA Administrative Order (NAO) Waterfront Bridge Replacement Phase publicly accessible. Do not submit 216–6A, NMFS must review our 2 Project confidential business information or proposed action (i.e., the issuance of an otherwise sensitive or protected incidental harassment authorization) AGENCY: National Marine Fisheries information. with respect to potential impacts on the human environment. This action is Service (NMFS), National Oceanic and FOR FURTHER INFORMATION CONTACT: consistent with categories of activities Atmospheric Administration (NOAA), Leah Davis, Office of Protected identified in Categorical Exclusion B4 Commerce. Resources, NMFS, (301) 427–8401. (incidental harassment authorizations Electronic copies of the application and ACTION: Notice; proposed incidental with no anticipated serious injury or supporting documents, as well as a list harassment authorization; request for mortality) of the Companion Manual for of the references cited in this document, comments on proposed authorization NOAA Administrative Order 216–6A, may be obtained online at: https:// and possible renewal. which do not individually or www.fisheries.noaa.gov/national/ cumulatively have the potential for marine-mammal-protection/incidental- SUMMARY: NMFS has received a request significant impacts on the quality of the take-authorizations-construction- from the City of Astoria (City) for human environment and for which we activities. In case of problems accessing authorization to take marine mammals have not identified any extraordinary these documents, please call the contact incidental to pile driving and circumstances that would preclude this listed above. construction work in Astoria, OR. categorical exclusion. Accordingly, Pursuant to the Marine Mammal SUPPLEMENTARY INFORMATION: NMFS has preliminarily determined Protection Act (MMPA), NMFS is Background that the issuance of the proposed IHA requesting comments on its proposal to qualifies to be categorically excluded issue an incidental harassment The MMPA prohibits the ‘‘take’’ of from further NEPA review. authorization (IHA) to incidentally take marine mammals, with certain We will review all comments marine mammals during the specified exceptions. Sections 101(a)(5)(A) and submitted in response to this notice activities. NMFS is also requesting (D) of the MMPA (16 U.S.C. 1361 et prior to concluding our NEPA process comments on a possible one-year seq.) direct the Secretary of Commerce or making a final decision on the IHA renewal that could be issued under (as delegated to NMFS) to allow, upon request. certain circumstances and if all request, the incidental, but not requirements are met, as described in intentional, taking of small numbers of Summary of Request Request for Public Comments at the end marine mammals by U.S. citizens who On June 3, 2019 NMFS received a of this notice. NMFS will consider engage in a specified activity (other than request from the City of Astoria (City) public comments prior to making any commercial fishing) within a specified for an IHA to take marine mammals final decision on the issuance of the geographical region if certain findings incidental to pile driving and requested MMPA authorizations, and are made and either regulations are construction work in Astoria, Oregon. agency responses will be summarized in issued or, if the taking is limited to The application was deemed adequate the final notice of our decision. harassment, a notice of a proposed and complete on October 17, 2019. The

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City’s request is for take of a small the new pile sites. In the event that April. In-water construction activities number of California sea lion (Zalophus preboring is not effective, the contractor will occur intermittently over the entire californianus) and harbor seal (Phoca may conduct down-the-hole drilling proposed IWWP, and above-water work vitulina richardii) by Level A and Level inside of the 36-inch piles to prepare the is expected to occur during the IWWP B harassment, and a small number of site for the permanent piles. It is and over the remainder of the IHA Steller sea lion (Eumetopias jubatus) by unlikely that the contractor will need to period. Work will take place over Level B harassment only. Neither the conduct down-the-hole drilling, as it approximately 21 in-water work days, City nor NMFS expects serious injury or was not necessary during Phase 1. The and 11 days per month for over-water mortality to result from this activity, roadway and railway superstructures activities. and, therefore, an IHA is appropriate. will also be replaced, and a temporary, This proposed IHA would cover one above-water work platform will be Specific Geographic Region year of a larger, two-year project that created for the construction. The use of involves removal and replacement of six The project site is located in the Baker vibratory and impact hammers for pile Bay-Columbia River sub-watershed near bridges on the Astoria, Oregon driving and site preparation is expected waterfront. NMFS previously issued an the mouth of the Columbia River. This to produce underwater sound at levels section of the lower Columbia River IHA to the City for removal and that may result in behavioral replacement of three bridges (83 FR represents the most saline portion of the harassment or auditory injury of marine river’s estuarine environment. Tidal 19243, May 2, 2018). The City complied mammals. Human presence and use of with all the requirements (e.g., influence extends 146 miles upriver to general construction equipment may the Bonneville Dam (LCEP, 2016). The mitigation, monitoring, and reporting) of also lead to behavioral harassment of Columbia River is over nine miles wide the previous IHA and information sea lions hauled out along the riverbank in the area around Astoria and contains regarding their monitoring results may below the bridges. multiple islands, buoys, and sandbars be found in the Proposed Monitoring The impacted area extends outward that marine mammals utilize to haul and Mitigation Section. The monitoring from the three bridge sites to a out. The upland portions of the region report exposed the need for clarification maximum distance of 21.54 km (13.28 of activity have been highly altered by of monitoring requirements, specifically mi). The project will occur over one human activities, with substantial those involving Protected Species year beginning in December 2019, with shoreline development and remnants of Observer (PSO) coverage of Level A and in-water activities expected to occur historical development. This includes Level B zones. NMFS has clarified those over an estimated 21 days during the thousands of timber piles, overwater requirements with the applicant. months of November through April. buildings, a railroad trestle, and Description of Proposed Activity Dates and Duration vehicular bridges. The downtown Overview The IHA will be effective from Astoria waterfront is a busy area for The City of Astoria, Oregon proposes December 2019 to October 2020. Project pedestrians, vehicles, and boats. In to remove and replace three bridges work is expected to begin in November addition to onshore development, the connecting 6th, 8th, and 10th Streets 2019 with concurrent above-water and lower Columbia River is utilized by with waterfront piers near the mouth of in-water demolition activities. In-water various types of vessels, including cargo the Columbia River. The bridges are activities will be conducted during the ships, dredging vessels, fishing vessels, currently supported by decayed timber Oregon Department of Fish and trawlers, pollution control vessels, and piles. Among all three bridges, an Wildlife-prescribed in-water work search and rescue vessels, among others. estimated 150 timber piles will be period (IWWP) for the Lower Columbia The remainder of the region of activity removed as will other timber structural River (November–February). The IWWP is located within the river channel elements and concrete footings. 65 is imposed to protect the following within the intertidal and subtidal zones. temporary 36-inch steel casings will be species: MAR (various marine species of The substrate in this area is primarily installed to help guide the installation fish), SHL (various marine shell fish), made up of historical rip rap and other of 65 permanent 24-inch steel piles. Pile CHF (Chinook salmon, fall), CHS rocks/cobbles. driving and removal activities will be (Chinook salmon, spring), SS (sockeye All in-water construction will occur conducted using a vibratory and impact salmon), CO (coho salmon), STW in the intertidal and subtidal zones. hammer. The contractor may need to (steelhead winter), STS (steelhead Some piles may be removed and conduct preboring inside of the summer), CT (cutthroat trout—including installed completely in the dry while temporary casings using a vibratory sea run). It is possible that the City will others may be in water more than 75 hammer and a 14-inch H-pile to prepare request an IWWP extension through percent of the time.

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Detailed Description of Specific Activity trestle crossings and roadway in Table 1. Source levels are mostly approaches. Demolition of the based on acoustic data collected during Phase two of the project involves the superstructures will likely be the City of San Diego Lifeguard Station removal and replacement of three accomplished using standard roadway Demolition and Construction bridges connecting 6th, 8th, and 10th and bridge construction equipment, Monitoring project. All equipment will Streets to waterfront piers. including an excavator, backhoe, be operated from the existing roadway, Demolition Activities—Demolition of jackhammer, and concrete and chain trestle, and upland areas, and removed the existing bridge crossings will require saws, as well as a crane will be used to materials will be hauled off-site to an the removal of the bridge decks and remove larger timber elements. Source approved upland location for disposal. other above-ground components for the levels for these equipment are included

TABLE 1—SUPERSTRUCTURE CONSTRUCTION EQUIPMENT SOUND SOURCE LEVELS

Peak source level (dB root mean Equipment squared Reference (RMS)) at 20 meters)

Air Compressor ...... 78 WSDOT, 2016. Backhoe ...... 78 Hanan & Associates, 2014. Chain Saw ...... 78 Concrete Saw ...... 93 Crane ...... 89 Excavator ...... 91 Generator Powered Jackhammer ...... 87 Hand Tools ...... 85

Construction activities associated the area in relation to the associated poor condition near and above the with removal of the roadway approach construction activities, and Phase 1 ground surface, making attachment to superstructures will be situated away monitoring, removal of the roadway the pilings for extraction very difficult. from the river. Buildings and other approach superstructures is not Old vertical piles and other obstructions above-grade structures will reduce noise expected to disturb nearby marine encountered near the surface may need by physically blocking it and reflecting mammals, and will not be considered to be extracted or cut below the ground it away from the river, due to structural further. surface elevation per Federal Aid noise reduction (FHWA, 2011). The pier At each of the three bridge sites, the Highway Program (FAHP) programmatic City will remove approximately 50 structures will also block noise from criteria. Due to uncertainty in the existing 14-inch timber piles (Table 2) reaching the river and bank areas by precise timing of extraction, and using a vibratory hammer and via direct deflecting it upwards. Based on the pull. Abandoned, cutoff timber piles therefore the tidal state, all piles are sound levels produced by the proposed that are located within close proximity assumed to be in-water during removal equipment, existing site conditions, the to proposed pile locations will also be in effort to conduct a conservative likely location of the pinnipeds within removed. Old pilings are often in very analysis of the project impacts.

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The City estimates it will remove 36-inch temporary casings at the to ¥77 feet below msl. The trestle approximately 15 additional structural locations of all new 24-inch steel piles. crossing will consist of two end bents elements at each bridge site, consisting A variety of large debris and fill may and one interior bent each consisting of of the timber columns, bottom plates, be present at the pile sites, given the three piles. The trolley bridge will be lower braces and/or cross bracings. history of the area, results from the constructed using precast concrete tee These elements will be removed during preliminary geotechnical investigation beams. The roadway approach will low tides and will not require the use during which most of the borings consist of two bents supported by a total of a vibratory hammer. Standard encountered riprap, and Phase 1 of 12 steel piles, with a pre-cast construction equipment will be used to construction. To avoid inducing prestressed slab bridge. remove these elements. unacceptable vibration levels on The 8th Street Bridge will consist of In addition to the timber adjacent structures, the contractor may a total of 23 plumb piles. Estimated pile substructures, an estimated seven predrill the piling locations to an depths range from 84 to ¥85 feet below concrete footings will need to be elevation of about ±3 feet below mean msl. The trestle crossing will consist of extracted, two at the 8th Street bridge, sea level (msl); though the need to two end bents, one comprised of four and five at the 10th Street bridge. It is predrill will be determined on-site once piles and the other composed of three anticipated that the contractor will use the contractor has identified the exact piles, and one interior bent comprised an excavator, positioned on the existing pile locations. Predrilling work, also of four piles. The trolley bridge will be roadway or adjacent gravel/asphalt referred to as down-the-hole drilling, constructed using precast concrete tee parking areas, to reach down and would be conducted inside the 36-inch beams. The roadway approach will remove the concrete footings. If the temporary casings, and no sediment will consist of two bents supported by a total vertical or horizontal distance makes a be removed from within the temporary of 12 steel piles, with a pre-cast footing unreachable, the contractor will casing during this site preparation prestressed slab bridge. likely drill an anchor into the concrete activity. The source level for down-the- The 10th Street Bridge will consist of then attach the crane to the anchor with hole drilling (166.2dB RMS SPL, Denes a total of 21 plumb piles. Estimated pile a chain and pull upwards to extract the et al., 2016) is below the source level for depth is -64 feet below msl. The trestle concrete. The existing concrete footings vibratory installation of 36″ piles (Table crossing will consist of two end bents are located just below/above the MHHW 6). Predrilling was not required during and one interior bent each comprised of elevation, so this work is likely to occur Phase 1 of the project, and the applicant three piles. The trolley bridge will be in the dry during low tides. considers it unlikely for this phase; constructed using precast concrete tee The contractor will set up temporary therefore, the analysis for vibratory beams. The roadway approach will work containment systems to catch installation of 36-inch piles was used to consist of two bents, each constructed debris during demolition activities. estimate the Level B harassment zone on six piles for a total of 12 piles, with Selection of the appropriate equipment for potential down-the-hole drilling, and a pre-cast prestressed slab bridge. and design of the work containment the impact installation of 24-inch piles Bridge Construction—The contractor systems is the responsibility of the was used to estimate the Level A will install a temporary 36-inch casing contractor; however, additional pilings harassment zone. (See additional at the site of each of the 65 permanent, to support these structures are not explanation in the Ensonified Area 24-inch piles. The temporary casings anticipated as the contractor will utilize section below.) If pre-drilling is not will be installed to a depth of the existing substructure to support required, the contractor may use a 14- approximately 7 feet below the ground them. inch H-pile equipped with a torched surface elevation using a vibratory Site Preparation for New Bridges—A point at the end to break up the ground hammer. The permanent piles will be total of 65 permanent, 24-inch steel at each piling location using the installed inside the casings, and will be piles are proposed for this project, as vibratory hammer. The H-pile site driven open-ended into very soft well as installation and removal of 65 preparation was used in Phase 1. The siltstone and mudstone to develop the temporary 36-inch steel casings (Table contractor may also manually remove required axial resistance using a 2). The contractor is likely to create a riprap and other obstructions from the vibratory hammer followed by a diesel template to facilitate pile installation. riverbed and banks, if such materials impact hammer. It is estimated that the The template will consist of a grid prohibit the installation of the contractor will be able to advance the pattern in-line with the existing temporary casings and permanent permanent piles to roughly 80 percent boardwalk grade comprised of steel H- pilings. of the desired depth using the vibratory piles and steel angle iron/channels, Bridge Design—The 6th Street Bridge hammer, then will use the diesel among other materials. The template will require a total of 21 plumb piles. hammer to seat the piles at the desired will guide the vibratory installation of Estimated pile depths range from ¥74 depths.

TABLE 2—PILINGS EXPECTED TO BE REMOVED AND INSTALLED AT EACH BRIDGE

36-inch temporary Timber piles steel casings 24-inch steel Bridge removed (each installed piles to be and removed) installed

6th Street Bridge ...... 50 21 21 8th Street Bridge ...... 50 23 23 10th Street Bridge ...... 50 21 21

Total ...... 150 65 65

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The contractor has six temporary utility relocates. The roadway work will may be found in NMFS’s Stock casings on-site, so they will need to be completed using standard roadway Assessment Reports (SARs; https:// remove the casing once the permanent construction equipment, such as www.fisheries.noaa.gov/national/ 24-inch piles are advanced to a low excavators and backhoes, dump trucks, marine-mammal-protection/marine- enough depth with the vibratory pavers, and rollers. Other equipment mammal-stock-assessments) and more hammer that the casing prohibits that may be employed includes air general information about these species driving the 24-inch pile with the diesel compressors, jack hammers, concrete (e.g., physical and behavioral impact hammer. Removal of the pumps and mixers, and pneumatic descriptions) may be found on NMFS’s temporary casings will be completed tools. (See Table 1 for above-water website (https:// using a vibratory hammer. The removed equipment source levels). The work will www.fisheries.noaa.gov/find-species). pile will then be positioned elsewhere be conducted landward of the trolley Table 3 lists all species with expected within the template to guide additional crossings, will not require IWW, and potential for occurrence in Astoria and pile installation. All bridge construction equipment will be operated away from summarizes information related to the equipment will be operated from the the river. In-air noise produced by population or stock, including existing roadway and upland areas. roadway construction equipment will regulatory status under the MMPA and It is anticipated that the contractor range from 78 dB RMS to 93 dB RMS ESA and potential biological removal may employ two crews during at 20 meters from the source (Hanan & (PBR), where known. For taxonomy, we construction. These crews would work Associates, 2014). follow Committee on Taxonomy (2016). concurrently at two different bridge Buildings and other above-grade PBR is defined by the MMPA as the sites to keep the project on schedule. structures will reduce noise during maximum number of animals, not Implications for project analysis and roadway construction by physically including natural mortalities, that may potential take are discussed in the blocking it and reflecting it away from be removed from a marine mammal Ensonified Area section, below. the river, due to structural noise stock while allowing that stock to reach Abutment Wingwalls—Wingwalls reduction (FHWA, 2011). The pier or maintain its optimum sustainable will need to be constructed at the 10th structures will also block noise from population (as described in NMFS’s Street crossing to help contain the reaching the river and bank areas by SARs). While no mortality is anticipated roadway approach fill. The wingwalls deflecting it upwards. Additionally, or authorized here, PBR and annual will be cast-in-place concrete retaining noise levels from much of the serious injury and mortality from walls. Construction of the wingwalls construction equipment used for anthropogenic sources are included here will require the operation of general removal of the existing superstructures as gross indicators of the status of the construction equipment (see Table 1 for are no different than many of the species and other threats. source levels). The contractor will first existing noise sources in the area. Based excavate existing ground to the desired on the sound levels produced by the Marine mammal abundance estimates elevation using an excavator and dump proposed equipment, existing site presented in this document represent truck positioned on the existing conditions, the likely location of the the total number of individuals that roadway. Then the contractor will frame pinnipeds within the area in relation to make up a given stock or the total the wall using pneumatic tools or the associated construction activities, number estimated within a particular hammer and nails. Once framed, and Phase 1 monitoring, roadway study or survey area. NMFS’s stock concrete will be poured into the frame improvements are not expected to abundance estimates for most species and allowed to cure. It is anticipated disturb nearby marine mammals, and represent the total estimate of that the contractor will be able to do this will not be considered further. individuals within the geographic area, work in the dry; however, the contractor Proposed mitigation, monitoring, and if known, that comprises that stock. For will install isolation measures when reporting measures are described in some species, this geographic area may necessary. All equipment will be detail later in this document (please see extend beyond U.S. waters. For Steller operated from the existing roadway and Proposed Mitigation and Proposed sea lion (Eumetopias jubatus) the stock upland areas. Monitoring and Reporting). abundance is the best estimate of pup Superstructures—The rail and non-pup counts, which have not superstructures are comprised of Description of Marine Mammals in the been corrected to account for animals at precast, prestressed slabs with a 2-inch Area of Specified Activities sea during abundance surveys. All wearing surface. Possible construction Sections 3 and 4 of the application managed stocks in this region are equipment includes a crane, excavator, summarize available information assessed in NMFS’s U.S. 2018 SARs concrete saw, and concrete mixer. regarding status and trends, distribution (e.g., Caretta et al. 2019). All values Source levels are included in Table 1. and habitat preferences, and behavior presented in Table 3 are the most recent Roadway improvements will consist and life history, of the potentially available at the time of publication and of curb and sidewalk construction, affected species. Additional information are available in the 2018 SARs (Caretta asphalt paving, inlet construction, and regarding population trends and threats et al. 2019, Muto et al. 2019).

TABLE 3—SPECIES WITH EXPECTED POTENTIAL FOR OCCURRENCE IN ASTORIA

ESA/MMPA Stock abundance status; (CV, N , most Common name Scientific name Stock min 3 Strategic recent abundance PBR Annual M/SI (Y/N) 1 survey) 2

Order Cetartiodactyla—Cetacea—Superfamily Mysticeti (baleen whales)

Family Balaenopteridae (rorquals)

Humpback whale ...... Megaptera Central North Pacific -, -, Y 10,103 (0.300, 83 26 novaeangliae. 7,891, 2006).

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TABLE 3—SPECIES WITH EXPECTED POTENTIAL FOR OCCURRENCE IN ASTORIA—Continued

ESA/MMPA Stock abundance status; (CV, N , most min PBR Annual M/SI 3 Common name Scientific name Stock Strategic recent abundance (Y/N) 1 survey) 2

Humpback whale ...... Megaptera California/Oregon/ -, -, Y 2,900 (0.05, 2,784, 16.7 >= 40.2 novaeangliae. Washington. 2014).

Order Carnivora—Superfamily Pinnipedia

Family Otariidae (eared seals and sea lions)

California sea lion ..... Zalophus U.S ...... -, -, N 257,606 (N/A, 14,011 >=321 californianus. 233,515, 2014). Steller sea lion ...... Eumetopias jubatus Eastern U.S ...... -, -, N 41,638 (See SAR, 2498 108 41,638, 2015).

Family Phocidae (earless seals)

Pacific harbor seal .... Phoca vitulina Oregon/Washington -, -, N Unknown (Unknown, Undetermined 10.6 richardii. Coast. Unknown, 1999). 1 Endangered Species Act (ESA) status: Endangered (E), Threatened (T)/MMPA status: Depleted (D). A dash (-) indicates that the species is not listed under the ESA or designated as depleted under the MMPA. Under the MMPA, a strategic stock is one for which the level of direct human-caused mortality exceeds PBR or which is determined to be declining and likely to be listed under the ESA within the foreseeable future. Any species or stock listed under the ESA is automatically designated under the MMPA as depleted and as a strategic stock. 2 NMFS marine mammal stock assessment reports online at: www.nmfs.noaa.gov/pr/sars/. CV is coefficient of variation; Nmin is the minimum estimate of stock abundance. In some cases, CV is not applicable [explain if this is the case]. 3 These values, found in NMFS’s SARs, represent annual levels of human-caused mortality plus serious injury from all sources combined (e.g., commercial fisheries, ship strike). Annual M/SI often cannot be determined precisely and is in some cases presented as a minimum value or range. A CV associated with estimated mortality due to commercial fisheries is presented in some cases. Note—Italicized species are not expected to be taken or proposed for authorization.

All species that could potentially gillnets; gunshot wounds and other Steller sea lions occur in the proposed survey areas are human-caused injuries; entanglement in The Steller sea lion range extends included in Table 3. However, the marine debris; and oil exposure (Caretta along the Pacific Rim, from northern temporal and spatial occurrence of et al., 2019). Japan to central California (Loughlin et humpback whales is such that take is Almost all California sea lions in the al., 1984). Steller sea lions inhabiting not expected to occur, and they are not Pacific Northwest are sub-adult or adult U.S. waters are divided into two stocks, discussed further beyond the males (NMFS, 2008). California sea the Western U.S. stock and the Eastern explanation provided here. Humpback lions feed in the Columbia River and U.S. stock. Steller sea lions that occur whales occasionally enter the Columbia adjacent nearshore marine areas, and within the Lower Columbia River are River to feed (Calambokidis, et al., have been observed near several bridge part of the Eastern U.S. sock. The 2017), however their presence is rare. crossings within the project site. They Eastern U.S. stock was de-listed in 2013 They were not observed during Phase 1 following a population growth from of the City’s project (OBEC Consulting are often seen swimming around underneath the existing structures, and 18,000 in 1979 to 70,000 in 2010 (and Engineers. 2019), and are not expected an estimated annual growth of 4.18 during Phase 2. commonly use these areas when transiting from known temporary haul- percent) (NMFS, 2013). Threats to Steller sea lions include: Boat/ship California sea lions outs and foraging sites in the river strikes, contaminants/pollutants, habitat channel. A small group haul out at the California sea lions are distributed degradation, illegal hunting/shooting, Buoy Beer facility near the 8th Street throughout the Eastern North Pacific offshore oil and gas exploration, and from central Mexico to southeast bridge location. However, their primary interactions (direct and indirect) with Alaska, with breeding areas restricted haulout in Astoria is the East Mooring fisheries (NOAA, 2016b). primarily to island areas off southern Basin, which is located over one mile Steller sea lions are present year- California (the Channel Islands), Baja (1.6km) upstream from the project site. round at the mouth of the Columbia California, and in the Gulf of California The bulk of the construction activities River, and they are at their peak in the (Wright et al., 2010). There are five coincide with the season of lowest lower river from September through genetically distinct geographic California sea lion abundance in the March. The primary haulout point is on populations of California sea lions in Columbia River basin. However, the in- the top of South Jetty (ten miles U.S. waters (Schramm et al., 2009). In water work period includes the tail end downstream from the project site). At Oregon, California sea lions are from the of peak usage of the lower Columbia the South Jetty, typical single day Pacific Temperate population, and River by California sea lions. counts are approximately 100 commonly occur in Oregon from Additionally, construction of the new individuals, while at Phoca Rock/ September through May (ODFW, 2015). rail superstructures will be partially Bonneville Dam, there are The estimated net productivity rate for above the high mean tide elevation approximately 40 individuals in a single the species is 7 percent annually (Laake which is directly above the river banks day (Susan Riemer, pers. comm., 2016). et al., 2018). Threats to this species Steller sea lions feed in both the where California sea lions may be include incidental catch and Columbia River and adjacent nearshore temporarily hauled-out. entanglement in fishing gear, such as marine areas. The timing of this

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construction project coincides with including beaches, rocks, floats, and are able to hear. Current data indicate peak presence of Steller sea lions but buoys. They must rest at haulout that not all marine mammal species they are not known to haul out near the locations to regulate body temperature, have equal hearing capabilities (e.g., project site. Steller sea lions may be interact with one another, and sleep Richardson et al., 1995; Wartzok and swimming past the project site in the (NOAA, 2016a). Harbor seals are present Ketten, 1999; Au and Hastings, 2008). main channel of the river, however, no throughout the year at the mouth of the To reflect this, Southall et al. (2007) Steller sea lions were observed within Columbia River and adjacent nearshore recommended that marine mammals be the region of activity during Phase 1 marine areas. They are infrequently divided into functional hearing groups construction. present at the Astoria Mooring Basin, based on directly measured or estimated but they are known to transit through hearing ranges on the basis of available Harbor seals the main river channel past the project behavioral response data, audiograms On the U.S. west coast, Pacific harbor site. Their closest haulout and pupping derived using auditory evoked potential seals (Phoca vitulina richardii) range area is Desdemona Sands which is techniques, anatomical modeling, and from Alaska to Baja California, Mexico downstream of the Astoria-Megler other data. Note that no direct (ODFW, 2015). Three separate harbor Bridge. Pupping occurs from Mid-April measurements of hearing ability have seal populations are recognized on the to July, outside of the proposed project been successfully completed for U.S. west coast: California Stock, work period (Susan Riemer, pers. mysticetes (i.e., low-frequency Washington Inland Waters Stock, and comm., 2016). Due to their year-round cetaceans). Subsequently, NMFS (2018) Oregon/Washington Coast Stock (Caretta occurrence in the Columbia River, described generalized hearing ranges for et al., 2019). In 1999, the Oregon/ harbor seals are likely to be found these marine mammal hearing groups. Washington Coast stock abundance was transiting the area during in-water Generalized hearing ranges were chosen estimated to be 24,732. However, the construction. based on the approximately 65 decibel data used to publish that abundance (dB) threshold from the normalized Marine Mammal Hearing was eight years old at the time and no composite audiograms, with the more recent stock abundance estimates Hearing is the most important sensory exception for lower limits for low- exist (Caretta et al., 2019). The Oregon/ modality for marine mammals frequency cetaceans where the lower Washington Coast stock of harbor seals underwater, and exposure to bound was deemed to be biologically is not listed under the ESA nor are they anthropogenic sound can have implausible and the lower bound from considered depleted or strategic under deleterious effects. To appropriately Southall et al. (2007) retained. Marine the MMPA. assess the potential effects of exposure mammal hearing groups and their Harbor seals utilize specific shoreline to sound, it is necessary to understand associated hearing ranges are provided locations on a regular basis as haulouts the frequency ranges marine mammals in Table 4.

TABLE 4—MARINE MAMMAL HEARING GROUPS [NMFS, 2018]

Generalized hearing Hearing group range *

Low-frequency (LF) cetaceans (baleen whales) ...... 7 Hz to 35 kHz. Mid-frequency (MF) cetaceans (dolphins, toothed whales, beaked whales, bottlenose whales) ...... 150 Hz to 160 kHz. High-frequency (HF) cetaceans (true porpoises, Kogia, river dolphins, cephalorhynchid, Lagenorhynchus cruciger & L. 275 Hz to 160 kHz. australis). Phocid pinnipeds (PW) (underwater) (true seals) ...... 50 Hz to 86 kHz. Otariid pinnipeds (OW) (underwater) (sea lions and fur seals) ...... 60 Hz to 39 kHz. * Represents the generalized hearing range for the entire group as a composite (i.e., all species within the group), where individual species’ hearing ranges are typically not as broad. Generalized hearing range chosen based on ∼65 dB threshold from normalized composite audiogram, with the exception for lower limits for LF cetaceans (Southall et al. 2007) and PW pinniped (approximation).

The pinniped functional hearing California sea lion) and one is a phocid draw conclusions regarding the likely group was modified from Southall et al. (harbor seal). Please refer to Table 3. impacts of these activities on the (2007) on the basis of data indicating reproductive success or survivorship of Potential Effects of Specified Activities that phocid species have consistently individuals and how those impacts on on Marine Mammals and Their Habitat demonstrated an extended frequency individuals are likely to impact marine range of hearing compared to otariids, This section includes a summary and mammal species or stocks. especially in the higher frequency range discussion of the ways that components Description of Sound Sources (Hemila¨ et al., 2006; Kastelein et al., of the specified activity may impact 2009; Reichmuth and Holt, 2013). marine mammals and their habitat. The Sound travels in waves, the basic For more detail concerning these Estimated Take by Incidental components of which are frequency, groups and associated frequency ranges, Harassment section later in this wavelength, velocity, and amplitude. please see NMFS (2018) for a review of document includes a quantitative Frequency is the number of pressure available information. Three marine analysis of the number of individuals waves that pass by a reference point per mammal species (all pinnipeds) have that are expected to be taken by this unit of time and is measured in hertz the reasonable potential to co-occur activity. The Negligible Impact Analysis (Hz) or cycles per second. Wavelength is and Determination section considers the the distance between two peaks of a with the proposed construction content of this section, the Estimated sound wave; lower frequency sounds activities. Of those pinniped species, Take by Incidental Harassment section, have longer wavelengths than higher two are otariids (Steller sea lion and and the Proposed Mitigation section, to frequency sounds. Amplitude is the

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height of the sound pressure wave or the by known and unknown sources. These spatially and temporally varying ‘loudness’ of a sound and is typically sources may include physical (e.g., properties of the water column and sea measured using the decibel (dB) scale. waves, earthquakes, ice, atmospheric floor, and is frequency-dependent. As a A dB is the ratio between a measured sound), biological (e.g., sounds result of the dependence on a large pressure (with sound) and a reference produced by marine mammals, fish, and number of varying factors, ambient pressure (sound at a constant pressure, invertebrates), and anthropogenic sound sound levels can be expected to vary established by scientific standards). It is (e.g., vessels, dredging, aircraft, widely over both coarse and fine spatial a logarithmic unit that accounts for large construction). and temporal scales. Sound levels at a variations in amplitude; therefore, A number of sources contribute to given frequency and location can vary relatively small changes in dB ratings ambient sound, including the following by 10–20 dB from day to day correspond to large changes in sound (Richardson et al., 1995): (Richardson et al., 1995). The result is • pressure. When referring to sound Wind and waves: The complex that, depending on the source type and pressure levels (SPLs; the sound force interactions between wind and water its intensity, sound from the specified per unit area), sound is referenced in the surface, including processes such as activity may be a negligible addition to context of underwater sound pressure to breaking waves and wave-induced the local environment or could form a 1 microPascal (mPa). One Pascal is the bubble oscillations and cavitation, are a distinctive signal that may affect marine pressure resulting from a force of one main source of naturally occurring mammals. ambient noise for frequencies between Newton exerted over an area of one In-water construction activities 200 Hz and 50 kilohertz (kHz) (Mitson, square meter. The source level (SL) associated with the Project include 1995). In general, ambient sound levels represents the sound level at a distance impact pile driving, vibratory pile tend to increase with increasing wind of 1 m from the source (referenced to 1 removal and driving, potential down- mPa). The received level is the sound speed and wave height. Surf noise becomes important near shore, with the-hole drilling (included in vibratory level at the listener’s position. Note that pile removal and driving analysis), and all underwater sound levels in the measurements collected at a distance of 8.5 km from shore showing an increase potential preboring using an H-pile. The document are referenced to a pressure of sounds produced by these activities fall m of 10 dB in the 100 to 700 Hz band 1 Pa and all airborne sound levels in into one of two general sound types: this document are referenced to a during heavy surf conditions; pulsed and non-pulsed (defined in the pressure of 20 mPa. • Precipitation: Sound from rain and following). The distinction between Root mean square (rms) is the hail impacting the water surface can quadratic mean sound pressure over the become an important component of total these two sound types is important duration of an impulse. Rms is noise frequencies above 500 Hz, and because they have differing potential to calculated by squaring all of the sound possibly down to 100 Hz during quiet cause physical effects, particularly with amplitudes, averaging the squares, and times; regard to hearing (e.g., Ward 1997 in then taking the square root of the • Biological: Marine mammals can Southall et al., 2007). Please see average (Urick 1983). Rms accounts for contribute significantly to ambient noise Southall et al., (2007) for an in-depth both positive and negative values; levels, as can some fish and shrimp. The discussion of these concepts. Pulsed squaring the pressures makes all values frequency band for biological sound sources (e.g., impact pile driving) positive so that they may be accounted contributions is from approximately 12 produce signals that are brief (typically for in the summation of pressure levels Hz to over 100 kHz; considered to be less than one second), • (Hastings and Popper, 2005). This Anthropogenic: Sources of ambient broadband, atonal transients (ANSI measurement is often used in the noise related to human activity include 1986; Harris 1998; NIOSH 1998; ISO context of discussing behavioral effects, transportation (surface vessels and 2003; ANSI 2005) and occur either as in part because behavioral effects, aircraft), dredging and construction, oil isolated events or repeated in some which often result from auditory cues, and gas drilling and production, seismic succession. Pulsed sounds are all may be better expressed through surveys, sonar, explosions, and ocean characterized by a relatively rapid rise averaged units than by peak pressures. acoustic studies. Shipping noise from ambient pressure to a maximal When underwater objects vibrate or typically dominates the total ambient pressure value followed by a rapid activity occurs, sound-pressure waves noise for frequencies between 20 and decay period that may include a period are created. These waves alternately 300 Hz. In general, the frequencies of of diminishing, oscillating maximal and compress and decompress the water as anthropogenic sounds are below 1 kHz minimal pressures, and generally have the sound wave travels. Underwater and, if higher frequency sound levels an increased capacity to induce physical sound waves radiate in all directions are created, they attenuate rapidly injury as compared with sounds that away from the source (similar to ripples (Richardson et al., 1995). Sound from lack these features. Non-pulsed sounds on the surface of a pond), except in identifiable anthropogenic sources other can be tonal, narrowband or broadband, cases where the source is directional. than the activity of interest (e.g., a brief or prolonged, and may be The compressions and decompressions passing vessel) is sometimes termed continuous or non-continuous (ANSI associated with sound waves are background sound, as opposed to 1995; NIOSH 1998). Some of these non- detected as changes in pressure by ambient sound. pulsed sounds can be transient signals aquatic life and man-made sound The sum of the various natural and of short duration without the essential receptors such as hydrophones. anthropogenic sound sources at any properties of pulses (e.g., rapid rise Even in the absence of sound from the given location and time—which time). Examples of non-pulsed sounds specified activity, the underwater comprise ‘‘ambient’’ or ‘‘background’’ include those produced by vessels, environment is typically loud due to sound—depends not only on the source aircraft, machinery operations such as ambient sound. Ambient sound is levels (as determined by current drilling or dredging, vibratory pile defined as environmental background weather conditions and levels of driving, and active sonar systems (such sound levels lacking a single source or biological and shipping activity) but as those used by the U.S. Navy). The point (Richardson et al., 1995), and the also on the ability of sound to propagate duration of such sounds, as received at sound level of a region is defined by the through the environment. In turn, sound a distance, can be greatly extended in a total acoustical energy being generated propagation is dependent on the highly reverberant environment. Impact

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hammers operate by repeatedly mask acoustic cues used by marine experiments involving anthropogenic dropping a heavy piston onto a pile to mammals to carry out daily functions noise exposure at levels inducing PTS drive the pile into the substrate. such as communication and predator are not typically pursued or authorized Sound generated by impact hammers and prey detection. The effects of pile (NMFS, 2018). is characterized by rapid rise times and driving and drilling noise on marine Temporary Threshold Shift (TTS)—A high peak levels, a potentially injurious mammals are dependent on several temporary, reversible increase in the combination (Hastings and Popper, factors, including, but not limited to, threshold of audibility at a specified 2005). Vibratory hammers install piles sound type (e.g., impulsive vs. non- frequency or portion of an individual’s by vibrating them and allowing the impulsive), the species, age and sex hearing range above a previously weight of the hammer to push them into class (e.g., adult male vs. mom with established reference level (NMFS, the sediment. Vibratory hammers calf), duration of exposure, the distance 2018). Based on data from cetacean TTS produce significantly less sound than between the pile and the animal, measurements (see Southall et al., impact hammers. Peak SPLs may be 180 received levels, behavior at time of 2007), a TTS of 6 dB is considered the dB or greater, but are generally 10 to 20 exposure, and previous history with minimum threshold shift clearly larger dB lower than SPLs generated during exposure (Wartzok et al., 2004; Southall than any day-to-day or session-to- impact pile driving of the same-sized et al., 2007). Here we discuss physical session variation in a subject’s normal pile (Oestman et al., 2009). Rise time is auditory effects (threshold shifts) hearing ability (Schlundt et al., 2000; slower, reducing the probability and followed by behavioral effects and Finneran et al., 2000, 2002). As severity of injury, and sound energy is potential impacts on habitat. described in Finneran (2015), marine distributed over a greater amount of NMFS defines a noise-induced mammal studies have shown the time (Nedwell and Edwards, 2002; threshold shift (TS) as a change, usually amount of TTS increases with Carlson et al., 2005). Drilling would be an increase, in the threshold of cumulative sound exposure level conducted inside of the hollow 36-inch audibility at a specified frequency or (SELcum) in an accelerating fashion: At casings. The pulsing sounds produced portion of an individual’s hearing range low exposures with lower SELcum, the by the down-the-hole drilling methods above a previously established reference amount of TTS is typically small and are continuous, however, this method level (NMFS, 2018). The amount of the growth curves have shallow slopes. likely increases sound attenuation threshold shift is customarily expressed At exposures with higher SELcum, the because the noise is primarily contained in dB. A TS can be permanent or growth curves become steeper and within the steel pile and below ground, temporary. As described in NMFS approach linear relationships with the rather than impact hammer driving (2018), there are numerous factors to noise SEL. methods which occur at the top of the consider when examining the Depending on the degree (elevation of pile (R&M, 2016). consequence of TS, including, but not threshold in dB), duration (i.e., recovery The likely or possible impacts of the limited to, the signal temporal pattern time), and frequency range of TTS, and City’s proposed activity on marine (e.g., impulsive or non-impulsive), the context in which it is experienced, mammals could involve both non- likelihood an individual would be TTS can have effects on marine acoustic and acoustic stressors. exposed for a long enough duration or mammals ranging from discountable to Potential non-acoustic stressors could to a high enough level to induce a TS, serious (similar to those discussed in result from the physical presence of the the magnitude of the TS, time to auditory masking, below). For example, equipment and personnel; however, any recovery (seconds to minutes or hours to a marine mammal may be able to readily impacts to marine mammals are days), the frequency range of the compensate for a brief, relatively small expected to primarily be acoustic in exposure (i.e., spectral content), the amount of TTS in a non-critical nature. Acoustic stressors include hearing and vocalization frequency frequency range that takes place during effects of heavy equipment operation range of the exposed species relative to a time when the animal is traveling during site preparation and pile the signal’s frequency spectrum (i.e., through the open ocean, where ambient installation and removal, and use of how animal uses sound within the noise is lower and there are not as many above-water construction equipment. frequency band of the signal (Kastelein competing sounds present. Alternatively, a larger amount and Acoustic Impacts et al., 2014)), and the overlap between the animal and the source (e.g., spatial, longer duration of TTS sustained during The introduction of anthropogenic temporal, and spectral). time when communication is critical for noise into the aquatic environment from Permanent Threshold Shift (PTS)— successful mother/calf interactions pile driving and removal is the primary NMFS defines PTS as a permanent, could have more serious impacts. We means by which marine mammals may irreversible increase in the threshold of note that reduced hearing sensitivity as be harassed from the City’s specified audibility at a specified frequency or a simple function of aging has been activity. In general, animals exposed to portion of an individual’s hearing range observed in marine mammals, as well as natural or anthropogenic sound may above a previously established reference humans and other taxa (Southall et al., experience physical and psychological level (NMFS 2018). Available data from 2007), so we can infer that strategies effects, ranging in magnitude from none humans and other terrestrial mammals exist for coping with this condition to to severe (Southall et al., 2007). In indicate that a 40 dB threshold shift some degree, though likely not without general, exposure to pile driving and approximates PTS onset (see Ward et cost. drilling noise has the potential to result al., 1958, 1959; Ward 1960; Kryter et al., Currently, TTS data only exist for four in auditory threshold shifts and 1966; Miller, 1974; Ahroon et al., 1996; species of cetaceans (bottlenose dolphin behavioral reactions (e.g., avoidance, Henderson et al., 2008). PTS levels for (Tursiops truncatus), beluga whale temporary cessation of foraging and marine mammals are estimates, as with (Delphinapterus leucas), harbor vocalizing, changes in dive behavior). the exception of a single study porpoise (Phocoena phocoena), and Exposure to anthropogenic noise can unintentionally inducing PTS in a Yangtze finless porpoise (Neophocoena also lead to non-observable harbor seal (Kastak et al., 2008), there asiaeorientalis)) and five species of physiological responses such an are no empirical data measuring PTS in pinnipeds exposed to a limited number increase in stress hormones. Additional marine mammals largely due to the fact of sound sources (i.e., mostly tones and noise in a marine mammal’s habitat can that, for various ethical reasons, octave-band noise) in laboratory settings

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(Finneran, 2015). TTS was not observed Behavioral responses to sound are as Level B harassment take). Behavioral in trained spotted (Phoca largha) and highly variable and context-specific and reactions were observed in only five ringed (Pusa hispida) seals exposed to any reactions depend on numerous percent of the observed California sea impulsive noise at levels matching intrinsic and extrinsic factors (e.g., lions, and included travel towards and previous predictions of TTS onset species, state of maturity, experience, away from construction activities. 53 (Reichmuth et al., 2016). In general, current activity, reproductive state, harbor seals were also observed within harbor seals and harbor porpoises have auditory sensitivity, time of day), as the behavioral disturbance zone (323 a lower TTS onset than other measured well as the interplay between factors takes when extrapolated across pinniped or cetacean species (Finneran, (e.g., Richardson et al., 1995; Wartzok et unobserved construction days), however 2015). Additionally, the existing marine al., 2003; Southall et al., 2007; Weilgart, very few behavioral reactions were mammal TTS data come from a limited 2007; Archer et al., 2010). Behavioral observed by protected species observers number of individuals within these reactions can vary not only among (PSOs). Given that the projects sites in species. No data are available on noise- individuals but also within an Phase 2 are adjacent to those in Phase induced hearing loss for mysticetes. For individual, depending on previous 1, and the fact the same species are summaries of data on TTS in marine experience with a sound source, involved, we expect similar behavioral mammals or for further discussion of context, and numerous other factors responses of marine mammals to the TTS onset thresholds, please see (Ellison et al., 2012), and can vary specified activity. That is, disturbance, Southall et al. (2007), Finneran and depending on characteristics associated if any, is likely to be temporary and Jenkins (2012), Finneran (2015), and with the sound source (e.g., whether it localized (e.g., small area movements). Table 5 in NMFS (2018). Installing piles is moving or stationary, number of Masking—Sound can disrupt behavior requires a combination of impact pile sources, distance from the source). In through masking, or interfering with, an driving and vibratory pile driving. For general, pinnipeds seem more tolerant animal’s ability to detect, recognize, or the project, these activities would not of, or at least habituate more quickly to, discriminate between acoustic signals of occur at the same time and there would potentially disturbing underwater sound interest (e.g., those used for intraspecific likely be pauses in activities producing than do cetaceans, and generally seem communication and social interactions, the sound during each day. Given these to be less responsive to exposure to prey detection, predator avoidance, pauses and that many marine mammals industrial sound than most cetaceans. navigation) (Richardson et al., 1995). are likely moving through the action Please see Appendices B–C of Southall Masking occurs when the receipt of a area and not remaining for extended et al. (2007) for a review of studies sound is interfered with by another periods of time, the potential for TS involving marine mammal behavioral coincident sound at similar frequencies declines. responses to sound. and at similar or higher intensity, and Behavioral Harassment—Exposure to Disruption of feeding behavior can be may occur whether the sound is natural noise from site preparation activities difficult to correlate with anthropogenic (e.g., snapping shrimp, wind, waves, and pile driving and removal also has sound exposure, so it is usually inferred precipitation) or anthropogenic (e.g., the potential to behaviorally disturb by observed displacement from known pile driving, shipping, sonar, seismic marine mammals. Available studies foraging areas, the appearance of exploration) in origin. The ability of a show wide variation in response to secondary indicators (e.g., bubble nets noise source to mask biologically underwater sound; therefore, it is or sediment plumes), or changes in dive important sounds depends on the difficult to predict specifically how any behavior. As for other types of characteristics of both the noise source given sound in a particular instance behavioral response, the frequency, and the signal of interest (e.g., signal-to- might affect marine mammals duration, and temporal pattern of signal noise ratio, temporal variability, perceiving the signal. If a marine presentation, as well as differences in direction), in relation to each other and mammal does react briefly to an species sensitivity, are likely to an animal’s hearing abilities (e.g., underwater sound by changing its contributing factors to differences in sensitivity, frequency range, critical behavior or moving a small distance, the response in any given circumstance ratios, frequency discrimination, impacts of the change are unlikely to be (e.g., Croll et al., 2001; Nowacek et al., directional discrimination, age or TTS significant to the individual, let alone 2004; Madsen et al., 2006; Yazvenko et hearing loss), and existing ambient the stock or population. However, if a al., 2007). A determination of whether noise and propagation conditions. sound source displaces marine foraging disruptions incur fitness Masking of natural sounds can result mammals from an important feeding or consequences would require when human activities produce high breeding area for a prolonged period, information on or estimates of the levels of background sound at impacts on individuals and populations energetic requirements of the affected frequencies important to marine could be significant (e.g., Lusseau and individuals and the relationship mammals. Conversely, if the Bejder, 2007; Weilgart, 2007; NRC, between prey availability, foraging effort background level of underwater sound 2005). and success, and the life history stage of is high (e.g., on a day with strong wind Disturbance may result in changing the animal. and high waves), an anthropogenic durations of surfacing and dives, During Phase 1 of the Astoria sound source would not be detectable as number of blows per surfacing, or Waterfront Bridge Replacement project, far away as would be possible under moving direction and/or speed; the City documented observations of quieter conditions and would itself be reduced/increased vocal activities; marine mammals during construction masked. The Lower Columbia River is changing/cessation of certain behavioral activities (i.e., pile driving and removal) used by various types of vessels, activities (such as socializing or at the bridge sites (see 83 FR 19243 for including cargo ships, dredging vessels, feeding); visible startle response or Final IHA Federal Register notice). In fishing vessels, and pollution control aggressive behavior (such as tail/fluke the marine mammal monitoring report, vessels, among others; therefore, slapping or jaw clapping); avoidance of 604 California sea lions were observed background sound levels in the area are areas where sound sources are located. within the behavioral disturbance zone sometimes already elevated. Pinnipeds may increase their haul out (4204 takes when extrapolated across Airborne Acoustic Effects—Pinnipeds time, possibly to avoid in-water unobserved construction days) during that occur near the project site could be disturbance (Thorson and Reyff, 2006). pile driving activities (i.e., documented exposed to airborne sounds associated

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with pile driving and removal that have Considering the nature and duration of 180 dB may cause noticeable changes in the potential to cause behavioral the effects, combined with the measures behavior (Pearson et al., 1992; Skalski et harassment, depending on their distance to reduce turbidity, the impact from al., 1992). SPLs of sufficient strength from pile driving activities. Cetaceans increased turbidity levels is expected to have been known to cause injury to fish are not expected to be exposed to be discountable. and fish mortality. airborne sounds that would result in In-Water Construction Effects on The most likely impact to fish from harassment as defined under the Potential Foraging Habitat pile driving and drilling activities at the MMPA. project area would be temporary Airborne noise is primarily an issue The area likely impacted by the behavioral avoidance of the area. The for pinnipeds that are swimming or project is relatively small compared to hauled out near the project site within the available habitat in the surrounding duration of fish avoidance of this area the range of noise levels exceeding the waters of the Columbia River and after pile driving stops is unknown, but acoustic thresholds. We recognize that Pacific Ocean. Pile installation and a rapid return to normal recruitment, pinnipeds in the water could be removal may temporarily increase distribution and behavior is anticipated. exposed to airborne sound that may turbidity resulting from suspended In general, impacts to marine mammal result in behavioral harassment when sediments. Any increases would be prey species are expected to be minor looking with their heads above water. temporary, localized, and minimal. In and temporary due to the short Most likely, airborne sound would general, turbidity associated with pile timeframe for the project. Uncertainty cause behavioral responses similar to installation is localized to about a 25- regarding direct and indirect effects on those discussed above in relation to foot radius around the pile (Everitt et prey species will be mitigated due to the underwater sound. For instance, al., 1980). Based on monitoring results seasonal presence of salmonids and anthropogenic sound could cause from Phase 1, pinnipeds in the project other prey present in the area, and the hauled-out pinnipeds to exhibit changes area would likely be traveling through mitigation measures in place to reduce in their normal behavior, such as and could avoid localized areas of impacts to fish under Federal Aid reduction in vocalizations, or cause turbidity. Therefore, the impact from Highway Program (FAHP). Further, it is them to temporarily abandon the area increased turbidity levels is expected to anticipated that some of the pile driving and move further from the source. be discountable to marine mammals. activities will occur in the dry, despite During in-water activities, these animals Furthermore, pile driving and removal the conservative project analysis that would previously have been ‘taken’ at the project site would not obstruct assumes all pile driving would occur in- because of exposure to underwater movements or migration of marine water. Sound attenuation devices will sound above the behavioral harassment mammals. be installed for in-water pile driving. thresholds, which are, in all cases, Avoidance by potential prey (i.e., fish) Construction activities, in the form of larger than those associated with of the immediate area due to the increased turbidity, have the potential airborne sound. However, this project temporary loss of this foraging habitat is to adversely affect fish in the project also possible. The duration of fish includes above-water work that occurs area. Increased turbidity is expected to avoidance of this area after pile driving near California sea lion haulouts, and occur in the immediate vicinity (on the stops is unknown, but a rapid return to there is potential for above-water work order of 10 feet or less) of construction normal recruitment, distribution and to result in behavioral harassment of activities. However, suspended behavior is anticipated. Any behavioral these hauled out animals. sediments and particulates are expected avoidance by fish of the disturbed area to dissipate quickly within a single tidal Marine Mammal Habitat Effects would still leave significantly large cycle. Given the limited area affected The City’s construction activities areas of fish and marine mammal and high tidal dilution rates, any effects could have localized, temporary impacts foraging habitat in the nearby vicinity. on fish are expected to be minor or on marine mammal habitat by Impacts to habitat and prey are expected negligible. In addition, best management increasing in-water sound pressure to be temporary and minimal based on practices would be in effect, which levels and slightly decreasing water the short duration of activities. quality. In-water construction activities would limit the extent of turbidity to the are of short duration and would likely In-Water Construction Effects on immediate project area. have temporary impacts on marine Potential Prey (Fish) In summary, given the large areas of mammal habitat through increases in Construction activities would produce fish and marine mammal foraging underwater sound and minor visual continuous (i.e., vibratory pile driving) habitat in the Columbia River outside of disturbance due to the construction. and pulsed (i.e., impact driving) sounds. the ensonified area, and the anticipated Increased noise levels may affect Fish react to sounds that are especially rapid return to the project area acoustic habitat (see masking discussion strong and/or intermittent low- following cessation of in-water work, above) and adversely affect marine frequency sounds. Short duration, sharp pile driving and site preparation mammal prey in the vicinity of the sounds can cause overt or subtle activities associated with the proposed project area (see discussion below). changes in fish behavior and local action are not likely to have a During impact pile driving and potential distribution. Hastings and Popper (2005) permanent, adverse effect on any fish site preparation activities, elevated identified several studies that suggest habitat, or populations of fish species. levels of underwater noise would fish may relocate to avoid certain areas Thus, we conclude that impacts of the ensonify the river where both fish and of sound energy. Additional studies specified activity are not likely to have mammals may occur and could affect have documented effects of pile driving more than short-term adverse effects on foraging success. on fish, although several are based on any prey habitat or populations of prey In-water pile driving and pile removal studies in support of large, multiyear species. Further, any impacts to marine would also cause short-term effects on bridge construction projects (e.g., mammal habitat are not expected to water quality due to increased turbidity. Scholik and Yan, 2001, 2002; Popper result in significant or long-term The City would employ standard and Hastings, 2009). Sound pulses at consequences for individual marine construction best management practices, received levels of 160 dB may cause mammals, or to contribute to adverse thereby reducing any impacts. subtle changes in fish behavior. SPLs of impacts on their populations.

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Estimated Take hearing impairment; (2) the area or harassment. NMFS predicts that marine This section provides an estimate of volume of water that will be ensonified mammals are likely to be behaviorally the number of incidental takes proposed above these levels in a day; (3) the harassed in a manner we consider Level for authorization through this IHA, density or occurrence of marine B harassment when exposed to which will inform both NMFS’ mammals within these ensonified areas; underwater anthropogenic noise above consideration of ‘‘small numbers’’ and and, (4) and the number of days of received levels of 120 dB re 1 mPa (rms) the negligible impact determination. activities. We note that while these for continuous (e.g., vibratory pile- Harassment is the only type of take basic factors can contribute to a basic driving, drilling) and above 160 dB re 1 expected to result from these activities. calculation to provide an initial mPa (rms) for non-explosive impulsive Except with respect to certain activities prediction of takes, additional (e.g., seismic airguns) or intermittent not pertinent here, section 3(18) of the information that can qualitatively (e.g., scientific sonar) sources. For in-air MMPA defines ‘‘harassment’’ as any act inform take estimates is also sometimes sounds, NMFS predicts that harbor seals of pursuit, torment, or annoyance, available (e.g., previous monitoring exposed above received levels of 90 dB which (i) has the potential to injure a results or average group size). Below, we re 20 mPa (rms) will be behaviorally marine mammal or marine mammal describe the factors considered here in harassed, and other pinnipeds will be stock in the wild (Level A harassment); more detail and present the proposed harassed when exposed above 100 dB re or (ii) has the potential to disturb a take estimate. 20 mPa (rms). marine mammal or marine mammal Acoustic Thresholds The City’s proposed activity includes stock in the wild by causing disruption the use of continuous (vibratory pile of behavioral patterns, including, but Using the best available science, driving, preboring and potential down- not limited to, migration, breathing, NMFS has developed acoustic the-hole drilling) and impulsive (impact nursing, breeding, feeding, or sheltering thresholds that identify the received pile driving) sources, and therefore the (Level B harassment). level of underwater sound above which 120 and 160 dB re 1 mPa (rms) are Authorized takes would primarily be exposed marine mammals would be applicable for in-water noise. by Level B harassment, as use of the reasonably expected to be behaviorally vibratory and impact pile hammers, harassed (equated to Level B Level A harassment for non-explosive potential drill, and other construction harassment) or to incur PTS of some sources—NMFS’ Technical Guidance equipment has the potential to result in degree (equated to Level A harassment). for Assessing the Effects of disruption of behavioral patterns for Thresholds have also been developed Anthropogenic Sound on Marine individual marine mammals. There is identifying the received level of in-air Mammal Hearing (Version 2.0) also some potential for auditory injury sound above which exposed pinnipeds (Technical Guidance, 2018) identifies (Level A harassment) to California sea would likely be behaviorally harassed. dual criteria to assess auditory injury lions and harbor seals because they are Level B Harassment for non-explosive (Level A harassment) to five different more likely to occur closer to the project sources—Though significantly driven by marine mammal groups (based on site, particularly considering the small, received level, the onset of behavioral hearing sensitivity) as a result of nearby California sea lion haulout. disturbance from anthropogenic noise exposure to noise from two different Auditory injury is unlikely to occur to exposure is also informed to varying types of sources (impulsive or non- other groups, and the proposed degrees by other factors related to the impulsive). The City’s proposed mitigation and monitoring measures are source (e.g., frequency, predictability, activities include the use of impulsive expected to minimize the severity of duty cycle), the environment (e.g., (impact hammers) and non-impulsive such taking to the extent practicable. bathymetry), and the receiving animals (vibratory hammers, potential down-the- As described previously, no mortality (hearing, motivation, experience, hole drilling) sources. or serious injury is anticipated or demography, behavioral context) and These thresholds are provided in the proposed to be authorized for this can be difficult to predict (Southall et table below. The references, analysis, activity. Below we describe how the al., 2007; Ellison et al., 2012). Based on and methodology used in the take is estimated. what the available science indicates and development of the thresholds are Generally speaking, we estimate take the practical need to use a threshold described in NMFS 2018 Technical by considering: (1) Acoustic thresholds based on a factor that is both predictable Guidance, which may be accessed at above which NMFS believes the best and measurable for most activities, https://www.fisheries.noaa.gov/ available science indicates marine NMFS uses a generalized acoustic national/marine-mammal-protection/ mammals will be behaviorally harassed threshold based on received level to marine-mammal-acoustic-technical- or incur some degree of permanent estimate the onset of behavioral guidance.

TABLE 5—THRESHOLDS IDENTIFYING THE ONSET OF PERMANENT THRESHOLD SHIFT

PTS onset acoustic thresholds * Hearing group (received level) Impulsive Non-impulsive

Low-Frequency (LF) Cetaceans ...... Cell 1: Lpk,flat: 219 dB; LE,LF,24h: 183 dB...... Cell 2: LE,LF,24h: 199 dB Mid-Frequency (MF) Cetaceans ...... Cell 3: Lpk,flat: 230 dB; LE,MF,24h: 185 dB ...... Cell 4: LE,MF,24h: 198 dB. High-Frequency (HF) Cetaceans ...... Cell 5: Lpk,flat: 202 dB; LE,HF,24h: 155 dB ...... Cell 6: LE,HF,24h: 173 dB. Phocid Pinnipeds (PW) (Underwater) ...... Cell 7: Lpk,flat: 218 dB; LE,PW,24h: 185 dB ...... Cell 8: LE,PW,24h: 201 dB.

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TABLE 5—THRESHOLDS IDENTIFYING THE ONSET OF PERMANENT THRESHOLD SHIFT—Continued

PTS onset acoustic thresholds * Hearing group (received level) Impulsive Non-impulsive

Otariid Pinnipeds (OW) (Underwater) ...... Cell 9: Lpk,flat: 232 dB; LE,OW,24h: 203 dB ...... Cell 10: LE,OW,24h: 219 dB. * Dual metric acoustic thresholds for impulsive sounds: Use whichever results in the largest isopleth for calculating PTS onset. If a non-impul- sive sound has the potential of exceeding the peak sound pressure level thresholds associated with impulsive sounds, these thresholds should also be considered. 2 Note: Peak sound pressure (Lpk) has a reference value of 1 μPa, and cumulative sound exposure level (LE) has a reference value of 1μPa s. In this Table, thresholds are abbreviated to reflect American National Standards Institute standards (ANSI 2013). However, peak sound pressure is defined by ANSI as incorporating frequency weighting, which is not the intent for this Technical Guidance. Hence, the subscript ‘‘flat’’ is being included to indicate peak sound pressure should be flat weighted or unweighted within the generalized hearing range. The subscript associated with cumulative sound exposure level thresholds indicates the designated marine mammal auditory weighting function (LF, MF, and HF cetaceans, and PW and OW pinnipeds) and that the recommended accumulation period is 24 hours. The cumulative sound exposure level thresholds could be exceeded in a multitude of ways (i.e., varying exposure levels and durations, duty cycle). When possible, it is valuable for action proponents to indicate the conditions under which these acoustic thresholds will be exceeded.

Ensonified Area into the river channel during vibratory are presented in Table 6. Source levels installation/removal of the 36-inch for vibratory installation and removal of Here, we describe operational and temporary steel casings, though this piles of the same diameter are assumed environmental parameters of the activity distance does not account for tide to be the same. that will feed into identifying the area levels. There is a chance that pile The source level for vibratory removal ensonified above the acoustic installation work could be done during of timber piles is from in-water thresholds, which include source levels low tides, where exposed sand bars measurements generated by the and transmission loss coefficient. could significantly reduce the Level B The sound field in the project area is ZOI. Greenbusch Group (2018) from the the existing background noise plus The project includes vibratory Seattle Pier 62 project (83 FR 39709; additional construction noise from the removal of timber piles, vibratory and April 10, 2018). Hydroacoustic proposed project. Marine mammals are impact pile installation of steel pipe monitoring results from Pier 62 expected to be affected via sound piles and site preparation using a determined unweighted rms ranging generated by the primary components of vibratory hammer and H-pile. Source from 140 dB to 169 dB. NMFS analyzed the project (i.e., impact pile driving, levels of pile installation/removal source measurements at different vibratory pile driving and removal, site activities and site preparation are based distances for all 63 individual timber preparation). The maximum on reviews of measurements of the same piles that were removed at Pier 62 and (underwater) area ensonified above the or similar types and dimensions of piles normalized the values to 10 m. The thresholds for behavioral harassment available in the literature. Source levels results showed that the median is 152 referenced above is 21.53km (13.38 mi) for each pile size and driving method dB SPLrms.

TABLE 6—SOUND SOURCE LEVELS FOR IN-WATER ACTIVITIES

Source level Pile size/type Method (at 10m) Literature source dB RMS dB SEL b dB peak

14-inch Timber ...... Vibratory ...... 152 ...... The Greenbusch Group, Inc (2018). 14-inch Steel H-pile ...... Vibratory ...... 150 ...... WSDOT (2016). 24-inch Steel Pipe ...... Vibratory ...... 162 ...... WSDOT (2010). Impact ...... a 187 a 171 a 200 WSDOT (2016). 36-inch Steel Pipe ...... Vibratory ...... 170 ...... CA Dept. of Transportation (2015). a Includes 7dB reduction from use of bubble curtain. b Sound exposure level (dB re 1 μPa2-sec).

It is anticipated that the contractor addition method (Table 7) does not TABLE 7—MULTIPLE-SOURCE DECIBEL may employ two crews during result in significant increases in the ADDITION construction to keep the project on noise source when an impact hammer schedule. This could result in and vibratory hammer are operated at Add the concurrent use of a vibratory hammer the same time, because the difference in When two decibel values dif- following to and an impact hammer, however, the fer by: the higher noise source levels (Table 6) between level contractor will not operate two of the the two hammers is greater than 10dB. same hammer type concurrently. The 0–1 dB ...... 3 dB hammers would be operated at two 2–3 dB ...... 2 dB different bridges. The ensonified zones 4–9 dB ...... 1 dB would likely overlap during concurrent >10 dB ...... 0 dB use, but the multiple-source decibel

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Transmission loss (TL) is the decrease TL = B * Log10 (R 1/R 2), Absent site-specific acoustical in acoustic intensity as an acoustic where monitoring with differing measured pressure wave propagates out from a transmission loss, a practical spreading source. TL parameters vary with TL = transmission loss in dB value of 15 is used as the transmission frequency, temperature, sea conditions, B = transmission loss coefficient loss coefficient in the above formula. R = the distance of the modeled SPL from current, source and receiver depth, 1 Site-specific transmission loss data for the driven pile, and water depth, water chemistry, and Astoria are not available, therefore the R = the distance from the driven pile of the bottom composition and topography. 2 default coefficient of 15 is used to initial measurement The general formula for underwater TL determine the distances to the Level A is: and Level B harassment thresholds.

TABLE 8—IN-WATER ACTIVITY SOURCE LEVELS AND DISTANCES TO LEVEL B HARASSMENT THRESHOLDS

Source level Level B Distance to Level B at 10 m threshold Propagation Level B harassment Pile size/type Method (dB re 1 (dB re 1 (xLogR) threshold ensonified μPa rms) μPa rms) (m) area (km2)

14-inch Timber ...... Vibratory ...... 152 120 15 1,359.4 3.2 14-inch Steel H-pile ...... Vibratory ...... 150 120 15 1,000.0 1.8 24-inch Steel Pipe ...... Vibratory ...... 162 120 15 6,309.6 55.3 Impact ...... 187 160 15 631.0 0.8 36-inch Steel Pipe ...... Vibratory ...... 170 120 15 21,544.4 212.3

In-Air Disturbance during General no nearby haulouts, and are, therefore, with marine mammal density or Construction Activities—Behavioral not expected to be harassed by in-air occurrence to help predict takes. We disturbance (Level B harassment take) sound. Additionally, the City is note that because of some of the may occur incidental to the use of proposing a 10 m shutdown zone (Table assumptions included in the methods construction equipment during general 16) for all construction work to prevent used for these tools, we anticipate that construction that is proposed in the dry, injury from physical interaction with isopleths produced are typically going above water, or inland within close equipment. The City would therefore to be overestimates of some degree, proximity to the river banks. These shut down equipment before hauled out which may result in some degree of construction activities are associated sea lions could be acoustically harassed overestimate of Level A harassment with the removal and construction of by the sound produced. No Level B take. However, these tools offer the best the rail superstructures, removal of the harassment is expected to occur due to way to predict appropriate isopleths existing concrete foundations, increased sounds from roadway when more sophisticated 3D modeling construction of abutment wingwalls, construction. However, sea lions may be and the construction of a temporary disturbed by the presence of methods are not available, and NMFS work platform. Possible equipment and construction equipment and increased continues to develop ways to sound source levels are included in human presence during above-water quantitatively refine these tools, and Table 1. Using the Spherical Spreading construction. will qualitatively address the output Loss Model (20logR), a maximum sound When the NMFS Technical Guidance where appropriate. For stationary source level of 93 dB RMS at 20 m, (2016) was published, in recognition of sources such as pile driving, NMFS User sound levels in-air would attenuate the fact that ensonified area/volume Spreadsheet predicts the distance at below the 90dB RMS Level B could be more technically challenging which, if a marine mammal remained at harassment threshold for harbor seals at to predict because of the duration that distance the whole duration of the 28 m, and below the 100 dB RMS component in the new thresholds, we activity, it would incur PTS. Inputs threshold for all other pinnipeds at 9 m. developed a User Spreadsheet that entered in the User Spreadsheet (Table Harbor seals are not expected to occur includes tools to help predict a simple 9) and the resulting isopleths are within 28m of the activity as there are isopleth that can be used in conjunction reported below (Table 10). TABLE 9—USER SPREADSHEET INPUT PARAMETERS USED FOR CALCULATING LEVEL A HARASSMENT ISOPLETHS

Weighting Duration to Distance from Pile size and installa- factor Number of drive single Number of Propagation source level tion method Spreadsheet tab used adjustment Source level at 10 m piles within pile strikes per (xLogR) measurement (kHz) 24-h period (minutes) pile (meters)

14-inch Timber Vibra- A.1) Vibratory pile 2.5 152dB RMS SPL ...... 50 20 ...... 15 10 tory. driving. 14-inch Steel H-Pile ... A.1) Vibratory pile 2.5 150dB RMS SPL ...... 36 25 ...... 15 10 driving. 24-inch Steel Vibratory A.1) Vibratory pile 2.5 162dB RMS SPL ...... 18 20 ...... 15 10 driving. 36-inch Steel Vibratory A.1) Vibratory pile 2.5 170dB RMS SPL ...... 36 8 ...... 15 10 driving. 24-inch Steel Impact .. E.1) Impact pile driv- 2 171dB SEL/207 PK 23 ...... 500 15 10 ing. SPL.

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The applicant may conduct down-the- removal of 36-inch steel piles, as that will consider the Level A harassment hole drilling, however a separate Level B harassment zone is clipped in zone for down-the-hole drilling to be the analysis is not provided for that activity, all directions, and therefore is the most same as the Level A harassment zones as it is was not necessary in Phase 1 of conservative a Level B harassment zone calculated for impact pile driving of the the project, and is not expected to be could be. A conservative Level B 24-inch steel piles. These are the largest necessary in Phase 2. Should drilling be harassment zone is of particular Level A harassment zones, and Level A necessary, the Level B harassment zone importance due to the fact that the harassment zones are expected to be will be considered to be the same as that duration of drilling, should it be smaller for a continuous sound source calculated for vibratory installation/ necessary, is unknown. The applicant such as down-the-hole drilling.

TABLE 10—CALCULATED DISTANCES TO LEVEL A HARASSMENT ISOPLETHS

Level A harassment zone Pile size and installation method (m) Phocids Otariids

14-inch Timber Vibratory ...... 6.8 0.5 14-inch Steel H-Pile ...... 4.7 0.3 24-inch Steel Vibratory ...... 16 1.1 36-inch Steel Vibratory ...... 47 3.3 24-inch Steel Impact (and down-the-hole drilling, if necessary) ...... * 431.5 31.4 * (Peak 7.4)

Marine Mammal Occurrence and Take Additionally, while harbor seals are only three more recent surveys, none of Calculation and Estimation unlikely to occur in the Level A which occurred during the IWWP harassment zone during vibratory pile months (Bryan Wright, pers. comm., In this section we provide the driving (based on Phase 1 monitoring), September 2019). The Level B information about the presence, density, the applicant is concerned that if a few harassment zones for Phase 2 extend far or group dynamics of marine mammals, animals occurred in the Level A beyond the calculated zones for Phase 1, and how it is brought together with the harassment zone during impact pile approaching the South Jetty. Therefore, information provided above to produce driving, they may need to shut down NMFS expects that that average daily a quantitative take estimate. Estimated more frequently than is practical, given count from the South Jetty provides an takes of each species were calculated the IWWP restrictions previously appropriate daily count to calculate using information provided by the discussed. As such, NMFS is proposing potential Steller sea lion Level B Oregon Department of Fish and Wildlife to observe a shutdown zone that is harassment take during Phase 2. Note (Bryan Wright, pers. comm., August smaller than the Level A isopleth for the calculation is based on the average 2019), Washington Department of Fish impact pile driving and to issue small daily count, not the maximum. The and Wildlife (WDFW, 2014) and the numbers of Level A harassment take of maximum daily count was 606 animals, Marine Mammal Commission (Tiff harbor seals (Table 14). This proposed in the month of April. Considering that Brookens, pers. comm., March 2018). take would avoid potentially excessive work will only occur in April if the Harbor Seal shut downs should a small group of entire IWWP extension is exercised, and harbor seals enter the project area on the large difference between the Numbers of harbor seals hauled out at each day while impact pile driving maximum daily count and the average Desdemona Sands have been reported to activities (or down-the-hole drilling, as daily count, NMFS believes that using reach into the thousands (Profita, 2015), necessary) are underway. Level A the maximum daily count would greatly but specific counts were unavailable. harassment take of harbor seals was overestimate potential take. Without counts of harbor seals closer to calculated by multiplying a group of For Phase 1 Level B harassment take the project site, the maximum average two animals by 14 in-water work days. calculations of Steller sea lions, daily count of harbor seals at the South Jetty Level A takes may only occur during the estimates were based off of observations (57 seals; WDFW, 2014) is used to subset of in-water work days when the at Bonneville Dam and Willamette Falls, calculate take, as in Phase 1 (83 FR applicant conducts impact pile driving as these animals must transit past 19243, May 2, 2018). The Level B (or down-the-hole drilling, as required), Astoria at some point in their travels harassment zones for Phase 2 extend far as the shutdown zone contains the from the Pacific to the upper Columbia beyond the calculated zones for Phase 1, entire Level A harassment zone for all River (83 FR 19243, May 2, 2018). The approaching the South Jetty, further other in-water work activities. supporting the use of these harbor seal daily count was 67 animals, 63 at counts. Steller Sea Lion Bonneville Dam and four at Willamette Harbor seals do not haul out near the Counts of Steller sea lions at the East Falls. However, NMFS believes that project area and would only be Mooring Basin are typically in the single South Jetty estimates are more potentially harassed if they are digits (B. Wright, pers. comm., March appropriate and more conservative for transiting through the Level A or Level 2018), while the average number of Phase 2 take calculations, given the B harassment zone during the in-water Steller sea lions observed at the South larger Level B harassment zones, some work period (including the extension, if Jetty during the in-water work period of which extend downriver close to the applicable). Level B harassment take (including the possible extension) from South Jetty. was calculated by multiplying the 2000–2014, was 272 animals (WDFW, Level B harassment take was maximum average count of harbor seals 2014). When the applicant consulted calculated by multiplying the daily at the South Jetty by days of in-water ODFW for more recent Steller sea lion counts of Steller sea lions by days of activity (Table 11). data, ODFW advised that there were activity (Table 11).

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Steller sea lions do not haul out near harassment zone during the in-water Level A harassment zone for otariids the construction sites and would only work period (including the extension, if (Table 10). No Level A harassment takes be potentially harassed if they are applicable). Steller sea lions are not of Steller sea lions are proposed nor transiting through the Level B expected to occur within the calculated expected to be authorized.

TABLE 11—LEVEL B HARASSMENT TAKE CALCULATION FOR HARBOR SEAL AND STELLER SEA LION

Maximum Days of Total take Species average/daily in-water (Level B) count activity c

Harbor seal ...... a 57 21 1,197 Steller sea lion ...... b 272 21 5,712 a Maximum average count of harbor seals at the South Jetty (WDFW, 2014). b Average number of Steller sea lions observed at the South Jetty during the in-water work period (including the possible extension) from 2000–2014 (WDFW, 2014). c Includes in-water activity for the entire project.

California Sea Lion TABLE 12—DAILY AVERAGE MAXIMUM during the above-water work period, not NUMBER OF CALIFORNIA SEA LIONS including the IWWP extension (May to Aerial surveys of the East Mooring AT EAST MOORING BASIN FOR October). Level B harassment takes of Basin in Astoria from 2011 to 2018 IWWP MONTHS, INCLUDING THE PO- California sea lions from above-water (Bryan Wright, pers. comm., August activities were calculated by TENTIAL EXTENSION 2019) were used to calculate in-water multiplying the maximum estimate from Level B harassment take of California the City’s 2017 opportunistic surveys at Month Daily average sea lions, as in Phase 1 of this activity maximum a the bridge sites (16 animals) by the (83 FR 19243, May 2, 2018). The data estimated 11 days of work per month provided to NMFS by ODFW included November ...... 141 during the above-water work period. the maximum California sea lion count December ...... 135 NMFS is proposing to authorize January ...... 408 observed on a single day for each month February ...... 893 25,011 Level B harassment takes of throughout the survey period. These March ...... 1,191 California sea lions associated with in- maximum counts at the East Mooring April ...... 982 water and above-water work during the Basin ranged from 0 California sea lions IWWP. The City expects approximately a Daily average maximum was calculated on a single day in July 2017 to 3,834 on using data from aerial surveys of the East 21 in-water work days across Phase 2 of a single day in March 2016. A ‘‘daily Mooring Basin in Astoria from 2011 to 2018 the project. However, because the exact average maximum’’ for each IWWP (Bryan Wright, pers. comm., 2019). construction schedule is unknown, month (Table 12) was calculated by California sea lions are the most there are uncertainties in how many of averaging the maximum counts on a commonly observed marine mammal in the estimated work days will occur single day for each survey month the area, and are known to haul out on during each month. Therefore, provided by ODFW. In addition to the riverbanks and structures near the estimated Level B harassment take ODFW aerial surveys, the City bridges, as described above. California during the IWWP (Table 13) is conducted opportunistic surveys of sea lions may be harassed by calculated by multiplying the highest daily average maximum (Table 12) pinnipeds at the bridge sites in underwater sound resulting from during the IWWP months (including the December 2017. A maximum of four vibratory pile removal and impact pile potential extension) by the estimated 21 California sea lions were observed in the driving (at the distances listed above) as well as airborne sound resulting from in-water work days. California sea lions water surrounding the bridges and piers. exposed to in-air sound above Level B Additional California sea lions were roadway and railway demolition and construction. As such, California sea harassment threshold during the IWWP heard vocalizing from the riverbanks lions may be subject to harassment are expected to have already been taken under the bridges but the exact number throughout the duration of Phase 2 of by in-water activity, and therefore of sea lions could not be determined. the project (December through already be included in the take November). calculation. NMFS is proposing to authorize 1,056 Total California sea lion Level B Level B harassment takes of California harassment takes (Table 13) are sea lions associated with above-water calculated as the sum of above-water construction activities taking place work period and IWWP takes.

TABLE 13—LEVEL B HARASSMENT TAKE CALCULATION OF CALIFORNIA SEA LION

Daily average Potential Work period number of Takes per maximum b workdays month

IWWP a ...... 1,191 21 25,011 May ...... 16 11 176 June ...... 16 11 176 July ...... 16 11 176 August ...... 16 11 176 September ...... 16 11 176

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TABLE 13—LEVEL B HARASSMENT TAKE CALCULATION OF CALIFORNIA SEA LION—Continued

Potential Daily average Takes per Work period b number of maximum workdays month

October ...... 16 11 176

Total ...... 26,067 a IWWP includes the potential extension, as the month of March has the highest daily average maximum count. b Daily average maximums during above-water work months are estimates from the City’s opportunistic surveys at the Phase 1 bridge sites in December 2017.

Only 4204 Level B harassment takes to the applicant, as there is a limited lions (Table 14). The Level A of California sea lion were reported for IWWP imposed by the Oregon harassment takes are calculated by Phase 1; however, the Phase 2 project Department of Fish and Wildlife and, multiplying the 16 animals that haulout area is much larger than the area within therefore, the proposed mitigation zone near the project site (City of Astoria which marine mammals were reported does not entirely contain the area within December 2017 surveys) by 14 in-water in Phase 1. Therefore, NMFS expects the Level A harassment isopleth for work days. Level A takes may only California sea lion take to be higher for impact pile driving. The applicant has occur during the subset of in-water work Phase 2 than was reported in the requested Level A harassment takes of days when the applicant conducts monitoring report for Phase 1. California sea lions, as the animals that impact pile driving (or down-the-hole As discussed above, the City estimates haulout nearby may enter the Level A drilling, as required), as the shutdown that approximately 16 California sea harassment zone as they transit between zone contains the entire Level A lions haul out near the project sites the haulouts and their feeding areas in based on opportunistic surveys the Columbia River. harassment zone for all other in-water conducted in December 2017. Frequent NMFS is proposing to issue 224 Level work activities. construction shutdowns are of concern A harassment takes of California sea

TABLE 14—LEVEL A HARASSMENT TAKE CALCULATION OF HARBOR SEAL AND CALIFORNIA SEA LION

Estimated number of Level A har- Species Daily count in-water assment take work days

Harbor seal ...... 2 14 28 California sea lion ...... a 16 14 224 a December 2017 survey estimates of California sea lions by the City at Phase 1 bridge sites.

TABLE 15—TOTAL LEVEL A AND LEVEL B TAKE PROPOSED FOR AUTHORIZATION

Level A Level B Common name Stock harassment harassment Total take Stock Percent of take take abundance stock

Harbor seal ...... Oregon/Washington Coast 28 1,197 1,225 a 24,732 5.0 Steller sea lion ...... Eastern U.S ...... 0 5,712 5,712 41,638 13.7 California sea lion ...... U.S ...... 224 26,067 26,291 257,606 10.2 a As noted in Table 3, there is no current estimate of abundance available for the Oregon/Washington Coast stock of harbor seal. The abun- dance estimate from 1999, included here, is the most recent.

Proposed Mitigation feasibility (economic and technological) expected to reduce impacts to marine In order to issue an IHA under of equipment, methods, and manner of mammals, marine mammal species or Section 101(a)(5)(D) of the MMPA, conducting such activity or other means stocks, and their habitat. This considers NMFS must set forth the permissible of effecting the least practicable adverse the nature of the potential adverse methods of taking pursuant to such impact upon the affected species or impact being mitigated (likelihood, activity, and other means of effecting stocks and their habitat (50 CFR scope, range). It further considers the the least practicable impact on such 216.104(a)(11)). likelihood that the measure will be species or stock and its habitat, paying In evaluating how mitigation may or effective if implemented (probability of particular attention to rookeries, mating may not be appropriate to ensure the accomplishing the mitigating result if grounds, and areas of similar least practicable adverse impact on implemented as planned), the significance, and on the availability of species or stocks and their habitat, as likelihood of effective implementation such species or stock for taking for well as subsistence uses where (probability implemented as planned), certain subsistence uses (latter not applicable, we carefully consider two and; applicable for this action). NMFS primary factors: (2) the practicability of the measures regulations require applicants for (1) The manner in which, and the for applicant implementation, which incidental take authorizations to include degree to which, the successful may consider such things as cost, information about the availability and implementation of the measure(s) is impact on operations, and, in the case

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of a military readiness activity, towards the monitoring zone (i.e., Level harbor seals and California sea lions. personnel safety, practicality of B harassment zone); and During all pile driving and removal implementation, and impact on the • If observed take reaches the activities, as well as above-water effectiveness of the military readiness authorized limit for an authorized construction, a minimum shutdown activity. species, pile installation will be stopped zone of 10m would be enforced (Table In addition to the measures described as these species approach the Level B 16) for all species to prevent physical later in this section, the City will harassment zone to avoid additional injury from interaction with employ the following standard take. construction equipment. Additionally, a mitigation measures: The following measures would apply shutdown zone of 32m will be enforced • The City shall conduct briefings to the City’s mitigation requirements: for Steller sea lions during impact pile between construction supervisors and Establishment of Shutdown Zones— driving to reduce the likelihood of Level crews, marine mammal monitoring For all pile driving/removal and drilling A harassment take (Table 16). The team, and City staff prior to the start of activities, the City will establish placement of Protected Species all construction work, and when new appropriate shutdown zones. The Observers (PSOs) during all pile driving personnel join the work, in order to purpose of a shutdown zone is generally and drilling activities (described in explain responsibilities, communication to define an area within which detail in the Monitoring and Reporting procedures, marine mammal monitoring shutdown of activity would occur upon Section) will ensure shutdown zones are protocol, and operational procedures; sighting of a marine mammal (or in visible when they are on site. When • For those marine mammals for anticipation of an animal entering the PSOs are not on site, the Oregon which Level B harassment take has not defined area). These shutdown zones Department of Transportation (ODOT) been requested, in-water pile would be used to prevent incidental inspector will be responsible for installation/removal and drilling will Level A exposures from pile driving and ensuring that activities shut down if a shut down immediately if such species removal for Steller sea lions, and to marine mammal enters the shutdown are observed within or on a path reduce the potential for such take of zone.

TABLE 16—SHUTDOWN ZONES

Shutdown zone (m) Construction activity Harbor Steller California seal sea lion sea lion

All Vibratory Pile Driving/Removal and Site Preparation ...... 50 10 10

24-inch Steel Impact Pile Driving ...... 32

Above-water Construction ...... 10 10

Establishment of Monitoring Zones for visible to PSOs. Level B harassment would be made by the hammer at 40 Level B Harassment—The City would exposures will be recorded and percent energy, followed by a 1-minute establish monitoring zones to correlate extrapolated based upon the number of wait period, then two subsequent 3- with Level B harassment zones or zones observed take and the percentage of the strike sets at 40 percent energy, with 1- of influence. These are areas where Level B zone that was not visible. minute waiting periods, before initiating SPLs are equal to or exceed the 160 dB continuous driving. Soft start would be rms threshold for impact driving and TABLE 17—MARINE MAMMAL implemented at the start of each day’s the 120 dB rms threshold during MONITORING ZONES impact pile driving and at any time vibratory driving and site preparation. following cessation of impact pile For airborne noise, these thresholds are driving for a period of thirty minutes or Construction activity Monitoring zone 90 dB RMS re 20mPa for harbor seals (m) longer. Soft start is not required during and 100 db RMS re: 20mPa for all other vibratory pile driving and removal pinnipeds. Monitoring zones provide Above-water Con- 28 (harbor seal only). activities. struction. Pre-Activity Monitoring—Prior to the utility for observing by establishing 14-inch Timber Vibra- 1,360. monitoring protocols for areas adjacent tory. start of daily in-water construction to the shutdown zones. Monitoring 14-inch Steel H-Pile .. 1,000. activity, or whenever a break in pile zones enable observers to be aware of 24-inch Steel Vibra- 6,310. driving/removal or site preparation of and communicate the presence of tory. 30 minutes or longer occurs, PSOs will marine mammals in the project area 36-inch Steel Vibra- 21,545. observe the shutdown and monitoring outside the shutdown zone and thus tory. zones for a period of 30 minutes. The prepare for a potential cease of activity 24-inch Steel Impact 635. shutdown zone will be cleared when a should the animal enter the shutdown marine mammal has not been observed zone. The proposed monitoring zones Soft Start—The use of soft-start within the zone for that 30-minute are described in Table 17. Placement of procedures are believed to provide period. If a marine mammal is observed PSOs on the shorelines around the additional protection to marine within the shutdown zone, a soft-start Columbia River allow PSOs to observe mammals by providing warning and/or cannot proceed until the animal has marine mammals within the project site, giving marine mammals a chance to been confirmed to have left the zone or however, due to the size of the Level B leave the area prior to the hammer has not been observed for 15 minutes. harassment zone during some activities, operating at full capacity. For impact If the Level B harassment zone has been not all Level B harassment takes will be driving, an initial set of three strikes observed for 30 minutes and non-

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permitted species are not observed context of exposure (e.g., age, calving or harassment zones. One observer will be within the zone, soft start procedures feeding areas); stationed along the north bank of the can commence and work can continue • Individual marine mammal river at the Washington State even if visibility becomes impaired responses (behavioral or physiological) Department of Transportation Rest Area: within the Level B monitoring zone. to acoustic stressors (acute, chronic, or Dismal Nitch. One observer will be When a marine mammal permitted for cumulative), other stressors, or stationed at the best practicable land- Level B harassment take is present in cumulative impacts from multiple based vantage point to observe the the Level B harassment zone, activities stressors; remainder of the Level A and Level B • may begin and Level B take will be How anticipated responses to harassment zones. Likely locations recorded. As stated above, if the entire stressors impact either: (1) Long-term include the 6th Street viewing platform Level B zone is not visible at the start fitness and survival of individual and the Pier 12 parking lot. If vibratory of construction, piling or drilling marine mammals; or (2) populations, installation of the 36-inch casings species, or stocks; activities can begin. If work ceases for • occurs, this observer will be positioned more than 30 minutes, the pre-activity Effects on marine mammal habitat along the north bank of the river monitoring of both the Level B and (e.g., marine mammal prey species, downstream of the project site within shutdown zone will commence. acoustic habitat, or other important the Chinook County Park. The ODOT Based on our evaluation of the physical components of marine on-site inspector will be trained in applicant’s proposed measures, as well mammal habitat); species identification and monitoring • Mitigation and monitoring as other measures considered by NMFS, protocol and will be on-site during all effectiveness. NMFS has preliminarily determined vibratory removal and installation that the proposed mitigation measures Marine Mammal Visual Monitoring activities to confirm that no species provide the means effecting the least Monitoring shall be conducted by enter the 10-meter Shutdown Zone practicable impact on the affected NMFS-approved observers. Trained when PSOs are not onsite. species or stocks and their habitat, observers shall be placed at the best Two PSOs will be on-site the first day paying particular attention to rookeries, vantage point(s) practicable to monitor of impact pile driving at each bridge, mating grounds, and areas of similar for marine mammals, and will and every third day thereafter. One significance. implement shutdown or delay observer will be stationed at the best practicable land-based vantage point to Proposed Monitoring and Reporting procedures when applicable through communication with the equipment observe the Shutdown Zone and a In order to issue an IHA for an operator. Observer training must be portion of the Level A and Level B activity, Section 101(a)(5)(D) of the provided prior to project start, and shall harassment zones. One observer will be MMPA states that NMFS must set forth include instruction on species stationed at the best practicable land- requirements pertaining to the identification (sufficient to distinguish based vantage point to observe the monitoring and reporting of such taking. the species in the project area), remainder of the Level A and Level B The MMPA implementing regulations at description and categorization of harassment zones. Likely locations 50 CFR 216.104 (a)(13) indicate that observed behaviors and interpretation of include the 6th Street viewing platform, requests for authorizations must include behaviors that may be construed as the Pier 12 parking lot, or the the suggested means of accomplishing being reactions to the specified activity, Washington State Department of the necessary monitoring and reporting proper completion of data forms, and Transportation Rest Area: Dismal Nitch that will result in increased knowledge other basic components of biological on the north bank of the river. The of the species and of the level of taking monitoring, including tracking of ODOT on-site inspector will be trained or impacts on populations of marine observed animals or groups of animals in species identification and monitoring mammals that are expected to be such that repeat sound exposures may protocol and will be on-site during all present in the proposed action area. be attributed to individuals (to the impact pile driving activities to confirm Effective reporting is critical both to extent possible). that no species enter the 10-meter compliance as well as ensuring that the Monitoring would be conducted 30 Shutdown Zone when PSOs are not most value is obtained from the required minutes before, during, and 30 minutes onsite. monitoring. after pile driving/removal and drilling PSOs would scan the waters using Monitoring and reporting activities. In addition, observers shall binoculars, and/or spotting scopes, and requirements prescribed by NMFS record all incidents of marine mammal would use a handheld GPS or range- should contribute to improved occurrence, regardless of distance from finder device to verify the distance to understanding of one or more of the activity, and shall document any each sighting from the project site. All following: behavioral reactions in concert with PSOs would be trained in marine • Occurrence of marine mammal distance from piles being driven or mammal identification and behaviors species or stocks in the area in which removed. Pile driving/removal and and are required to have no other take is anticipated (e.g., presence, drilling activities include the time to project-related tasks while conducting abundance, distribution, density); install or remove a single pile or series monitoring. In addition, monitoring will • Nature, scope, or context of likely of piles, as long as the time elapsed be conducted by qualified observers, marine mammal exposure to potential between uses of the pile driving who will be placed at the best vantage stressors/impacts (individual or equipment is no more than 30 minutes. point(s) practicable to monitor for cumulative, acute or chronic), through Three PSOs will be on-site the first marine mammals and implement better understanding of: (1) Action or day and every third day thereafter shutdown/delay procedures when environment (e.g., source during vibratory hammer installation applicable by calling for the shutdown characterization, propagation, ambient and site preparation at each bridge. One to the hammer operator. The City would noise); (2) affected species (e.g., life observer will be stationed at the best adhere to the following observer history, dive patterns); (3) co-occurrence practicable land-based vantage point to qualifications: of marine mammal species with the observe the Shutdown Zone and a (i) Independent observers (i.e., not action; or (4) biological or behavioral portion of the Level A and Level B construction personnel) are required.

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(ii) At least one observer must have • Description of any observable less than a moderate state of prior experience working as an observer. marine mammal behavior patterns, decomposition as described in the next (iii) Other observers may substitute including bearing and direction of travel paragraph), the City would immediately education (degree in biological science and distance from pile driving activity; report the incident to the Chief of the or related field) or training for • Distance from pile driving activities Permits and Conservation Division, experience. to marine mammals and distance from Office of Protected Resources, NMFS, (iv) The City must submit observer the marine mammals to the observation and the NMFS West Coast Stranding CVs for approval by NMFS. point; Hotline and/or by email to the West Additional standard observer • Locations of all marine mammal Coast Regional Stranding Coordinator. qualifications include: observations; and • The report would include the same Ability to conduct field • Other human activity in the area. information identified in the paragraph observations and collect data according If no comments are received from above. Activities would be able to to assigned protocols Experience or NMFS within 30 days, the draft final continue while NMFS reviews the training in the field identification of report will constitute the final report. If circumstances of the incident. NMFS marine mammals, including the comments are received, a final report would work with the City to determine identification of behaviors; addressing NMFS comments must be whether modifications to the activities • Sufficient training, orientation, or submitted within 30 days after receipt of are appropriate. experience with the construction comments. In the event that the City discovers an operation to provide for personal safety In the unanticipated event that the injured or dead marine mammal and the during observations; specified activity clearly causes the take • lead PSO determines that the injury or Writing skills sufficient to prepare a of a marine mammal in a manner death is not associated with or related report of observations including but not prohibited by the IHA (if issued), such limited to the number and species of as an injury, serious injury or mortality, to the activities authorized in the IHA marine mammals observed; dates and the City would immediately cease the (e.g., previously wounded animal, times when in-water construction specified activities and report the carcass with moderate to advanced activities were conducted; dates and incident to the Chief of the Permits and decomposition, or scavenger damage), times when in-water construction Conservation Division, Office of the City would report the incident to the activities were suspended to avoid Protected Resources, NMFS, and the Chief of the Permits and Conservation potential incidental injury from West Coast Regional Stranding Division, Office of Protected Resources, construction sound of marine mammals Coordinator. The report would include NMFS, and the NMFS West Coast observed within a defined shutdown the following information: Stranding Hotline and/or by email to the zone; and marine mammal behavior; • Description of the incident; West Coast Regional Stranding and • Environmental conditions (e.g., Coordinator, within 24 hours of the • Ability to communicate orally, by Beaufort sea state, visibility); discovery. The City would provide radio or in person, with project • Description of all marine mammal photographs, video footage (if available), personnel to provide real-time observations in the 24 hours preceding or other documentation of the stranded information on marine mammals the incident; animal sighting to NMFS and the observed in the area as necessary. • Marine Mammal Stranding Network. A draft marine mammal monitoring Species identification or report would be submitted to NMFS description of the animal(s) involved; Phase 1 Monitoring Report • Fate of the animal(s); and within 90 days after the completion of • site preparation and pile driving and Photographs or video footage of the The City’s monitoring report from removal activities. It will include an animal(s) (if equipment is available). Phase 1 of the project (OBEC, 2019) was overall description of work completed, Activities would not resume until frequently consulted in the NMFS a narrative regarding marine mammal NMFS is able to review the evaluation of the City’s proposed sightings, and associated PSO data circumstances of the prohibited take. activities and requested take for Phase 2 sheets. Specifically, the report must NMFS would work with the City to of the project. The Phase 1 monitoring include: determine what is necessary to report indicated recorded take of • Date and time that monitored minimize the likelihood of further California sea lions and harbor seals activity begins or ends; prohibited take and ensure MMPA (Table 18). Steller sea lions were not • Construction activities occurring compliance. The City would not be able observed during Phase 1 (Table 18), during each observation period; to resume their activities until notified however, due to their known presence • Weather parameters (e.g., percent by NMFS via letter, email, or telephone. in the area, Level B harassment take was cover, visibility); In the event that the City discovers an still requested for Phase 2 activities. • Water conditions (e.g., sea state, injured or dead marine mammal, and Additionally, as mentioned above, the tide state); the lead PSO determines that the cause calculated Level B harassment zones • Species, numbers, and, if possible, of the injury or death is unknown and were significantly smaller for Phase 1 sex and age class of marine mammals; the death is relatively recent (e.g., in than for Phase 2.

TABLE 18—PHASE 1 MONITORING RESULTS

Total Number of estimated Authorized Percent of Species takes Estimated takes on days PSOs not Level B Level B authorized recorded by present harassment harassment takes that PSOs takes take number occurred

California sea lion ...... 604 3,600 (240 × 15 days) ...... 4204 33,736 12.5 Steller sea lion ...... 0 0 ...... 0 5,360 0 Pacific harbor seal ...... 53 270 (18 × 15 days) ...... 323 4,560 7.1

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Level A take was not requested nor Level B harassment, identified above, that align most completely with the authorized for Phase 1 activities, so the when these activities are underway. frequency range of the energy produced City used the calculated Level A The takes from Level A and Level B by pile driving, i.e., the low-frequency isopleth as the shutdown zone to harassment would be due to potential region below 2 kHz, not severe hearing prevent Level A take. Shutdowns behavioral disturbance, TTS, and PTS. impairment or impairment in the occurred on three days during Phase 1 No mortality is anticipated given the regions of greatest hearing sensitivity. If activities. In all instances, shutdowns nature of the activity. Level A hearing impairment occurs, it is most occurred when one or more California harassment is only anticipated for likely that the affected animal would sea lion entered the shutdown zone. The California sea lion and harbor seal. The lose a few decibels in its hearing Phase 1 and Phase 2 monitoring reports potential for Level A harassment is sensitivity, which in most cases is not will provide useful information for minimized through the construction likely to meaningfully affect its ability analyzing impacts to marine mammals method and the implementation of the to forage and communicate with for potential future projects in the lower planned mitigation measures (see conspecifics. As described above, we Columbia River. Proposed Mitigation section). expect that marine mammals would be Effects on individuals that are taken likely to move away from a sound Negligible Impact Analysis and by Level B harassment, on the basis of Determination source that represents an aversive reports in the literature as well as stimulus, especially at levels that would NMFS has defined negligible impact monitoring from other similar activities, be expected to result in PTS, given as an impact resulting from the including Phase 1 of the City’s project, sufficient notice through use of soft specified activity that cannot be will likely be limited to reactions such start. reasonably expected to, and is not as increased swimming speeds, The project also is not expected to reasonably likely to, adversely affect the increased surfacing time, or decreased have significant adverse effects on species or stock through effects on foraging (if such activity were occurring) affected marine mammals’ habitat. The annual rates of recruitment or survival (e.g., Thorson and Reyff 2006; HDR, Inc. project activities would not modify (50 CFR 216.103). A negligible impact 2012; Lerma 2014; ABR 2016; OBEC, existing marine mammal habitat for a finding is based on the lack of likely 2019). Most likely for pile driving, significant amount of time. The adverse effects on annual rates of individuals will simply move away activities may cause some fish to leave recruitment or survival (i.e., population- from the sound source and be the area of disturbance, thus temporarily level effects). An estimate of the number temporarily displaced from the areas of impacting marine mammals’ foraging of takes alone is not enough information pile driving and drilling, although even opportunities in a limited portion of the on which to base an impact this reaction has been observed foraging range; but, because of the short determination. In addition to primarily only in association with duration of the activities and the considering estimates of the number of impact pile driving. The pile driving relatively small area of the habitat that marine mammals that might be ‘‘taken’’ activities analyzed here are similar to may be affected, the impacts to marine through harassment, NMFS considers Phase 1 activities and numerous other mammal habitat are not expected to other factors, such as the likely nature construction activities conducted in the cause significant or long-term negative of any responses (e.g., intensity, Pacific Northwest, which have taken consequences. Other than feeding and duration), the context of any responses place with no known long-term adverse the haulout areas previously described, (e.g., critical reproductive time or consequences from behavioral the project area does not include any location, migration), as well as effects harassment. Level B harassment will be areas or times of particular biological on habitat, and the likely effectiveness reduced to the level of least practicable significance for the affected species. of the mitigation. We also assess the adverse impact through use of In summary and as described above, number, intensity, and context of mitigation measures described herein the following factors primarily support estimated takes by evaluating this and, if sound produced by project our preliminary determination that the information relative to population activities is sufficiently disturbing, impacts resulting from this activity are status. Consistent with the 1989 animals are likely to simply avoid the not expected to adversely affect the preamble for NMFS’s implementing area while the activity is occurring. species or stock through effects on regulations (54 FR 40338; September 29, While vibratory driving (and potential annual rates of recruitment or survival: 1989), the impacts from other past and drilling) associated with the proposed • No mortality or serious injury is ongoing anthropogenic activities are project may produce sound at distances anticipated or authorized; incorporated into this analysis via their of many kilometers from the project site, • No serious injury is anticipated or impacts on the environmental baseline the project site itself is located on a busy authorized; (e.g., as reflected in the regulatory status waterfront and in a section of the • The Level A harassment exposures of the species, population size and Columbia River with high amounts of are anticipated to result only in slight growth rate where known, ongoing vessel traffic. Therefore, we expect that PTS, within the lower frequencies sources of human-caused mortality, or animals disturbed by project sound associated with pile driving; ambient noise levels). would simply avoid the area and use • The anticipated incidents of Level B Pile driving/removal and drilling more-preferred habitats. harassment would consist of, at worst, activities associated with the project as In addition to the expected effects temporary modifications in behavior outlined previously, have the potential resulting from authorized Level B that would not result in fitness impacts to disturb or displace marine mammals. harassment, we anticipate that to individuals; Specifically, the specified activities may California sea lions and harbor seals • The area impacted by the specified result in take, in the form of Level A may sustain some limited Level A activity is very small relative to the harassment and Level B harassment harassment in the form of auditory overall habitat ranges of all species; from underwater sounds generated from injury. However, animals in these • The activity is expected to occur pile driving and removal. Potential takes locations that experience PTS would over 21 or fewer in-water work days. could occur if individuals of these likely only receive slight PTS, i.e., Based on the analysis contained species are present in zones ensonified minor degradation of hearing herein of the likely effects of the above the thresholds for Level A or capabilities within regions of hearing specified activity on marine mammals

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and their habitat, and taking into agency insure that any action it Renewal are identical to the activities consideration the implementation of the authorizes, funds, or carries out is not analyzed under the initial IHA, are a proposed monitoring and mitigation likely to jeopardize the continued subset of the activities, or include measures, NMFS preliminarily finds existence of any endangered or changes so minor (e.g., reduction in pile that the total marine mammal take from threatened species or result in the size) that the changes do not affect the the proposed activity will have a destruction or adverse modification of previous analyses, mitigation and negligible impact on all affected marine designated critical habitat. To ensure monitoring requirements, or take mammal species or stocks. ESA compliance for the issuance of estimates (with the exception of reducing the type or amount of take Small Numbers IHAs, NMFS consults internally, in this case with the NMFS West Coast Region because only a subset of the initially As noted above, only small numbers Protected Resources Division Office, analyzed activities remain to be of incidental take may be authorized whenever we propose to authorize take completed under the Renewal). under Sections 101(a)(5)(A) and (D) of for endangered or threatened species. (2) A preliminary monitoring report the MMPA for specified activities other No incidental take of ESA-listed showing the results of the required than military readiness activities. The species is proposed for authorization or monitoring to date and an explanation MMPA does not define small numbers expected to result from this activity. showing that the monitoring results do and so, in practice, where estimated Therefore, NMFS has determined that not indicate impacts of a scale or nature numbers are available, NMFS compares formal consultation under Section 7 of not previously analyzed or authorized. • the number of individuals taken to the the ESA is not required for this action. Upon review of the request for most appropriate estimation of Renewal, the status of the affected abundance of the relevant species or Proposed Authorization species or stocks, and any other stock in our determination of whether As a result of these preliminary pertinent information, NMFS an authorization is limited to small determinations, NMFS proposes to issue determines that there are no more than numbers of marine mammals. an IHA to the City of Astoria for minor changes in the activities, the Additionally, other qualitative factors conducting waterfront bridge removal mitigation and monitoring measures may be considered in the analysis, such and replacement in Astoria, Oregon will remain the same and appropriate, as the temporal or spatial scale of the from November 2019 to October 2020, and the findings in the initial IHA activities. provided the previously mentioned remain valid. The number of takes for each species mitigation, monitoring, and reporting Dated: October 31, 2019. proposed to be taken as a result of this requirements are incorporated. A draft Donna S. Wieting, project is 5, 13.7, and 10.2 percent of the of the proposed IHA can be found at Director, Office of Protected Resources, total stock for harbor seal, Steller sea https://www.fisheries.noaa.gov/permit/ National Marine Fisheries Service. lion, and California sea lion, incidental-take-authorizations-under- [FR Doc. 2019–24190 Filed 11–5–19; 8:45 am] respectively (Table 15). Additionally, marine-mammal-protection-act. the number of takes requested is based BILLING CODE 3510–22–P Request for Public Comments on the number of estimated exposures, not necessarily the number of We request comment on our analyses, DEPARTMENT OF DEFENSE individuals exposed. Pinnipeds may the proposed authorization, and any other aspect of this Notice of Proposed remain in the general area of the project Department of the Navy sites and the same individuals may be IHA for the proposed project. We also harassed multiple times over multiple request at this time comment on the Notice of Fiscal Year 2019 days, rather than numerous individuals potential renewal of this proposed IHA Performance Review Board harassed once. as described in the paragraph below. Membership Based on the analysis contained Please include with your comments any herein of the proposed activity supporting data or literature citations to AGENCY: Department of the Navy, DoD. (including the proposed mitigation and help inform decisions on the request for ACTION: Notice. monitoring measures) and the this IHA or a subsequent Renewal. SUMMARY: The Department of Navy anticipated take of marine mammals, On a case-by-case basis, NMFS may (DON) announces the appointment of NMFS preliminarily finds that small issue a one-year IHA renewal with an members to the DON Senior Executive numbers of marine mammals will be additional 15 days for public comments Service (SES), Senior Level (SL), and taken relative to the population size of when (1) another year of identical or Scientific and Professional (ST) Fiscal the affected species or stocks. nearly identical activities as described in the Specified Activities section of Year 2019 Performance Review Board Unmitigable Adverse Impact Analysis this notice is planned or (2) the (PRB). The purpose of the PRB is to and Determination activities as described in the Specified provide fair and impartial review of the There are no relevant subsistence uses Activities section of this notice would annual SES performance appraisal of the affected marine mammal stocks or not be completed by the time the IHA prepared by the senior executive’s species implicated by this action. expires and a Renewal would allow for immediate and second level supervisor; Therefore, NMFS has preliminarily completion of the activities beyond that to make recommendations to appointing determined that the total taking of described in the Dates and Duration officials regarding acceptance or affected species or stocks would not section of this notice, provided all of the modification of the performance rating; have an unmitigable adverse impact on following conditions are met: and to make recommendations for the availability of such species or stocks • A request for renewal is received no performance-based bonuses and for taking for subsistence purposes. later than 60 days prior to expiration of performance-based pay increases. the current IHA. FOR FURTHER INFORMATION CONTACT: Endangered Species Act (ESA) • The request for renewal must Leslie Joseph, Director, Executive Section 7(a)(2) of the Endangered include the following: Management Program Office, Office of Species Act of 1973 (ESA: 16 U.S.C. (1) An explanation that the activities Civilian Human Resources at 202–685– 1531 et seq.) requires that each Federal to be conducted under the requested 6186.

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SUPPLEMENTARY INFORMATION: information or comments submitted by effectiveness study of designating one or Composition of the specific PRB is postal mail or delivery should be more ‘‘teacher leaders’’ as coaches in provided below: addressed to the Director of the Strategic schools. It will provide updated Ms. Catherine Donovan Collections and Clearance Governance information about the TSL program to Ms. Steffanie Easter and Strategy Division, U.S. Department help ED understand which strategies Mr. Robert Hogue of Education, 400 Maryland Ave. SW, grantees are using and how effective a Ms. Jennifer LaTorre LBJ, Room 6W–208B, Washington, DC commonly-used strategy—designating Mr. Garry Newton 20202–4537. teacher leaders to provide coaching to Mr. Gary Ressing FOR FURTHER INFORMATION CONTACT: For other teachers—is in improving Ms. Anne Sandel specific questions related to collection educator effectiveness and ultimately Mr. James Smerchansky activities, please contact Elizabeth student achievement. Mr. Frederick Stefany Warner, 202–245–7744. Dated: November 1, 2019. Ms. B. Lynn Wright SUPPLEMENTARY INFORMATION: The Stephanie Valentine, Mr. Robert Woods Department of Education (ED), in PRA Coordinator, Strategic Collections and (Authority: 5 U.S.C. 4314(c)(4)) accordance with the Paperwork Clearance, Governance and Strategy Division, Office of Chief Data Officer. Dated: October 7, 2019. Reduction Act of 1995 (PRA) (44 U.S.C. 3506(c)(2)(A)), provides the general [FR Doc. 2019–24214 Filed 11–5–19; 8:45 am] D.J. Antenucci, public and Federal agencies with an BILLING CODE 4000–01–P Commander, Judge Advocate General’s Corps, opportunity to comment on proposed, U.S. Navy, Federal Register Liaison Officer. revised, and continuing collections of [FR Doc. 2019–24175 Filed 11–5–19; 8:45 am] information. This helps the Department DEPARTMENT OF EDUCATION BILLING CODE 3810–FF–P assess the impact of its information [Docket No.: ED–2019–ICCD–0113] collection requirements and minimize the public’s reporting burden. It also Agency Information Collection DEPARTMENT OF EDUCATION helps the public understand the Activities; Submission to the Office of [Docket No.: ED–2019–ICCD–0109] Department’s information collection Management and Budget for Review requirements and provide the requested and Approval; Comment Request; Agency Information Collection data in the desired format. ED is International Study of Adult Skills and Activities; Submission to the Office of soliciting comments on the proposed Learning (ISASL) [Program for the Management and Budget for Review information collection request (ICR) that International Assessment of Adult and Approval; Comment Request; is described below. The Department of Competencies (PIAAC) Cycle II] 2022 Impact Evaluation To Inform the Education is especially interested in Field Test Teacher and School Leader Incentive public comment addressing the Program following issues: (1) Is this collection AGENCY: National Center for Education necessary to the proper functions of the Statistics (NCES), Department of AGENCY: Institute of Education Sciences Department; (2) will this information be Education (ED). (IES), Department of Education (ED). processed and used in a timely manner; ACTION: Notice. ACTION: Notice. (3) is the estimate of burden accurate; SUMMARY: In accordance with the (4) how might the Department enhance SUMMARY: In accordance with the Paperwork Reduction Act of 1995, ED is the quality, utility, and clarity of the Paperwork Reduction Act of 1995, ED is proposing a reinstatement of a information to be collected; and (5) how proposing a new information collection. previously approved information might the Department minimize the collection. DATES: Interested persons are invited to burden of this collection on the submit comments on or before respondents, including through the use DATES: Interested persons are invited to December 6, 2019. of information technology. Please note submit comments on or before ADDRESSES: To access and review all the that written comments received in December 6, 2019. documents related to the information response to this notice will be ADDRESSES: To access and review all the collection listed in this notice, please considered public records. documents related to the information use http://www.regulations.gov by Title of Collection: Impact Evaluation collection listed in this notice, please searching the Docket ID number ED– to Inform the Teacher and School use http://www.regulations.gov by 2019–ICCD–0109. Comments submitted Leader Incentive Program. searching the Docket ID number ED– in response to this notice should be OMB Control Number: 1850–NEW. 2019–ICCD–0113. Comments submitted submitted electronically through the Type of Review: A new information in response to this notice should be Federal eRulemaking Portal at http:// collection. submitted electronically through the www.regulations.gov by selecting the Respondents/Affected Public: State, Federal eRulemaking Portal at http:// Docket ID number or via postal mail, Local, and Tribal Governments. www.regulations.gov by selecting the commercial delivery, or hand delivery. Total Estimated Number of Annual Docket ID number or via postal mail, If the regulations.gov site is not Responses: 73. commercial delivery, or hand delivery. available to the public for any reason, Total Estimated Number of Annual If the regulations.gov site is not ED will temporarily accept comments at Burden Hours: 45. available to the public for any reason, [email protected]. Please include the Abstract: This study will meet the ED will temporarily accept comments at docket ID number and the title of the Congressional mandate to evaluate the [email protected]. Please include the information collection request when Teacher and School Leader Incentive docket ID number and the title of the requesting documents or submitting Program (TSL) by including two information collection request when comments. Please note that comments evaluation components: (1) Descriptive requesting documents or submitting submitted by fax or email and those study of Teacher and School Leader comments. Please note that comments submitted after the comment period will Incentive Program (TSL) grantees’, and submitted by fax or email and those not be accepted. Written requests for (2) Implementation, impact, and cost- submitted after the comment period will

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not be accepted. Written requests for large-scale study of adult skills and life research communities, we continue to information or comments submitted by experiences focusing on education and use ‘‘PIAAC’’ in all internal and OMB postal mail or delivery should be employment. PIAAC is an international clearance materials and addressed to the Director of the Strategic study designed to assess adults in communications, and use the ‘‘PIAAC’’ Collections and Clearance Governance different countries over a broad range of name throughout this submission; and Strategy Division, U.S. Department abilities, from simple reading to however all recruitment and of Education, 400 Maryland Ave. SW, complex problem-solving skills, and to communication materials refer to the LBJ, Room 6W208B, Washington, DC collect information on individuals’ skill study as ISASL. This request is to 20202–4537. use and background. PIAAC is conduct the PIAAC Cycle II Field Test FOR FURTHER INFORMATION CONTACT: For coordinated by the Organization for in April–June 2020. specific questions related to collection Economic Cooperation and Dated: November 1, 2019. activities, please contact Kashka Development (OECD) and developed by Stephanie Valentine, Kubzdela, 202–245–7377 or email participating countries with the support PRA Coordinator, Strategic Collections and [email protected]. of the OECD. In the United States, the Clearance, Governance and Strategy Division, SUPPLEMENTARY INFORMATION: The National Center for Education Statistics Office of Chief Data Officer. Department of Education (ED), in (NCES), within the U.S. Department of [FR Doc. 2019–24215 Filed 11–5–19; 8:45 am] accordance with the Paperwork Education (ED) conducts PIAAC. The BILLING CODE 4000–01–P Reduction Act of 1995 (PRA) (44 U.S.C. U.S. participated in the PIAAC Main 3506(c)(2)(A)), provides the general Study data collection in 2012 and public and Federal agencies with an conducted national supplement data DEPARTMENT OF ENERGY opportunity to comment on proposed, collections in 2014 and 2017. All three revised, and continuing collections of of these collections are part of PIAAC Federal Energy Regulatory information. This helps the Department Cycle I. A new PIAAC cycle is to be Commission assess the impact of its information conducted every 10 years, and PIAAC collection requirements and minimize Cycle II Main Study data collection will Combined Notice of Filings #2 be conducted from August 2021 through the public’s reporting burden. It also Take notice that the Commission March 2022. In preparation for the main helps the public understand the received the following electric rate study collection, PIAAC Cycle II will Department’s information collection filings: requirements and provide the requested begin with a Field Test in 2020, in Docket Numbers: ER10–2488–018. data in the desired format. ED is which 34 countries are expected to Applicants: Oasis Power Partners, soliciting comments on the proposed participate with the primary goal of LLC. information collection request (ICR) that evaluating newly developed assessment and questionnaire items and to test the Description: Notice of Non-Material is described below. The Department of Change in Status of Oasis Power Education is especially interested in PIAAC 2022 planned operations. PIAAC 2022 defines four core competency Partners, LLC. public comment addressing the Filed Date: 10/30/19. following issues: (1) Is this collection domains of adult cognitive skills that Accession Number: 20191030–5136. necessary to the proper functions of the are seen as key to facilitating the social Comments Due: 5 p.m. ET 11/20/19. and economic participation of adults in Department; (2) will this information be Docket Numbers: ER20–234–000. advanced economies: (1) Literacy, (2) processed and used in a timely manner; Applicants: Public Service Company numeracy, (3) reading and numeracy (3) is the estimate of burden accurate; of New Mexico. (4) how might the Department enhance components, and (4) adaptive problem Description: § 205(d) Rate Filing: the quality, utility, and clarity of the solving. The U.S. will administer all Amended and Restated TCIA with information to be collected; and (5) how four domains of the PIAAC 2022 Western Spirit Transmission LLC to be might the Department minimize the assessment to a nationally effective 10/31/2019. burden of this collection on the representative sample of adults, along Filed Date: 10/30/19. respondents, including through the use with a background questionnaire with Accession Number: 20191030–5133. of information technology. Please note questions about their education Comments Due: 5 p.m. ET 11/20/19. that written comments received in background, work history, the skills Docket Numbers: ER20–235–000. response to this notice will be they use on the job and at home, their Applicants: Public Service Company considered public records. civic engagement, and sense of their of New Mexico. Title of Collection: International health and well-being. The results are Description: Initial rate filing: EPC Study of Adult Skills and Learning used to compare the skills capacities of between PNM and Pattern NM Wind (ISASL) [Program for the International the workforce-aged adults in LLC to be effective 10/14/2019. Assessment of Adult Competencies participating countries, and to learn Filed Date: 10/30/19. (PIAAC) Cycle II] 2022 Field Test. more about relationships between Accession Number: 20191030–5134. OMB Control Number: 1850–0870. educational background, employment, Comments Due: 5 p.m. ET 11/20/19. Type of Review: A reinstatement of a and other outcomes. In addition, in Docket Numbers: ER20–236–000. previously approved information PIAAC 2022, a set of financial literacy Applicants: Tucson Electric Power collection. questions will be included in the Company. Respondents/Affected Public: background questionnaire. As in Cycle I, Description: § 205(d) Rate Filing: Individuals or Households. a user-friendly name for PIAAC Cycle II Sunzia Transmission Interconnection Total Estimated Number of Annual was created—the International Study of Agreement to be effective 12/30/2019. Responses: 5,611. Adult Skills and Learning (ISASL)—to Filed Date: 10/30/19. Total Estimated Number of Annual represent the program to the public, and Accession Number: 20191030–5158. Burden Hours: 1,258. will be used on all public-facing Comments Due: 5 p.m. ET 11/20/19. Abstract: The Program for the materials and reports. As this Docket Numbers: ER20–237–000. International Assessment of Adult international program is well-known Applicants: Pacific Gas and Electric Competencies (PIAAC) is a cyclical, within the federal and education Company.

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Description: § 205(d) Rate Filing: Q3 Applicants: Eco Green Generation Applicants: Public Service Company 2019 Quarterly Filing of City and LLC. of New Mexico. County of San Francisco’s WDT SA (SA Description: Form 556 of Eco Green Description: Supplement to December 275) to be effective 9/30/2019. Generation LLC [Clean Power #6]. 21, 2018 Triennial Market Power Filed Date: 10/30/19. Filed Date: 10/30/19. Analysis for the Southwest Region of Accession Number: 20191030–5160. Accession Number: 20191030–5135. Public Service Company of New Comments Due: 5 p.m. ET 11/20/19. Comments Due: Non-Applicable. Mexico. Docket Numbers: ER20–238–000. The filings are accessible in the Filed Date: 10/22/19. Applicants: PJM Interconnection, Commission’s eLibrary system by Accession Number: 20191022–5028. L.L.C. clicking on the links or querying the Comments Due: 5 p.m. ET 11/12/19. Description: § 205(d) Rate Filing: docket number. Docket Numbers: ER10–2756–008; Original WMPA SA No. 5495; Queue Any person desiring to intervene or ER17–424–005. No. AE1–124 to be effective 9/30/2019. protest in any of the above proceedings Applicants: Griffith Energy LLC, Filed Date: 10/30/19. must file in accordance with Rules 211 Footprint Power Salem Harbor Accession Number: 20191030–5166. and 214 of the Commission’s Development LP. Comments Due: 5 p.m. ET 11/20/19. Regulations (18 CFR 385.211 and Description: Notice of Non-Material Docket Numbers: ER20–239–000. 385.214) on or before 5:00 p.m. Eastern Change in Status of Griffith Energy LLC, Applicants: PJM Interconnection, time on the specified comment date. et al. under ER10–2756, et al. L.L.C. Protests may be considered, but Filed Date: 10/30/19. Description: § 205(d) Rate Filing: ISA intervention is necessary to become a Accession Number: 20191030–5059. #4413(amend), 5298, 5299; ICSA party to the proceeding. Comments Due: 5 p.m. ET 11/20/19. #4422(amend), 5368, 5369; Queue eFiling is encouraged. More detailed Docket Numbers: ER15–1344–007. #T131/AC1–173 to be effective 2/18/ information relating to filing Applicants: PJM Interconnection, 2016. requirements, interventions, protests, L.L.C. Filed Date: 10/30/19. service, and qualifying facilities filings Description: Compliance filing: Accession Number: 20191030–5184. can be found at: http://www.ferc.gov/ Revisions to OATT, Sch 12-Appx A in Comments Due: 5 p.m. ET 11/20/19. docs-filing/efiling/filing-req.pdf. For compliance with Commission’s 8/30/ other information, call (866) 208–3676 Docket Numbers: ER20–240–000. 2019 Order to be effective 5/25/2015. Applicants: Hattiesburg Farm, LLC. (toll free). For TTY, call (202) 502–8659. Filed Date: 10/29/19. Description: § 205(d) Rate Filing: Dated: October 30, 2019. Accession Number: 20191029–5135. Notice of Non-Material Change in Status Nathaniel J. Davis, Sr., Comments Due: 5 p.m. ET 11/19/19. & SE Category Seller Change to be Deputy Secretary. Docket Numbers: ER17–256–009; effective 10/31/2019. [FR Doc. 2019–24165 Filed 11–5–19; 8:45 am] ER17–242–008; ER17–243–008; ER17– Filed Date: 10/30/19. BILLING CODE 6717–01–P 245–008; ER17–652–008. Accession Number: 20191030–5187. Applicants: Darby Power, LLC, Gavin Comments Due: 5 p.m. ET 11/20/19. Power, LLC, Lawrenceburg Power, LLC, Docket Numbers: ER20–241–000. DEPARTMENT OF ENERGY Waterford Power, LLC, Lightstone Applicants: Simon Solar Farm LLC. Marketing LLC. Description: § 205(d) Rate Filing: Federal Energy Regulatory Description: Notice of Non-Material Notice of Non-Material Change in Status Commission Change in Status of Darby Power, LLC, & SE Category Seller Change to be et al. Combined Notice of Filings #1 effective 10/31/2019. Filed Date: 10/30/19. Filed Date: 10/30/19. Take notice that the Commission Accession Number: 20191030–5038. Accession Number: 20191030–5193. received the following exempt Comments Due: 5 p.m. ET 11/20/19. Comments Due: 5 p.m. ET 11/20/19. wholesale generator filings: Docket Numbers: ER19–2782–001. Docket Numbers: ER20–242–000. Docket Numbers: EG20–20–000. Applicants: PJM Interconnection, Applicants: Sunshine Valley Solar, Applicants: Sunshine Valley Solar, L.L.C. LLC. LLC. Description: Tariff Amendment: First Description: Baseline eTariff Filing: Description: Sunshine Valley Solar, Revised ISA SA No. 5461 & First MBR Application to be effective 10/31/ LLC Notice of Self-Certification of Revised ICSA SA No. 5462; Queue No. 2019. Exempt Wholesale Generator Status. Y3–092 to be effective 10/24/2019. Filed Date: 10/30/19. Filed Date: 10/30/19. Filed Date: 10/29/19. Accession Number: 20191030–5197. Accession Number: 20191030–5087. Accession Number: 20191029–5136. Comments Due: 5 p.m. ET 11/20/19. Comments Due: 5 p.m. ET 11/20/19. Comments Due: 5 p.m. ET 11/19/19. Docket Numbers: ER20–243–000. Take notice that the Commission Docket Numbers: ER20–218–000. Applicants: SR Millington, LLC. received the following electric rate Applicants: Puget Sound Energy, Inc. Description: § 205(d) Rate Filing: filings: Description: § 205(d) Rate Filing: BCS- Notice of Non-Material Change in Status Docket Numbers: ER06–78–003. Orchard Agreements to be effective 10/ & SE Category Seller Change to be Applicants: PJM Interconnection, 1/2019. effective 10/31/2019. L.L.C. Filed Date: 10/29/19. Filed Date: 10/30/19. Description: Compliance Filing for Accession Number: 20191029–5129. Accession Number: 20191030–5199. OPSI Annual Budget of PJM Comments Due: 5 p.m. ET 11/19/19. Comments Due: 5 p.m. ET 11/20/19. Interconnection, L.L.C. Docket Numbers: ER20–219–000 Take notice that the Commission Filed Date: 10/28/19. Applicants: Puget Sound Energy, Inc. received the following qualifying Accession Number: 20191028–5193. Description: § 205(d) Rate Filing: BCS- facility filings: Comments Due: 5 p.m. ET 11/18/19. Roeder Agreements to be effective 10/1/ Docket Numbers: QF20–170–000. Docket Numbers: ER10–2302–007. 2019.

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Filed Date: 10/29/19. Docket Numbers: ER20–227–000. Comments Due: 5 p.m. ET 11/20/19. Accession Number: 20191029–5133. Applicants: Jersey Central Power & The filings are accessible in the Comments Due: 5 p.m. ET 11/19/19. Light Company, PJM Interconnection, Commission’s eLibrary system by Docket Numbers: ER20–220–000. L.L.C. clicking on the links or querying the Applicants: Puget Sound Energy, Inc. Description: § 205(d) Rate Filing: docket number. Description: § 205(d) Rate Filing: BP Jersey Central Power & Light Company Any person desiring to intervene or Westcoast Products Agreements to be Revenue Requirement to be effective protest in any of the above proceedings effective 10/1/2019. 1/1/2020. must file in accordance with Rules 211 Filed Date: 10/29/19. Filed Date: 10/30/19. and 214 of the Commission’s Accession Number: 20191029–5134. Accession Number: 20191030–5097. Regulations (18 CFR 385.211 and Comments Due: 5 p.m. ET 11/19/19. Comments Due: 5 p.m. ET 11/20/19. 385.214) on or before 5:00 p.m. Eastern Docket Numbers: ER20–221–000. Docket Numbers: ER20–228–000. time on the specified comment date. Applicants: Public Service Company Applicants: Alabama Power Protests may be considered, but of Colorado. Company. intervention is necessary to become a Description: § 205(d) Rate Filing: Description: § 205(d) Rate Filing: party to the proceeding. PSC–BHS1–E&P-BigHorn-557–0.0.0– Cooperative Energy NITSA Amendment eFiling is encouraged. More detailed Agrmt to be effective 10/31/2019. Filing (adding Frank Snell DP) to be information relating to filing Filed Date: 10/30/19. effective 10/3/2019. requirements, interventions, protests, Accession Number: 20191030–5000. Filed Date: 10/30/19. service, and qualifying facilities filings Comments Due: 5 p.m. ET 11/20/19. Accession Number: 20191030–5099. can be found at: http://www.ferc.gov/ Docket Numbers: ER20–222–000. Comments Due: 5 p.m. ET 11/20/19. docs-filing/efiling/filing-req.pdf. For Applicants: AEP Texas Inc. Docket Numbers: ER20–229–000. other information, call (866) 208–3676 Description: § 205(d) Rate Filing: Applicants: Alabama Power (toll free). For TTY, call (202) 502–8659. AEPTX-Raymond Wind Farm 1st Company. Dated: October 30, 2019. Amend and Restated GIA to be effective Description: § 205(d) Rate Filing: Nathaniel J. Davis, Sr., 10/24/2019. PowerSouth NITSA Amendment Filing Deputy Secretary. Filed Date: 10/30/19. (re-add CAEC Enterprise DP) to be [FR Doc. 2019–24162 Filed 11–5–19; 8:45 am] Accession Number: 20191030–5069. effective 9/25/2019. BILLING CODE 6717–01–P Comments Due: 5 p.m. ET 11/20/19. Filed Date: 10/30/19. Docket Numbers: ER20–223–000. Accession Number: 20191030–5100. Applicants: AEP Texas Inc. Comments Due: 5 p.m. ET 11/20/19. DEPARTMENT OF ENERGY Description: § 205(d) Rate Filing: Docket Numbers: ER20–230–000. Taygete Energy Project 2nd Amend and Applicants: New York State Electric & Federal Energy Regulatory Restated GIA to be effective 10/15/2019. Gas Corporation. Commission Filed Date: 10/30/19. Description: § 205(d) Rate Filing: [Docket No. OR20–2–000] Accession Number: 20191030–5072. NYSEG–DCEC Attachment C Annual Comments Due: 5 p.m. ET 11/20/19. Update to be effective 1/1/2020. MarkWest Hydrocarbon, L.L.C.; Notice Docket Numbers: ER20–224–000. Filed Date: 10/30/19. of Request for Temporary Waiver Applicants: PJM Interconnection, Accession Number: 20191030–5102. Comments Due: 5 p.m. ET 11/20/19. Take notice that on October 29, 2019, L.L.C. Markwest Hydrocarbon, L.L.C. Description: § 205(d) Rate Filing: Docket Numbers: ER20–231–000. (MarkWest) filed a petition seeking a Revisions to OATT, Att. L & CTOA, Att. Applicants: PacifiCorp. temporary waiver of the tariff filing and A re:Name Change Essential Power Description: § 205(d) Rate Filing: reporting requirements of sections 6 and (OATT) to be effective 12/29/2019. MDU A&R Interconnection Agmt Rev 3 20 of the Interstate Commerce Act and Filed Date: 10/30/19. to be effective 12/30/2019. parts 341 and 357 of the Commission’s Accession Number: 20191030–5085. Filed Date: 10/30/19. regulations. This request seeks waiver Comments Due: 5 p.m. ET 11/20/19. Accession Number: 20191030–5107. with respect to natural gas liquids Docket Numbers: ER20–225–000. Comments Due: 5 p.m. ET 11/20/19. pipeline facilities in Kentucky and West Applicants: PJM Interconnection, Docket Numbers: ER20–232–000. Virginia, specifically applicant’s L.L.C. Applicants: PJM Interconnection, MarkWest Ranger and Appalachia Description: § 205(d) Rate Filing: L.L.C. Liquids Pipeline System which is a Revisions to CTOA, Att. A & OATT, Att. Description: § 205(d) Rate Filing: First pipeline connecting two natural gas L re:Name Change Essential Power Revised ISA, SA No. 1803; Queue No. processing plants in Kentucky and West (CTOA) to be effective 12/29/2019. AE2–132 to be effective 9/30/2019. Virginia with a natural gas liquids Filed Date: 10/30/19. Filed Date: 10/30/19. fractionator in Kentucky, all as more Accession Number: 20191030–5088. Accession Number: 20191030–5112. fully explained in the petition. Comments Due: 5 p.m. ET 11/20/19. Comments Due: 5 p.m. ET 11/20/19. Any person desiring to intervene or to Docket Numbers: ER20–226–000. Docket Numbers: ER20–233–000. protest this filing must file in Applicants: Alabama Power Applicants: Otter Tail Power accordance with Rules 211 and 214 of Company. Company. the Commission’s Rules of Practice and Description: § 205(d) Rate Filing: Description: § 205(d) Rate Filing: Procedure (18 CFR 385.211 and 385.214. Amendment to Twiggs County Solar Revisions to Operating Services Protests will be considered by the (Twiggs Solar) LGIA to be effective 9/ Agreement with CPEC, Service Commission in determining the 27/2019. Agreement No. 54 to be effective appropriate action to be taken, but will Filed Date: 10/30/19. 1/1/2020. not serve to make protestants parties to Accession Number: 20191030–5096. Filed Date: 10/30/19. the proceeding. Any person wishing to Comments Due: 5 p.m. ET 11/20/19. Accession Number: 20191030–5117. become a party must file a notice of

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intervention or motion to intervene, as The Corps, a cooperating agency for the the project and concludes that licensing appropriate. Such notices, motions, or preparation of this environmental the project, with appropriate protests must be filed on or before the assessment, is reviewing Shell’s project environmental protective measures, comment date. Anyone filing a motion for permits it would issue under would not constitute a major federal to intervene or protest must serve a copy sections 10 and 14 of the Rivers and action that would significantly affect the of that document on the Petitioner. Harbors act of 1899 and Section 404 of quality of the human environment. The Commission encourages the Clean Water Act. A copy of the DEA is available for electronic submission of protests and The FEA contains staff’s analysis of review at the Commission in the Public interventions in lieu of paper using the the potential environmental impacts of Reference Room or may be viewed on ‘‘eFiling’’ link at http://www.ferc.gov. the project and concludes that licensing the Commission’s website at http:// Persons unable to file electronically the project, with appropriate www.ferc.gov using the ‘‘eLibrary’’ link. should submit an original and 5 copies environmental protective measures, Enter the docket number excluding the of the protest or intervention to the would not constitute a major federal last three digits in the docket number Federal Energy Regulatory Commission, action that would significantly affect the field to access the document. For 888 First Street NE, Washington, DC quality of the human environment. assistance, contact FERC Online 20426. A copy of the FEA is available for Support at FERCOnlineSupport@ This filing is accessible on-line at review at the Commission in the Public ferc.gov, (866) 208–3676 (toll free), or http://www.ferc.gov, using the Reference Room or may be viewed on (202) 502–8659 (TTY). ‘‘eLibrary’’ link and is available for the Commission’s website at http:// You may also register online at http:// review in the Commission’s Public www.ferc.gov using the ‘‘eLibrary’’ link. www.ferc.gov/docs-filing/ Reference Room in Washington, DC. Enter the docket number excluding the esubscription.asp to be notified via There is an ‘‘eSubscription’’ link on the last three digits in the docket number email of new filings and issuances website that enables subscribers to field to access the document. For related to this or other pending projects. receive email notification when a assistance, contact FERC Online For assistance, contact FERC Online document is added to a subscribed Support at FERCOnlineSupport@ Support. docket(s). For assistance with any FERC ferc.gov, (866) 208–3676 (toll free), or Any comments should be filed within Online service, please email (202) 502–8659 (TTY). 45 days from the date of this notice. [email protected], or call You may also register online at http:// The Commission strongly encourages (866) 208–3676 (toll free). For TTY, call www.ferc.gov/docs-filing/ electronic filing. Please file comments (202) 502–8659. esubscription.asp to be notified via using the Commission’s eFiling system Comment Date: 5:00 p.m. Eastern time email of new filings and issuances at http://www.ferc.gov/docs-filing/ on November 27, 2019. related to this or other pending projects. efiling.asp. Commenters can submit Dated: October 31, 2019. For assistance, contact FERC Online brief comments up to 6,000 characters, Nathaniel J. Davis, Sr., Support. without prior registration, using the For further information, contact Ryan Deputy Secretary. eComment system at http:// Hansen at (202) 502–8074 or at www.ferc.gov/docs-filing/ [FR Doc. 2019–24206 Filed 11–5–19; 8:45 am] [email protected]. ecomment.asp. You must include your BILLING CODE 6717–01–P Dated: October 30, 2019. name and contact information at the end Nathaniel J. Davis, Sr., of your comments. For assistance, DEPARTMENT OF ENERGY Deputy Secretary. please contact FERC Online Support. In lieu of electronic filing, please send a [FR Doc. 2019–24163 Filed 11–5–19; 8:45 am] Federal Energy Regulatory paper copy to: Secretary, Federal Energy BILLING CODE 6717–01–P Commission Regulatory Commission, 888 First Street NE, Washington, DC 20426. The first [Project No. 14795–002] DEPARTMENT OF ENERGY page of any filing should include docket Notice of Availability of Final number P–2669–089. Environmental Assessment; Shell Federal Energy Regulatory For further information, contact Amy Energy North America (US), L.P. Commission Chang at (202) 502–8250, or at [email protected] mail to: In accordance with the National [Project No. 2669–089] [email protected]. Environmental Policy Act of 1969 and Bear Swamp Power Company, LLC; Dated: October 31, 2019. the Federal Energy Regulatory Notice of Availability of Draft Nathaniel J. Davis, Sr., Commission’s (Commission) Environmental Assessment Deputy Secretary. regulations, 18 CFR part 380, the Office of Energy Projects has reviewed the In accordance with the National [FR Doc. 2019–24205 Filed 11–5–19; 8:45 am] application for license for the Hydro Environmental Policy Act of 1969 and BILLING CODE 6717–01–P Battery Pearl Hill Pumped Storage the Federal Energy Regulatory Project, which would be located on Commission’s (Commission) DEPARTMENT OF ENERGY Rufus Woods Lake, near Bridgeport, regulations, 18 CFR part 380, the Office Douglas County, Washington and has of Energy Projects has reviewed the Federal Energy Regulatory prepared a Final Environmental application for the relicensing of the Commission Assessment (FEA) for the project. The Bear Swamp Project, located on the project would be located on state lands Deerfield River, in Berkshire and Combined Notice of Filings #2 except for the lower reservoir and power Franklin Counties, Massachusetts, and generation and pumping equipment has prepared a Draft Environmental Take notice that the Commission which would be located on Rufus Assessment (DEA) for the project. received the following exempt Woods Lake, a reservoir operated by the The DEA contains staff’s analysis of wholesale generator filings: U.S. Army Corps of Engineers (Corps). the potential environmental impacts of Docket Numbers: EG20–21–000.

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Applicants: Emmons-Logan Wind Comments Due: 5 p.m. ET 11/21/19. Accession Number: 20191031–5165. Interconnection, LLC. Docket Numbers: ER20–254–000. Comments Due: 5 p.m. ET 11/21/19. Description: Notice of Self- Applicants: Wabash Valley Power Docket Numbers: ER20–262–000. Certification of Exempt Wholesale Association, Inc., PJM Interconnection, Applicants: PJM Interconnection, Generator Status of Emmons-Logan L.L.C. L.L.C. Wind .Interconnection, LLC. Description: § 205(d) Rate Filing: Description: § 205(d) Rate Filing: Filed Date: 10/31/19. Revisions to OATT, Att. L & CTOA, Att. Revisions to OATT Sch. 12-Appx A: Oct Accession Number: 20191031–5193. A reflecting Wabash as a new TO 2019 RTEP, 30-day Comments due to be Comments Due: 5 p.m. ET 11/21/19. (OATT) to be effective 12/31/2019. effective 1/29/2020. Take notice that the Commission Filed Date: 10/31/19. Filed Date: 10/31/19. received the following electric rate Accession Number: 20191031–5082. Accession Number: 20191031–5167. filings: Comments Due: 5 p.m. ET 11/21/19. Comments Due: 5 p.m. ET 11/21/19. Docket Numbers: ER10–3297–014. Docket Numbers: ER20–255–000. Docket Numbers: ER20–263–000. Applicants: Powerex Corp. Applicants: AEP Texas Inc. Applicants: Doswell Limited Description: Notice of Non-Material Description: Informational Filing and Partnership. Change in Status of Powerex Corp. Notice of Cancellation of ERCOT Description: § 205(d) Rate Filing: Filed Date: 10/31/19. Transmission Service Agreement (No. Reactive Power Tariff Filing to be Accession Number: 20191031–5102. 451) of AEP Texas Inc. effective 12/1/2019. Comments Due: 5 p.m. ET 11/21/19. Filed Date: 10/31/19. Filed Date: 10/31/19. Docket Numbers: ER19–2909–001. Accession Number: 20191031–5088. Accession Number: 20191031–5170. Applicants: Basin Electric Power Comments Due: 5 p.m. ET 11/21/19. Comments Due: 5 p.m. ET 11/21/19. Cooperative. Docket Numbers: ER20–256–000. Docket Numbers: ER20–264–000. Description: Tariff Amendment: Applicants: Wabash Valley Power Applicants: New England Power Pool Amendment to Submission of Initial Association, Inc., PJM Interconnection, Participants Committee. Rate Schedule A to be effective 12/31/ L.L.C. Description: § 205(d) Rate Filing: Nov 9998. Description: § 205(d) Rate Filing: 2019 Membership Filing to be effective Filed Date: 10/31/19. Revisions to CTOA, Att. A & OATT, Att. 10/1/2019. Accession Number: 20191031–5216. L reflecting Wabash a new TO (CTOA) Filed Date: 10/31/19. Comments Due: 5 p.m. ET 11/21/19. to be effective 12/31/2019. Accession Number: 20191031–5181. Docket Numbers: ER20–250–000. Filed Date: 10/31/19 Comments Due: 5 p.m. ET 11/21/19. Applicants: PJM Interconnection, Accession Number: 20191031–5093. Docket Numbers: ER20–265–000. L.L.C. Comments Due: 5 p.m. ET 11/21/19. Applicants: PacifiCorp. Description: § 205(d) Rate Filing: 3rd Docket Numbers: ER20–257–000. Description: § 205(d) Rate Filing: BPA Quarter 2019 Revisions to OA, Schedule Applicants: Southwestern Electric AC Intertie Agreement 16th Revised to 12 and RAA, Schedule 17 to be effective Power Company. be effective 12/31/2019. 9/30/2019. Description: Informational Filing and Filed Date: 10/31/19. Filed Date: 10/31/19. Notice of Cancellation of Four Accession Number: 20191031–5195. Accession Number: 20191031–5047. Operations Agreements of Southwestern Comments Due: 5 p.m. ET 11/21/19. Comments Due: 5 p.m. ET 11/21/19. Electric Power Company. Docket Numbers: ER20–266–000. Docket Numbers: ER20–251–000. Filed Date: 10/31/19. Applicants: Pacific Gas and Electric Applicants: Public Service Company Accession Number: 20191031–5097. Company. of Colorado. Comments Due: 5 p.m. ET 11/21/19. Description: § 205(d) Rate Filing: Description: § 205(d) Rate Filing: Att Docket Numbers: ER20–258–000. Reserve Capacity Revisions to CCSF O–PSCo TBL 25—Deprec and Amort Applicants: Appalachian Power WDT SA (SA 275) to be effective 12/30/ Rates Filing to be effective 1/1/2020. Company. 2019. Filed Date: 10/31/19. Description: § 205(d) Rate Filing: Filed Date: 10/31/19. Accession Number: 20191031–5052. APCo-Seven Islands Small GIA to be Accession Number: 20191031–5213. Comments Due: 5 p.m. ET 11/21/19. effective 12/30/2019. Comments Due: 5 p.m. ET 11/21/19. Docket Numbers: ER20–252–000. Filed Date: 10/31/19. Docket Numbers: ER20–267–000. Applicants: Otter Tail Power Accession Number: 20191031–5111. Applicants: Gulf Power Company. Company. Comments Due: 5 p.m. ET 11/21/19 Description: § 205(d) Rate Filing: Cost- Description: § 205(d) Rate Filing: Docket Numbers: ER20–260–000. Based Rate Tariff to be effective 1/1/ Operating Services Agreement with Applicants: California Power 2020. Alexandria Light & Power Utilities to be Exchange Corporation. Filed Date: 10/31/19. effective 1/1/2020. Description: § 205(d) Rate Filing: Rate Accession Number: 20191031–5218. Filed Date: 10/31/19. Filing for Rate Period 36 to be effective Comments Due: 5 p.m. ET 11/21/19. Accession Number: 20191031–5073. 1/1/2020. Docket Numbers: ER20–268–000. Comments Due: 5 p.m. ET 11/21/19. Filed Date: 10/31/19. Applicants: Southern California Docket Numbers: ER20–253–000. Accession Number: 20191031–5129. Edison Company. Applicants: Otter Tail Power Comments Due: 5 p.m. ET 11/21/19. Description: § 205(d) Rate Filing: SCE Company. Docket Numbers: ER20–261–000. 2020 TRBAA Update to be effective 6/ Description: § 205(d) Rate Filing: Applicants: Public Service Company 1/2019. Operating Services Agreement with of Colorado. Filed Date: 10/31/19. Detroit Lakes Public Utilities to be Description: § 205(d) Rate Filing: WP_ Accession Number: 20191031–5220. effective 1/1/2020. Depreciation Rates to be effective 1/1/ Comments Due: 5 p.m. ET 11/21/19. Filed Date: 10/31/19. 2020. The filings are accessible in the Accession Number: 20191031–5074. Filed Date: 10/31/19. Commission’s eLibrary system by

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clicking on the links or querying the and Explanatory Statement (Settlement Register online at http:// docket number. Agreement) on behalf of itself and the www.ferc.gov/docs-filing/ Any person desiring to intervene or Maryland Department of the esubscription.asp to be notified via protest in any of the above proceedings Environment (MDE). The Settlement email of new filings and issuances must file in accordance with Rules 211 Agreement provides for the resolution of related to this or other pending projects. and 214 of the Commission’s all issues between the signatories For assistance, contact FERC Online Regulations (18 CFR 385.211 and associated with MDE’s issuance of a Support. 385.214) on or before 5:00 p.m. Eastern water quality certification for the project Dated: October 30, 2019. time on the specified comment date. pursuant to section 401 of the Clean Nathaniel J. Davis, Sr., Protests may be considered, but Water Act (certification). The Settlement Deputy Secretary. intervention is necessary to become a Agreement includes proposed party to the proceeding. protection, mitigation, and [FR Doc. 2019–24167 Filed 11–5–19; 8:45 am] eFiling is encouraged. More detailed enhancement measures to address BILLING CODE 6717–01–P information relating to filing ecological, recreation, and water quality requirements, interventions, protests, resources affected by the Conowingo DEPARTMENT OF ENERGY service, and qualifying facilities filings Project. The Settlement Agreement also can be found at: http://www.ferc.gov/ includes, conditioned on the Federal Energy Regulatory docs-filing/efiling/filing-req.pdf. For Commission’s approval of the Commission other information, call (866) 208–3676 Settlement Agreement and (toll free). For TTY, call (202) 502–8659. incorporation of proposed articles in a [Docket No. RM98–1–000] new license, a waiver of MDE’s Dated: October 31, 2019. Records Governing Off-the-Record Nathaniel J. Davis, Sr., certification, and withdrawal of Exelon’s February 28, 2019, petition for Communications; Public Notice Deputy Secretary. declaratory order regarding MDE’s [FR Doc. 2019–24202 Filed 11–5–19; 8:45 am] This constitutes notice, in accordance certification. Exelon requests the with 18 CFR 385.2201(b), of the receipt BILLING CODE 6717–01–P Commission approve the Settlement of prohibited and exempt off-the-record Agreement and incorporate the communications. proposed license articles set forth in DEPARTMENT OF ENERGY Order No. 607 (64 FR 51222, Attachment A of the Settlement September 22, 1999) requires [Project Nos. 405–106, 405–121] Agreement, without modification or Commission decisional employees, who expansion, into a new, 50-year license make or receive a prohibited or exempt [Exelon Generation Company, LLC; for the Conowingo Project. off-the-record communication relevant Notice of Settlement Agreement k. A copy of the Settlement to the merits of a contested proceeding, Take notice that the following Agreement is available for review on the to deliver to the Secretary of the settlement agreement has been filed Commission’s website at http:// Commission, a copy of the with the Commission and is available www.ferc.gov using the ‘‘eLibrary’’ link. communication, if written, or a for public inspection. Enter the docket number, excluding the summary of the substance of any oral a. Type of Application: Settlement last three digits, in the docket number communication. Agreement. field to access the document. For Prohibited communications are b. Project Nos.: 405–106 and 405–121. assistance, contact FERC Online included in a public, non-decisional file c. Date Filed: October 29, 2019. Support. associated with, but not a part of, the d. Applicant: Exelon Generation l. Deadline for filing comments: decisional record of the proceeding. Company, LLC. Comments on the Settlement Agreement Unless the Commission determines that e. Name of Project: Conowingo are due on Tuesday, November 19, the prohibited communication and any Hydroelectric Project. 2019. Reply comments are due on responses thereto should become a part f. Location: On the Susquehanna Monday, December 2, 2019. of the decisional record, the prohibited River, in Harford and Cecil Counties, The Commission strongly encourages off-the-record communication will not Maryland and Lancaster and York electronic filing. Please file comments be considered by the Commission in Counties, Pennsylvania. The project using the Commission’s eFiling system reaching its decision. Parties to a does not occupy any federal land. at http://www.ferc.gov/docs-filing/ proceeding may seek the opportunity to g. Filed Pursuant to: Rule 602 of the efiling.asp. Commenters can submit respond to any facts or contentions Commission’s Rules of Practice and brief comments up to 6,000 characters, made in a prohibited off-the-record Procedure, 18 CFR 385.602. without prior registration, using the communication, and may request that h. Applicant Contacts: Colleen Hicks, eComment system at http:// the Commission place the prohibited Manager, Regulatory and Licensing, www.ferc.gov/docs-filing/ communication and responses thereto Hydro, Exelon Power, 300 Exelon Way, ecomment.asp. You must include your in the decisional record. The Kennett Square, PA 19348, at (610) 765– name and contact information at the end Commission will grant such a request 6791 or [email protected]; of your comments. For assistance, only when it determines that fairness so and David W. DeBruin, Jenner & Block please contact FERC Online Support at requires. Any person identified below as LLP, 1099 New York Avenue NW, [email protected], (866) having made a prohibited off-the-record Washington, DC 20001, at (202) 639– 208–3676 (toll free), or (202) 502–8659 communication shall serve the 6000 or [email protected]. (TTY). In lieu of electronic filing, please document on all parties listed on the i. FERC Contacts: Emily Carter, (202) send a paper copy to: Secretary, Federal official service list for the applicable 502–6512 or [email protected]; and Energy Regulatory Commission, 888 proceeding in accordance with Rule Andy Bernick, (202) 502–8660 or First Street NE, Washington, DC 20426. 2010, 18 CFR 385.2010. [email protected]. The first page of any filing should Exempt off-the-record j. Exelon Generation Corporation, LLC include docket numbers P–405–106 and communications are included in the (Exelon) filed a Joint Offer of Settlement –121. decisional record of the proceeding,

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unless the communication was with a listed are grouped by docket numbers in Enter the docket number, excluding the cooperating agency as described by 40 ascending order. These filings are last three digits, in the docket number CFR 1501.6, made under 18 CFR available for electronic review at the field to access the document. For 385.2201(e) (1) (v). Commission in the Public Reference assistance, please contact FERC Online The following is a list of off-the- Room or may be viewed on the Support at FERCOnlineSupport@ record communications recently Commission’s website at http:// ferc.gov or toll free at (866) 208–3676, or received by the Secretary of the www.ferc.gov using the eLibrary link. for TTY, contact (202)502–8659. Commission. The communications

Docket No. File date Presenter or requester

Prohibited: CP18–548–000 ...... 10/15/2019 Chesapeake Utilities Corporation. Exempt: 1. CP17–495–000, CP17–494–000 ...... 10/15/2019 Advisory Council on Historic Preservation 2. CP18–46–000 ...... 10/18/2019 U.S. Senate.1 3. P–2800–048 ...... 10/21/2019 U.S. Congress.2 4. CP18–46–000 ...... 10/21/2019 U.S. Congress.3 5. CP15–558–000 ...... 10/21/2019 U.S. Congress.4 6. RP20–41–000 ...... 10/21/2019 U.S. Senate.5 1 Senator Patrick Toomey. 2 U.S. Congresswoman Lori Trahan, U.S. Senator Elizabeth Warren, and U.S. Senator Edward J. Markey. 3 U.S. Congressman Brian Fitzpatrick. 4 U.S. Congresswoman Bonnie Watson Coleman and U.S. Congressman Tom Malinowski. 5 Senator Cory A. Booker.

Dated: October 29, 2019. Energy Marketing LP, Brookfield Energy & SE Category Seller Change to be Nathaniel J. Davis, Sr., Marketing US LLC, Brookfield Power effective 10/31/2019. Deputy Secretary. Piney & Deep Creek LLC, Brookfield Filed Date: 10/30/19. [FR Doc. 2019–24164 Filed 11–5–19; 8:45 am] Renewable Energy Marketing US LLC, Accession Number: 20191030–5205. Comments Due: 5 p.m. ET 11/20/19. BILLING CODE 6717–01–P Brookfield Renewable Trading and Marketing LP, Brookfield Smoky Docket Numbers: ER20–245–000. Mountain Hydropower LLC, Brookfield Applicants: Sun Streams, LLC. DEPARTMENT OF ENERGY White Pine Hydro LLC, Carr Street Description: Baseline eTariff Filing: Generating Station, L.P., Erie Boulevard MBR Application to be effective 10/31/ Federal Energy Regulatory Hydropower, L.P., Granite Reliable 2019. Commission Power, LLC, Great Lakes Hydro Filed Date: 10/30/19. America, LLC, Hawks Nest Hydro LLC, Accession Number: 20191030–5207. Combined Notice of Filings #1 Mesa Wind Power Corporation, Comments Due: 5 p.m. ET 11/20/19. Take notice that the Commission Rumford Falls Hydro LLC, Safe Harbor Docket Numbers: ER20–246–000. Water Power Corporation, Windstar Applicants: Windhub Solar A, LLC. received the following electric rate Description: Initial rate filing: MBR filings: Energy, LLC, Bishop Hill Energy LLC, Blue Sky East, LLC, California Ridge Application to be effective 10/31/2019. Docket Numbers: ER19–1073–002; Filed Date: 10/30/19. ER10–2895–019; ER14–1964–010; Wind Energy LLC, Canadaigua Power Partners, LLC, Canadaigua Power Accession Number: 20191030–5210. ER16–287–005; ER13–2143–012; ER10– Comments Due: 5 p.m. ET 11/20/19. Partners II, LLC, Erie Wind, LLC, 3167–011; ER13–203–011; ER17–482– Docket Numbers: ER20–247–000. 004; ER19–1074–002; ER11–3942–020; Evergreen Wind Power, LLC, Evergreen Wind Power III, LLC, Imperial Valley Applicants: Evergy Metro, Inc. ER11–2293–020; ER10–2917–019; Description: § 205(d) Rate Filing: ER19–1075–002; ER19–529–002; ER19– Solar 1, LLC, Niagara Wind Power, LLC, Prairie Breeze Wind Energy LLC, Notice of Succession Filing, Rate 2429–001; ER13–1613–012; ER10–2918– Schedules, Agreements & Tariffs to be 020; ER10–2920–019; ER11–3941–017; Regulus Solar, LLC, Stetson Wind II, LLC, Vermont Wind, LLC, Stetson effective 12/30/2019. ER10–2921–019; ER10–2922–019; Filed Date: 10/30/19. ER13–1346–011; ER10–2966–019; Holdings, LLC. Description: Notice of Change in Accession Number: 20191030–5213. ER11–2383–014; ER19–1076–002; Comments Due: 5 p.m. ET 11/20/19. Status of the Brookfield Companies and ER12–161–019; ER12–2068–015; ER12– TerraForm Companies, et. al. Docket Numbers: ER20–248–000. 645–020; ER10–2460–015; ER10–2461– Filed Date: 10/30/19. Applicants: Southern California 016; ER12–682–016; ER10–2463–015; Accession Number: 20191030–5243. Edison Company. ER11–2201–019; ER13–1139–019; Comments Due: 5 p.m. ET 11/20/19. Description: § 205(d) Rate Filing: 2020 ER13–17–013; ER14–25–015; ER14– Docket Numbers: ER19–2388–000. RSBAA Update Filing to be effective 1/ 2630–012; ER12–1311–015; ER10–2466– Applicants: Marcus Hook 50, L.P. 1/2020. 016; ER11–4029–015. Description: Report Filing: Refund Filed Date: 10/31/19. Applicants: Alta Wind VIII, LLC, Bear Report to be effective N/A. Accession Number: 20191031–5002. Swamp Power Company LLC, BIF II Filed Date: 10/30/19. Comments Due: 5 p.m. ET 11/21/19. Safe Harbor Holdings LLC, BIF III Accession Number: 20191030–5171. Docket Numbers: ER20–249–000. Holtwood LLC, Black Bear Development Comments Due: 5 p.m. ET 11/20/19. Applicants: Deseret Generation & Holdings, LLC, Black Bear Hydro Docket Numbers: ER20–244–000. Transmission Co-operative, Inc. Partners, LLC, Black Bear SO, LLC, Applicants: SR South Loving LLC. Description: § 205(d) Rate Filing: BREG Aggregator LLC, Brookfield Description: § 205(d) Rate Filing: OATT Attachment K—WestConnect Energy Marketing Inc., Brookfield Notice of Non-Material Change in Status Regional to be effective 1/1/2020.

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Filed Date: 10/31/19. action that would significantly affect the Applicants: Chief Conemaugh Power, Accession Number: 20191031–5025. quality of the human environment. LLC, Chief Conemaugh Power II, LLC, Comments Due: 5 p.m. ET 11/21/19. A copy of the FEA is available for Chief Keystone Power, LLC, Chief The filings are accessible in the review at the Commission in the Public Keystone Power II, LLC, Crete Energy Commission’s eLibrary system by Reference Room, or may be viewed on Venture, LLC, Lincoln Generating clicking on the links or querying the the Commission’s website at Facility, LLC, New Covert Generating docket number. www.ferc.gov using the ‘‘eLibrary’’ link. Company, LLC, Rolling Hills Any person desiring to intervene or Enter one of the docket numbers, Generating, L.L.C., Walleye Power, LLC. protest in any of the above proceedings excluding the last three digits in the Description: Notice of Non-Material must file in accordance with Rules 211 docket number field, to access the Change in Status of Chief Conemaugh and 214 of the Commission’s document. For assistance, contact FERC Power, LLC, et al. Regulations (18 CFR 385.211 and Online Support at Filed Date: 10/28/19. 385.214) on or before 5:00 p.m. Eastern [email protected], or toll- Accession Number: 20191028–5214. time on the specified comment date. free at 1–866–208–3676, or for TTY, Comments Due: 5 p.m. ET 11/18/19. Protests may be considered, but 202–502–8659. Docket Numbers: ER16–2363–004; intervention is necessary to become a You may also register online at ER10–2192–034; ER10–2178–034; party to the proceeding. www.ferc.gov/docs-filing/ ER13–1536–018; ER11–2010–026; eFiling is encouraged. More detailed esubscription.asp to be notified via ER12–1829–017; ER12–1223–022. information relating to filing email of new filings and issuances Applicants: Bluestem Wind Energy, requirements, interventions, protests, related to this or other pending projects. LLC, Constellation Energy Commodities service, and qualifying facilities filings For assistance, contact FERC Online Group Maine, LLC, Constellation can be found at: http://www.ferc.gov/ Support. NewEnergy, Inc., Exelon Generation docs-filing/efiling/filing-req.pdf. For For further information, contact Company, LLC, Exelon Wind 4, LLC, other information, call (866) 208–3676 Navreet Deo by telephone at 202–502– Shooting Star Wind Project, LLC, (toll free). For TTY, call (202) 502–8659. 6304, or by email at navreet.deo@ Wildcat Wind, LLC. ferc.gov. Description: Supplement to December Dated: October 31, 2019. Dated: October 31, 2019. 28, 2019 Updated Market Power Nathaniel J. Davis, Sr., Nathaniel J. Davis, Sr., Analysis for the Southwest Power Pool Deputy Secretary. Deputy Secretary. Region of the Exelon SPP Entities, et al. [FR Doc. 2019–24203 Filed 11–5–19; 8:45 am] Filed Date: 10/23/19. [FR Doc. 2019–24204 Filed 11–5–19; 8:45 am] BILLING CODE 6717–01–P Accession Number: 20191023–5092. BILLING CODE 6717–01–P Comments Due: 5 p.m. ET 11/13/19. Docket Numbers: ER18–2397–004. DEPARTMENT OF ENERGY DEPARTMENT OF ENERGY Applicants: Midcontinent Federal Energy Regulatory Independent System Operator, Inc. Commission Federal Energy Regulatory Description: Compliance filing: 2019– Commission 10–28_Order 844 Compliance [Project No. 2428–007; Project No. 10254– supplement filing to be effective 1/1/ 026; Project No. 10253–032] Combined Notice of Filings #1 2019. Take notice that the Commission Filed Date: 10/28/19. Aquenergy Systems, LLC; Pelzer Accession Number: 20191028–5160. received the following exempt Hydro Company, LLC and Comments Due: 5 p.m. ET 11/18/19. Consolidated Hydro Southeast, LLC; wholesale generator filings: Docket Numbers: ER19–1641–002. Pelzer Hydro Company, LLC and Docket Numbers: EG20–18–000. Applicants: California Independent Consolidated Hydro Southeast, LLC; Applicants: Impact Solar 1, LLC. System Operator Corporation. Notice of Availability of Final Description: Impact Solar 1, LLC Description: Compliance filing: 2019– Environmental Assessment Notice of Self-Certification of Exempt Wholesale Generator Status. 10–28 RMR CPM Enhancements In accordance with the National Filed Date: 10/29/19. Compliance to be effective 9/27/2019. Environmental Policy Act of 1969 and Accession Number: 20191029–5035. Filed Date: 10/28/19. the Federal Energy Regulatory Comments Due: 5 p.m. ET 11/19/19. Accession Number: 20191028–5180. Commission’s (Commission) Take notice that the Commission Comments Due: 5 p.m. ET 11/18/19. regulations, 18 CFR part 380, the Office received the following electric rate Docket Numbers: ER19–2756–001. of Energy Projects has reviewed the filings: Applicants: Midcontinent applications for licenses for the Docket Numbers: ER04–835–010. Independent System Operator, Inc. Piedmont (FERC Project No. 2428–007), Applicants: California Independent Description: Tariff Amendment: _ Upper Pelzer (FERC Project No. 10254– System Operator Corporation. 2019–10–29 SA 3083 Lake Benton-NSP 026), and Lower Pelzer (FERC Project Description: Informational Substitute 1st Rev GIA (J790) to be No. 10253–032) Hydroelectric Projects Compliance Filing of the California effective 8/22/2019. located on the Saluda River in Anderson Independent System Operator Filed Date: 10/29/19. and Greenville Counties, South Corporation. Accession Number: 20191029–5089. Carolina, and has prepared a Final Filed Date: 10/28/19. Comments Due: 5 p.m. ET 11/19/19. Environmental Assessment (FEA). Accession Number: 20191028–5201. Docket Numbers: ER20–210–000. The FEA contains staff’s analysis of Comments Due: 5 p.m. ET 11/18/19. Applicants: Citizens Sycamore- the potential environmental impacts of Docket Numbers: ER15–356–012; Penasquitos Transmission LLC. the projects and concludes that ER19–2231–002; ER15–357–012; ER19– Description: § 205(d) Rate Filing: licensing the projects, with appropriate 2232–002; ER10–1595–013; ER10–1598– Annual Operating Cost True-Up environmental protective measures, 013; ER10–1616–013; ER10–1618–013; Adjustment Filing to be effective would not constitute a major federal ER18–1821–005. 1/1/2020.

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Filed Date: 10/28/19. Comments Due: 5 p.m. ET 11/19/19. technologies include, but are not limited Accession Number: 20191028–5179. The filings are accessible in the to: (1) Power flow control and Comments Due: 5 p.m. ET 11/18/19. Commission’s eLibrary system by transmission switching equipment; (2) Docket Numbers: ER20–211–000. clicking on the links or querying the storage technologies; and (3) advanced Applicants: Basin Electric Power docket number. line rating management technologies. Cooperative, Inc. Any person desiring to intervene or There will be an opportunity to submit Description: Request for Extensions protest in any of the above proceedings written comments after the workshop. A and Waivers of Certain NAESB must file in accordance with Rules 211 notice setting the date when comments Standards of Basin Electric Power and 214 of the Commission’s are due will be issued after the Cooperative. Regulations (18 CFR 385.211 and workshop. Filed Date: 10/28/19. 385.214) on or before 5:00 p.m. Eastern The agenda and list of participants for Accession Number: 20191028–5213. time on the specified comment date. this workshop is attached, including Comments Due: 5 p.m. ET 11/18/19. Protests may be considered, but changes to panels 2 and 3. The Docket Numbers: ER20–212–000. intervention is necessary to become a workshop will be open for the public to Applicants: Duke Energy Carolinas, party to the proceeding. attend in person, or to attend remotely LLC. eFiling is encouraged. More detailed via webcast. In-person attendees are Description: Tariff Cancellation: DEC- information relating to filing encouraged to register on-line at: http:// Prosperity (RS No. 336) Cancellation to requirements, interventions, protests, www.ferc.gov/whats-new/registration/ be effective 1/1/2020. service, and qualifying facilities filings 11-06-19-form.asp. In-person attendees Filed Date: 10/29/19. can be found at: http://www.ferc.gov/ should allow time to pass through Accession Number: 20191029–5065. docs-filing/efiling/filing-req.pdf. For building security procedures before start Comments Due: 5 p.m. ET 11/19/19. other information, call (866) 208–3676 time of the workshop. Although there is Docket Numbers: ER20–213–000. (toll free). For TTY, call (202) 502–8659. no registration deadline for in-person Applicants: Duke Energy Carolinas, Dated: October 29, 2019. attendees, we strongly encourage LLC. Nathaniel J. Davis, Sr., attendees to register for the workshop as soon as possible, in order to avoid any Description: § 205(d) Rate Filing: DEC- Deputy Secretary. Central (RS No. 336) Amendment to be delay associated with being processed [FR Doc. 2019–24170 Filed 11–5–19; 8:45 am] by FERC security. Those who plan to effective 1/1/2020. BILLING CODE 6717–01–P Filed Date: 10/29/19. attend the conference remotely via Accession Number: 20191029–5068. webcast must register by 5:00 p.m. Comments Due: 5 p.m. ET 11/19/19. DEPARTMENT OF ENERGY Eastern Time on October 29, 2019. The webcast may not be available to those Docket Numbers: ER20–214–000. who do not register. Applicants: New England Power Federal Energy Regulatory Company. Commission Information on the workshop (including a link to the webcast) will be Description: § 205(d) Rate Filing: [Docket No. AD19–19–000] Related Facilities Agreement with posted on the Calendar of Events on the Deerfield Wind, LLC to be effective 10/ Grid-Enhancing Technologies; Commission’s website, http:// 1/2019. Supplemental Notice of Workshop www.ferc.gov. The Capitol Connection Filed Date: 10/29/19. provides technical support for the Accession Number: 20191029–5092. As announced in the Notice of webcasts and offers the option of Comments Due: 5 p.m. ET 11/19/19. Workshop issued on September 9, 2019, listening to the conference via phone- the Federal Energy Regulatory bridge for a fee. For additional Docket Numbers: ER20–215–000. Commission (Commission) will convene information, visit Applicants: Midcontinent a staff-led workshop in the above- www.CapitolConnection.org or call 703– Independent System Operator, Inc. referenced proceeding on Tuesday, 993–3100. The workshop will be Description: § 205(d) Rate Filing: November 5, 2019, from approximately transcribed. Transcripts will be 2019–10–29_SA 3267_Astoria 9:30 a.m. to 4:00 p.m., and Wednesday, available for a fee from Ace Reporting Substation 1st Rev MPFCA (J493 J510) November 6, 2019, from approximately (202–347–3700). OTP to be effective 10/15/2019. 9:00 a.m. to 12:45 p.m. (Eastern Time). Filed Date: 10/29/19. Commission conferences are The workshop will be held at accessible under section 508 of the Accession Number: 20191029–5098. Commission headquarters, 888 First Comments Due: 5 p.m. ET 11/19/19. Rehabilitation Act of 1973. For Street NE, Washington, DC 20426. The accessibility accommodations please Docket Numbers: ER20–216–000. Chairman and Commissioners may send an email to [email protected] Applicants: Louisville Gas and attend and participate. or call toll free (866) 208–3372 (voice) Electric Company. The purpose of this workshop is to or (202) 502–8659 (TTY), or send a fax Description: § 205(d) Rate Filing: discuss grid-enhancing technologies to (202) 208–2106 with the requested KyMEA NITSA Service Agreement No. that increase the capacity, efficiency, or accommodations. 23 to be effective 9/30/2019. reliability of transmission facilities. For more information about this Filed Date: 10/29/19. Panelists and staff will discuss how workshop, please contact: Accession Number: 20191029–5105. grid-enhancing technologies are Comments Due: 5 p.m. ET 11/19/19. currently used in transmission planning Sarah McKinley (Logistical Docket Numbers: ER20–217–000. and operations, the challenges to their Information), Office of External Applicants: GridLiance West LLC. deployment and implementation, and Affairs, (202) 502–8368, Description: § 205(d) Rate Filing: what the Commission can do regarding [email protected]. TRBAA 2020 Annual Update to be those challenges, including regulatory Samin Peirovi (Technical Information), effective 1/1/2020. approaches such as incentives or Office of Energy Policy and Filed Date: 10/29/19. requirements for the adoption of grid- Innovation, (202) 502–8080, Accession Number: 20191029–5124. enhancing technologies. These [email protected].

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Dated: October 29, 2019. Inc. H–1830–89 to be effective 11/1/ Comments Due: 5 p.m. ET 11/12/19. Nathaniel J. Davis, Sr., 2019. Docket Numbers: RP20–108–000. Deputy Secretary. Filed Date: 10/29/19. Applicants: Iroquois Gas [FR Doc. 2019–24169 Filed 11–5–19; 8:45 am] Accession Number: 20191029–5002. Transmission System, L.P. BILLING CODE 6717–01–P Comments Due: 5 p.m. ET 11/12/19. Description: § 4(d) Rate Filing: 102919 Docket Numbers: RP20–101–000. Negotiated Rates—Emera Energy Applicants: Iroquois Gas Services, Inc. R–2715–38 to be effective DEPARTMENT OF ENERGY Transmission System, L.P. 11/1/2019. Description: § 4(d) Rate Filing: 102919 Filed Date: 10/29/19. Federal Energy Regulatory Negotiated Rates—Castleton Accession Number: 20191029–5032. Commission Commodities Merchant Trading L.P. H– Comments Due: 5 p.m. ET 11/12/19. 4010–89 to be effective 11/1/2019. Docket Numbers: RP20–109–000. Combined Notice of Filings Filed Date: 10/29/19. Applicants: Midwestern Gas Take notice that the Commission has Accession Number: 20191029–5003. Transmission Company. received the following Natural Gas Comments Due: 5 p.m. ET 11/12/19. Description: Compliance filing 2018– Pipeline Rate and Refund Report filings: Docket Numbers: RP20–102–000. 2019 Gas Sales and Purchases Report. Applicants: Iroquois Gas Filed Date: 10/29/19. Filings Instituting Proceedings Transmission System, L.P. Accession Number: 20191029–5044. Docket Number: PR20–3–000. Description: § 4(d) Rate Filing: 102919 Comments Due: 5 p.m. ET 11/12/19. Applicants: Gulf Coast Express Negotiated Rates—Twin Eagle Resource Docket Numbers: RP20–110–000. Pipeline LLC. Management, LLC H–7300–89 to be Applicants: Midwestern Gas Description: Tariff filing per effective 11/1/2019. Transmission Company. 284.123(b),(e)/: Petition for NGPA Filed Date: 10/29/19. Description: Compliance filing 2018– Section 311 Rate Approval to be Accession Number: 20191029–5004. 2019 Cashout Report. effective 9/25/2019. Comments Due: 5 p.m. ET 11/12/19. Filed Date: 10/29/19. Filed Date: 10/25/19. Docket Numbers: RP20–103–000. Accession Number: 20191029–5046. Comments Due: 5 p.m. ET 11/12/19. Accession Number: 201910255029. Applicants: Iroquois Gas Comments/Protests Due: 5 p.m. ET Transmission System, L.P. Docket Numbers: RP20–111–000. 11/15/19. Description: § 4(d) Rate Filing: 102919 Applicants: Wyoming Interstate Docket Numbers: RP19–1590–003. Negotiated Rates—Hartree Partners, LP Company, L.L.C. Applicants: Honeoye Storage H–7090–89 to be effective 11/1/2019. Description: § 4(d) Rate Filing: Non- Corporation. Filed Date: 10/29/19. Conforming Neg Rate Agreement Filing Description: Compliance filing Accession Number: 20191029–5011. (BHSC #215933–FTMWIC) to be Compliance Filing Adoption of NAESB Comments Due: 5 p.m. ET 11/12/19. effective 12/1/2019. Version 3.1 to be effective 8/1/2019. Filed Date: 10/29/19. Docket Numbers: RP20–104–000. Filed Date: 10/28/19. Accession Number: 20191029–5064. Applicants: Iroquois Gas Accession Number: 20191028–5026. Comments Due: 5 p.m. ET 11/12/19. Comments Due: 5 p.m. ET 11/12/19. Transmission System, L.P. Description: § 4(d) Rate Filing: 102918 Docket Numbers: RP20–112–000. Applicants: Algonquin Gas Docket Numbers: RP20–97–000. Negotiated Rates—Mercuria Energy Transmission, LLC. Applicants: Paiute Pipeline Company. America, Inc. H–7540–89 to be effective Description: § 4(d) Rate Filing: Description: § 4(d) Rate Filing: 11/1/2019. Removal of Non-conforming TSA F30 Negotiated Rates—Colonial Gas releases Filed Date: 10/29/19. and F49 to be effective 11/1/2019. to UGI to be effective 11/1/2019. Accession Number: 20191029–5014. Filed Date: 10/28/19. Filed Date: 10/29/19. Comments Due: 5 p.m. ET 11/12/19. Accession Number: 20191028–5084. Accession Number: 20191029–5069. Comments Due: 5 p.m. ET 11/12/19. Docket Numbers: RP20–105–000. Comments Due: 5 p.m. ET 11/12/19. Docket Numbers: RP20–98–000. Applicants: Viking Gas Transmission Docket Numbers: RP20–113–000. Applicants: Guardian Pipeline, L.L.C. Company. Applicants: Southern Star Central Gas Description: § 4(d) Rate Filing: GPL Description: Compliance filing 2018– Pipeline, Inc. Update Statement of Negotiated Rates to 2019 Gas Sales and Purchases Report to Description: § 4(d) Rate Filing: Vol 2- be effective 11/1/2019. be effective N/A. Neg and Conforming Rate Agreements- Filed Date: 10/28/19. Filed Date: 10/29/19. Tenaska and Spotlight PLS to be Accession Number: 20191028–5159. Accession Number: 20191029–5027. effective 11/1/2019. Comments Due: 5 p.m. ET 11/12/19. Comments Due: 5 p.m. ET 11/12/19. Filed Date: 10/29/19. Docket Numbers: RP20–99–000. Docket Numbers: RP20–106–000. Accession Number: 20191029–5128. Applicants: Texas Eastern Applicants: Guardian Pipeline, L.L.C. Comments Due: 5 p.m. ET 11/12/19. Transmission, LP. Description: Compliance filing 2018– Docket Numbers: RP20–114–000. Description: § 4(d) Rate Filing: Non- 2019 Gas Sales and Purchases Report. Applicants: El Paso Natural Gas conforming Agreement—PSEG ERT Filed Date: 10/29/19. Company, L.L.C. 400259 to be effective 10/30/2019. Accession Number: 20191029–5030. Description: § 4(d) Rate Filing: Non- Filed Date: 10/28/19. Comments Due: 5 p.m. ET 11/12/19. Conforming Agreements Filing (SWG Accession Number: 20191028–5178. Docket Numbers: RP20–107–000. 2019) to be effective 11/1/2019. Comments Due: 5 p.m. ET 11/12/19. Applicants: OkTex Pipeline Filed Date: 10/29/19. Docket Numbers: RP20–100–000. Company, L.L.C. Accession Number: 20191029–5130. Applicants: Iroquois Gas Description: Compliance filing 2018– Comments Due: 5 p.m. ET 11/12/19. Transmission System, L.P. 2019 Gas Sales and Purchases Report. Docket Numbers: RP20–115–000. Description: § 4(d) Rate Filing: 102919 Filed Date: 10/29/19. Applicants: Gulf South Pipeline Negotiated Rates—DTE Energy Trading, Accession Number: 20191029–5031. Company, LP.

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Description: § 4(d) Rate Filing: Cap Description: § 4(d) Rate Filing: Applicants: LA Storage, LLC. Rel Neg Rate Agmt (JERA 46435 to EDF Negotiated Rates—Baystate 510804 Description: § 4(d) Rate Filing: Filing 51653) to be effective 11/1/2019. release eff 11–1–19 to be effective 11/1/ of Negotiated Rate, Conforming IW Filed Date: 10/30/19. 2019. Agreement (ConocoPhillips) to be Accession Number: 20191030–5001. Filed Date: 10/30/19. effective 11/1/2019. Comments Due: 5 p.m. ET 11/12/19. Accession Number: 20191030–5086. Filed Date: 10/30/19. Docket Numbers: RP20–116–000. Comments Due: 5 p.m. ET 11/12/19. Accession Number: 20191030–5196. Applicants: Gulf South Pipeline Docket Numbers: RP20–123–000. Comments Due: 5 p.m. ET 11/12/19. Company, LP. Applicants: Algonquin Gas Description: § 4(d) Rate Filing: Cap Transmission, LLC. Docket Numbers: RP20–130–000. Rel Neg Rate Agmts (Atlanta Gas 8438 Description: § 4(d) Rate Filing: Applicants: Texas Eastern releases eff 11–1–2019) to be effective Negotiated Rates—Bay State 510066 Transmission, LP. 11/1/2019. release eff 11–1–19 to be effective 11/1/ Description: § 4(d) Rate Filing: Filed Date: 10/30/19. 2019. Negotiated Rates—ConocoPhillips Accession Number: 20191030–5002. Filed Date: 10/30/19. contract 911702 to be effective 11/1/ Comments Due: 5 p.m. ET 11/12/19. Accession Number: 20191030–5092. 2019. Docket Numbers: RP20–117–000. Comments Due: 5 p.m. ET 11/12/19. Filed Date: 10/30/19. Applicants: Gulf South Pipeline Docket Numbers: RP20–124–000. Accession Number: 20191030–5201. Company, LP. Applicants: Cimarron River Pipeline, Comments Due: 5 p.m. ET 11/12/19. Description: § 4(d) Rate Filing: Cap LLC. Docket Numbers: RP20–131–000. Rel Neg Rate Agmt (Atmos 45527 to Description: § 4(d) Rate Filing: Applicants: Enable Mississippi River Trans Louisiana 51695) to be effective Negotiated Rate Filing 10–30–2019 to be Transmission, LLC. 11/1/2019. effective 11/1/2019. Filed Date: 10/30/19. Filed Date: 10/30/19. Description: § 4(d) Rate Filing: MRT Accession Number: 20191030–5003. Accession Number: 20191030–5103. Rate Case 2019 to be effective 12/1/ Comments Due: 5 p.m. ET 11/12/19. Comments Due: 5 p.m. ET 11/12/19. 2019. Filed Date: 10/30/19. Docket Numbers: RP20–118–000. Docket Numbers: RP20–125–000. Applicants: Texas Eastern Applicants: NEXUS Gas Accession Number: 20191030–5202. Transmission, LP. Transmission, LLC. Comments Due: 5 p.m. ET 11/12/19. Description: § 4(d) Rate Filing: Description: § 4(d) Rate Filing: Docket Numbers: RP20–132–000. Negotiated Rate—EQT ro UGI 8960463 Negotiated Rates—Columbia Gas 860005 Applicants: Trailblazer Pipeline eff 11–1–19 to be effective 11/1/2019. Nov 1 Releases to be effective 11/1/ Company LLC. Filed Date: 10/30/19. 2019. Description: § 4(d) Rate Filing: Neg Accession Number: 20191030–5008. Filed Date: 10/30/19. Rate 2019–10–30 8 Ks (4 new, 2 Comments Due: 5 p.m. ET 11/12/19. Accession Number: 20191030–5113. Segment 4 Segment 10) to be effective Docket Numbers: RP20–119–000. Comments Due: 5 p.m. ET 11/12/19. 11/1/2019. Applicants: Texas Eastern Docket Numbers: RP20–126–000. Filed Date: 10/30/19. Transmission, LP. Applicants: Algonquin Gas Accession Number: 20191030–5212. Description: § 4(d) Rate Filing: Transmission, LLC. Comments Due: 5 p.m. ET 11/12/19. Negotiated Rate—MC Global to Eco Description: § 4(d) Rate Filing: Energy 8960364 eff 11–1–19 to be Negotiated Rates—Boston Gas 510798 The filings are accessible in the effective 11/1/2019. releases eff 11–1–19 to be effective 11/ Commission’s eLibrary system by Filed Date: 10/30/19. 1/2019. clicking on the links or querying the Accession Number: 20191030–5041. Filed Date: 10/30/19. docket number. Comments Due: 5 p.m. ET 11/12/19. Accession Number: 20191030–5131. Any person desiring to intervene or Docket Numbers: RP20–120–000. Comments Due: 5 p.m. ET 11/12/19. protest in any of the above proceedings Applicants: Dauphin Island Gathering Docket Numbers: RP20–127–000. must file in accordance with Rules 211 Partners. Applicants: Stagecoach Pipeline & and 214 of the Commission’s Description: § 4(d) Rate Filing: Storage Company LLC. Regulations (18 CFR 385.211 and Negotiated Rate Filing—Apache 10–30– Description: § 4(d) Rate Filing: 385.214) on or before 5:00 p.m. Eastern 2019 to be effective 11/1/2019. Stagecoach Pipeline & Storage Company time on the specified comment date. Filed Date: 10/30/19. LLC—Filing of Negotiated Rate Protests may be considered, but Accession Number: 20191030–5067. Agreement to be effective 11/1/2019. intervention is necessary to become a Comments Due: 5 p.m. ET 11/12/19. Filed Date: 10/30/19. party to the proceeding. eFiling is encouraged. More detailed Docket Numbers: RP20–121–000. Accession Number: 20191030–5159. information relating to filing Applicants: Texas Eastern Comments Due: 5 p.m. ET 11/12/19. requirements, interventions, protests, Transmission, LP. Docket Numbers: RP20–128–000. service, and qualifying facilities filings Description: § 4(d) Rate Filing: Applicants: Algonquin Gas can be found at: http://www.ferc.gov/ Negotiated Rates—Gulfport 911377 Transmission, LLC. docs-filing/efiling/filing-req.pdf. For release eff 11–1–19 to be effective 11/1/ Description: § 4(d) Rate Filing: other information, call (866) 208–3676 2019. Negotiated Rates—Boston Gas 510807 (toll free). For TTY, call (202) 502–8659. Filed Date: 10/30/19. releases eff 11–1–19 to be effective 11/ Accession Number: 20191030–5083. 1/2019. Dated: October 31, 2019. Comments Due: 5 p.m. ET 11/12/19. Filed Date: 10/30/19. Nathaniel J. Davis, Sr., Docket Numbers: RP20–122–000. Accession Number: 20191030–5161. Deputy Secretary. Applicants: Algonquin Gas Comments Due: 5 p.m. ET 11/12/19. [FR Doc. 2019–24207 Filed 11–5–19; 8:45 am] Transmission, LLC. Docket Numbers: RP20–129–000. BILLING CODE 6717–01–P

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DEPARTMENT OF ENERGY authorized effective the day after the FARM CREDIT ADMINISTRATION time allowed for filing a protest. If a Federal Energy Regulatory protest is filed and not withdrawn Sunshine Act Meeting; Farm Credit Commission within 30 days after the allowed time Administration Board [Docket No. CP20–7–000] for filing a protest, the instant request shall be treated as an application for AGENCY: Farm Credit Administration. Southern Star Central Gas Pipeline, authorization pursuant to section 7 of ACTION: Notice, regular meeting. Inc.; Notice of Request Under Blanket the NGA. Authorization Pursuant to section 157.9 of the SUMMARY: Notice is hereby given, Take notice that on October 21, 2019, Commission’s rules, 18 CFR 157.9, pursuant to the Government in the Southern Star Central Gas Pipeline, Inc. within 90 days of this Notice the Sunshine Act, of the regular meeting of (Southern Star), 4700 State Highway 56, Commission staff will either: Complete the Farm Credit Administration Board Owensboro, Kentucky 42301, filed in its environmental assessment (EA) and (Board). the above referenced docket a prior place it into the Commission’s public notice request pursuant to sections record (eLibrary) for this proceeding; or DATES: The regular meeting of the Board 157.205 and 157.216(b) of the issue a Notice of Schedule for will be held at the offices of the Farm Commission’s regulations under the Environmental Review. If a Notice of Credit Administration in McLean, Natural Gas Act (NGA) and its blanket Schedule for Environmental Review is Virginia, on November 14, 2019, from certificate issued in Docket No. CP82– issued, it will indicate, among other 9:00 a.m. until such time as the Board 479–000. Southern Star requests milestones, the anticipated date for the concludes its business. authorization to abandon a delivery Commission staff’s issuance of the EA point (Location 495501) and for this proposal. The filing of the EA ADDRESSES: Farm Credit approximately 1.6 miles of associated 3- in the Commission’s public record for Administration, 1501 Farm Credit Drive, and 4-inch-diameter lateral pipeline on this proceeding or the issuance of a McLean, Virginia 22102–5090. Submit Line Segment XW–004, all located in Notice of Schedule for Environmental attendance requests via email to Ellsworth County, Kansas. Southern Review will serve to notify federal and [email protected]. See Star states that it has no firm contracts state agencies of the timing for the SUPPLEMENTARY INFORMATION for further using Location 495501 as a primary completion of all necessary reviews, and information about attendance requests. delivery point and the only shipper to the subsequent need to complete all FOR FURTHER INFORMATION CONTACT: Dale have delivered gas to that point in the federal authorizations within 90 days of Aultman, Secretary to the Farm Credit last 12 months, Clearwater Enterprises, the date of issuance of the Commission Administration Board, (703) 883–4009, L.L.C., has provided written consent to staff’s EA. TTY (703) 883–4056. the requested abandonment, all as more Persons who wish to comment only fully set forth in the request which is on on the environmental review of this SUPPLEMENTARY INFORMATION: This file with the Commission and open to project should submit an original and meeting of the Board will be open to the public inspection. two copies of their comments to the public (limited space available). Please The filing is available for review at Secretary of the Commission. send an email to VisitorRequest@ the Commission in the Public Reference Environmental commenters will be FCA.gov at least 24 hours before the Room or may be viewed on the placed on the Commission’s meeting. In your email include: Name, Commission’s website web at http:// environmental mailing list and will be postal address, entity you are www.ferc.gov using the ‘‘eLibrary’’ link. notified of any meetings associated with representing (if applicable), and Enter the docket number excluding the the Commission’s environmental review last three digits in the docket number telephone number. You will receive an process. Environmental commenters field to access the document. For email confirmation from us. Please be will not be required to serve copies of assistance, contact FERC at prepared to show a photo identification filed documents on all other parties. [email protected] or call when you arrive. If you need assistance However, the non-party commenters toll-free, (886) 208–3676 or TYY, (202) for accessibility reasons, or if you have will not receive copies of all documents 502–8659. any questions, contact Dale Aultman, Any questions regarding this filed by other parties or issued by the Secretary to the Farm Credit application should be directed to Cindy Commission and will not have the right Administration Board, at (703) 883– Thompson, Manager, Regulatory, to seek court review of the 4009. The matters to be considered at Southern Star Central Gas Pipeline, Inc., Commission’s final order. the meeting are: 4700 State Highway 56, Owensboro, The Commission strongly encourages Kentucky 42301, by phone at (270) 852– electronic filings of comments, protests Open Session 4655, or by email at cindy.thompson@ and interventions in lieu of paper using A. Approval of Minutes southernstar.com. the ‘‘eFiling’’ link at http:// Any person or the Commission’s staff www.ferc.gov. Persons unable to file • October 10, 2019 may, within 60 days after issuance of electronically should submit an original B. Report the instant notice by the Commission, and 3 copies of the protest or file pursuant to Rule 214 of the intervention to the Federal Energy • Update on Credit Conditions Commission’s Procedural Rules (18 CFR Regulatory Commission, 888 First Street 385.214) a motion to intervene or notice NE, Washington, DC 20426. Dated: November 4, 2019. Dale Aultman, of intervention and pursuant to section Dated: October 30, 2019. 157.205 of the regulations under the Secretary, Farm Credit Administration Board. Nathaniel J. Davis, Sr., NGA (18 CFR 157.205), a protest to the [FR Doc. 2019–24354 Filed 11–4–19; 4:15 pm] Deputy Secretary. request. If no protest is filed within the BILLING CODE 6705–01–P time allowed therefore, the proposed [FR Doc. 2019–24168 Filed 11–5–19; 8:45 am] activity shall be deemed to be BILLING CODE 6717–01–P

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FEDERAL DEPOSIT INSURANCE F Street NW, on business days between program tests, as well as any tailored CORPORATION 7:00 a.m. and 5:00 p.m., EST. regulatory and supervisory assistance All comments should reference needed from the FDIC. Collected Agency Information Collection ‘‘Information Collection for Innovation proposals will be assessed, prioritized Activities: Proposed Collection; Pilot Programs.’’ A copy of the and identified for testing, either on their Comment Request Re: Information comments may also be submitted to the own or as part of a subject-area focused Collection for Innovation Pilot OMB desk officer for the FDIC: Office of grouping of pilot programs. Programs (NEW) The FDIC anticipates that proposals Information and Regulatory Affairs, will involve cutting-edge innovations Office of Management and Budget, New AGENCY: Federal Deposit Insurance and novel approaches or applications Executive Office Building, Washington, Corporation (FDIC). involving a banking product, service, DC 20503. ACTION: Notice and request for comment. system, or activity that benefits and can FOR FURTHER INFORMATION CONTACT: lead to better outcomes for consumers SUMMARY: The FDIC seeks to continue Jennifer Jones, Counsel, at the FDIC through, for example, an increased its engagement and collaboration with mailing address above or by phone at range of products and services, reduced innovators in the financial, non- 202–898–6768. costs, or improved access to financial financial, and technology sectors to, SUPPLEMENTARY INFORMATION: services, or that decreases operational, among other things, identify, develop risk management, or compliance costs and promote technology-driven Proposal for the Following New Collection of Information for insured depository institutions. innovations among community and Accepted pilot programs may be other banks in a manner that ensures the 1. Title: Information Collection for conducted and monitored concurrently safety and soundness of FDIC- Innovation Pilot Programs. with a number of pilot programs supervised and insured institutions. An OMB Number: 3064–NEW. selected in a given cohort with limited innovation pilot program framework can Form Number: None. participants. Subject-area groupings provide a regulatory environment in Affected Public: FDIC-supervised could include pilot programs that match which the FDIC, in conjunction with institutions (state-chartered banks and a general theme or product area of great individual proposals collected from savings institutions that are not promise or particular interest to the innovators, including banks, will members of the Federal Reserve System) banking sector or the FDIC. This may be provide tailored regulatory and and innovative companies that partner announced in advance of the collection supervisory assistance, when or plan to partner, or provide services to or afterwards if multiple pilot programs appropriate, to facilitate the testing of such institutions. proposals are found to share key innovative and advanced technologies, Estimated Number of Respondents: attributes or defining characteristics products, services, systems, or activities. 50. (e.g., similar product concept; banks of The FDIC invites the general public, Estimated Total Annual Burden: certain size; like customer focus). including persons who may have an 3,000 hours. Proposals will be collected from interest in participating in innovation General Description of Collection: The FDIC-supervised institutions (state- pilot programs and other Federal FDIC seeks to engage and collaborate chartered banks and savings institutions agencies, to comment on the agency’s with innovators in the financial, non- that are not members of the Federal collection of pilot program proposals by financial, and technology sectors to, Reserve System), who may submit a innovators, as required by the among other things, identify, develop pilot program proposal individually or Paperwork Reduction Act of 1995. At and promote technology-driven together with companies that provide or the end of the comment period, any innovations among community and aim to provide technologically driven comments and recommendations other banks in a manner that ensures the products, services, or systems through received will be reviewed to determine safety and soundness of FDIC- direct contractual arrangements, the extent to which the collection of supervised and insured institutions. An partnerships, or joint ventures (this proposals should be modified prior to innovation pilot program framework includes third-party service providers). the submission to the Office of will provide a regulatory environment Proposals may also be collected from Management and Budget (OMB) for in which the FDIC, in conjunction with innovators that are not themselves review and approval. individual proposals collected from FDIC-supervised institutions and do not innovators, including banks, will have a partnering institution but who DATES: Comments must be submitted on provide tailored regulatory and may submit a pilot program proposal; or before January 6, 2020. supervisory assistance, when however, the nonbank will be eligible to ADDRESSES: Interested parties are appropriate, to facilitate the testing of receive only a preliminary non- invited to submit written comments to innovative and advanced technologies, objection to its proposal conditioned on the FDIC by any of the following products, services, systems, or activities. later submission (and collection) of the methods: While greater detail and the proposal in partnership with an FDIC- • https://www.FDIC.gov/regulations/ parameters of a planned innovation supervised institution. laws/federal/notices.html. pilot program framework will be The collection will be limited by • https://www.regulations.gov. separately announced at a later date, eligibility for consideration. FDIC- • Email: [email protected]. Include innovators (banks and firms in supervised institutions that wish to the name of the collection in the subject partnership with banks) will be invited participate in a pilot program must: (1) line of the message. to voluntarily propose time-limited pilot Have a demonstrated record of engaging • Mail: Jennifer Jones, Counsel, MB– programs, which will be collected and in appropriate risk management; (2) be 3105, Federal Deposit Insurance considered by the FDIC on a case-by- well-capitalized; (3) be well-rated for Corporation, 550 17th Street NW, case basis. Innovators may request to compliance and safety and soundness; Washington, DC 20429. participate by submitting proposals and (4) not have significant pending • Hand Delivery: Comments may be during a set time period for supervisory or enforcement actions (or hand-delivered to the guard station at submissions. Applicants will propose significant regulatory investigations). the rear of the above address located on the design and parameters of the pilot Other firms seeking to participate in a

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pilot program must: (1) Be a U.S. 2. According to records submitted to Co., LLC’’. FAL failed to notify the domicile; (2) conduct all pilot program the Commission’s Bureau of Commission of this change. banking activity (products and services) Certification and Licensing (BCL), 16. By email correspondence dated through an FDIC-supervised institution French America Line is said to maintain December 22, 2017 to Tajuanda partner; and (3) not involve persons its principal offices at 700 Churchill Singletary, Ken Grigsby requested who have been convicted of any Parkway, Avondale, LA 70094. information about the audit process and criminal offense involving dishonesty, 3. BCL records identify the principal what FAL needed to provide. breach of trust, or money laundering. of French America Line as Christopher 17. Tajuanda Singletary responded to Kyte, Chairman, and Manager Duane Ken Grigsby by email January 3, 2018 Request for Comment Kendall Grigsby (Ken Grigsby) as Chief with paragraph 8 of the escrow Comments are invited on: (a) Whether Operating Officer. agreement which detailed the the collection of information is 4. Christopher Kyte has provided BCL requirements for the independent audit. necessary for the proper performance of with his address as 883 Island Drive, 18. By correspondence emailed the FDIC’s functions, including whether Suite 214, Alameda, CA 94502. January 25, 2018 to FAL, BCL sent a the information has practical utility; (b) 5. BCL records identify David notification letter to FAL of the the accuracy of the estimate of the Christopher Tidmore as Registered Commission’s intent to conduct a burden of the information collection, Agent for service of process for FAL. review of Unearned Passenger Revenue including the validity of the 6. Louisiana Secretary of State records pursuant to 46 CFR part 540. methodology and assumptions used; (c) also identify David Christopher Tidmore 19. In the January 25, 2018 letter to ways to enhance the quality, utility, and as Registered Agent for service of FAL, BCL requested various financial clarity of the information to be process for FAL, located at 3104 Roberta documents to be submitted by February collected; and (d) ways to minimize the St. Metarie, LA 70003. 1, 2018. burden of the collection of information 7. On October 4, 2016, FAL entered 20. By correspondence emailed on respondents, including through the into an Escrow Agreement with January 29, 2018 to BCL, Christopher use of automated collection techniques KeyBank, N.A. for the purposes of Kyte requested a two-week extension to or other forms of information providing proof of Financial provide the documents. BCL granted technology. All comments will become Responsibility for Indemnification of extension to February 9, 2018. a matter of public record. Passengers in the Event of 21. The documents requested in the Federal Deposit Insurance Corporation. Nonperformance. notice of review letter were not received Annmarie H. Boyd, 8. Upon receipt of the escrow by February 9, 2018. On February 12, Assistant Executive Secretary. agreement, BCL issued Performance 2018 BCL emailed Christopher Kyte, [FR Doc. 2019–24209 Filed 11–5–19; 8:45 am] Certificate No. P–1397 effective October again requesting the documents. 5, 2016. 22. The 2017 4th Quarter Independent BILLING CODE 6714–01–P 9. French America Line is a Audit for October, November, and Certificant operating as a passenger December was not received on or before vessel operator (PVO) pursuant to the due date of February 14, 2018. FEDERAL MARITIME COMMISSION Certificate (Performance) No. P–1397 23. By correspondence emailed [DOCKET NO. 19–08] since October 2016. February 21, 2018 to FAL, BCL again 10. On October 26, 2016, FAL’s sole requested the documentation named in Possible Revocation of Passenger vessel, the LOUISIANE, suffered a the January 25, 2018 notice of review Vessel Operator Performance sanitary system failure, requiring FAL to letter that was not submitted by the Certificate No. P1397 Great Northern & cancel multiple sailings. February 9, 2018 extended deadline. Southern Navigation Co., LLC dba 11. The escrow agreement requires 24. The 2018 1st Quarter Independent French America Line; Order Granting FAL to submit weekly recomputations Audit for January, February, and March Hearing and Directing Great Northern of unearned passenger revenue and was not received on or before the due & Southern Navigation Co. LLC dba refunds, and are used to adjust the date of May 15, 2018. French America Line To Show Cause amount in the escrow account 25. By correspondence emailed May Pursuant to 46 CFR 540.8(c) the accordingly. 18, 2018 to FAL, BCL notified FAL that Federal Maritime Commission grants a 12. The escrow agreement requires it was not in compliance with the hearing and directs respondent Great FAL submit audit reports that attest to escrow agreement and gave a deadline Northern & Southern Navigation Co., the veracity of unearned passenger of June 1, 2018 to come into compliance LLC DBA French America Line, a revenue recomputations on a quarterly with the escrow agreement and provide certified passenger vessel operator, to basis. BCL with the required reports, weekly show cause why its Performance 13. The 2016 4th Quarter Independent recomputation certificates, statement of Certificate should not be revoked for Audit for October, November, and good standing with the state of cause. December was not received on or before Louisiana, and provide the current Based on information provided to it, the due date of February 14, 2017. operating address of FAL. the Commission’s Bureau of 14. The 2017 1st, 2nd, and 3rd 26. By correspondence emailed May Enforcement makes the following Quarter Independent Audits were not 31, 2018 to BCL, FAL responded to the allegations: received on or before the due dates of May 18, 2018 notification stating that May 15, 2017, August 14, 2017, and FAL remained at the same operating Statement of Facts Constituting Basis November 14, 2017, respectively. address of 700 Churchill Parkway, for Commission Action 15. The Louisiana Secretary of State Avondale, LA 70094. FAL also 1. Great Northern & Southern web page indicates that, on September requested an extension to submit the Navigation Co., LLC dba French 21, 2017, FAL changed its name to requested documents. America Line (French America Line or ‘‘Great Northern & Southern Navigation 27. On June 6, 2018, BCL granted FAL) is a Louisiana Limited Liability Co LLC French America Line’’ from FAL’s request for a deadline extension Company. ‘‘Great Northern & Southern Navigation until June 30, 2018.

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28. BCL did not receive the required was not received on or before the due Basis For Revocation or Suspension of recomputation certificates, requested date of May 15, 2019. Respondent’s Certificate (Performance) documents, or independent reports by 41. As of October 9, 2019, FAL was 48. The Commission has previously June 30, 2018. not in good standing with the Louisiana found that passenger vessel operators 29. On July 12, 2018, a conference call Secretary of State. are not entitled to a Certificate where an was held between BCL and FAL during operator misled Commission staff and The Commission’s Jurisdiction and which FAL agreed it would report to the failed to respond to lawful inquiries. FMC the progress of its independent Requirements of Law Royal Venture Cruise Line, Inc. and auditor no later than the morning of Anastassios Kiriakidis–Possible Wednesday, July 18, 2018. The parties 42. Under 46 U.S.C. 41302(a), the Commission is empowered to Violations of Passenger Vessel agreed that a final audit report would be Certification Requirements, 27 S.R.R. made available to the FMC no later than investigate any conduct that the Commission believes to be in violation 1069 (FMC 1997). Friday, July 27, 2018. BCL sent a follow- 49. The Commission will also issue up email to FAL memorializing the of Part A of Subtitle IV of Title 46 U.S. Code, 46 U.S.C. 40101–44101. cease and desist orders based on a conference call. vessel operator’s inability to establish its 30. On July 16, 2018, Area 43. Through 46 U.S.C. 44106, 46 financial responsibility. Royal Venture Representative Eric Mintz visited the U.S.C. 41302(a) also applies to Cruise Line, Inc. and Anastassios principal address of FAL at 700 proceedings conducted by the Kiriakidis–Possible Violations of Churchill Parkway, Avondale, LA Commission under Part C, 46 U.S.C. Passenger Vessel Certification 70094. FAL was not located at that 44101–44106. Requirements, 27 S.R.R. 1069 (FMC address. 44. 46 U.S.C. 44102 provides: 1997); American Star Lines, Inc., 31. By correspondence emailed July National Transatlantic Lines of Greece 17, 2018, Mr. Scott Rojas, Director of (a) Filing requirement. A person in the United States may not arrange, offer, S.A. and Dimitri Anninos–Possible Facilities and IT at the building located Violations of Passenger Vessel at 700 Churchill Parkway, Avondale, LA advertise, or provide transportation on a vessel to which this chapter applies unless Certification Requirements, 25 S.R.R. 70094 confirmed French America Line/ the person has filed with the Federal 1153 (FMC 1990). Great Northern & Southern Navigation Maritime Commission evidence of financial 50. FAL’s false statements regarding Co., LLC vacated that location the week responsibility to indemnify passengers for its office address establish that of November 27, 2017. nonperformance of the transportation. revocation is proper under 46 CFR 32. BCL did not receive a final audit (b) Satisfactory evidence. To satisfy 540.8(b)(1). report on July 27, 2018 as agreed during subsection (a), a person must file– 51. FAL’s failure to timely submit the July 12, 2018 call. (1) Information the Commission considers quarterly independent audits for the 33. The 2018 2nd Quarter necessary; or past three years, as required by the Independent Audit for April, May, and (2) A copy of the bond or other security, terms of its escrow agreement, establish June was not received on or before the in such form as the Commission by regulation may require. that FAL is no longer qualified to hold due date of August 14, 2018. a Certificate within the meaning of 46 34. By correspondence emailed 45. The Commission’s regulations at U.S.C. 44102 and 46 CFR 540.8(b)(2). August 27, 2018 to FAL, BCL informed 46 CFR 540.8 provide: 52. FAL’s failure to remain a Limited FAL that it was still not in compliance Liability Company in good standing with the escrow agreement and that the (c) If the applicant, within 20 days after notice of the proposed denial, revocation, with its state’s authority, as warranted outstanding reports continued to be past suspension, or modification under paragraph in its escrow agreement, establish that due. (b) of this section, requests a hearing to show FAL is no longer qualified to hold a 35. The 2018 3rd Quarter Independent that such denial, revocation, suspension, or Certificate within the meaning of 46 Audit for July, August, and September modification should not take place, such U.S.C. 44102 and 46 CFR 540.8(b)(2). was not received on or before the due hearing shall be granted by the Commission. 53. FAL’s failure to comply with date of November 14, 2018. information and document requests by 36. By correspondence mailed and 46. The Commission’s implementing Commission staff establish that emailed February 6, 2019 to FAL, BCL regulations at 46 CFR 540.3 provide: revocation is proper under 46 CFR informed FAL it was not in compliance No person in the United States may 540.8(b)(3). with the escrow agreement and arrange, offer, advertise, or provide passage requested FAL provide the necessary on a vessel unless a Certificate (Performance) Order documentation to comply with the has been issued to or covers such person. Now therefore, it is ordered That, agreement, the FMC’s regulations, and pursuant to 46 U.S.C. 41302, 41304, the requirements of the Louisiana 47. The Commission’s regulations at 44106, and 46 CFR 540.8(c), Great Accountancy Act no later than April 9, 46 CFR 540.8(b) provide that a Northern & Southern Navigation Co., 2019. Certificate (Performance) be denied, LLC DBA French America Line is 37. The 2018 4th Quarter Independent revoked, suspended, or modified for any directed to show cause, within 25 days Audit for October, November, and of the following reasons: of publication of this Order in the December was not received on or before (1) Making any willfully false statement to Federal Register, why the Commission the due date of February 14, 2019. the Commission in connection with an should not revoke its Certificate 38. BCL did not receive the correct application for a Certificate (Performance); (Performance) inasmuch as the requested documents due April 9, 2019 (2) Circumstances whereby the party does Certificant is otherwise not qualified to per BCL’s letter dated February 6, 2019. not qualify as financially responsible in render passenger vessel services; 39. By correspondence mailed and accordance with the requirements of the Commission; It is further ordered That this emailed April 10, 2019 to FAL, BCL (3) Failure to comply with or respond to proceeding be limited to the submission provided notice to FAL of BCL’s intent lawful inquiries, requests for information, of affidavits of fact, memoranda of law, to revoke FAL’s Performance Certificate. rules, regulations, or orders of the and documentary evidence; 40. The 2019 1st Quarter Independent Commission pursuant to the rules of this It is further ordered That any person Audit for January, February, and March subpart. having an interest and desiring to

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intervene in this proceeding shall file a By the Commission. Research and Quality (AHRQ) to request petition for leave to intervene in Rachel Dickon, that the Office of Management and accordance with Rule 68 of the Secretary. Budget (OMB) approve the proposed Commission’s Rules of Practice and [FR Doc. 2019–24177 Filed 11–5–19; 8:45 am] information collection project Procedure, 46 CFR 502.68. Such petition BILLING CODE 6731–AA–P ‘‘Outcome Measure Harmonization and shall be accompanied by the petitioner’s Data Infrastructure for Patient Centered memorandum of law, affidavit of fact, Outcomes Research in Depression.’’ and documentary evidence, if any, and FEDERAL MINE SAFETY AND HEALTH This proposed information collection shall be filed no later than the date fixed REVIEW COMMISSION was previously published in the Federal below; Register on August 22, 2019 and allowed 60 days for public comment. No It is further ordered That Great Sunshine Act Notice substantive comments were received by Northern & Southern Navigation Co., TIME AND DATE: 10:00 a.m., Thursday, AHRQ during these 60 days. The LLC DBA French America Line be December 12, 2019. purpose of this notice is to allow an named as Respondent in this PLACE: The Richard V. Backley Hearing additional 30 days for public comment. proceeding. Affidavits of fact, Room, Room 511N, 1331 Pennsylvania memoranda of law, and documentary DATES: Comments on this notice must be Avenue NW, Washington, DC 20004 evidence shall be filed by Respondent received by 30 days after date of (enter from F Street entrance). and any intervenors in support of publication. Respondent no later than November 26, STATUS: Open. ADDRESSES: Written comments should 2019; MATTERS TO BE CONSIDERED: The be submitted to: AHRQ’s OMB Desk Commission will consider and act upon Officer by fax at (202) 395–6974 It is further ordered That the the following in open session: Secretary Commission’s Bureau of Enforcement (attention: AHRQ’s desk officer) or by of Labor v. The Monongalia County Coal email at OIRA_submission@ (BOE) be made a party to this Company, Docket Nos. WEVA 2015–509 proceeding; omb.eop.gov (attention: AHRQ’s desk et al. (Issues include whether the Judge officer). It is further ordered That reply erred in denying the Secretary of Labor FOR FURTHER INFORMATION CONTACT: affidavits, memoranda of law, and the opportunity to present evidence of Doris Lefkowitz, AHRQ Reports documentary evidence shall be filed by prior violations to support his allegation Clearance Officer, (301) 427–1477, or by BOE and intervenors in opposition to that repeated flagrant violations had email at [email protected]. Respondent no later than December 11, occurred.). 2019; Any person attending this meeting SUPPLEMENTARY INFORMATION: It is further ordered That: who requires special accessibility Proposed Project features and/or auxiliary aids, such as (a) Should any party believe that the sign language interpreters, must inform Outcome Measure Harmonization and submission of testimony or additional the Commission in advance of those Data Infrastructure for Patient Centered evidence is required, that party must needs. Subject to 29 CFR 2706.150(a)(3) Outcomes Research in Depression submit a request together with a and 2706.160(d). The Agency for Healthcare Research statement setting forth in detail the facts CONTACT PERSON FOR MORE INFO: and Quality’s (AHRQ) mission is to to be proved, the relevance of those facts Emogene Johnson (202) 434–9935/(202) produce evidence to make health care to the issues in this proceeding, a 708–9300 for TDD Relay/1–800–877– safer, higher quality, more accessible, description of the evidence which 8339 for toll free. equitable, and affordable, and to work would be adduced, and why such PHONE NUMBER FOR LISTENING TO within the U.S. Department of Health testimony or other evidence cannot be MEETING: 1–(866) 236–7472 and Human Services and with other submitted by affidavit; and Passcode: 678–100. partners to make sure that the evidence (b) Any request for submission of Authority: 5 U.S.C. 552b. is understood and used. testimony or additional evidence shall In support of this mission, AHRQ be filed no later than December 11, Dated: November 4, 2019. funded a prior project to harmonize the 2019; Sarah L. Stewart, outcome measures collected across Deputy General Counsel. It is further ordered That notice of this patient registries and routine clinical Order to Show Cause be published in [FR Doc. 2019–24344 Filed 11–4–19; 4:15 pm] practice, with the goals of supporting the Federal Register, and that a copy BILLING CODE 6735–01–P the development of a robust data thereof be served upon Respondent at infrastructure that can consistently and its last known address; efficiently collect high-quality data on DEPARTMENT OF HEALTH AND outcome measures that are relevant to It is further ordered That all HUMAN SERVICES patients and clinicians and supporting documents submitted by any party of patient-centered outcomes research and record in this proceeding shall be filed Agency for Healthcare Research and quality improvement. Harmonized in accordance with Rule 2 of the Quality outcome measures would also form the Commission’s Rules of Practice and foundation for learning healthcare Procedure, 46 CFR 502.2, as well as Agency Information Collection systems. Of note, AHRQ has supported mailed directly to all parties of record; Activities: Proposed Collection; the development of the Outcome Finally, it is ordered That pursuant to Comment Request Measures Framework (OMF). The OMF the terms of Rule 61 of the AGENCY: Agency for Healthcare Research is a conceptual model for classifying Commission’s Rules of Practice and and Quality, HHS. outcomes that are relevant to patients Procedure, 46 CFR502.61, the final ACTION: Notice. and providers across most conditions. decision of the Commission in this AHRQ, in collaboration with the U.S. proceeding shall be issued no later than SUMMARY: This notice announces the Food and Drug Administration and the February 27, 2020. intention of the Agency for Healthcare National Library of Medicine, recently

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supported an effort to use the OMF as AHRQ is now proposing to implement clinicians in the health system setting a content model for developing the harmonized depression outcome will be asked to complete once at the harmonized outcome measures in measures developed under the prior conclusion of the project. The survey specific disease areas, including project in two patient registries (the captures information on the value of the depression. PRIME Registry and PsychPRO) and a harmonized outcome measures for Major depressive disorder (MDD) is a health system setting. The purpose of informing patient care. common mental disorder that affects an this project is to demonstrate that Users of the information captured in estimated 16.2 million adults and 3.1 capturing the harmonized outcome this project will fall into two categories: million adolescents in the United States. measures in the clinical workflow and Clinicians providing care for patients Characterized by changes in mood, submitting these data to different with depression; and researchers using cognitive function, and/or physical registries can improve clinical care, the de-identified data to answer a function that persist for two or more reduce the burden of registry patient-centered outcomes research weeks, MDD can reduce quality of life participation, and increase the utility of question. AHRQ will receive summary substantially, impair function at home, registry data for research purposes. The findings from the data analysis only; no work, school, and in social settings, and objectives of the project are to: patient-level data will be shared with result in increased mortality due to —Demonstrate that collection of the AHRQ. suicide. MDD also is a major cause of harmonized outcome measures is Estimated Annual Respondent Burden disability, with an economic burden of feasible, sustainable, and useful for A key objective of this project is to approximately $210.5 billion per year in clinicians participating in primary demonstrate that the harmonized the United States. care and mental health patient registries. outcome measures can be captured as Despite the burden of MDD and the part of the routine clinical workflow, availability of treatment, the condition —Demonstrate that collection of the harmonized outcome measures is with little to no added burden for is often undiagnosed and untreated. In clinicians and patients. The harmonized 2016, the U.S. Preventive Services Task feasible, sustainable, and useful for clinicians in a health system setting. measures will be calculated primarily Force recommended screening for with existing data extracted from depression in the general adult Evaluate whether collection of the harmonized measures increases the electronic medical records (EMRs). population, including pregnant and Extraction of these data will not postpartum women, and in adolescents. utility of registry data for research purposes. represent an additional burden for While routine screening is intended to clinicians. Patients participating in this improve diagnosis and treatment of The project is being conducted by AHRQ through its contractor, OM1, Inc., project will be asked to complete up to MDD, many questions remain, such as two patient-reported outcome about the comparative effectiveness of pursuant to AHRQ’s statutory authority to conduct and support research on measures—the Patient Health different treatment approaches, the Questionnaire-9 (PHQ–9) and the incidence of adverse events, when to healthcare and on systems for the delivery of such care, including Frequency, Intensity, and Burden of add medications for patients who do not Side Effects Ratings (FIBSER). Burden is respond to an initial course of activities with respect to the quality, effectiveness, efficiency, estimated below for completion of these treatment, how and why depression instruments by the patient respondent. recurs, and how to classify and treat appropriateness and value of healthcare services and with respect to the Clinicians participating in the health treatment-resistant depression. Patient system component of the project will be registries capture a wealth of data on outcomes of such services. 42 U.S.C. 299a(a)(1) and (3). asked to complete the Clinician Survey. depression treatment patterns and Burden is estimated below for outcomes in the United States and could Method of Collection completion of this survey by the serve as the foundation for a national To achieve the goals of this project the clinician respondent. research infrastructure to address these following data collections will be Exhibit 1 shows the estimated and other research questions. Yet, a lack implemented: annualized burden hours for the patient of harmonization in the outcome (1) Patient Health Questionnaire-9 respondent’s time to complete the PHQ– measures collected by each registry (PHQ–9)—the PHQ–9 is a brief, 9-item 9 and FIBSER at three time points as makes it challenging, if not impossible, scale that is completed by patients and part of this project and for the clinician to link and compare data across reviewed by clinicians at three points respondent to complete the Clinician registries and related efforts. As during this project. The scale is used to Survey at one time point during this documented in the prior project, measure depression severity, to monitor project. The PHQ–9 is a brief, 9-item existing registries use different outcome changes in depression severity over scale used to measure depression measures (e.g., remission as defined by time, and to calculate the harmonized severity. The FIBSER is a brief, 3-item the PHQ–9 vs. HAM–D) and capture outcome measures for depression scale used to measure the burden of side data at different timepoints. remission, response, recurrence, and effects related to depression treatment. Depression registries offer an suicide ideation and behavior. The Clinician Survey is a brief, 20- excellent opportunity to demonstrate (2) Frequency, Intensity, and Burden question survey designed to assess the the feasibility and value of of Side Effects Ratings (FIBSER)—the value of the harmonized outcome implementing the harmonized outcome FIBSER is a brief, 3-item scale that is measures for informing patient care. The measures. Existing registries already completed by patients and reviewed by PHQ–9 is used in routine clinical capture some of the harmonized clinicians at three points during this practice to screen for depression and depression measures for quality project. The scale is used to measure the monitor changes in depression severity reporting, although at different burden of side effects related to over time, as recommended by the U.S. timepoints; capture of these measures depression treatment and to calculate Preventive Services Task Force. For and the additional measures at the harmonized outcome measure for some participants in this project, consistent intervals will enable the adverse events. completion of the PHQ–9 is part of their registries to generate more robust data (3) Clinician Survey—the clinician existing clinical care routine and does suitable for research purposes. survey is a brief, 20-question survey that not represent an extra burden. For

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example, the PHQ–9 is already captured anticipate implementing the FIBSER at health system will be asked to complete routinely for participants in the the health system sites. Therefore, the the PHQ–9 three times over the course PsychPRO registry. The estimates below total number of respondents for the of a year. Clinicians from the health do not include participants in the PHQ–9 is estimated at 150, and the total system sites will be asked to complete PsychPRO registry for that reason. number of respondents for the FIBSER the Clinician Survey once, at the Because the primary objective of this is estimated at 200. We anticipate that conclusion of the project; the survey is project is to determine the feasibility three clinicians associated with each of designed to be completed in 5 minutes and value of extracting the relevant data the five health system sites will or less. If 150 respondents complete the and calculating the measures, a formal complete the Clinician Survey. PHQ–9 three times over the course of sample size has not been calculated. We Therefore, the total number of one year, the estimated annualized estimate that the 20 participating sites respondents for the Clinician Survey is burden would be 22.5 hours. If 200 in the two patient registries will each estimated at 15. enroll 10 patients, for a total of 200 Based on existing literature, it is respondents complete the FIBSER three patients. We estimate that the 5 estimated that completion of the PHQ– times over the course of one year, the participating sites at the health system 9 takes, on average, 3 minutes, and the estimated annualized burden would be will each enroll 10 patients, for a total FIBSER takes, on average, 2 minutes to 20 hours. If 15 clinicians complete the of 50 patients. We did not include the complete. Participants in the patient Clinician Survey once over the course of PsychPRO enrollment in the PHQ–9 registries will be asked to complete the one year, the estimated annualized estimates, as the PHQ–9 is already PHQ–9 and FIBSER three times over the burden would be 1.25 hours. The total collected in this registry and does not course of a year, for a total time of 15 estimated annualized burden would be represent extra burden. We also do not minutes per year. Participants from the 43.75 hours.

EXHIBIT 1—ESTIMATED ANNUALIZED BURDEN HOURS

Number of Form name Number of responses per Minutes per Total burden respondents respondent response hours

PHQ–9 ...... 150 3 3 22.5 FIBSER ...... 200 3 2 20 Clinician Survey ...... 15 1 5 1.25

Total ...... 365 ...... 43.75

Exhibit 2 shows the estimated cost and Clinician Survey as part of this of $1,110.93 annually. The duration of burden associated with the respondent’s project. The total cost burden to this project is one year. time to complete the PHQ–9, FIBSER, respondents is estimated at an average

EXHIBIT 2—ESTIMATED ANNUALIZED COST BURDEN

Average Form name Number of Total burden hourly wage Total cost respondents hours rate burden

PHQ–9 ...... 150 22.5 *$24.98 $562.05 FIBSER ...... 200 20 *24.98 499.6 Clinician Survey ...... 15 1.25 # 39.42 49.28

Total ...... 365 42.5 24.98 1,110.93 * Based on the mean wages for all occupations, 00–0000. May 2018 National Occupational Employment and Wage Estimates. U.S. Depart- ment of Labor, Bureau of Labor Statistics. Available at: https://www.bls.gov/oes/current/oes_nat.htm#00-0000. # Based on the mean wages for Healthcare Practitioners and Technical Occupations, 29–0000. May 2018 National Occupational Employment and Wage Estimates. U.S. Department of Labor, Bureau of Labor Statistics. Available at: https://www.bls.gov/oes/current/oes_nat.htm#29-0000.

Request for Comments enhance the quality, utility and clarity Dated: October 31, 2019. In accordance with the Paperwork of the information to be collected; and Virginia L. Mackay-Smith, Reduction Act, comments on AHRQ’s (d) ways to minimize the burden of the Associate Director. information collection are requested collection of information upon the [FR Doc. 2019–24194 Filed 11–5–19; 8:45 am] with regard to any of the following: (a) respondents, including the use of BILLING CODE 4160–90–P Whether the proposed collection of automated collection techniques or information is necessary for the proper other forms of information technology. performance of AHRQ’s health care Comments submitted in response to research and health care information this notice will be summarized and dissemination functions, including included in the Agency’s subsequent whether the information will have request for OMB approval of the practical utility; (b) the accuracy of proposed information collection. All AHRQ’s estimate of burden (including comments will become a matter of hours and costs) of the proposed public record. collection(s) of information; (c) ways to

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DEPARTMENT OF HEALTH AND of pregnancy success rates from assisted Proposed Additional Data Collection HUMAN SERVICES reproductive technology (ART) Fields programs. Centers for Disease Control and Section III. What to Report Please note that comments received, Prevention Section A. Patient Demographic including attachments and other Information [Docket No. CDC–2019–0103] supporting materials, are part of the public record and are subject to public CDC is currently collecting Reporting of Pregnancy Success Rates disclosure. Comments will be posted on information on race/ethnicity for oocyte from Assisted Reproductive https://www.regulations.gov. Therefore, source and pregnancy carrier. In the rare Technology (ART) Programs; do not include any information in your situation when a patient is not using her Proposed Additional Data Collection comment or supporting materials that own oocytes (uses donor eggs) and does Fields; Request for Comment not carry the pregnancy (uses you consider confidential or gestational carrier), the current data AGENCY: Centers for Disease Control and inappropriate for public disclosure. If collection system will not capture Prevention (CDC), Department of Health you include your name, contact patient race/ethnicity. CDC proposes and Human Services (HHS). information, or other information that adding these questions to the patient ACTION: Request for comment. identifies you in the body of your profile in the beginning of the comments, that information will be on SUMMARY: questionnaire to help better understand The Centers for Disease public display. CDC will review all Control and Prevention (CDC), located the demographic profile of all ART submissions and may choose to redact, within the Department of Health and users and accurately assess ART success or withhold, submissions containing Human Services (HHS), announces the rates in this rare situation. To reduce the private or proprietary information such opening of a public docket to obtain reporting burden, the system will then comment and review of proposed as Social Security numbers, medical pre-fill race/ethnicity of oocyte source, additional data collection fields and information, inappropriate language, or sperm source, or gestational carrier, if reporting requirement modification for duplicate/near duplicate examples of a applicable. reporting of pregnancy success rates mass-mail campaign. CDC will carefully Addition (for Patients Who Are Not from assisted reproductive technology consider all comments submitted. Oocyte Source or Pregnancy Carrier) (ART) programs. This reporting is Background Ethnicity (Hispanic, non-Hispanic, required by the Fertility Clinic Success Refused, Unknown); Race (White, Black, Rate and Certification Act of 1992 On August 26, 2015, HHS/CDC Asian, Native Hawaiian/Pacific Islander, (FCSRCA). published a notice in the Federal American Indian or Alaska Native, DATES: Written comments must be Register (80 FR 51811) (Current Notice) Refused, Unknown). received on or before January 6, 2020. announcing the overall reporting requirements of the National ART Section D. Oocyte Source and Carrier ADDRESSES: You may submit comments, Information identified by Docket No. CDC–2019– Surveillance System (NASS). The notice 0103 by any of the following methods: described who shall report to HHS/CDC; CDC is currently collecting • Federal eRulemaking Portal: the process for reporting by each ART information on height, weight, smoking https://www.regulations.gov. Follow the program; the data to be reported; and history, prior ART cycles, diagnostic instructions for submitting comments. the contents of the published reports. tests, and the pregnancy history of a Mail: Division of Reproductive CDC has already obtained approval from patient. However, this information is Health, National Center for Chronic the Office of Management and Budget important regardless of oocyte source to better understand the role of these Disease Prevention and Health under the Paperwork Reduction Act to factors on ART success rates. CDC Promotion, Centers for Disease Control collect this information, which is proposes adding these questions to the and Prevention, Mailstop S107–2, 4770 needed to determine the annual donor oocyte source profile. Buford Hwy. NE, Atlanta, Georgia pregnancy success rates for each clinic 30341–3724. Attention: Assisted that provides ART services. This data Addition (for Oocyte Donors) Reproduction Technology Surveillance collection is approved under OMB Height; Weight; History of Smoking; and Research Team. Control Number 0920–0556, expiration History of Prior Pregnancies and Births FOR FURTHER INFORMATION CONTACT: date: 08/31/2021. This information (Number of prior pregnancies [ectopic, Jeani Chang, Division of Reproductive includes clinical information pertaining spontaneous abortions], number of prior Health, National Center for Chronic to the ART procedure, outcome births [full term, preterm, live births, Disease Prevention and Health information on resultant pregnancies stillbirths]; History of Prior ART cycles Promotion, Centers for Disease Control and births, and information on factors (fresh, frozen); Maximum FSH Level and Prevention, 4770 Buford Highway, that may affect outcomes, such as (value in mIU/mL); Most Recent AMH MS–C107–2, Atlanta, Georgia 30341. patient demographics, medical history, Level (value in ng/mL, date). Phone: (770) 488–6355. Email: and infertility diagnosis. The purpose of [email protected]. Section H. Transfer Information this notice published [current date] is to CDC is currently collecting the date of SUPPLEMENTARY INFORMATION: apply consistent data collection any previous oocyte retrieval that requirements to various treatment Public Participation contributed to a reported embryo Interested persons or organizations options, including certain rare transfer cycle to allow for details of are invited to participate by submitting situations to improve quality of data. previous retrievals to be linked to written views, recommendations, and This notice provides opportunity for current transfers. However, this data. In addition, CDC invites comments public review and comment for the information is only collected if egg specifically on proposed additional data proposed additional data collection retrieval and transfer occur in the same collection fields and reporting fields. clinic. It is important to link retrievals requirement modification for reporting and transfers whether the retrieval and

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transfer occurred in the same clinic or cycle. Both current and modified b. Cycles involving previously when oocytes were retrieved in an ART guidelines are provided below. cryopreserved oocytes/embryos are to be clinic that is different from the ART Current: Multiple ART programs reported by the ART program that clinic where the current transfer is involved in one cycle—Different ART accepts responsibility for thawing the taking place. Collection of the clinic programs responsible for ovarian oocytes/embryos. name in which the previous retrieval stimulation, oocyte retrieval, and/or Dated: October 31, 2019. took place (if different from the clinic embryo transfer. Sandra Cashman, performing the transfer) will allow for The following guidelines should be more complete linkage of embryo used: Executive Secretary, Centers for Disease Control and Prevention. transfers to egg retrievals. This a. The requirement to report cycles information will allow for a better lies with the ART program that accepts [FR Doc. 2019–24174 Filed 11–5–19; 8:45 am] understanding of the cumulative responsibility for the embryo culture. BILLING CODE 4163–18–P success rates over multiple ART The ART programs involved must have treatment cycles. CDC therefore a method in place to ensure that these DEPARTMENT OF HEALTH AND proposes adding this information for cycles can be prospectively reported by HUMAN SERVICES current fresh embryo transfers or the ART program required to report thawed embryo transfers if the retrieval them. In addition, all canceled cycles Centers for Medicare & Medicaid and transfer did not occur in the same must be reported by the ART program Services clinic. accepting responsibility for the embryo culture. Addition (if Oocyte Retrieval Was Not b. Cycles involving previously [CMS–9119–N] Conducted at the Same Clinic as cryopreserved oocytes/embryos are to be Medicare and Medicaid Programs; Transfer) reported by the ART program that Quarterly Listing of Program 1. Fresh Embryo Transfer accepts responsibility for thawing the Issuances—July Through September Name of clinic if different from where oocytes/embryos. 2019 oocyte retrieval took place. Modification (to ensure more accurate 2. Thawed Embryo Transfer reporting by modifying reporting AGENCY: Centers for Medicare & Name of clinic if different from where responsibilities when more than one Medicaid Services (CMS), HHS. oocyte retrieval took place. program is involved in one cycle): Multiple ART programs involved in one ACTION: Notice. Proposed Reporting Requirement cycle—Different ART programs SUMMARY: Modifications: responsible for ovarian stimulation, This quarterly notice lists CMS manual instructions, substantive Section I. Who Reports oocyte retrieval, and/or embryo transfer. The following guidelines should be and interpretive regulations, and other Sub-Section C. Reporting used: Federal Register notices that were Responsibilities of ART Program a. The requirement to report cycles published from July through September CDC currently requires that, when lies with the ART program that directs 2019, relating to the Medicare and multiple programs are involved in one the clinical management of the cycle, Medicaid programs and other programs cycle, the requirement to report cycles which would include (but is not limited administered by CMS. lies with the ART program that accepts to) multiple aspects of the treatment FOR FURTHER INFORMATION CONTACT: It is responsibility for the embryo culture or such as patient selection, pre-treatment possible that an interested party may thawing the oocytes or embryos. counseling and selection of the specific need specific information and not be However, when clinics are contracting treatment protocol. The ART programs able to determine from the listed with external embryo laboratories, these involved must have a method in place information whether the issuance or laboratories may not be recognizable to to ensure that these cycles can be regulation would fulfill that need. the consumer. Therefore, we are prospectively reported by the ART Consequently, we are providing contact proposing to change the requirement to program required to report them. In persons to answer general questions report cycles to the ART program that addition, all canceled cycles must be concerning each of the addenda directs the clinical management of the reported by the same ART program. published in this notice.

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SUPPLEMENTARY INFORMATION: Health Service Act. We also issue accessibility. In addition, many of the various manuals, memoranda, and websites have listservs; that is, the I. Background statements necessary to administer and public can subscribe and receive The Centers for Medicare & Medicaid oversee the programs efficiently. immediate notification of any updates to Services (CMS) is responsible for Section 1871(c) of the Act requires the website. These listservs avoid the administering the Medicare and that we publish a list of all Medicare need to check the website, as manual instructions, interpretive rules, Medicaid programs and coordination notification of updates is automatic and statements of policy, and guidelines of and oversight of private health sent to the subscriber as they occur. If general applicability not issued as insurance. Administration and oversight assessing a website proves to be regulations at least every 3 months in of these programs involves the difficult, the contact person listed can the Federal Register. following: (1) Furnishing information to provide information. II. Format for the Quarterly Issuance Medicare and Medicaid beneficiaries, III. How To Use the Notice health care providers, and the public; Notices and (2) maintaining effective This quarterly notice provides only This notice is organized into 15 communications with CMS regional the specific updates that have occurred addenda so that a reader may access the offices, state governments, state in the 3-month period along with a subjects published during the quarter Medicaid agencies, state survey hyperlink to the full listing that is covered by the notice to determine agencies, various providers of health available on the CMS website or the whether any are of particular interest. care, all Medicare contractors that appropriate data registries that are used We expect this notice to be used in process claims and pay bills, National as our resources. This is the most concert with previously published Association of Insurance Commissioners current up-to-date information and will notices. Those unfamiliar with a (NAIC), health insurers, and other be available earlier than we publish our description of our Medicare manuals stakeholders. To implement the various quarterly notice. We believe the website should view the manuals at http:// statutes on which the programs are list provides more timely access for www.cms.gov/manuals. based, we issue regulations under the beneficiaries, providers, and suppliers. authority granted to the Secretary of the We also believe the website offers a Dated: October 16, 2019. Department of Health and Human more convenient tool for the public to Kathleen Cantwell, Services under sections 1102, 1871, find the full list of qualified providers Director, Office of Strategic Operations and 1902, and related provisions of the for these specific services and offers Regulatory Affairs. Social Security Act (the Act) and Public more flexibility and ‘‘real time’’ BILLING CODE 4120–01–P

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[FR Doc. 2019–24235 Filed 11–5–19; 8:45 am] There are no changes requested to the individuals who have been trafficked BILLING CODE 4120–01–C items on any forms. and address the root causes that put DATES: ACF is requesting that OMB individuals, families, and communities approve this request under procedures at risk of trafficking. This will DEPARTMENT OF HEALTH AND for emergency processing by December ultimately help improve the availability HUMAN SERVICES 20, 2019. and delivery of coordinated and trauma- ADDRESSES: Copies of the proposed informed services before, during, and Administration for Children and collection of information can be after an individual’s trafficking Families obtained by emailing infocollection@ exploitation, regardless of their age, gender, nationality, sexual orientation, Expedited OMB Review: Proposed acf.hhs.gov. All requests should identify or type of exploitation. Information Collection Activity; the title of the information collection. NHTTAC hosts a variety of services, National Human Trafficking Training Written comments and programs, and facilitated sessions to and Technical Assistance Center recommendations for the proposed improve service provision to (NHTTAC) Evaluation Package (OMB information collection should be sent individuals who have been trafficked or #0970–0519) directly to the following: Office of Management and Budget, Paperwork who are at risk of trafficking, including _ The Human Trafficking Leadership AGENCY: Office on Trafficking in Reduction Project, Email: OIRA Academy (HTLA); the Survivor Persons; Administration for Children [email protected], Attn: Fellowship Program; the NHTTAC Call and Families; Department of Health and Desk Officer for the Administration for Center; both short-term and specialized Human Services. Children and Families. SUPPLEMENTARY INFORMATION: T/TA requests (requests that take less ACTION: Request for public comment. Description: ACF is requesting that than 3 hours or 3 or more hours to OMB grant a 180 day approval for this fulfill, respectively); OTIP-funded SUMMARY: The Office on Trafficking of request under procedures for expedited grantees; and information through Persons (OTIP), Administration for processing by December 20, 2019. A NHTTAC’s website, resources, and Children and Families (ACF), U.S. request for review under normal materials about trafficking. Department of Health and Human procedures will be submitted within Respondents: Individuals and Services (HHS), is requesting expedited 180 days of the approval for this organizations such as NHTTAC review of an information collection request. These changes are requested consultants, training and technical request from OMB for an increase in the due to the passage of the Stop, Observe, assistance participants, Human number of respondents to the previously Ask, and Respond to Health and Trafficking Leadership Academy approved information collection, Wellness Act of 2018 (Pub. L. 115–398) program participants, Survivor fellows, National Human Trafficking Training which expands the SOAR to Health and OTIP grantees, visitors to the NHTTAC and Technical Assistance Center Wellness Training Program. To meet the website, NHTTAC-supported conference (NHTTAC) Evaluation Package (OMB provisions of the SOAR to Health and and meeting attendees, members of the #0970–0519, expiration 10/31/2021). Wellness Act of 2018, OTIP’s NHTTAC National Advisory Council, and This will increase the estimated burden must expand the administration of scholarship applicants. hours from 689 hours to 9,495 hours. In SOAR nationwide. Annual Burden Estimates: The addition, the previously approved The NHTTAC delivers training and following instruments have an increased SOAR Online participant feedback form technical assistance (T/TA) to inform number of respondents. The number of has been restructured into a long and a and deliver a public health response to respondents for all other previously short form to reduce burden for trafficking. In applying a public health approved instruments remains the same. information collected on SOAR Online approach, NHTTAC holistically builds The increase in respondents increases training participants outside of the the capacity of communities to identify the overall burden under OMB #0970– NHTTAC learning management system. and respond to the complex needs of all 0519 from 689 hours to 9,495 hours.

Original Updated estimate— estimate— Number of Average Updated Instrument number of number of responses per burden hours annual burden respondents respondents respondent per response hours

HTLA Fellowship Pre-Program Feedback ...... 24 36 1 0.25 9 HTLA Fellowship Post-Program Feedback ...... 24 36 1 0.25 9 OTIP Grantee Feedback Form ...... 50 100 1 0.167 17 Short-Term T/TA Feedback Form ...... 30 50 1 0.167 8 Specialized T/TA Feedback Form ...... 50 100 1 0.25 25 Focus Group Demographic Survey ...... 25 50 1 0.033 2 Focus Group Guide ...... 25 50 1 0.75 38 Follow-up Feedback Form ...... 300 500 1 0.133 67 Interview Guide ...... 25 65 1 0.75 49 Pilot Feedback Form ...... 25 50 1 0.15 8 SOAR Blended Learning Participant ...... 30 130 1 0.15 20 SOAR Online Participant Feedback Long Form ...... 1,500 5,300 1 0.1 530 SOAR Online Participant Feedback Short Form ...... 1,000,000 1 0.0083 8,300 SOAR Organizational Feedback Form ...... 20 40 1 0.133 5

Comments: The Department information is necessary for the proper information shall have practical utility; specifically requests comments on (a) performance of the functions of the (b) the accuracy of the agency’s estimate whether the proposed collection of agency, including whether the of the burden of the proposed collection

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of information; (c) the quality, utility, 395–7285, or emailed to oira_ The Agency has established two and clarity of the information to be [email protected]. All thresholds for the regulation of collected; and (d) ways to minimize the comments should be identified with the substances used in food-contact articles. burden of the collection of information OMB control number 0910–0298. Also The first exempts those substances used on respondents, including through the include the FDA docket number found in food-contact articles where the use of automated collection techniques in brackets in the heading of this resulting dietary concentration would or other forms of information document. be at or below 0.5 part per billion. The technology. Consideration will be given FOR FURTHER INFORMATION CONTACT: second exempts regulated direct food to comments and suggestions submitted Domini Bean, Office of Operations, additives for use in food-contact articles within 60 days of this publication. Food and Drug Administration, Three where the resulting dietary exposure is Authority: 22 U.S. Code 7104 and 22 U.S. White Flint North, 10A–12M, 11601 1 percent or less of the acceptable daily Code 7105(c)(4). Landsdown St., North Bethesda, MD intake for these substances. 20852, 301–796–5733, PRAStaff@ To determine whether the intended Mary B. Jones, fda.hhs.gov. use of a substance in a food-contact ACF/OPRE Certifying Officer. SUPPLEMENTARY INFORMATION: article meets the threshold criteria, [FR Doc. 2019–24200 Filed 11–5–19; 8:45 am] In compliance with 44 U.S.C. 3507, FDA certain information specified in BILLING CODE 4184–47–P has submitted the following proposed § 170.39(c) must be submitted to FDA. collection of information to OMB for This information includes the following review and clearance. components: (1) The chemical DEPARTMENT OF HEALTH AND composition of the substance for which HUMAN SERVICES Threshold of Regulation for Substances the request is made; (2) detailed Used in Food-Contact Articles—21 CFR Food and Drug Administration information on the conditions of use of 170.39 the substance; (3) a clear statement of [Docket No. FDA–2019–N–2778] OMB Control Number 0910–0298— the basis for the request for exemption Extension from regulation as a food additive; (4) Agency Information Collection data that will enable FDA to estimate Activities; Submission for Office of Under section 409(a) of the Federal the daily dietary concentration resulting Management and Budget Review; Food, Drug, and Cosmetic Act (FD&C from the proposed use of the substance; Comment Request; Threshold of Act) (21 U.S.C. 348(a)), the use of a food (5) results of a literature search for Regulation for Substances Used in additive is deemed unsafe unless one of toxicological data on the substance and Food-Contact Articles the following is applicable: (1) It its impurities; and (6) information on conforms to an exemption for the environmental impact that would AGENCY: Food and Drug Administration, investigational use under section 409(j) HHS. result from the proposed use. We use of the FD&C Act; (2) it conforms to the this information to determine whether ACTION: Notice. terms of a regulation prescribing its use; the food-contact substance meets the or (3) in the case of a food additive that SUMMARY: The Food and Drug threshold criteria. meets the definition of a food-contact Administration (FDA or we) is substance in section 409(h)(6) of the Description of Respondents: announcing that a proposed collection FD&C Act, there is either a regulation Respondents to this information of information has been submitted to the authorizing its use in accordance with collection are individual manufacturers Office of Management and Budget section 409(a)(3)(A) or an effective and suppliers of substances used in (OMB) for review and clearance under notification in accordance with section food-contact articles (i.e., food the Paperwork Reduction Act of 1995. 409(a)(3)(B). packaging and food processing DATES: Fax written comments on the The regulations in § 170.39 (21 CFR equipment) or of the articles themselves. collection of information by December 170.39) established a process that In the Federal Register of June 21, 6, 2019. provides the manufacturer with an 2019 (84 FR 29209), we published a 60- ADDRESSES: To ensure that comments on opportunity to demonstrate that the day notice requesting public comment the information collection are received, likelihood or extent of migration to food on the proposed collection of OMB recommends that written of a substance used in a food-contact information. No comments were comments be faxed to the Office of article is so trivial that the use need not received. Information and Regulatory Affairs, be the subject of a food additive listing We estimate the burden of this OMB, Attn: FDA Desk Officer, Fax: 202– regulation or an effective notification. collection of information as follows:

TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1

Number of Total Average 21 CFR 170.39 Number of responses per annual burden per Total hours respondents respondent responses response

Threshold of regulation for substances used in food-con- tact articles...... 7 1 7 48 336 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

Based on a review of the information will be submitted under the threshold of reconsideration of the two to three collection since our last request for regulation exemption process of requests that were received but did not OMB approval, we have made no § 170.39, for a total of 336 hours. In the become effective, we retain our previous adjustments. We estimate that Federal Register of June 21, 2019, we estimate of seven requests per year, with approximately seven requests per year estimated four requests per year. In

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four of those requests becoming SUMMARY: The Food and Drug administered to humans for the effective. Administration (FDA or Agency) is diagnosis, prevention, or treatment of The threshold of regulation process requesting that any industry allergies and allergic diseases, and offers one advantage over the premarket organizations interested in participating makes appropriate recommendations to notification process for food-contact in the selection of a nonvoting industry the Commissioner of Food and Drugs substances established by section 409(h) representative to serve on the Allergenic (the Commissioner) of its findings of FD&C Act (OMB control number Products Advisory Committee (APAC) regarding the affirmation or revocation 0910–0495) in that the use of a for the Center for Biologics Evaluation of biological product licenses; on the substance exempted by FDA is not and Research notify FDA in writing. safety, effectiveness, and labeling of the limited to only the manufacturer or FDA is also requesting nominations for products; on clinical and laboratory supplier who submitted the request for a nonvoting industry representative(s) to studies of such products; on an exemption. Other manufacturers or serve on the APAC. A nominee may amendments or revisions to regulations suppliers may use exempted substances either be self-nominated or nominated governing the manufacture, testing, and in food-contact articles as long as the by an organization to serve as a licensing of allergenic biological conditions of use (e.g., use levels, nonvoting industry representative. products; and on the quality and temperature, type of food contacted, Nominations will be accepted for relevance of FDA’s research programs etc.) are those for which the exemption current vacancies effective with this which provide the scientific support for was issued. As a result, the overall notice. regulating these agents. burden on both Agency and the DATES: Any industry organization II. Selection Procedure regulated industry would be interested in participating in the Any industry organization interested significantly less in that other selection of an appropriate nonvoting in participating in the selection of an manufacturers and suppliers would not member to represent industry interests appropriate nonvoting member to have to prepare, and we would not have must send a letter stating that interest to represent industry interests should send to review, similar submissions for FDA by December 6, 2019 (see sections a letter via email stating that interest to identical components of food-contact I and II of this document for further the FDA contact (see FOR FURTHER articles used under identical conditions. details). Concurrently, nomination INFORMATION CONTACT) within 30 days of Manufacturers and other interested materials for prospective candidates publication of this document (see persons can easily access an up-to-date should be sent to FDA by December 6, DATES). Within the subsequent 30 days, list of exempted substances, which is on 2019. display at FDA’s Dockets Management FDA will send a notification to each ADDRESSES: All statements of interest Staff and on the internet at https:// organization that has expressed an from industry organizations interested www.fda.gov/food/packaging-food- interest, attaching a complete list of all in participating in the selection process contact-substances-fcs/threshold- such organizations; and a list of all of nonvoting industry representative regulation-exemptions-substances-used- nominees along with their current nominations should be sent via email to food-contact-articles. Having the list of resumes. The letter will also state that Prabhakara Atreya (see FOR FURTHER exempted substances publicly available it is the responsibility of the interested INFORMATION CONTACT). All nominations decreases the likelihood that a company organizations to confer with one another for nonvoting industry representatives would submit a food additive petition or and to select a candidate, within 60 must be submitted electronically by a notification for the same type of food- days after the receipt of the FDA letter, accessing the FDA Advisory Committee contact application of a substance for to serve as the nonvoting member to Membership Nomination Portal: https:// represent industry interests for the which the Agency has previously www.accessdata.fda.gov/scripts/ granted an exemption from the food APAC. The interested organizations are FACTRSPortal/FACTRS/index.cfm. not bound by the list of nominees in additive listing regulation requirement. Information about becoming a member Dated: October 23, 2019. selecting a candidate. However, if no of an FDA advisory committee can also individual is selected within 60 days, Lowell J. Schiller, be obtained by visiting FDA’s website the Commissioner will select the at: http://www.fda.gov/ Principal Associate Commissioner for Policy. nonvoting member to represent industry AdvisoryCommittees/default.htm. [FR Doc. 2019–24230 Filed 11–5–19; 8:45 am] interests. BILLING CODE 4164–01–P FOR FURTHER INFORMATION CONTACT: Prabhakara Atreya, Division of III. Application Procedure Scientific Advisors and Consultants, Individuals may self-nominate, and/or DEPARTMENT OF HEALTH AND Center for Biologics Evaluation and an organization may nominate one or HUMAN SERVICES Research, 10903 New Hampshire Ave., more individuals to serve as a nonvoting Bldg. 71, Rm. 6306, Silver Spring, MD industry representative. Contact Food and Drug Administration 20993–0002, 240–402–8006, Fax: 301– information, a current curriculum vitae, [Docket No. FDA–2019–N–2312] 595–1307, email: Prabhakara.Atreya@ and the name of the committee of fda.hhs.gov. interest should be sent to the FDA Request for Nominations From SUPPLEMENTARY INFORMATION: The Advisory Committee Membership Industry Organizations Interested in Agency intends to add a nonvoting Nomination Portal (see ADDRESSES) Participating in the Selection Process industry representative(s) to the within 30 days of publication of this for Nonvoting Industry following advisory committee: document (see DATES). FDA will forward Representatives and Request for all nominations to the organizations Nominations for Nonvoting Industry I. Allergenic Products Advisory expressing interest in participating in Representatives on the Allergenic Committee the selection process for the committee. Products Advisory Committee The APAC reviews and evaluates data (Persons who nominate themselves as AGENCY: Food and Drug Administration, concerning the safety, effectiveness, and nonvoting industry representatives will HHS. adequacy of labeling of marketed and not participate in the selection process). investigational allergenic biological FDA seeks to include the views of ACTION: Notice. products or materials that are women and men, members of all racial

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and ethnic groups, and individuals with Electronic Submissions information you claim to be confidential and without disabilities on its advisory Submit electronic comments in the with a heading or cover note that states committees and, therefore, encourages following way: ‘‘THIS DOCUMENT CONTAINS nominations of appropriately qualified • Federal eRulemaking Portal: CONFIDENTIAL INFORMATION.’’ The candidates from these groups. https://www.regulations.gov. Follow the Agency will review this copy, including This notice is issued under the instructions for submitting comments. the claimed confidential information, in Federal Advisory Committee Act (5 Comments submitted electronically, its consideration of comments. The U.S.C. app. 2) and 21 CFR part 14, including attachments, to https:// second copy, which will have the relating to advisory committees. www.regulations.gov will be posted to claimed confidential information Dated: October 29, 2019. the docket unchanged. Because your redacted/blacked out, will be available for public viewing and posted on Lowell J. Schiller, comment will be made public, you are solely responsible for ensuring that your https://www.regulations.gov. Submit Principal Associate Commissioner for Policy. both copies to the Dockets Management [FR Doc. 2019–24233 Filed 11–5–19; 8:45 am] comment does not include any confidential information that you or a Staff. If you do not wish your name and BILLING CODE 4164–01–P third party may not wish to be posted, contact information to be made publicly such as medical information, your or available, you can provide this anyone else’s Social Security number, or information on the cover sheet and not DEPARTMENT OF HEALTH AND in the body of your comments and you HUMAN SERVICES confidential business information, such as a manufacturing process. Please note must identify this information as Food and Drug Administration that if you include your name, contact ‘‘confidential.’’ Any information marked information, or other information that as ‘‘confidential’’ will not be disclosed except in accordance with 21 CFR 10.20 [Docket No. FDA–2019–N–4763] identifies you in the body of your comments, that information will be and other applicable disclosure law. For more information about FDA’s posting Agency Information Collection posted on https://www.regulations.gov. of comments to public dockets, see 80 Activities; Proposed Collection; • If you want to submit a comment FR 56469, September 18, 2015, or access Comment Request; Assessment of with confidential information that you the information at: https://www.gpo.gov/ Terms and Phrases Commonly Used in do not wish to be made available to the fdsys/pkg/FR-2015-09-18/pdf/2015- Prescription Drug Promotion public, submit the comment as a written/paper submission and in the 23389.pdf. AGENCY: Food and Drug Administration, manner detailed (see ‘‘Written/Paper Docket: For access to the docket to HHS. Submissions’’ and ‘‘Instructions’’). read background documents or the electronic and written/paper comments ACTION: Notice. Written/Paper Submissions received, go to https:// www.regulations.gov and insert the SUMMARY: The Food and Drug Submit written/paper submissions as docket number, found in brackets in the Administration (FDA or Agency) is follows: heading of this document, into the announcing an opportunity for public • Mail/Hand Delivery/Courier (for ‘‘Search’’ box and follow the prompts comment on the proposed collection of written/paper submissions): Dockets and/or go to the Dockets Management certain information by the Agency. Management Staff (HFA–305), Food and Staff, 5630 Fishers Lane, Rm. 1061, Under the Paperwork Reduction Act of Drug Administration, 5630 Fishers Rockville, MD 20852. 1995 (PRA), Federal Agencies are Lane, Rm. 1061, Rockville, MD 20852. required to publish notice in the • For written/paper comments FOR FURTHER INFORMATION CONTACT: Ila Federal Register concerning each submitted to the Dockets Management S. Mizrachi, Office of Operations, Food proposed collection of information and Staff, FDA will post your comment, as and Drug Administration, Three White to allow 60 days for public comment in well as any attachments, except for Flint North, 10A–12M, 11601 response to the notice. This notice information submitted, marked and Landsdown St., North Bethesda, MD solicits comments on research entitled identified, as confidential, if submitted 20852, 301–796–7726, PRAStaff@ ‘‘Assessment of Terms and Phrases as detailed in ‘‘Instructions.’’ fda.hhs.gov. For copies of the Commonly Used in Prescription Drug Instructions: All submissions received questionnaire, contact: Office of Promotion.’’ must include the Docket No. FDA– Prescription Drug Promotion (OPDP) 2019–N–4763 for ‘‘Assessment of Terms Research Team, DTCresearch@ DATES: Submit either electronic or and Phrases Commonly Used in fda.hhs.gov. written comments on the collection of Prescription Drug Promotion.’’ Received SUPPLEMENTARY INFORMATION: information by January 6, 2020. comments, those filed in a timely ADDRESSES: You may submit comments manner (see ADDRESSES), will be placed I. Background as follows. Please note that late, in the docket and, except for those Under the PRA (44 U.S.C. 3501– untimely filed comments will not be submitted as ‘‘Confidential 3521), Federal Agencies must obtain considered. Electronic comments must Submissions,’’ publicly viewable at approval from the Office of Management be submitted on or before January 6, https://www.regulations.gov or at the and Budget (OMB) for each collection of 2020. The https://www.regulations.gov Dockets Management Staff between 9 information they conduct or sponsor. electronic filing system will accept a.m. and 4 p.m., Monday through ‘‘Collection of information’’ is defined comments until 11:59 p.m. Eastern Time Friday. in 44 U.S.C. 3502(3) and 5 CFR at the end of January 6, 2020. Comments • Confidential Submissions—To 1320.3(c) and includes Agency requests received by mail/hand delivery/courier submit a comment with confidential or requirements that members of the (for written/paper submissions) will be information that you do not wish to be public submit reports, keep records, or considered timely if they are made publicly available, submit your provide information to a third party. postmarked or the delivery service comments only as a written/paper Section 3506(c)(2)(A) of the PRA (44 acceptance receipt is on or before that submission. You should submit two U.S.C. 3506(c)(2)(A)) requires Federal date. copies total. One copy will include the Agencies to provide a 60-day notice in

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the Federal Register concerning each communication and understanding of understanding of such terms and proposed collection of information prescription drug risks and benefits; phrases as this may aid in the before submitting the collection to OMB focusing on target populations allows us development of best practices around for approval. To comply with this to evaluate how understanding of communicating these concepts. requirement, FDA is publishing notice prescription drug risks and benefits may We plan to conduct this research in of the proposed collection of vary as a function of audience; and our two phases. First, we will conduct information set forth in this document. focus on research quality aims at formative semi-structured interviews With respect to the following maximizing the quality of research data with 30 members of each population collection of information, FDA invites through analytical methodology (general population consumers and comments on these topics: (1) Whether development and investigation of PCPs). Second, we will conduct the proposed collection of information sampling and response issues. This nationally representative, probability- is necessary for the proper performance study will inform all three topic areas. based surveys of more than 1,000 of FDA’s functions, including whether Because we recognize the strength of members of each population on the the information will have practical data and the confidence in the robust same topic. utility; (2) the accuracy of FDA’s nature of the findings is improved Phase 1: Semi-Structured Interviews. estimate of the burden of the proposed through the results of multiple In Phase 1 of the research, semi- collection of information, including the converging studies, we continue to structured interviews will be conducted validity of the methodology and develop evidence to inform our by web conferencing using the itracks assumptions used; (3) ways to enhance thinking. We evaluate the results from platform, an online and mobile market the quality, utility, and clarity of the our studies within the broader context research service provider. This information to be collected; and (4) of research and findings from other approach allows for the participant and ways to minimize the burden of the sources, and this larger body of interviewer to see each other and collection of information on knowledge collectively informs our includes a whiteboard feature that can respondents, including through the use policies as well as our research program. be used to show the terms, statements, of automated collection techniques, Our research is documented on our or passages for participants to read and when appropriate, and other forms of homepage, which can be found at: follow along as the interviewer reads information technology. https://www.fda.gov/aboutfda/ them aloud. This may be helpful in centersoffices/ cases where the statements or passages Assessment of Terms and Phrases officeofmedicalproductsandtobacco/ are long, which may make them difficult Commonly Used in Prescription Drug cder/ucm090276.htm. The website to understand when read aloud. In Promotion includes links to the latest Federal addition, the written information may OMB Control Number 0910–New Register notices and peer-reviewed be helpful as a reference as the publications produced by our office. discussion progresses. Section 1701(a)(4) of the Public The website maintains information on Participation is estimated to take 1 Health Service Act (42 U.S.C. studies we have conducted, dating back hour. Participants will be recruited by 300u(a)(4)) authorizes FDA to conduct to a direct-to-consumer survey email through itracks and its partner research relating to health information. conducted in 1999. panels. All participants will be 18 years Section 1003(d)(2)(C) of the Federal The present research involves of age or older and must not have Food, Drug, and Cosmetic Act (FD&C assessment of how consumers and participated in a focus group or Act) (21 U.S.C. 393(d)(2)(C)) authorizes primary care physicians (PCPs) interpret interview during the previous 3 months. FDA to conduct research relating to terms and phrases commonly used in Additionally, for the consumer sample, drugs and other FDA regulated products prescription drug promotion. This we will exclude individuals who work in carrying out the provisions of the includes both what these terms and in healthcare or marketing settings FD&C Act. phrases mean to each population (e.g., because their knowledge and The Office of Prescription Drug definitions) and what these terms and experiences may not reflect those of the Promotion’s (OPDP) mission is to phrases imply (e.g., about efficacy and average consumer. For the PCP sample, protect the public health by helping to safety). Some examples of interest we will exclude individuals who spend ensure that prescription drug include: ‘‘natural’’ or ‘‘naturally- less than 50 percent of their time on promotional material is truthful, occurring,’’ and ‘‘targeted’’ or ‘‘targeted patient care. Department of Health and balanced, and accurately therapy.’’ The full list for assessment Human Services employees will be communicated, so that patients and will include approximately 30 terms excluded from both respondent groups. healthcare providers can make informed and phrases for each population. To We will start data collection with a soft decisions about treatment options. accommodate such a large number, launch of three interviews per segment OPDP’s research program provides presented terms and phrases will be (10 percent) to ensure that all processes scientific evidence to help ensure that accompanied by only limited context are working well. Although we do not our policies related to prescription drug (terms within sentences and phrases intend on making major changes to the promotion will have the greatest benefit within paragraphs, as opposed to full interview guides as a result of these soft to public health. Toward that end, we promotional materials). Understanding launch interviews, they will provide an have consistently conducted research to the most prevalent interpretations of opportunity to make minor changes evaluate the aspects of prescription drug these terms and phrases can help OPDP (e.g., adding interviewer notes). promotion that are most central to our determine the impact of specific Measurement for this phase will consist mission, focusing in particular on three language in prescription drug of a thematic analysis using a matrix main topic areas: Advertising features, promotion. For example, certain terms approach to identify themes and mental including content and format; target and phrases, when used without models common across participants. populations; and research quality. additional contextual information, Phase 2: Nationally Representative Through the evaluation of advertising might overstate the efficacy or minimize Surveys. In Phase 2 of the research, features we assess how elements such as the risk of a product. Additionally, from primarily closed-ended survey graphics, format, and disease and a health literacy perspective, it is questions will be administered to each product characteristics impact the helpful to ascertain general population. The closed-ended survey

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format will allow the team to quantify for Phase 1 will be maintained for Phase percent margin of error assuming an the frequency or prevalence of certain 2. Participation is estimated at 20 underlying proportion of 0.50 in the interpretations or meanings among a minutes. population (which is the most nationally representative sample of the We also plan to embed an experiment conservative estimate and overestimates general U.S. consumer and physician in the PCP mail survey. Research has the sample size relative to alternate populations. Final questions and shown that including a pen in the proportions). These parameters are response options will be informed by survey package can help to increase commonly used in quantitative survey key interpretations discovered during response rates and time to response, research (Refs. 3 to 6) and offer balance the Phase 1 interviews. For the even potentially reducing the number of between precision and cost. Thus, consumer survey, we will use a reminders required (Refs. 1 and 2). assuming a total U.S. population of probability sample selected from an However, the shipping of pens can be roughly 250 million adults aged 18 or address-based sampling frame and costly and often pens are damaged in older (Ref. 7), we estimate the number conduct the survey using a web-based the mail (e.g., ink can leak, etc.). To of completed surveys to be 1,067 for the platform. For the PCP survey, we will determine whether another token general population survey. Assuming a obtain a probability sample from the incentive might be as effective at total population of 209,000 PCPs (Ref. American Medical Association increasing response rates, we will 8), with the same 95 percent confidence Masterfile and will conduct the survey randomize half of the sample to receive interval and ±3 percent margin of error, via mail. For each population, we chose a pen and half to receive a packet of we estimate the number of completes for the sampling frame and survey mode sticky notes or other token incentive. the provider survey to be 1,062. These that has been shown to produce the We will compare response rates sample sizes would also allow us to highest quality results for that between the two groups to help inform detect a mean difference between ±0.15 population with respect to coverage, methods for future studies. and 0.30 points (Ref. 6). response rates, and nonresponse bias. We set our sample requirements to a FDA estimates the burden of this The same exclusion criteria as specified 95 percent confidence interval and a 3 collection of information as follows: TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1

Number of Activity Number of responses per Total annual Hours per Total hours respondents respondent respondents response

General Population

Phase 1: Screener completes (assumes 35% eligi- 85 1 85 ...... 0.08 (5 minutes) ...... 7 ble). Phase 1: Number of completes ...... 30 1 30 ...... 1 ...... 30 Phase 2: Screener completes (assumes 90% eligi- 1,185 1 1,185 ...... 0.08 (5 minutes) ...... 95 ble). Phase 2: Number of completes ...... 1,067 1 1,067 + 10% 2 = 1,174 ...... 0.34 (20 minutes) ...... 399

PCP Population

Phase 1: Screener completes (assumes 30% eligi- 104 1 104 ...... 0.08 (5 minutes) ...... 8 ble). Phase 1: Number of completes ...... 30 1 30 ...... 1 ...... 30 Phase 2: Screener completes (assumes 90% eligi- 1,180 1 1,180 ...... 0.08 (5 minutes) ...... 94 ble). Phase 2: Number of completes ...... 1,062 1 1,062 + 10% 2 = 1,168 ...... 0.34 (20 minutes) ...... 397

Total ...... 1,060 1 There are no capital costs or operating and maintenance costs associated with this collection of information. 2 As with most online and mail surveys, it is always possible that some participants are in the process of completing the survey when the target number is reached and that those surveys will be completed and received before the survey is closed out. To account for this, we have estimated approximately 10 percent overage for both samples in the study.

II. References the date this document publishes in the Techniques (3rd ed.). New York: John Federal Register, but websites are Wiley & Sons. The following references marked with subject to change over time. 5. Dillman, D.A., J.D. Smyth, and L.M. an asterisk (*) are on display at the Christian. (2014) internet, Phone, Mail, Dockets Management Staff (see 1. Bell, K., L. Clark, C. Fairhurst, et al, and Mixed-mode Surveys: The Tailored ADDRESSES) and are available for ‘‘Enclosing A Pen Reduced Time to Design Method (4th Ed.). Hoboken, NJ: viewing by interested persons between Response to Questionnaire Mailings.’’ John Wiley & Sons, Inc. Journal of Clinical Epidemiology, 6. Krejcie, R.V. and D.W. Morgan, 9 a.m. and 4 p.m., Monday through 74:144–150, 2016. ‘‘Determining Sample Size for Research Friday; they also are available 2. Sharp, L., C. Cochran, S.C. Cotton, et al., Activities.’’ Educational and electronically at https:// ‘‘Enclosing a Pen with a Postal Psychological Measurement, 30: 607– www.regulations.gov. References Questionnaire Can Significantly Increase 610, 1970. without asterisks are not on public the Response Rate.’’ Journal of Clinical 7. *U.S. Census Bureau. (2017) ‘‘National display at https://www.regulations.gov Epidemiology, 59:747–754, 2006. Population by Characteristics: 2010– because they have copyright restriction. 3. Bartlett, J.E., J.W. Kotrlik, and C.C. Higgins, 2017.’’ (Available at: https:// Some may be available at the website ‘‘Organizational Research: Determining www.census.gov.) Appropriate Sample Size in Survey 8. *Agency for Healthcare Research and address, if listed. References without Research.’’ Information Technology, Quality. (2011) ‘‘The Number of asterisks are available for viewing only Learning, and Performance Journal, Practicing Primary Care Physicians in at the Dockets Management Staff. FDA 19:43–50, 2001. the United States.’’ Retrieved from has verified the website addresses, as of 4. Cochran, W.G. (1997) Sampling http://www.ahrq.gov/research/findings/

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factsheets/primary/pcwork1/index.html. address: Annie Herzog, Program Proposed Project: Protection and Dated: October 22, 2019. Analyst, DICP, HRSA, 5600 Fishers Advocacy for Individuals With Mental Lowell J. Schiller, Lane, 08N146B, Rockville, Maryland Illness (PAIMI) Annual Program Principal Associate Commissioner for Policy. 20857; (2) call (301) 443–6593; or (3) Performance Report (OMB No. 0930– 0169)—Extension [FR Doc. 2019–24229 Filed 11–5–19; 8:45 am] send an email to [email protected]. Meeting times could change. For the BILLING CODE 4164–01–P The Protection and Advocacy for latest information regarding the Individuals with Mental Illness (PAIMI) meeting, including start time, please Act at 42 U.S.C. 10801 et seq., DEPARTMENT OF HEALTH AND check the ACCV website at: http:// authorized funds to the same protection HUMAN SERVICES www.hrsa.gov/advisorycommittees/ and advocacy (P&A) systems created childhoodvaccines/index.html. under the Developmental Disabilities Health Resources and Services This meeting will only take place on Assistance and Bill of Rights Act of Administration December 5, 2019 and is not being 1975, known as the DD Act (as amended Meeting of the Advisory Commission conducted over two days (December 5– in 2000, 42 U.S.C. 15001 et seq.]. The on Childhood Vaccines 6, 2019) as stated previously in the DD Act supports the Protection and Federal Register (FR Doc. 2019–00439 Advocacy for Developmental AGENCY: Health Resources and Services Filed 1–30–19). Disabilities (PADD) Program Administration (HRSA), HHS. administered by the Administration on ACTION: Notice; correction. Maria G. Button, Intellectual and Developmental Director, Executive Secretariat. Disabilities (AIDD) within the SUMMARY: The original Federal Register [FR Doc. 2019–24166 Filed 11–5–19; 8:45 am] Administration on Community Living. Notice announcing the December 2019 BILLING CODE 4165–15–P AIDD is the lead federal P&A agency. Advisory Commission on Childhood The PAIMI Program supports the same Vaccines (ACCV) meeting indicated that governor-designated P&A systems this meeting would be held December DEPARTMENT OF HEALTH AND established under the DD Act by 5–6, 2019. This meeting is not being HUMAN SERVICES providing legal-based individual and conducted over two days, and instead systemic advocacy services to will only take place only on December Substance Abuse and Mental Health individuals with significant (severe) 5, 2019. Services Administration mental illness (adults) and significant The ACCV will hold a public meeting (severe) emotional impairment on December 5, 2019, at 10:00 a.m. Agency Information Collection (children/youth) who are at risk for Eastern Time via Adobe Connect and Activities: Proposed Collection; abuse, neglect and other rights telephone conference. This will not be Comment Request violations while residing in a care or an in-person meeting. The public can treatment facility. join the meeting by: In compliance with Section In 2000, the PAIMI Act amendments 1. (Audio Portion) Calling the 3506(c)(2)(A) of the Paperwork created a 57th P&A system—the conference phone number: 800–988– Reduction Act of 1995 concerning American Indian Consortium (the 0218 and providing the following opportunity for public comment on Navajo and Hopi Tribes in the Four information: proposed collections of information, the Corners region of the Southwest). The Leader Name: Ms. Tamara Overby Substance Abuse and Mental Health Act, at 42 U.S.C. 10804(d), states that a Password: 9302948 Services Administration will publish P&A system may use its allotment to (Visual Portion) Connecting to the periodic summaries of proposed provide representation to individuals ACCV Adobe Connect Meeting using the projects. To request more information with mental illness, as defined by following URL: https:// on the proposed projects or to obtain a section 42 U.S.C. 10802 (4)(B)(iii) hrsa.connectsolutions.com/accv/. copy of the information collection residing in the community, including Participants should call and connect 15 plans, call the SAMHSA Reports their own home, only, if the total minutes prior to the meeting in order for Clearance Officer on (240) 276–1243. allotment under this title for any fiscal logistics to be set up. If you have never year is $30 million or more, and in such attended an Adobe Connect meeting, Comments are invited on: (a) Whether cases an eligible P&A system must give please test your connection using the the proposed collections of information priority to representing PAIMI-eligible following URL: https://hrsa.connect are necessary for the proper individuals, as defined by 42 U.S.C. solutions.com/common/help/en/ performance of the functions of the 10802(4)(A) and (B)(i). _ agency, including whether the support/meeting test.htm and get a The Children’s Health Act of 2000 quick overview using URL: http:// information shall have practical utility; _ (CHA) also referenced the state P&A www.adobe.com/go/connectpro (b) the accuracy of the agency’s estimate system authority to obtain information overview. of the burden of the proposed collection on incidents of seclusion, restraint and Information about the ACCV and the of information; (c) ways to enhance the related deaths [see, CHA, Part H at 42 agenda for this public meeting can be quality, utility, and clarity of the U.S.C. 290ii–1]. PAIMI Program formula obtained at the following website: information to be collected; and (d) grants awarded by SAMHSA go directly http://www.hrsa.gov/advisory ways to minimize the burden of the to each of the 57 governor-designated committees/childhoodvaccines/index. collection of information on P&A systems. These systems are located html. respondents, through the use of in each of the 50 states, the District of FOR FURTHER INFORMATION CONTACT: automated collection techniques or Columbia, the American Indian Annie Herzog, Program Analyst, other forms of information technology. Consortium, American Samoa, Guam, Division of Injury Compensation the Commonwealth of the Northern Programs (DICP), HRSA, in one of three Mariana Islands, the Commonwealth of ways: (1) Send a request to the following Puerto Rico, and the U.S. Virgin Islands.

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The PAIMI Act at 42 U.S.C. 10805(7) independent assessment of the the current reporting burden by requires that each P&A system prepare operations of the system. removing any information that does not and transmit to the Secretary of The SAMHSA proposes revisions to its facilitate evaluation of the programmatic Department of Health and Human annual PAIMI Program Performance and fiscal effectiveness of a state P&A Services (HHS) and to the head of its Report (PPR), including the advisory system; (4) The updated electronic State mental health agency a report by council section, at this time for the version will expedite SAMHSA’s ability January 1. This report describes the following reasons: (1) The revisions to prepare the biennial report; (5) The activities, accomplishments, and revise the PAIMI PPR, as appropriate, updated electronic version will improve expenditures of the system during the for consistency with the annual SAMHSA’s ability to generate reports, most recently completed fiscal year, reporting requirements under the PAIMI analyze trends and more expeditiously including a section prepared by the Act and Rules [42 CFR part 51]; (2) The provide feedback to PAIMI programs. advisory council (the PAIMI Advisory revisions simplify the electronic data Council or PAC) that describes the entered by state P&A systems; (3) The annual burden estimate is as activities of the council and its SAMHSA will reduce wherever feasible follows:

Number of Number of responses per Hours per Total hour respondents respondent response burden

Program Performance Report ...... 57 1 20 1,140 Advisory Council Report ...... 57 1 10 570

Total ...... 57 ...... 1,710

Send comments to Summer King, DATES: Submit written comments applicable regulations. The lands under SAMHSA Reports Clearance Officer, regarding this classification on or before consideration are not needed for any 5600 Fishers Lane, Room 14E57B, December 23, 2019. Comments may be Federal purposes. The lands examined Rockville, Maryland 20857, OR email a mailed or hand delivered to the BLM and identified as suitable for copy to [email protected]. office address below, or faxed to (775) conveyance under the R&PP Act are Written comments should be received 623–1740. The BLM will not consider legally described as: by January 6, 2020. comments received by telephone or email. Mount Diablo Meridian, Nevada Summer King, ADDRESSES: Mail written comments to T. 30 N, R. 34 E, Statistician. 1 1 1 1 David Kampwerth, Field Manager, BLM Sec. 24, SW ⁄4NW ⁄4SE ⁄4SW ⁄4, [FR Doc. 2019–24232 Filed 11–5–19; 8:45 am] 1 1 1 1 Humboldt River Field Office, 5100 East SE ⁄4NW ⁄4SE ⁄4SW ⁄4, NE1⁄4SW1⁄4SE1⁄4SW1⁄4, BILLING CODE 4162–20–P Winnemucca Boulevard, Winnemucca, NW1⁄4SW1⁄4SE1⁄4SW1⁄4. Nevada 89445. The area described contains 10 acres. Information including but not limited DEPARTMENT OF THE INTERIOR to a development and management plan Conveyance of the lands for and documentation relating to recreational or public purposes use is in Bureau of Land Management compliance with applicable conformance with the BLM environmental and cultural resource Winnemucca District Resource [LLNVW01000.L144000000.FR0000.241A; laws, is available for review during Management Plan dated May 2015, and 14110008; TAS: 18X; N–60081 MO business hours, 7:30 a.m. to 4:30 p.m. would be in the public interest. #4500129834] Pacific Standard Time, Monday through All interested parties will receive a Friday, except during Federal holidays, copy of this Notice once it is published Notice of Realty Action: Recreation at the BLM Humboldt River Field Office in the Federal Register. A copy of the and Public Purposes (R&PP) Act at the address above. Federal Register Notice will be Classification, Nevada FOR FURTHER INFORMATION CONTACT: published in the newspaper of local AGENCY: Bureau of Land Management, Debbie Dunham, Realty Specialist, by circulation once a week for three Interior. telephone at 775–623–1598, or by email consecutive weeks. The regulations at _ _ _ _ _ ACTION: Notice of realty action. at blm nv email winnemucca district 43 CFR 2741 addressing requirements [email protected]. Persons who use a and procedures for conveyances under SUMMARY: The Bureau of Land telecommunications device for the deaf the R&PP Act do not require a public Management (BLM) has examined may call the Federal Relay Service (FRS) meeting. certain public lands in Pershing County, at 1–800–877–8339 to leave a message Upon publication of this Notice in the Nevada, and has found them suitable for or question for the above individual. Federal Register, the lands will be classification for conveyance to The FRS is available 24 hours a day, 7 segregated from all other forms of Pershing County under the provisions of days a week. You will receive a reply appropriation under the public land the R&PP Act, as amended, Section 7 of during normal business hours. laws, including locations under the the Taylor Grazing Act, and Executive SUPPLEMENTARY INFORMATION: Pershing mining laws, except for lease or Order No. 6910. The lands consist of 10 County has not applied for more than conveyance under the R&PP Act and acres, must conform to the official plat the 6,400-acre limitation for recreation leasing under the mineral leasing laws. of survey, and are legally described uses in a year, nor for more than 640 The segregative effect shall terminate below. Pershing County proposes to acres for each of the programs involving upon issuance of a patent, upon final continue use of the land as a cemetery, public resources other than recreation. rejection of the application, or 18 and to maintain, preserve, and improve Pershing County has submitted a months from the date of this notice, the cemetery. statement in compliance with the whichever occurs first.

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The conveyance of the land, will be regarding the specific use proposed in investigation in part to the ALJ for subject to the following terms, the application and plan of further proceedings with respect to that conditions, and reservations: development and management, whether patent consistent with its concurrently 1. Rights-of-way thereon for ditches the BLM followed proper administrative issued opinion and remand order, and and canals constructed by the authority procedures in reaching the decision, or extend the target date for completion of of the United States Act of August 30, any other factor not directly relating to the investigation. The Commission has 1890 (26 Stat. 391; 43 U.S.C. 945). the suitability of the lands for the use as also determined to issue: (1) A general 2. Provisions of the R&PP Act and to a cemetery, while maintaining, exclusion order prohibiting the all applicable regulations of the preserving, and improving the cemetery. unlicensed importation of certain Secretary of the Interior. Any adverse comments will be earpiece devices and components 3. All mineral deposits in the land so reviewed by the BLM Nevada State thereof that infringe one or more of patented, and the right to prospect for, Director or other authorized official of claims 1 and 7 of U.S. Patent No. mine, and remove such deposits from the Department of the Interior, who may 9,036,852 (‘‘the ’852 patent’’); claims 1 the same under applicable law and sustain, vacate, or modify this realty and 8 of U.S. Patent No. 9,036,853 (‘‘the regulations as established by the action. In the absence of any adverse ’853 patent’’); claims 1 and 6 of U.S. Secretary of the Interior are reserved to comments, the classification will Patent No. 9,042,590 (‘‘the ’590 patent’’); the United States, together with all become effective on January 6, 2020. and claims 1, 7, and 8 of U.S. Patent No. necessary access and exit rights. The lands will not be offered for 8,249,287 (‘‘the ’287 patent’’); (2) a 4. Lease or conveyance of the parcel conveyance until after the classification limited exclusion order prohibiting is subject to valid existing rights. becomes effective. respondent V4ink Inc. (‘‘V4ink’’) from 5. An appropriate indemnification Before including your address, phone importing certain earpiece devices and clause protecting the United States from number, email address, or other components thereof that infringe claim claims arising out of the patentee’s use, personal identifying information in any 1 of U.S. Patent No. 8,311,253 (‘‘the ’253 occupancy, or occupation on the leased/ comment, be aware that your entire patent’’); and (3) cease and desist orders patented lands. against certain respondents that were 6. Any other reservations that the comment, including your personal found in default or had not participated authorized officer determines identifying information, may be made in the above-captioned investigation. appropriate to ensure public access and publicly available at any time. While The investigation is terminated with proper management of Federal lands you can ask us in your comment to respect to these five patents. and interests therein. withhold your personal identifying 7. A limited reversionary provision information from public review, we FOR FURTHER INFORMATION CONTACT: stating that title shall revert to the cannot guarantee that we will be able to Cathy Chen, Esq., Office of the General United States upon a finding, after do so. Counsel, U.S. International Trade notice and opportunity for a hearing, (Authority: 43 CFR 2741.5) Commission, 500 E Street SW, that, without the approval of the Washington, DC 20436, telephone (202) David Kampwerth, Secretary of the Interior or his delegate, 205–2392. Copies of non-confidential the patentee or its approved successor Field Manager, Humboldt River Field Office. documents filed in connection with this attempts to transfer title to or control [FR Doc. 2019–24221 Filed 11–5–19; 8:45 am] investigation are or will be available for over the lands to another, the lands have BILLING CODE 4310–HC–P inspection during official business been devoted to a use other than that for hours (8:45 a.m. to 5:15 p.m.) in the which the lands were conveyed, the Office of the Secretary, U.S. lands have not been used for the INTERNATIONAL TRADE International Trade Commission, 500 E purpose for which the lands were COMMISSION Street SW, Washington, DC 20436, conveyed for a 5-year period, or the telephone (202) 205–2000. General [Investigation No. 337–TA–1121] patentee has failed to follow the information concerning the Commission approved development plan or may also be obtained by accessing its Certain Earpiece Devices and internet server at https://www.usitc.gov. management plan. No portion of the Components Thereof; Commission land shall, under any circumstance, The public record for this investigation Determination To Vacate the Domestic may be viewed on the Commission’s revert to the United States if any such Industry Finding as to One Asserted portion has been used for solid waste electronic docket (EDIS) at https:// Patent; Remand the Investigation in edis.usitc.gov. Hearing-impaired disposal or for any other purpose which Part to the Presiding Administrative may result in the disposal, placement, persons are advised that information on Law Judge for Further Proceedings as this matter can be obtained by or release of any hazardous substance. to That Asserted Patent; and Extend Classification Comments: Interested contacting the Commission’s TDD the Target Date; Issuance of a General terminal on (202) 205–1810. persons may submit comments Exclusion Order, a Limited Exclusion SUPPLEMENTARY INFORMATION: involving the suitability of the land for Order, and Cease and Desist Orders as The development and use as a cemetery, to the Other Five Asserted Patents Commission instituted this investigation while maintaining, preserving, and on June 29, 2018, based on a complaint improving the cemetery. Comments on AGENCY: U.S. International Trade filed on behalf of Bose Corporation the classification are restricted to Commission. (‘‘Bose’’) of Framingham, Massachusetts. whether the land is physically suited for ACTION: Notice. 83 FR 30,776 (Jun. 29, 2018). The the proposal, whether the use will complaint alleges violations of section maximize the future use or uses of the SUMMARY: Notice is hereby given that 337 of the Tariff Act of 1930, as land, whether the use is consistent with the U.S. International Trade amended, 19 U.S.C. 1337 (‘‘section local planning and zoning, or if the use Commission has determined to vacate 337’’) based upon the importation into is consistent with state and Federal the presiding administrative law judge’s the United States, the sale for programs. (‘‘ALJ’’) domestic industry finding with importation, and the sale within the Application Comments: Interested respect to U.S. Patent No. 9,398,364 United States after importation of persons may submit comments (‘‘the ’364 patent’’), remand the certain earpiece devices and

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components thereof by reason of 11, 2018), not rev’d by Comm’n Notice industry requirement under infringement of one or more claims of (Dec. 21, 2018). subparagraphs 337(a)(3)(A) and (B) with the ’852, ’853, ’590, ’253, ’287, and ’364 On February 8, 2019, Bose moved for respect to the ’364 patent. The patents. The complaint further alleges summary determination of a violation of Commission further determined to that an industry in the United States section 337. Bose filed a corrected review and take no position on the ID’s exists as required by section 337. motion on March 1, 2019. Thereafter, finding that Bose has satisfied the The notice of investigation named Bose filed several replacement exhibits economic prong of the domestic fourteen respondents: (1) 1MORE USA, and a supplemental index. industry requirement under Inc. (‘‘1MORE’’) of San Diego, The remaining three respondents, subparagraph 337(a)(3)(C) with respect California; (2) APSkins of Seattle, 1MORE, Phonete, and REVJAMS to the asserted patents. The Commission Washington; (3) Beeebo Online Limited (collectively ‘‘the Non-Participating determined not to review the remainder (‘‘Beeebo’’) of North Las Vegas, Nevada; Respondents’’), have not submitted any of the ID. The Commission’s (4) iHip of Edison, New Jersey; (5) response, appeared, or otherwise determination resulted in finding a LMZT LLC of Brooklyn, New York; (6) participated in the investigation despite violation of section 337 by reason of Misodiko of ShenZhen, GuangDong, being served with the complaint or infringement of claims 1 and 7 of the China; (7) Phaiser LLC (‘‘Phaiser’’) of amended complaint, and the motion for ’852 patent; claims 1 and 8 of the ’853 Houston, Texas; (8) Phonete of summary determination of violation. patent; claims 1 and 6 of the ’590 patent; Shenzhen, China; (9) REVJAMS of New The three Non-Participating claim 1 of the ’253 patent; and claims York, New York; (10) SMARTOMI Respondents and the five Defaulting 1, 7, and 8 of the ’287 patent; and the Products, Inc. of Ontario, California; Respondents were the subject of Bose’s satisfaction of the domestic industry (11) Spigen, Inc. of Irvine, California; motion for summary determination of a requirement under subparagraphs (12) Sudio AB of Stockholm, Sweden; violation of section 337. On March 22, 337(a)(3)(A) and (B) with respect to (13) Sunvalley Tek International, Inc. of 2019, OUII filed a response supporting these patents. Fremont, California; and (14) TomRich Bose’s motion in substantial part and On August 28, 2019, Bose and OUII of Shenzhen, China. The Office of supporting the requested remedy of a filed initial written submissions Unfair Import Investigations (‘‘OUII’’) general exclusion order. regarding the issue on review, and on was also named as a party in this On June 28, 2019, the ALJ issued the remedy, the public interest, and investigation. subject ID and his Recommended bonding. That same day, non-party On October 4, 2018, Bose moved to Determination (‘‘RD’’) on remedy and Anker Innovations Limited (‘‘Anker’’) amend the notice of investigation and bonding. The ID grants in part Bose’s filed a written submission concerning for leave to file an amended complaint motion for summary determination of a remedy. On September 5, 2019, Bose in order, among other things, (i) to violation of section 337. Specifically, filed a response to Anker’s submission. correct the name of respondent iHip to the ALJ found, inter alia, that Bose Having examined the record of this Zeikos, Inc.; and (ii) to correct the name established that the importation investigation, including the ID and the and address of respondent SMARTOMI requirement is satisfied as to each submissions received, the Commission Products, Inc. to V4ink. On October 29, Defaulting Respondent and Non- has determined to vacate the ID’s 2018, the ALJ granted the motion. See Participating Respondent and each finding that Bose has demonstrated the Order No. 10 (Oct. 29, 2018), not rev’d accused product; that other than existence of a domestic industry under by Comm’n Notice (Nov. 23, 2018); 83 infringement of claim 7 of the ’852 subparagraphs 337(a)(3)(A) and (B) with FR 61168 (Nov. 28, 2018); 83 FR 62900 patent with respect to the Misodiko, respect to the ’364 patent. Accordingly, (Dec. 6, 2018). Bose filed and served its Phonete, and TomRich products, Bose the Commission has determined to amended complaint on February 21, established infringement of claims 1 and remand the investigation in part to the 2019. 7 of the ’852 patent; claims 1 and 8 of ALJ for further proceedings with respect During the course of the investigation, the ’853 patent; claims 1 and 6 of the to the ’364 patent consistent with the Bose settled with the following ’590 patent; claim 1 of the ’253 patent; Commission’s concurrently issued respondents: APSkins; Zeikos, Inc.; claims 1, 7, and 8 of the ’287 patent; and opinion and remand order. The target LMZT LLC; Spigen, Inc.; Sudio AB; and claims 1 and 11 of the ’364 patent; and date is extended to December 2, 2019. Sunvalley Tek International, Inc. See that Bose satisfied the domestic industry Commissioner Schmidtlein does not Order Nos. 8 and 9 (Oct. 19, 2018), not requirement for each asserted patent. In join the decision to remand the rev’d by Comm’n Notice (Nov. 9, 2018); addition, the ALJ recommended that the investigation. Instead, she would affirm Order No. 11 (Oct. 29, 2018), not rev’d Commission issue a general exclusion on modified grounds the determination by Comm’n Notice (Nov. 27, 2018); order, cease and desist orders, and that Bose demonstrated the existence of Order No. 12 (Nov. 26, 2018), not rev’d impose a 100 percent bond during the a domestic industry under by Comm’n Notice (Dec. 19, 2018); period of Presidential review. No subparagraphs 337(a)(3)(A) and (B) with Order Nos. 14 and 15 (Feb. 21, 2019), petitions for review were filed. respect to the ’364 patent. not rev’d by Comm’n Notice (Mar. 11, On August 14, 2019, the Commission As for the remaining asserted patents, 2019). In addition, with the exception of determined to review the ID in part and the Commission has determined that the Spigen, Inc., consent orders were issued requested briefing on one issue it appropriate form of relief in this against all of these respondents. Id. determined to review, and on remedy, investigation is: (a) A general exclusion Thus, the investigation has been the public interest, and bonding. 84 FR order prohibiting the unlicensed terminated with respect to these six 43159–161 (Aug. 20, 2019). Specifically, importation of certain earpiece devices respondents. the Commission determined to review and components thereof that infringe Five other respondents have been and reverse the ID’s finding that Bose one or more of claims 1 and 7 of the found in default pursuant to has established infringement of claim 7 ’852 patent; claims 1 and 8 of the ’853 Commission Rule 210.16, 19 CFR of the ’852 patent with respect to patent; claims 1 and 6 of the ’590 patent; 210.16: Beeebo; Misodiko; Phaiser; Beeebo’s Dodocool Earhooks. The and claims 1, 7, and 8 of the ’287 patent; V4ink; and TomRich (collectively, ‘‘the Commission also determined to review (b) a limited exclusion order prohibiting Defaulting Respondents’’). See Order the ID’s finding that Bose has satisfied respondent V4ink from importing No. 7 (Sep. 20, 2018); Order No. 13 (Dec. the economic prong of the domestic certain earpiece devices and

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components thereof that infringe claim assistance in gaining access to the This supplemental schedule is as 1 of the ’253 patent; and (c) cease and Commission should contact the Office follows: The deadline for filing desist orders prohibiting respondents of the Secretary at (202) 205–2000. supplemental party comments on 1MORE, Beeebo, Phaiser, REVJAMS, General information concerning the Commerce’s final antidumping and V4ink, Misodiko, Phonete, and Commission may also be obtained by countervailing duty determinations is TomRich from further importing, accessing its internet server (https:// November 8, 2019. Supplemental party selling, and distributing infringing www.usitc.gov). The public record for comments may address only products in the United States. The these investigations may be viewed on Commerce’s final antidumping and Commission has also determined that the Commission’s electronic docket countervailing duty determinations the public interest factors enumerated in (EDIS) at https://edis.usitc.gov. Effective regarding imports of refillable stainless paragraphs 337(d)(1) and (f)(1) (19 June 4, 2019, the Commission steel kegs from China and Germany. U.S.C. 1337(d)(1), (f)(1)) do not preclude established a general schedule for the These supplemental final comments the issuance of these remedial orders. conduct of the final phase of its may not contain new factual Finally, the Commission has determined investigations on refillable stainless information and may not exceed five (5) that the bond during the period of steel kegs from China, Germany, and Presidential review pursuant to 19 Mexico,1 following preliminary pages in length. The supplemental staff U.S.C. 1337(j) shall be in the amount of determinations by the U.S. Department report in the final phase of these one hundred (100) percent of the of Commerce (‘‘Commerce’’) that investigations regarding subject imports entered value of the imported articles imports of refillable stainless steel kegs from China and Germany will be placed that are subject to the exclusion orders. were being subsidized by the in the nonpublic record on November The Commission’s orders were government of China,2 and imports of 18, 2019; and a public version will be delivered to the President and to the refillable stainless steel kegs from issued thereafter. United States Trade Representative on China, Germany, and Mexico were being For further information concerning the day of their issuance. The sold at less than fair value (LTFV) in the these investigations see the investigation is hereby terminated with United States.3 Notice of the scheduling Commission’s notice cited above and respect to the ’852, ’853, ’590, ’287, and of the final phase of the Commission’s the Commission’s Rules of Practice and ’253 patents. investigations and of a public hearing to Procedure, part 201, subparts A and B The authority for the Commission’s be held in connection therewith was (19 CFR part 201), and part 207, determination is contained in section given by posting copies of the notice in subparts A and C (19 CFR part 207). 337 of the Tariff Act of 1930, as the Office of the Secretary, U.S. amended (19 U.S.C. 1337), and in Part International Trade Commission, Additional written submissions to the 210 of the Commission’s Rules of Washington, DC, and by publishing the Commission, including requests Practice and Procedure (19 CFR part notice in the Federal Register of June pursuant to section 201.12 of the 210). 17, 2019 (84 FR 28070). The hearing was Commission’s rules, shall not be By order of the Commission. held in Washington, DC, on August 14, accepted unless good cause is shown for Issued: October 31, 2019. 2019, and all persons who requested the accepting such submissions, or unless the submission is pursuant to a specific Lisa Barton, opportunity were permitted to appear in person or by counsel. On August 19, request by a Commissioner or Secretary to the Commission. 2019, Commerce issued a final Commission staff. [FR Doc. 2019–24193 Filed 11–5–19; 8:45 am] affirmative determination with respect BILLING CODE 7020–02–P In accordance with sections 201.16(c) to imports of refillable stainless steel and 207.3 of the Commission’s rules, 4 kegs from Mexico. The Commission each document filed by a party to the issued its final affirmative INTERNATIONAL TRADE investigations must be served on all determination regarding LTFV imports COMMISSION other parties to the investigations (as from Mexico on October 3, 2019 (84 FR identified by either the public or BPI [Investigation Nos. 701–TA–610 and 731– 54174, October 9, 2019). TA–1425–1426 (Final)] On October 24, 2019, Commerce service list), and a certificate of service issued its final affirmative must be timely filed. The Secretary will Refillable Stainless Steel Kegs From determination that imports of refillable not accept a document for filing without China and Germany; Supplemental stainless steel kegs were being a certificate of service. Schedule for the Final Phase of Anti- subsidized by the government of China,5 Authority: These investigations are being Dumping and Countervailing Duty and imports of refillable stainless steel conducted under authority of title VII of the Investigations kegs from China and Germany were Tariff Act of 1930; this notice is published AGENCY: United States International being sold at LTFV in the United pursuant to section 207.21 of the Trade Commission. States.6 Accordingly, the Commission Commission’s rules. ACTION: Notice. currently is issuing a supplemental schedule for its antidumping and By order of the Commission. DATES: October 30, 2019. countervailing duty investigations on Issued: October 31, 2019. FOR FURTHER INFORMATION CONTACT: imports of refillable stainless steel kegs Lisa Barton, from China and Germany. Celia Feldpausch (202) 205–2387, Office Secretary to the Commission. of Investigations, U.S. International [FR Doc. 2019–24179 Filed 11–5–19; 8:45 am] Trade Commission, 500 E Street SW, 1 84 FR 28070 (June 17, 2019). Washington, DC 20436. Hearing- 2 84 FR 13634 (April 5, 2019). BILLING CODE 7020–02–P impaired persons can obtain 3 84 25745 (June 4, 2019); 84 FR 25736 (June 4, 2019); and 84 FR 25738 (June 4, 2019). information on this matter by contacting 4 84 FR 42894 (August 19, 2019). the Commission’s TDD terminal on 5 84 FR 57005 (October 24, 2019). (202) 205–1810. Persons with mobility 6 84 FR 57010 (October 24, 2019) and 84 FR impairments who will need special 57008 (October 24, 2019).

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DEPARTMENT OF LABOR hereby certify the following named UNITED STATES DEPARTMENT OF states to the Secretary of the Treasury LABOR Employment and Training for the 12-month period ending on OFFICE OF THE SECRETARY Administration October 31, 2019, in regard to the unemployment compensation laws of WASHINGTON, D.C. Federal-State Unemployment those states, which heretofore have been Compensation Program: Certifications CERTIFICATION OF STATE approved under the Federal UNEMPLOYMENT COMPENSATION for 2019 Under the Federal Unemployment Tax Act: Unemployment Tax Act LAWS TO THE SECRETARY OF THE Alabama TREASURY PURSUANT TO SECTION AGENCY: Employment and Training Alaska 3303(b)(1) OF THE INTERNAL Administration, Labor Arizona REVENUE CODE OF 1986 ACTION: Notice. Arkansas California In accordance with the provisions of SUMMARY: The Secretary of Labor signed Colorado paragraph (1) of Section 3303(b) of the the annual certifications under the Connecticut Internal Revenue Code of 1986 (26 Federal Unemployment Tax Act, 26 Delaware U.S.C. 3303(b)(1)), I hereby certify the U.S.C. 3301 et seq., thereby enabling District of Columbia unemployment compensation laws of employers who make contributions to Florida the following named states, which state unemployment funds to obtain Georgia heretofore have been certified pursuant certain credits against their liability for Hawaii to paragraph (3) of Section 3303(b) of the federal unemployment tax. By letter, Idaho the Code, to the Secretary of the the certifications were transmitted to the Illinois Treasury for the 12-month period Secretary of the Treasury. The letter and Indiana ending on October 31, 2019: certifications are printed below. Iowa Alabama Kansas Alaska Signed in Washington, DC, October 31, Arizona 2019. Kentucky Arkansas John Pallasch, Louisiana Maine California Assistant Secretary for Employment and Colorado Training. Maryland Massachusetts Connecticut The Honorable Steven T. Mnuchin Michigan Delaware Secretary of the Treasury Minnesota District of Columbia Department of the Treasury Mississippi Florida 1500 Pennsylvania Avenue, NW Missouri Georgia Washington, DC 20220 Montana Hawaii Dear Secretary Mnuchin: Nebraska Idaho Transmitted herewith are an original Nevada Illinois and one copy of two separate New Hampshire Indiana certifications regarding unemployment New Jersey Iowa compensation laws, for the 12-month New Mexico Kansas period ending on October 31, 2019. One New York Kentucky certification is required with respect to North Carolina Louisiana the ‘‘normal’’ federal unemployment tax North Dakota Maine credit under Section 3304 of the Internal Ohio Maryland Revenue Code of 1986 (IRC), and the Oklahoma Massachusetts other certification is required with Oregon Michigan respect to the ‘‘additional’’ tax credit Pennsylvania Minnesota pursuant to Section 3303 of the IRC. Puerto Rico Mississippi Both certifications list all 50 states as Rhode Island Missouri well as the District of Columbia, Puerto South Carolina Montana Rico, and the Virgin Islands. South Dakota Nebraska Sincerely, Tennessee Nevada Texas New Hampshire EUGENE SCALIA New Jersey Enclosures Utah Vermont New Mexico UNITED STATES DEPARTMENT OF Virginia New York LABOR Virgin Islands North Carolina North Dakota OFFICE OF THE SECRETARY Washington West Virginia Ohio WASHINGTON, D.C. Wisconsin Oklahoma Wyoming Oregon CERTIFICATION OF STATES TO THE Pennsylvania SECRETARY OF THE TREASURY This certification is for the maximum Puerto Rico PURSUANT TO SECTION 3304(c) OF normal credit allowable under Section Rhode Island THE INTERNAL REVENUE CODE OF 3302(a) of the Code. South Carolina 1986 Signed at Washington, D.C., on South Dakota In accordance with the provisions of October 31, 2019. Tennessee Section 3304(c) of the Internal Revenue lllllllllllllllllll Texas Code of 1986 (26 U.S.C. 3304(c)), I EUGENE SCALIA Utah

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Vermont enhancing the quality and utility of on the forms are intended to ensure that Virginia information the Federal government treating physicians have considered Virgin Islands requires and minimizing the paperwork non-opioid and non-compounded drug Washington and reporting burden of affected alternatives, and are only prescribing West Virginia entitities. The public is not required to the most cost effective and medically Wisconsin respond to a collection of information necessary drugs. The forms also permit Wyoming unless it displays a currently valid OMB OWCP to more easily track the volume, This certification is for the maximum control number (44 U.S.C. 3507). Also, type, and characteristics of opioids and additional credit allowable under notwithstanding any other provisions of compounded drugs authorized by the Section 3302(b) of the Code, subject to law, no person shall be subject to FECA program. The forms serve as a the limitations of Section 3302(c) of the penalty for failing to comply with a means for injured workers to continue Code. collection of information if there is not receiving opioids and compounded Signed at Washington, D.C., on a current valid OMB control number (44 drugs only where medically necessary October 31, 2019. U.S.C. 3512). and simultaneously give OWCP greater The DOL is requesting an approval of oversight in monitoring their lllllllllllllllllll an extension of this information EUGENE SCALIA appropriate use and gather additional collection. This information collection data about their use. [FR Doc. 2019–24216 Filed 11–5–19; 8:45 am] is essential to the mission of DOL and II. Review Focus: The DOL is BILLING CODE 4510–FW–P the Office of Workers’ Compensation particularly interested in comments Programs (OWCP), to monitor and which: assure the appropriate use of opioids * Evaluate whether the proposed DEPARTMENT OF LABOR and compounded drugs in treating collection of information is necessary employment-related injuries under the for the proper performance of the Office of Workers’ Compensation Federal Employees Compensation Act Programs functions of the agency, including (FECA), 5 U.S.C. 8101 et seq. whether the information will have The FECA statute grants OWCP Proposed Extension of Existing practical utility; discretion to provide an injured Collection; Comment Request * evaluate the accuracy of the employee the ‘‘services, appliances, and agency’s estimate of the burden of the AGENCY: Divison of Federal Employees’ supplies prescribed or recommended by proposed collection of information, Compensation, Office of Workers’ a qualified physician’’ which OWCP including the validity of the Compensation Programs, Labor. considers ‘‘likely to cure, give relief, methodology and assumptions used; ACTION: Notice. reduce the degree or the period of * enhance the quality, utility and disability, or aid in lessening the clarity of the information to be SUMMARY: The Department of Labor, as amount of the monthly compensation.’’ collected; and part of its continuing effort to reduce 5 U.S.C. 8103. In other words, OWCP is * minimize the burden of the paperwork and respondent burden, mandated to provide medical supplies collection of information on those who conducts a preclearance consultation and services—including prescription are to respond, including through the program to provide the general public drugs such as opioids and compounded use of appropriate automated, and Federal agencies with an drugs—that it considers medically electronic, mechanical, or other opportunity to comment on proposed necessary. 20 CFR 10.310. The FECA technological collection techniques or and/or continuing collections of statute and implementing regulations other forms of information technology, information in accordance with the are not primarily focused on managing e.g., permitting electronic submissions Paperwork Reduction Act of 1995. This doctor/patient decisions relating to of responses. program helps to ensure that requested medication therapy and, with the III. Current Actions: The DOL seeks data can be provided in the desired exception of few limitations on fentanyl the approval for the extension of this format, reporting burden (time and (an opioid) and other controlled currently approved information financial resources) is minimized, substances, the FECA program policy on collection in order to carry out its collection instruments are clearly pharmacy benefits has generally been a responsibility to meet the statutory understood, and the impact of collection policy of payment for prescribed requirements of the Federal Employees’ requirements on respondents can be medications in accordance with a fee Compensation Act. properly assessed. schedule based on a percentage of the Agency: Office of Workers’ average wholesale price (AWP) for drugs DATES: Written comments must be Compensation Programs. identified by a National Drug Code submitted to the office listed in the Type of Review: Extension. (NDC). See 20 CFR 10.809. To this end, addresses section below on or before Title: Authorization and Certification/ the FECA program has a prior January 6, 2020. Letter of Medical Necessity. authorization policy (based on medical OMB Number: 1240–0055. ADDRESSES: You may submit comments necessity) for opioid and compounded Agency Number: CA–26 and CA–27. by mail, delivery service, or by hand to drugs utilizing the pre-authorization Affected Public: Individuals or Anjanette Suggs, U.S. Department of authority already contained in its households; Businesses or other for- Labor, 200 Constitution Ave. NW, Room regulations at 20 CFR 10.310(a) and profit. S–3323, Washington, DC 20210; by fax, § 10.800(b). Total Respondents: 45,600. (202) 354–9660, or email to Information collected on the CA–26 Total Annual Responses: 45,600. [email protected]. Please use and the CA–27, require an injured Estimated Total Burden Hours: only one method of transmission for worker’s treating physician to answer a 22,800. comments (mail or email). number of questions about the Estimated Time per Response: 30 SUPPLEMENTARY INFORMATION: prescribed opioids and/or compounded minutes. I. Background: The purpose of the drugs and certify that they are medically Frequency: On occasion. Paperwork Reduction Act of 1995 necessary to treat the work-related Total Burden Cost (capital/startup): (PRA), 44 U.S.C. 3501 et seq., include injury. The responses to the questions $0.

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Total Burden Cost (operating/ • Prioritize current and planned GPS initial appraisal of a senior executive’s maintenance): $0. capabilities and services while assessing performance by the supervisor and Comments submitted in response to future PNT architecture alternatives considers recommendations to the this notice will be summarized and/or with a focus on affordability. appointing authority regarding the included in the request for Office of • Examine methods in which to performance of the senior executive. Management and Budget approval of the Protect, Toughen, and Augment (PTA) The following have been designated information collection request; they will access to GPS/Global Navigation as members of the 2019 Performance also become a matter of public record. Satellite Systems (GNSS) services in key Review Board of the National domains for multiple user sectors. Transportation Safety Board (NTSB): Ajanette Suggs, • Assess economic impacts of GPS/ Mr. Edward Benthall, Chief Financial Agency Clearance Officer, Office of Workers’ GNSS on the United States and in select Officer, National Transportation Safety Compensation Programs, US Department of international regions, with a Board, PRB Chair. Labor. consideration towards effects of Ms. Barbara A. Czech, Deputy [FR Doc. 2019–24078 Filed 11–5–19; 8:45 am] potential PNT service disruptions if Director, Office of Research and BILLING CODE 4510–CH–P radio spectrum interference is Engineering, National Transportation introduced. Safety Board. • Review the potential benefits, Mr. Jerold Gidner, Principal Deputy NATIONAL AERONAUTICS AND perceived vulnerabilities, and any Special Trustee, Office of the Special SPACE ADMINISTRATION proposed regulatory constraints to Trustee for American Indians, Department of Interior. [Notice: (19–078)] accessing foreign Radio Navigation Satellite Service (RNSS) signals in the Ms. Claudia J. Postell, Associate National Space-Based Positioning, United States and subsequent impacts Commissioner, Office of Civil Rights Navigation, and Timing Advisory on multi-GNSS receiver markets. and Equal Opportunity, Social Security Board; Meeting • Explore opportunities for enhancing Administration. Mr. Paul S. Sledzik, Deputy Managing the interoperability of GPS with other Director, National Transportation Safety AGENCY: National Aeronautics and emerging international GNSS. Board. Space Administration (NASA). • Examine emerging trends and ACTION: Notice of meeting. Ms. Katherine Herrera, Deputy requirements for PNT services in U.S. Technical Director, Defense Nuclear and international fora through PNT SUMMARY: In accordance with the Facilities Safety Board (alternate). Board technical assessments, including Federal Advisory Committee Act, as Ms. Susan A. Kantrowitz, Director, back-up services for terrestrial, amended, and the President’s 2004 U.S. Office of Administration, National maritime, aviation, and space users. Space-Based Positioning, Navigation, Transportation Safety Board (alternate). and Timing (PNT) Policy, the National Carol J. Hamilton, Dated: November 1, 2019. Aeronautics and Space Administration Advisory Committee Management Officer LaSean R. McCray, (NASA) announces a meeting of the (Acting), National Aeronautics and Space Alternate Federal Register Liaison. Administration. National Space-Based Positioning, [FR Doc. 2019–24217 Filed 11–5–19; 8:45 am] [FR Doc. 2019–24201 Filed 11–5–19; 8:45 am] Navigation, and Timing (PNT) Advisory BILLING CODE 7533–01–P Board. BILLING CODE 7510–13–P DATES: Wednesday, November 20, 2019, 8:30 a.m. to 5:30 p.m.; and Thursday, NUCLEAR REGULATORY November 21, 2019, 8:30 a.m. to 1:00 NATIONAL TRANSPORTATION COMMISSION p.m., Local Time. SAFETY BOARD [Docket No. 11006367; NRC–2019–0213] ADDRESSES: Hilton Cocoa Beach SES Performance Review Board Oceanfront, Grand Ballroom, 1550 Perma-Fix Northwest Richland, Inc. North Atlantic Ave. Cocoa Beach, AGENCY: National Transportation Safety Florida, 32931. Board. AGENCY: Nuclear Regulatory Commission. FOR FURTHER INFORMATION CONTACT: Mr. ACTION: Notice. James J. Miller, Designated Federal ACTION: Export license application; Official, Human Exploration and SUMMARY: Notice is hereby given of the opportunity to comment, request a Operations Mission Directorate, NASA appointment of members of the National hearing, and petition for leave to Headquarters, Washington, DC 20546, Transportation Safety Board, intervene. Performance Review Board (PRB). (202) 358–4417, fax (202) 358–4297, or SUMMARY: The U.S. Nuclear Regulatory [email protected]. FOR FURTHER INFORMATION CONTACT: Commission (NRC) is considering SUPPLEMENTARY INFORMATION: The Emily T. Carroll, Chief, Human issuing an export license (XW025), meeting will be open to the public up Resources Division, Office of requested by Perma-Fix Northwest to the seating capacity of the room. It is Administration, National Transportation Richland, Inc. (PFNW). On September imperative that the meeting be held on Safety Board, 490 L’Enfant Plaza SW, 27, 2019, PFNW filed an application these dates to accommodate the Washington, DC 20594–0001, (202) 314– with the NRC for a license to export scheduling priorities of the key 6233. radioactive waste. The request seeks participants. Visitors will be requested SUPPLEMENTARY INFORMATION: Section NRC approval for the export of low-level to sign a visitor’s register. 4314(c)(1) through (5) of Title 5, United radioactive waste to Italy. The NRC is The agenda for the meeting includes States Code requires each agency to providing notice of the opportunity to the following topics: establish, in accordance with request a hearing on PFNW’s revised • Update on U.S. Space-Based regulations prescribed by the Office of application. The request seeks the Positioning, Navigation and Timing Personnel Management, one or more NRC’s approval of the application (PNT) Policy and Global Positioning SES Performance Review Boards (PRB). authorizing the export of radioactive System (GPS) modernization. The board reviews and evaluates the waste to Italy.

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DATES: Comments must be filed by available documents online in the opportunity to file a request for a December 6, 2019. Requests for a ADAMS Public Documents collection at hearing or petition for leave to intervene hearing or a petition for leave to https://www.nrc.gov/reading-rm/ for a period of 30 days after publication intervene must be filed by December 6, adams.html. To begin the search, select of this notice in the Federal Register. 2019. ‘‘Begin Web-based ADAMS Search.’’ For Any request for hearing or petition for ADDRESSES: You may submit comments problems with ADAMS, please contact leave to intervene shall be served by the by any of the following methods: the NRC’s Public Document Room (PDR) requestor or petitioner upon the • Federal Rulemaking Website: Go to reference staff at 1–800–397–4209, 301– applicant, the Office of the General http://www.regulations.gov and search 415–4737, or by email to pdr.resource@ Counsel, U.S. Nuclear Regulatory for Docket ID NRC–2019–0213. Address nrc.gov. The export license application Commission, Washington, DC 20555; questions about Docket IDs in from PFNW is available in ADAMS the Secretary, U.S. Nuclear Regulatory Regulations.gov to Jennifer Borges; under Accession No. ML19280A054. Commission, Washington, DC 20555; telephone: 301–287–9127; email: • NRC’s PDR: You may examine and and the Executive Secretary, U.S. [email protected]. For technical purchase copies of public documents at Department of State, Washington, DC questions, contact the individual listed the NRC’s PDR, Room O1–F21, One 20520. Hearing requests and in the FOR FURTHER INFORMATION White Flint North, 11555 Rockville intervention petitions must include the CONTACT section of this document. Pike, Rockville, Maryland 20852. information specified in 10 CFR • 110.82(b). Email comments to: B. Submitting Comments [email protected]. If you do not IV. Electronic Submission (E-Filing) receive an automatic email reply Please include Docket ID NRC–2019– confirming receipt, then contact us at 0213 or Docket No. 11006367 in your A request for a hearing or petition for 301–415–1677. comment submission. The NRC cautions leave to intervene must be filed in • Fax comments to: Secretary, U.S. you not to include identifying or contact accordance with the NRC’s E-Filing rule Nuclear Regulatory Commission at 301– information that you do not want to be (72 FR 49139; August 28, 2007, as 415–1101. publicly disclosed in your comment amended at 77 FR 46562; August 3, • Mail comments to: Secretary, U.S. submission. The NRC will post all 2012). The E-Filing process requires Nuclear Regulatory Commission, comment submissions at https:// participants to submit and serve all Washington, DC 20555–0001, ATTN: www.regulations.gov as well as enter the adjudicatory documents over the Rulemakings and Adjudications Staff. comment submissions into ADAMS. internet, or in some cases to mail copies • Hand deliver comments to: 11555 The NRC does not routinely edit on electronic storage media. Detailed Rockville Pike, Rockville, Maryland comment submissions to remove guidance on making electronic 20852, between 7:30 a.m. and 4:15 p.m. identifying or contact information. submissions may be found in the (Eastern Time) Federal workdays; If you are requesting or aggregating Guidance for Electronic Submissions to telephone: 301–415–1677. comments from other persons for the NRC and on the NRC website at For additional direction on obtaining submission to the NRC, then you should https://www.nrc.gov/site-help/e- information and submitting comments, inform those persons not to include submittals.html. Participants may not see ‘‘Obtaining Information and identifying or contact information that submit paper copies of their filings Submitting Comments’’ in the they do not want to be publicly unless they seek an exemption in SUPPLEMENTARY INFORMATION section of disclosed in their comment submission. accordance with the procedures this document. Your request should state that the NRC described below. To comply with the procedural FOR FURTHER INFORMATION CONTACT: does not routinely edit comment Gary requirements of E-Filing, at least 10 Langlie, Office of International submissions to remove such information before making the comment days prior to the filing deadline, the Programs, U.S. Nuclear Regulatory participant should contact the Office of Commission, Washington, DC 20555– submissions available to the public or entering the comment into ADAMS. the Secretary by email at 0001; telephone: 301–287–9076, email: [email protected], or by telephone [email protected]. II. Discussion at 301–415–1677, to (1) request a digital SUPPLEMENTARY INFORMATION: On September 27, 2019, NRC received identification (ID) certificate, which I. Obtaining Information and an application from Perma-Fix allows the participant (or its counsel or Submitting Comments Northwest Richland, Inc. (PFNW) representative) to digitally sign requesting a license for a specific export submissions and access the E-Filing A. Obtaining Information license (XW025) for the export of low- system for any proceeding in which it Please refer to NRC–2019–0213 or level radioactive waste to Italy (ADAMS is participating; and (2) advise the Docket No. 11006367 when contacting Accession No. ML19280A054). Secretary that the participant will be the NRC about the availability of In accordance with paragraph submitting a petition or other information for this action. You may 110.70(b) of title 10 of the Code of adjudicatory document (even in obtain publicly-available information Federal Regulation (10 CFR) the NRC is instances in which the participant, or its related to this action by any of the noticing the receipt of an export license counsel or representative, already holds following methods: application submitted by PFNW on an NRC-issued digital ID certificate). • Federal Rulemaking Website: Go to September 27, 2019, for the export of Based upon this information, the https://www.regulations.gov and search Italian-origin radioactive waste from the Secretary will establish an electronic for Docket ID NRC–2019–0213. State of Washington to Italy. docket for the hearing in this proceeding • NRC’s Public Website: Go to https:// if the Secretary has not already www.nrc.gov and search for XW025, III. Opportunity To Request a Hearing established an electronic docket. Docket No. 11006367, or Docket ID and Petition for Leave To Intervene Information about applying for a NRC–2019–0213. The NRC is noticing the request to digital ID certificate is available on the • NRC’s Agencywide Documents issue the license to export radioactive NRC’s public website at https:// Access and Management System waste; opening the opportunity for www.nrc.gov/site-help/e-submittals/ (ADAMS): You may obtain publicly- public comment; and opening the getting-started.html. Once a participant

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has obtained a digital ID certificate and on the NRC’s public website at using E-Filing, may require a participant a docket has been created, the https://www.nrc.gov/site-help/e- or party to use E-Filing if the presiding participant can then submit submittals.html, by email to officer subsequently determines that the adjudicatory documents. Submissions [email protected], or by a toll- reason for granting the exemption from must be in Portable Document Format free call at 1–866–672–7640. The NRC use of E-Filing no longer exists. (PDF). Additional guidance on PDF Electronic Filing Help Desk is available Documents submitted in adjudicatory submissions is available on the NRC’s between 9 a.m. and 6 p.m., Eastern proceedings will appear in the NRC’s public website at https://www.nrc.gov/ Time, Monday through Friday, electronic hearing docket which is site-help/electronic-sub-ref-mat.html. A excluding government holidays. available to the public at https:// filing is considered complete at the time Participants who believe that they adams.nrc.gov/ehd, unless excluded the document is submitted through the have a good cause for not submitting pursuant to an order of the Commission NRC’s E-Filing system. To be timely, an documents electronically must file an or the presiding officer. If you do not electronic filing must be submitted to exemption request, in accordance with have an NRC-issued digital ID certificate the E-Filing system no later than 11:59 10 CFR 2.302(g), with their initial paper as described above, click ‘‘Cancel’’ p.m. Eastern Time on the due date. filing stating why there is good cause for when the link requests certificates and Upon receipt of a transmission, the not filing electronically and requesting you will be automatically directed to the E-Filing system time-stamps the authorization to continue to submit NRC’s electronic hearing dockets where document and sends the submitter an documents in paper format. Such filings you will be able to access any publicly email notice confirming receipt of the must be submitted by: (1) First class available documents in a particular document. The E-Filing system also mail addressed to the Office of the hearing docket. Participants are distributes an email notice that provides Secretary of the Commission, U.S. requested not to include personal access to the document to the NRC’s Nuclear Regulatory Commission, privacy information, such as social Office of the General Counsel and any Washington, DC 20555–0001, Attention: security numbers, home addresses, or others who have advised the Office of Rulemaking and Adjudications Staff; or personal phone numbers in their filings, the Secretary that they wish to (2) courier, express mail, or expedited unless an NRC regulation or other law participate in the proceeding, so that the delivery service to the Office of the requires submission of such filer need not serve the document on Secretary, 11555 Rockville Pike, information. For example, in some those participants separately. Therefore, Rockville, Maryland 20852, Attention: instances, individuals provide home applicants and other participants (or Rulemaking and Adjudications Staff. addresses in order to demonstrate their counsel or representative) must Participants filing adjudicatory proximity to a facility or site. With apply for and receive a digital ID documents in this manner are respect to copyrighted works, except for certificate before adjudicatory responsible for serving the document on limited excerpts that serve the purpose documents are filed so that they can all other participants. Filing is of the adjudicatory filings and would obtain access to the documents via the considered complete by first-class mail constitute a Fair Use application, E-Filing system. as of the time of deposit in the mail, or participants are requested not to include A person filing electronically using by courier, express mail, or expedited copyrighted materials in their the NRC’s adjudicatory E-Filing system delivery service upon depositing the submission. may seek assistance by contacting the document with the provider of the The information concerning this NRC’s Electronic Filing Help Desk service. A presiding officer, having application for an export license through the ‘‘Contact Us’’ link located granted an exemption request from follows.

NRC EXPORT LICENSE APPLICATION [Description of material]

Name of applicant, date of application, date received, Application No., Docket Material type Total quantity End use Country of No., ADAMS accession No. destination

Perma-Fix Northwest Richland, Inc. The radioactive waste consists of per- Not to exceed 0.1 Storage or disposal Italy. (PFNW), September 27, 2019, October sonal protective equipment, plastic, terabecquerel by the original 7, 2019, XW025, 11006367, paper, and small quantities of glass (TBq). generator. ML19280A054. contaminated primarily with carbon-14, hydrogen-3, and trace amounts of other mixed fission product radio- nuclides. The exported waste stream will be a solid form and consist of con- taminated residual ash and residual metal or non-combustible material that cannot be recycled.

Dated at Rockville, Maryland, this 31th day For the Nuclear Regulatory Commission. of October 2019. David L. Skeen, Deputy Director, Office of International Programs. [FR Doc. 2019–24199 Filed 11–5–19; 8:45 am] BILLING CODE 7590–01–P

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NUCLEAR REGULATORY the availability of information for this (Unbalanced Voltage),’’ values for the COMMISSION action. You may obtain publicly- allowable value (AV) for the unbalanced available information related to this voltage relay (UVR) low trip voltage, the [Docket Nos. 50–390 and 50–391; NRC– 2019–0220] action by any of the following methods: AV for the UVR high trip time delay, • Federal Rulemaking Website: Go to and the trip setpoint for the UVR high Tennessee Valley Authority; Watts Bar https://www.regulations.gov and search trip time delay. These amendments for Docket ID NRC–2019–0220. would correct erroneous values issued Nuclear Plant, Units 1 and 2; Revisions • to Technical Specification Table 3.3.5– NRC’s Agencywide Documents in Amendment Nos. 128 and 31, dated 1 Access and Management System August 27, 2019 (ADAMS Accession (ADAMS): You may obtain publicly- No. ML18277A110). AGENCY: Nuclear Regulatory available documents online in the Before any issuance of the proposed Commission. ADAMS Public Documents collection at license amendments, the NRC will need ACTION: License amendment application; https://www.nrc.gov/reading-rm/ to make the findings required by the opportunity to comment, request a adams.html. To begin the search, select Atomic Energy Act of 1954, as amended hearing, and petition for leave to ‘‘Begin Web-based ADAMS Search.’’ For (the Act), and NRC’s regulations. problems with ADAMS, please contact intervene. The NRC has made a proposed the NRC’s Public Document Room (PDR) determination that the license SUMMARY: The U.S. Nuclear Regulatory reference staff at 1–800–397–4209, 301– amendment request involves no Commission (NRC) is considering 415–4737, or by email to pdr.resource@ significant hazards consideration. Under issuance of amendments to Facility nrc.gov. The licensee’s amendment the NRC’s regulations in section 50.92 of Operating Licenses Nos. NPF–90 and request dated October 23, 2019, is title 10 of the Code of Federal NPF–96, issued to Tennessee Valley available in ADAMS under Accession Regulations (10 CFR), this means that Authority, for operation of the Watts Bar No. ML19296C538. operation of the facility in accordance Nuclear Plant (Watts Bar), Units 1 and • NRC’s PDR: You may examine and with the proposed amendment would 2. The amendments would correct purchase copies of public documents at not (1) involve a significant increase in unbalanced voltage relay the NRC’s PDR, Room O1–F21, One the probability or consequences of an instrumentation values. White Flint North, 11555 Rockville accident previously evaluated; or (2) DATES: Submit comments by December Pike, Rockville, Maryland 20852. 6, 2019. Requests for a hearing or create the possibility of a new or petition for leave to intervene must be B. Submitting Comments different kind of accident from any filed by January 6, 2020. Please include Docket ID NRC–2019– accident previously evaluated; or (3) involve a significant reduction in a ADDRESSES: You may submit comments 0220 in your comment submission. margin of safety. As required by 10 CFR by any of the following methods: The NRC cautions you not to include 50.91(a), the licensee has provided its • Federal Rulemaking Website: Go to identifying or contact information that analysis of the issue of no significant https://www.regulations.gov and search you do not want to be publicly hazards consideration, which is for Docket ID NRC–2019–0220. Address disclosed in your comment submission. presented below: questions about NRC dockets IDs in The NRC will post all comment Regulations.gov to Jennifer Borges; submissions at https:// 1. Does the proposed amendment involve telephone: 301–287–9127; email: www.regulations.gov, as well as enter a significant increase in the probability or [email protected]. For technical the comment submissions into ADAMS. consequence of an accident previously questions, contact the individual listed The NRC does not routinely edit evaluated? comment submissions to remove Response: No. in the FOR FURTHER INFORMATION The proposed changes correct the TS to CONTACT section of this document. identifying or contact information. • If you are requesting or aggregating reflect the UVR setpoint calculation. The Mail comments to: Office of Trip Setpoint and Allowable Value changes Administration, Mail Stop: TWFN–7– comments from other persons for restore the UVR instrumentation function to A60M, U.S. Nuclear Regulatory submission to the NRC, then you should its analyzed design, and so the probability of Commission, Washington, DC 20555– inform those persons not to include an accident previously evaluated is not 0001, ATTN: Program Management, identifying or contact information that affected. The changes to the Trip Setpoint Announcements and Editing Staff. they do not want to be publicly will ensure that there is acceptable margin to For additional direction on obtaining disclosed in their comment submission. the associated analytical limit, and the information and submitting comments, Your request should state that the NRC Allowable Values will provide proper indicators of degraded channel performance. see ‘‘Obtaining Information and does not routinely edit comment submissions to remove such information Thus, the consequences of an accident with Submitting Comments’’ in the the incorporation of these changes will not be SUPPLEMENTARY INFORMATION section of before making the comment increased. this document. submissions available to the public or Based on the above, it is concluded that the FOR FURTHER INFORMATION CONTACT: entering the comment into ADAMS. proposed changes to no involve a significant Kimberly Green, Office of Nuclear II. Introduction increase in the probability or consequences Reactor Regulation, U.S. Nuclear of an accident previously evaluated. The NRC is considering issuance of an Regulatory Commission, Washington DC 2. Does the proposed amendment create amendment to Facility Operating the possibility of a new or different kind of 20555–0001; telephone: 301–415–1627, License Nos. NPF–90 and NPF–96, accident from any accident previously email: [email protected]. issued to Tennessee Valley Authority, evaluated? SUPPLEMENTARY INFORMATION: for Watts Bar, Units 1 and 2, located in Response: No. Rhea County, Tennessee. The proposed changes correct the TS to I. Obtaining Information and reflect the UVR setpoint calculation. The Submitting Comments The amendments would revise the proposed changes ensure the affected UVR Watts Bar Technical Specification (TS) A. Obtaining Information channels are in conformance with the Table 3.3.5–1, ‘‘LOP DG Start existing plant design, and will operate as Please refer to Docket ID NRC–2019– Instrumentation,’’ Function 5, ‘‘6.9 kV credited in and as constrained by existing 0220 when contacting the NRC about Emergency Bus Undervoltage accident analyses.

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Based on the above, it is concluded that the affected by this action may file a request Those permitted to intervene become proposed change does not create the for a hearing and petition for leave to parties to the proceeding, subject to any possibility of a new or different kind of intervene (petition) with respect to the limitations in the order granting leave to accident from any accident previously intervene. Parties have the opportunity evaluated. action. Petitions shall be filed in 3. Does the proposed amendment involve accordance with the Commission’s to participate fully in the conduct of the a significant reduction in a margin of safety? ‘‘Agency Rules of Practice and hearing with respect to resolution of Response: No. Procedure’’ in 10 CFR part 2. Interested that party’s admitted contentions, The proposed changes correct the TS to persons should consult a current copy including the opportunity to present reflect the UVR setpoint calculation. The of 10 CFR 2.309. The NRC’s regulations evidence, consistent with the NRC’s changes result in ensuring the Trip Setpoint are accessible electronically from the regulations, policies, and procedures. has acceptable margin to the associated NRC Library on the NRC’s website at Petitions must be filed no later than analytical limits, and that the Allowable 60 days from the date of publication of Values will provide proper indicators of https://www.nrc.gov/reading-rm/doc- degraded channel performance. The safety collections/cfr/. Alternatively, a copy of this notice. Petitions and motions for analysis acceptance criteria are not affected the regulations is available at the NRC’s leave to file new or amended by this change. The proposed changes will Public Document Room, located at One contentions that are filed after the not result in plant operation in a White Flint North, Room O1–F21, 11555 deadline will not be entertained absent configuration outside of the design basis. Rockville Pike (First Floor), Rockville, a determination by the presiding officer Based on the above, it is concluded that the Maryland 20852. If a petition is filed, that the filing demonstrates good cause proposed changes do not involve a by satisfying the three factors in 10 CFR significant reduction in a margin of safety. the Commission or a presiding officer will rule on the petition and, if 2.309(c)(1)(i) through (iii). The petition The NRC staff has reviewed the appropriate, a notice of a hearing will be must be filed in accordance with the licensee’s analysis and, based on this issued. filing instructions in the ‘‘Electronic review, it appears that the three As required by 10 CFR 2.309(d) the Submissions (E-Filing)’’ section of this standards of 10 CFR 50.92(c) are petition should specifically explain the document. If a hearing is requested, and the satisfied. Therefore, the NRC staff reasons why intervention should be Commission has not made a final proposes to determine that the license permitted with particular reference to amendment request involves a no determination on the issue of no the following general requirements for significant hazards consideration. significant hazards consideration, the standing: (1) The name, address, and The NRC is seeking public comments Commission will make a final telephone number of the petitioner; (2) on this proposed determination that the determination on the issue of no the nature of the petitioner’s right to be license amendment request involves no significant hazards consideration. The significant hazards consideration. Any made a party to the proceeding; (3) the final determination will serve to comments received within 30 days after nature and extent of the petitioner’s establish when the hearing is held. If the the date of publication of this notice property, financial, or other interest in final determination is that the will be considered in making any final the proceeding; and (4) the possible amendment request involves no determination. effect of any decision or order which significant hazards consideration, the Normally, the Commission will not may be entered in the proceeding on the Commission may issue the amendment issue the amendment until the petitioner’s interest. and make it immediately effective, expiration of 60 days after the date of In accordance with 10 CFR 2.309(f), notwithstanding the request for a publication of this notice. The the petition must also set forth the hearing. Any hearing would take place Commission may issue the license specific contentions which the after issuance of the amendment. If the amendment before expiration of the 60- petitioner seeks to have litigated in the final determination is that the day notice period if the Commission proceeding. Each contention must amendment request involves a concludes the amendment involves no consist of a specific statement of the significant hazards consideration, then significant hazards consideration. In issue of law or fact to be raised or any hearing held would take place addition, the Commission may issue the controverted. In addition, the petitioner before the issuance of the amendment amendment prior to the expiration of must provide a brief explanation of the unless the Commission finds an the 30-day comment period if bases for the contention and a concise imminent danger to the health or safety circumstances change during the 30-day statement of the alleged facts or expert of the public, in which case it will issue comment period such that failure to act opinion which support the contention an appropriate order or rule under 10 in a timely way would result, for and on which the petitioner intends to CFR part 2. example, in derating or shutdown of the rely in proving the contention at the A State, local governmental body, facility. If the Commission takes action hearing. The petitioner must also Federally-recognized Indian Tribe, or prior to the expiration of either the provide references to the specific agency thereof, may submit a petition to comment period or the notice period, it sources and documents on which the the Commission to participate as a party will publish in the Federal Register a petitioner intends to rely to support its under 10 CFR 2.309(h)(1). The petition notice of issuance. If the Commission position on the issue. The petition must should state the nature and extent of the makes a final no significant hazards include sufficient information to show petitioner’s interest in the proceeding. consideration determination, any that a genuine dispute exists with the The petition should be submitted to the hearing will take place after issuance. applicant or licensee on a material issue Commission no later than 60 days from The Commission expects that the need of law or fact. Contentions must be the date of publication of this notice. to take this action will occur very limited to matters within the scope of The petition must be filed in accordance infrequently. the proceeding. The contention must be with the filing instructions in the one which, if proven, would entitle the ‘‘Electronic Submissions (E-Filing)’’ III. Opportunity To Request a Hearing petitioner to relief. A petitioner who section of this document, and should and Petition for Leave To Intervene fails to satisfy the requirements at 10 meet the requirements for petitions set Within 60 days after the date of CFR 2.309(f) with respect to at least one forth in this section, except that under publication of this notice, any persons contention will not be permitted to 10 CFR 2.309(h)(2) a State, local (petitioner) whose interest may be participate as a party. governmental body, or Federally-

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recognized Indian Tribe, or agency submissions and access the E-Filing Participants who believe that they thereof does not need to address the system for any proceeding in which it have a good cause for not submitting standing requirements in 10 CFR is participating; and (2) advise the documents electronically must file an 2.309(d) if the facility is located within Secretary that the participant will be exemption request, in accordance with its boundaries. Alternatively, a State, submitting a petition or other 10 CFR 2.302(g), with their initial paper local governmental body, Federally- adjudicatory document (even in filing stating why there is good cause for recognized Indian Tribe, or agency instances in which the participant, or its not filing electronically and requesting thereof may participate as a non-party counsel or representative, already holds authorization to continue to submit under 10 CFR 2.315(c). an NRC-issued digital ID certificate). documents in paper format. Such filings If a hearing is granted, any person Based upon this information, the must be submitted by: (1) First class who is not a party to the proceeding and Secretary will establish an electronic mail addressed to the Office of the is not affiliated with or represented by docket for the hearing in this proceeding Secretary of the Commission, U.S. a party may, at the discretion of the if the Secretary has not already Nuclear Regulatory Commission, presiding officer, be permitted to make established an electronic docket. Washington, DC 20555–0001, Attention: a limited appearance pursuant to the Information about applying for a Rulemaking and Adjudications Staff; or provisions of 10 CFR 2.315(a). A person digital ID certificate is available on the (2) courier, express mail, or expedited making a limited appearance may make NRC’s public website at https:// delivery service to the Office of the an oral or written statement of his or her www.nrc.gov/site-help/e-submittals/ Secretary, 11555 Rockville Pike, position on the issues but may not getting-started.html. Once a participant Rockville, Maryland 20852, Attention: otherwise participate in the proceeding. has obtained a digital ID certificate and Rulemaking and Adjudications Staff. A limited appearance may be made at a docket has been created, the Participants filing adjudicatory any session of the hearing or at any participant can then submit documents in this manner are prehearing conference, subject to the adjudicatory documents. Submissions responsible for serving the document on limits and conditions as may be must be in Portable Document Format all other participants. Filing is imposed by the presiding officer. Details (PDF). Additional guidance on PDF considered complete by first-class mail regarding the opportunity to make a submissions is available on the NRC’s as of the time of deposit in the mail, or limited appearance will be provided by public website at https://www.nrc.gov/ by courier, express mail, or expedited the presiding officer if such sessions are site-help/electronic-sub-ref-mat.html. A delivery service upon depositing the scheduled. filing is considered complete at the time document with the provider of the IV. Electronic Submissions (E-Filing) the document is submitted through the service. A presiding officer, having granted an exemption request from All documents filed in NRC NRC’s E-Filing system. To be timely, an using E-Filing, may require a participant adjudicatory proceedings, including a electronic filing must be submitted to request for hearing and petition for the E-Filing system no later than 11:59 or party to use E-Filing if the presiding leave to intervene (petition), any motion p.m. Eastern Time on the due date. officer subsequently determines that the or other document filed in the Upon receipt of a transmission, the E- reason for granting the exemption from proceeding prior to the submission of a Filing system time-stamps the document use of E-Filing no longer exists. request for hearing or petition to and sends the submitter an email notice Documents submitted in adjudicatory intervene, and documents filed by confirming receipt of the document. The proceedings will appear in the NRC’s interested governmental entities that E-Filing system also distributes an email electronic hearing docket which is request to participate under 10 CFR notice that provides access to the available to the public at https:// 2.315(c), must be filed in accordance document to the NRC’s Office of the adams.nrc.gov/ehd, unless excluded with the NRC’s E-Filing rule (72 FR General Counsel and any others who pursuant to an order of the Commission 49139; August 28, 2007, as amended at have advised the Office of the Secretary or the presiding officer. If you do not 77 FR 46562; August 3, 2012). The E- that they wish to participate in the have an NRC-issued digital ID certificate Filing process requires participants to proceeding, so that the filer need not as described above, click ‘‘cancel’’ when submit and serve all adjudicatory serve the document on those the link requests certificates and you documents over the internet, or in some participants separately. Therefore, will be automatically directed to the cases to mail copies on electronic applicants and other participants (or NRC’s electronic hearing dockets where storage media. Detailed guidance on their counsel or representative) must you will be able to access any publicly making electronic submissions may be apply for and receive a digital ID available documents in a particular found in the Guidance for Electronic certificate before adjudicatory hearing docket. Participants are Submissions to the NRC and on the NRC documents are filed so that they can requested not to include personal website at https://www.nrc.gov/site- obtain access to the documents via the privacy information, such as social help/e-submittals.html. Participants E-Filing system. security numbers, home addresses, or may not submit paper copies of their A person filing electronically using personal phone numbers in their filings, filings unless they seek an exemption in the NRC’s adjudicatory E-Filing system unless an NRC regulation or other law accordance with the procedures may seek assistance by contacting the requires submission of such described below. NRC’s Electronic Filing Help Desk information. For example, in some To comply with the procedural through the ‘‘Contact Us’’ link located instances, individuals provide home requirements of E-Filing, at least 10 on the NRC’s public website at https:// addresses in order to demonstrate days prior to the filing deadline, the www.nrc.gov/site-help/e- proximity to a facility or site. With participant should contact the Office of submittals.html, by email to respect to copyrighted works, except for the Secretary by email at [email protected], or by a toll- limited excerpts that serve the purpose [email protected], or by telephone free call at 1–866–672–7640. The NRC of the adjudicatory filings and would at 301–415–1677, to (1) request a digital Electronic Filing Help Desk is available constitute a Fair Use application, identification (ID) certificate, which between 9 a.m. and 6 p.m., Eastern participants are requested not to include allows the participant (or its counsel or Time, Monday through Friday, copyrighted materials in their representative) to digitally sign excluding government holidays. submission. For further details with

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respect to this action, see the each participant will speak, and the SECURITIES AND EXCHANGE application for license amendment time allotted for each presentation. COMMISSION dated October 23, 2019. A written summary of the hearing will [Release No. 34–87434; File No. SR– Attorney for licensee: General be compiled, and such summary will be NYSEArca–2019–12] Counsel, Tennessee Valley Authority, made available, upon written request to 400 West Summit Hill Drive, 6A West OPIC’s Corporate Secretary, at the cost Self-Regulatory Organizations; NYSE Tower, Knoxville, TN 37902. of reproduction. Arca, Inc.; Notice of Filing of NRC Branch Chief: Undine Shoop. Amendment No. 2 and Order Granting Written summaries of the projects to Accelerated Approval of a Proposed Dated at Rockville, Maryland, this 31st day be presented at the December 11, 2019, of October 2019. Rule Change, as Modified by Board meeting will be posted on OPIC’s Amendment No. 2, To List and Trade For the Nuclear Regulatory Commission. website. Kimberly J. Green, Shares of the iShares Commodity Senior Project Manager, Plant Licensing CONTACT PERSON FOR INFORMATION: Curve Carry Strategy ETF Under NYSE Branch II–2, Division of Operating Reactor Information on the hearing may be Arca Rule 8.600–E obtained from Catherine F. I. Andrade at Licensing, Office of Nuclear Reactor I. Introduction Regulation. (202) 336–8768, via facsimile at (202) [FR Doc. 2019–24198 Filed 11–5–19; 8:45 am] 408–0297, or via email at On March 1, 2019, NYSE Arca, Inc. BILLING CODE 7590–01–P [email protected]. (‘‘NYSE Arca’’ or ‘‘Exchange’’) filed with the Securities and Exchange Authority: 5 U.S.C. 552b. Commission (‘‘Commission’’), pursuant Dated: October 31, 2019. to Section 19(b)(1) of the Securities OVERSEAS PRIVATE INVESTMENT Catherine F. I. Andrade, Exchange Act of 1934 (‘‘Act’’) 1 and Rule 2 CORPORATION OPIC Corporate Secretary. 19b–4 thereunder, a proposed rule change to list and trade shares [FR Doc. 2019–24276 Filed 11–4–19; 11:15 am] Sunshine Act Notice—December 4, (‘‘Shares’’) of the iShares Commodity 2019 Public Hearing BILLING CODE 3210–01–P Curve Carry Strategy ETF, a series of the iShares U.S. ETF Trust. The proposed TIME AND DATE: 1:00 p.m., Wednesday, rule change was published for comment December 4, 2019. in the Federal Register on March 20, PLACE: Offices of the Corporation, POSTAL SERVICE 2019.3 On April 18, 2019, the Exchange Twelfth Floor Board Room, 1100 New filed Amendment No. 1 to the proposed Board of Governors; Sunshine Act York Avenue NW, Washington, DC. rule change, which replaced and Meeting STATUS: Hearing OPEN to the Public at superseded the proposed rule change as 1:00 p.m. originally filed.4 On May 1, 2019, TIME AND DATE: November 1, 2019, at pursuant to Section 19(b)(2) of the Act,5 MATTERS TO BE CONSIDERED: This will be 11:00 a.m. a Public Hearing, held in conjunction the Commission designated a longer with each meeting of OPIC’s Board of PLACE: Washington, DC. period within which to approve the Directors, to afford an opportunity for proposed rule change, disapprove the STATUS: Closed. any person to present views regarding proposed rule change, or institute the activities of the Corporation. ITEMS CONSIDERED: proceedings to determine whether to approve or disapprove the proposed Individuals wishing to address the 1. Administrative Items. hearing orally must provide advance rule change.6 On June 18, 2019, the notice to OPIC’s Corporate Secretary no 2. Personnel Matter. Commission published Amendment No. later than 5 p.m., Tuesday, November On November 1, 2019, a majority of 1 for notice and comment and instituted 26, 2019. The notice must include the the members of the Board of Governors proceedings under Section 19(b)(2)(B) of individual’s name, title, organization, of the United States Postal Service voted the Act 7 to determine whether to address, and telephone number, and a unanimously to hold and to close to approve or disapprove the proposed concise summary of the subject matter public observation a special meeting in rule change, as modified by Amendment to be presented. Washington, DC, via teleconference. The No. 1.8 On September 10, 2019, the Oral presentations may not exceed ten Board determined that no earlier public Exchange filed Amendment No. 2 to the (10) minutes. The time for individual notice was practicable. proposed rule change, which replaced presentations may be reduced and superseded the proposed rule GENERAL COUNSEL CERTIFICATION: The proportionately, if necessary, to afford General Counsel of the United States 1 all participants who have submitted a 15 U.S.C.78s(b)(1). Postal Service has certified that the 2 timely request an opportunity to be 17 CFR 240.19b–4. meeting may be closed under the 3 See Securities Exchange Act Release No. 85312 heard. Government in the Sunshine Act. (March 14, 2019), 84 FR 10369. Participants wishing to submit a 4 Amendment No. 1 is available at: https:// written statement for the record must CONTACT PERSON FOR MORE INFORMATION: www.sec.gov/comments/sr-nysearca-2019-12/ submit a copy of such statement to Michael J. Elston, Acting Secretary of srnysearca201912-5393880-184151.pdf. OPIC’s Corporate Secretary no later than the Board, U.S. Postal Service, 475 5 15 U.S.C. 78s(b)(2). L’Enfant Plaza SW, Washington, DC 6 See Securities Exchange Act Release No. 85758, 5 p.m. Tuesday, November 26, 2019. 84 FR 19978 (May 7, 2019). The Commission Such statement must be typewritten, 20260–1000. Telephone: (202) 268– designated June 18, 2019 as the date by which the double spaced, and may not exceed 4800. Commission would approve the proposed rule twenty-five (25) pages. change, disapprove the proposed rule change, or Upon receipt of the required notice, Michael J. Elston, institute proceedings to determine whether to Acting Secretary. approve or disapprove the proposed rule change. OPIC will prepare an agenda, which 7 15 U.S.C. 78s(b)(2)(B). [FR Doc. 2019–24294 Filed 11–4–19; 11:15 am] will be available at the hearing, that 8 See Securities Exchange Act Release No. 86136, identifies speakers, the subject on which BILLING CODE 7710–12–P 84 FR 29555 (June 24, 2019).

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change, as modified by Amendment No. will be the distributor for the Fund’s and fixed income securities other than 1.9 On September 12, 2019, the Shares. State Street Bank and Trust cash equivalents, as described below. Commission designated a longer period Company will serve as the The Reference Benchmark is currently for Commission action on the administrator, custodian and transfer composed of 18 futures contracts on proceedings to determine whether to agent for the Fund. physical agricultural, energy, precious approve or disapprove the proposed metals, and industrial metals A. Fund Investments rule change.10 The Commission has commodities listed on U.S. regulated received no comment letters on the According to the Exchange, the futures exchanges or non-U.S. futures proposal. investment objective of the Fund will be exchanges with which the Exchange has The Commission is publishing this to seek to provide exposure, on a total in place a comprehensive surveillance notice to solicit comments on the return basis, to a group of commodities sharing agreement (‘‘CSSA’’).19 The proposed rule change, as modified by with higher carry than a broad universe Fund expects to obtain a substantial Amendment No. 2, from interested of commodities. The Fund will be amount of its exposure to the carry persons and is approving the proposed actively managed and will seek to strategy by entering into total return rule change, as modified by Amendment achieve its investment objective in swaps that pay the returns of the No. 2, on an accelerated basis. part 14 by, under normal market commodity futures contracts referenced conditions,15 investing in listed and II. Summary of the Exchange’s in the Reference Benchmark. The over-the-counter (‘‘OTC’’) swaps, Reference Benchmark includes the 10 Description of the Proposal, as including total return swaps referencing Modified by Amendment No. 2 11 futures contracts on commodities the ICE BofAML Commodity Carry Total having the highest degree of The Exchange proposes to list and Return Index (‘‘Reference backwardation or lowest degree of 16 trade the Shares under NYSE Arca Rule Benchmark’’). The Fund is expected to contango 20 among the Reference 8.600–E, which governs the listing and establish new swaps contracts on an Benchmark universe.21 trading of Managed Fund Shares on the ongoing basis and replace expiring The Fund (through its Subsidiary (as 17 Exchange. The Shares will be offered by contracts. Swaps subsequently entered defined below)) may hold the following iShares U.S. ETF Trust (‘‘Trust’’), which into by the Fund may have terms that listed derivative instruments: futures, is registered with the Commission as an differ from the swaps the Fund options, and swaps on the Reference open-end management investment previously held. The Fund expects 12 Benchmark or commodities (which company. The Fund is a series of the generally to pay a fixed payment rate commodities are from the same sectors Trust. and certain swap related fees to the as those included in the Reference BlackRock Fund Advisors (‘‘Adviser’’) swap counterparty and receive the total Benchmark); currencies; U.S. and non- will be the investment adviser for the return of the Reference Benchmark, U.S. equity securities; fixed income Fund.13 BlackRock Investments, LLC including, in the event of negative securities (as defined in Commentary performance by the Reference .01(b) to NYSE Arca Rule 8.600–E, but 9 In Amendment No. 2, the Exchange: (1) Benchmark, negative return (i.e., a excluding Short-Term Fixed Income Modified its description of the Reference payment from the Fund to the swap Benchmark (as defined below); (2) modified the Securities (as defined below)); interest description and definition of Short-Term Fixed counterparty). In seeking total return, rates; U.S. Treasuries; or a basket or Income Securities (as defined below); (3) limited the Fund additionally will aim to the Fund’s holdings in non-convertible corporate index of any of the foregoing generate interest income and capital (collectively, ‘‘Listed Derivatives’’). debt securities to 30% of the weight of Fund’s appreciation through a cash collective holdings in cash equivalents and Short- Listed Derivatives will comply with the management strategy consisting Term Fixed Income Securities; and (4) made other criteria in Commentary .01(d) of NYSE technical and conforming changes. Amendment No. primarily of cash, cash equivalents,18 2 is available at: https://www.sec.gov/comments/sr- Arca Rule 8.600–E. nysearca-2019-12/srnysearca201912-6099440- The Fund (through its Subsidiary) a broker-dealer, it will implement and maintain a 191987.pdf. fire wall with respect to its relevant personnel or may hold the following OTC derivative 10 See Securities Exchange Act Release No. 86945, its broker-dealer affiliate regarding access to instruments: Forwards, options, and 84 FR 49158 (September 18, 2019). The information concerning the composition and/or swaps on the Reference Benchmark or Commission extended the date by which the changes to the portfolio, and will be subject to commodities (which commodities are Commission shall approve or disapprove the procedures designed to prevent the use and proposed rule change to November 15, 2019. dissemination of material non-public information 11 For a complete description of the Exchange’s regarding such portfolio. The Exchange also 19 The commodity futures included in the proposal, as amended, see Amendment No. 2, supra represents that the Adviser and its related Reference Benchmark are traded on the CME Group, note 9. personnel are subject to the provisions of Rule ICE Futures U.S., ICE Futures Europe, Inc. and the 12 According to the Exchange, on December 3, 204A–1 under the Investment Advisers Act of 1940 London Metal Exchange (‘‘LME’’). ICE Futures U.S., 2018, the Trust filed with the Commission its relating to codes of ethics. ICE Futures Europe, Inc., and CME are members of registration statement on Form N–1A under the 14 The Fund’s investment objective will also be the Intermarket Surveillance Group (‘‘ISG’’). The Securities Act of 1933 and under the Investment achieved by investing in cash, cash equivalents, Exchange represents that it has in place a CSSA Company Act of 1940 (‘‘1940 Act’’) relating to the Commodity Investments, Fixed Income Securities with the LME. Fund (File Nos. 333–179904 and 811–22649) and Short-Term Fixed Income Securities (each as 20 According to the Exchange, if the price for the (‘‘Registration Statement’’). In addition, the defined or described below). new futures contract is less than the price of the Exchange states that the Commission has issued an 15 The term ‘‘normal market conditions’’ is expiring contract, then the market for the order upon which the Trust may rely, granting defined in NYSE Arca Rule 8.600–E(c)(5). commodity is said to be in ‘‘backwardation,’’ and certain exemptive relief under the 1940 Act. See 16 Although the Fund may hold swaps on the the term ‘‘contango’’ is used to describe a market Investment Company Act Release No. 29571 Reference Benchmark, or direct investments in the in which the price for a new futures contract is (January 24, 2011) (File No. 812–13601). same futures contracts as those included in the more than the price of the expiring contract. 13 According to the Exchange, the Adviser is not Reference Benchmark, the Fund is not obligated to 21 The Reference Benchmark universe can have a registered as a broker-dealer but is affiliated with invest in any futures contracts included in, and minimum of 12 and a maximum of 25 contracts on a broker-dealer and has implemented and will does not seek to replicate the performance of, the physical agricultural, energy, precious metals, and maintain a fire wall with respect to its broker-dealer Reference Benchmark. industrial metals commodities. Reference affiliate regarding access to information concerning 17 Swaps on the Reference Benchmark are Benchmark universe constituent futures contracts the composition and/or changes to the portfolio. In included in ‘‘Commodity Investments’’ as defined and weights are set annually and the weights are the event (a) the Adviser becomes registered as a below. rebalanced monthly, taking into account the broker-dealer or newly affiliated with a broker- 18 Cash equivalents are the short-term instruments liquidity of the constituent futures contracts and the dealer, or (b) any new adviser or sub-adviser is a enumerated in Commentary .01(c) to NYSE Arca value of the global production of each underlying registered broker-dealer or becomes affiliated with Rule 8.600–E. commodity.

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from the same sectors as those included be purchased on a current or forward- organized under the laws of the Cayman in the Reference Benchmark); settled basis.26 Islands. The Trust’s Board of Trustees currencies; U.S. and non-U.S. equity The Fund also may invest in fixed (‘‘Board’’) has oversight responsibility securities; fixed income securities (as income securities as defined in for the investment activities of the defined in Commentary .01(b) to NYSE Commentary .01(b) to NYSE Arca Rule Fund, including its investment in the Arca Rule 8.600–E, but excluding Short- 8.600–E,27 other than cash equivalents Subsidiary, and the Fund’s role as sole Term Fixed Income Securities); interest and Short-Term Fixed Income shareholder of the Subsidiary. rates; or a basket or index of any of the Securities, with remaining maturities The Fund’s Commodity Investments held in the Subsidiary are intended to foregoing (collectively, ‘‘OTC longer than 397 days (‘‘Fixed Income Securities’’). Such Fixed Income provide the Fund with exposure to Derivatives,’’ 22 and together with Listed Securities will comply with broad commodities. The Subsidiary may Derivatives, ‘‘Commodity 23 requirements of Commentary .01(b) to hold cash and cash equivalents. Investments’’). 28 NYSE Arca Rule 8.600–E. B. Investment Restrictions The Fund may hold cash, cash The Fund may also hold ETNs 29 and equivalents, and fixed income securities ETFs.30 The Fund and the Subsidiary will not other than cash equivalents, as The Fund’s exposure to Commodity invest in securities or other financial described further below. Investments is obtained by investing instruments that have not been through a wholly-owned subsidiary described in the proposed rule change. Specifically, the Fund may invest in organized in the Cayman Islands The Fund’s holdings in non- Short-Term Fixed Income Securities (as (‘‘Subsidiary’’).31 The Fund controls the convertible corporate debt securities defined below) other than cash Subsidiary, and the Subsidiary is shall not exceed 30% of the weight of equivalents on an ongoing basis for cash Fund’s holdings in cash equivalents and 24 advised by the Adviser and has the management purposes. Short-Term same investment objective as the Fund. Short-Term Fixed Income Securities, Fixed Income Securities will have a In compliance with the requirements of collectively. maturity of no longer than 397 days and Sub-Chapter M of the Internal Revenue The Fund’s investments, including include only the following: (i) Money Code of 1986, the Fund may invest up derivatives, will be consistent with the market instruments; (ii) obligations to 25% of its total assets in the Fund’s investment objective and will issued or guaranteed by the U.S. Subsidiary. The Subsidiary is not an not be used to enhance leverage government, its agencies or investment company registered under (although certain derivatives and other instrumentalities (including the 1940 Act and is a company investments may result in leverage). government-sponsored enterprises); (iii) That is, the Fund’s investments will not negotiable certificates of deposit, 26 To the extent that the Fund and the Subsidiary be used to seek performance that is the bankers’ acceptances, fixed-time invest in cash and Short-Term Fixed Income multiple or inverse multiple (e.g., 2X or deposits and other obligations of U.S. Securities that are cash equivalents (i.e., that have –3X) of the Reference Benchmark. maturities of less than 3 months) as specified in and non-U.S. banks (including non-U.S. Commentary .01(c) to NYSE Arca Rule 8.600–E, C. Use of Derivatives by the Fund branches) and similar institutions; (iv) such investments will comply with Commentary Investments in derivative instruments commercial paper; (v) non-convertible .01(c) and may be held without limitation. Non- convertible corporate debt securities and Non-U.S. will be made in accordance with the corporate debt securities (e.g., bonds Sovereign Debt are not included as cash equivalents Fund’s investment objective and and debentures); (vi) repurchase in Commentary .01(c). policies. To limit the potential risk agreements; and (vii) sovereign debt 27 Commentary .01(b) to NYSE Arca Rule 8.600– E defines fixed income securities as debt securities associated with such transactions, the obligations of non-U.S. countries Fund will enter into offsetting 25 that are notes, bonds, debentures or evidence of excluding emerging market countries indebtedness that include, but are not limited to, transactions or segregate or ‘‘earmark’’ (‘‘Non-U.S. Sovereign Debt’’) U.S. Department of Treasury securities (‘‘Treasury assets determined to be liquid by the (collectively, ‘‘Short-Term Fixed Income Securities’’), government-sponsored entity securities (‘‘GSEs’’), municipal securities, trust Adviser in accordance with procedures Securities’’). Any of these securities may preferred securities, supranational debt and debt of established by the Board. In addition, a foreign country or a subdivision thereof, the Fund has included appropriate risk 22 Examples of OTC Derivatives the Fund may investment grade and high yield corporate debt, disclosure in its offering documents, invest in include swaps on commodity futures bank loans, mortgage and asset backed securities, including leveraging risk. Leveraging contracts similar to those found in the Reference and commercial paper. Benchmark and options that correlate to the 28 Among the Fixed Income Securities in which risk is the risk that certain transactions investment returns of commodities without the Fund may invest are commodity-linked notes. of the Fund, including the Fund’s use of investing directly in physical commodities. 29 ETNs are securities as described in NYSE Arca derivatives, may give rise to leverage, 23 As discussed below under ‘‘Application of Rule 5.2–E(j)(6) (Equity Index-Linked Securities, causing the Fund to be more volatile Generic Listing Requirements,’’ the Fund’s and the Commodity-Linked Securities, Currency-Linked Subsidiary’s holdings in OTC Derivatives will not Securities, Fixed Income Index-Linked Securities, than if it had not been leveraged. comply with the criteria in Commentary .01(e) of Futures-Linked Securities and Multifactor Index- According to the Exchange, the NYSE Arca Rule 8.600–E. Linked Securities). All ETNs will be listed and Adviser believes there will be minimal, 24 As discussed under ‘‘Application of Generic traded in the U.S. on a national securities exchange. if any, impact to the arbitrage Listing Requirements’’ below, investments in Short- The Fund will not invest in inverse or leveraged mechanism as a result of the Fund’s use Term Fixed Income Securities will not comply with (e.g., 2X, –2X, 3X or –3X) ETNs. the requirements of Commentary .01(b)(1)–(4) to 30 For purposes of the filing, the term ‘‘ETFs’’ of derivatives. Additionally, the Adviser NYSE Arca Rule 8.600–E. includes Investment Company Units (as described understands that market makers and 25 According to the Exchange, an ‘‘emerging in NYSE Arca Rule 5.2–E(j)(3)); Portfolio Depositary participants should be able to value market country’’ is a country that, at the time the Receipts (as described in NYSE Arca Rule 8.100– derivatives as long as the positions are Fund invests in the related fixed income E); and Managed Fund Shares (as described in instruments, is classified as an emerging or NYSE Arca Rule 8.600–E). All ETFs will be listed disclosed with relevant information. developing economy by any supranational and traded in the U.S. on a national securities The Adviser further believes that the organization such as the International Bank of exchange. The Fund will not invest in inverse or price at which Shares of the Fund trade Reconstruction and Development or any affiliate leveraged (e.g., 2X, –2X, 3X or –3X) ETFs. will continue to be disciplined by thereof or the United Nations, or related entities, or 31 The Exchange represents that all statements is considered an emerging market country for related to the Fund’s investments and restrictions arbitrage opportunities created by the purposes of constructing a major emerging market are applicable to the Fund and Subsidiary ability to purchase or redeem Shares of securities index. collectively. the Fund at their net asset value

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(‘‘NAV’’), which should ensure that securities included in a fund’s portfolio as well as commodity futures contracts Shares of the Fund will not trade at a are sufficiently large and diverse, and similar to those found in the Reference material discount or premium in have sufficient publicly available Benchmark. The Exchange states that relation to their NAV. information regarding the issuances, the OTC Derivatives can be tailored to The Exchange states that the Adviser Exchange asserts that any concerns provide specific exposure to the Fund’s does not believe there will be any related to non-compliance are mitigated Reference Benchmark, as well as significant impacts to the settlement or by the types of instruments that the commodity futures contracts similar to operational aspects of the Fund’s Fund would hold. The Exchange those found in the Reference arbitrage mechanism due to the use of represents that the Fund’s Short-Term Benchmark, allowing the Fund to more derivatives. Fixed Income Securities primarily efficiently meet its investment would include those instruments that objective.36 The Exchange further D. Application of Generic Listing are included in the definition of cash asserts that, if the Fund were to gain Requirements and cash equivalents,33 but are not commodity exposure exclusively The Exchange states that the portfolio considered cash and cash equivalents through the use of listed futures, the for the Fund will not meet all of the because they have maturities of three Fund’s holdings in Listed Derivatives ‘‘generic’’ listing requirements of months or longer. The Exchange also would be subject to position limits and Commentary .01 to NYSE Arca Rule states that all Short-Term Fixed Income accountability levels established by an 8.600–E applicable to the listing of Securities, including non-convertible exchange, and such limitations would Managed Fund Shares. The Exchange corporate debt securities 34 and Non- restrict the Fund’s ability to gain represents that, other than Commentary U.S. Sovereign Debt (which are not cash efficient exposure to the commodities in .01(b)(1)–(4) (with respect to Short-Term equivalents as enumerated in the Reference Benchmark, or futures Fixed Income Securities) and .01(e) Commentary .01(c) to NYSE Arca Rule contracts similar to those found in the (with respect to OTC Derivatives) to 8.600–E), are less susceptible than other Reference Benchmark, thereby impeding NYSE Arca Rule 8.600–E, the Fund’s types of fixed income instruments both the Fund’s ability to satisfy its portfolio will meet all other to price manipulation and volatility and investment objective. requirements of NYSE Arca Rule 8.600– that the holdings as proposed are The Exchange represents that the E. generally consistent with the policy Adviser and its affiliates actively According to the Exchange, the concerns which Commentary .01(b)(1)– monitor counterparty credit risk Fund’s investments in Short-Term Fixed (4) is intended to address. According to exposure (including for OTC Income Securities will not comply with the Exchange, because the Short-Term derivatives) and evaluate counterparty the requirements set forth in Fixed Income Securities will consist of credit quality on a continuous basis. Commentary .01(b)(1)–(4) to NYSE Arca high-quality fixed income securities With respect to the Fund’s (and the Rule 8.600–E.32 The Exchange states described above, the policy concerns Subsidiary’s) investments in derivatives that while the requirements set forth in that Commentary .01(b)(1)–(4) are on the Reference Benchmark or Commentary .01(b)(1)–(4) include rules intended to address are otherwise commodities (which commodities are intended to ensure that the fixed income mitigated and that the Fund should be from the same sectors as those included permitted to hold these securities in a in the Reference Benchmark), the 32 Commentary .01(b)(1)–(4) to NYSE Arca Rule manner that may not comply with Exchange states that the Reference 8.600–E requires that the components of the fixed Commentary .01(b)(1)–(4). Benchmark provides broad-based income portion of a portfolio meet the following The Exchange states that the Fund’s exposure to commodities as an asset criteria initially and on a continuing basis: (1) portfolio with respect to OTC Components that in the aggregate account for at class, as it includes 10 futures contracts least 75% of the fixed income weight of the Derivatives will not comply with the from a universe currently composed of portfolio each shall have a minimum original requirements set forth in Commentary 18 physical commodities in agricultural, 35 principal amount outstanding of $100 million or .01(e) to NYSE Arca Rule 8.600–E. energy, livestock, precious metals, and more; (2) no component fixed-income security Specifically, the Exchange states that up (excluding Treasury Securities and GSEs) shall industrial metals. In addition, the represent more than 30% of the fixed income to 60% of the Fund’s assets (calculated Exchange states that the Adviser weight of the portfolio, and the five most heavily as the aggregate gross notional value) represents that futures on all weighted component fixed income securities in the may be invested in OTC Derivatives. portfolio (excluding Treasury Securities and GSEs) commodities in the Reference The Exchange states that the Adviser Benchmark are traded on futures shall not in the aggregate account for more than believes that it is important to provide 65% of the fixed income weight of the portfolio; (3) exchanges that are members of the ISG an underlying portfolio (excluding exempted the Fund with additional flexibility to or with which the Exchange has in place securities) that includes fixed income securities manage risk associated with its a CSSA. shall include a minimum of 13 non-affiliated investments and, depending on market issuers, provided, however, that there shall be no III. Discussion and Commission’s minimum number of non-affiliated issuers required conditions, it may be critical that the for fixed income securities if at least 70% of the Fund be able to utilize available OTC Findings weight of the portfolio consists of equity securities Derivatives to efficiently gain exposure After careful review, the Commission as described in Commentary .01(a); and (4) to the multiple commodities markets finds that the proposed rule change, as component securities that in aggregate account for that underlie the Reference Benchmark, at least 90% of the fixed income weight of the portfolio must be either (a) from issuers that are 36 As an example, the Exchange states that the required to file reports pursuant to Sections 13 and 33 See supra note 18. Reference Benchmark includes 10 futures contracts, 15(d) of the Act; (b) from issuers that have a 34 The Exchange notes that the Fund’s holdings in which may not be sufficiently liquid and would not worldwide market value of its outstanding common non-convertible corporate debt securities will not provide the commodity exposure the Fund requires equity held by non-affiliates of $700 million or exceed 30% of the weight of the Fund’s holdings to meet its investment objective if the Fund were more; (c) from issuers that have outstanding in cash equivalents and Short-Term Fixed Income to invest in the futures directly. The Exchange securities that are notes, bonds debentures, or Securities, collectively. states that a total return swap can be structured to evidence of indebtedness having a total remaining 35 Commentary .01(e) to NYSE Arca Rule 8.600– provide exposure to the same futures contracts as principal amount of at least $1 billion; (d) exempted E provides that, on an initial and continuing basis, exist in the Reference Benchmark, as well as securities as defined in Section 3(a)(12) of the Act; no more than 20% of the assets in the portfolio may commodity futures contracts similar to those found or (e) from issuers that are a government of a foreign be invested in OTC derivatives (calculated as the in the Reference Benchmark, while providing country or a political subdivision of a foreign aggregate gross notional value of the OTC sufficient efficiency to allow the Fund to more country. derivatives). easily meet its investment objective.

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modified by Amendment No. 2, is cash equivalents and Short-Term Fixed Fund will be required to disclose on its consistent with the Act and the rules Income Securities, collectively. In website the information regarding the and regulations thereunder applicable to addition, the Fund’s investments in Disclosed Portfolio required under a national securities exchange.37 In Short-Term Fixed Income Securities NYSE Arca Rule 8.600–E(c)(2), to the particular, the Commission finds that would include sovereign debt, but extent applicable,45 and the website the proposed rule change, as modified would exclude sovereign debt information will be publicly available at by Amendment No. 2, is consistent with obligations of emerging market no charge.46 Section 6(b)(5) of the Act,38 which countries. Further, the Fund will invest requires (among other things) that the in Short Term Fixed Income Securities The Exchange represents that all Exchange’s rules be designed to prevent for cash management purposes only, statements and representations made in fraudulent and manipulative acts and and the Short Term Fixed Income the filing regarding: (1) The description practices, to promote just and equitable Securities in which the Fund may invest of the portfolio holdings or reference principles of trade, to remove will have maturities of no longer than assets; (2) limitations on portfolio impediments to and perfect the 397 days.42 holdings or reference assets; or (3) the mechanism of a free and open market In addition, the Fund’s investments in applicability of Exchange listing rules and a national market system, and, in OTC Derivatives will not comply with specified in the rule filing constitute general, to protect investors and the Commentary .01(e) to NYSE Arca Rule continued listing requirements for public interest. 8.600–E, which requires that no more listing the Shares on the Exchange. In According to the Exchange, other than than 20% of the assets of the Fund be addition, the Exchange represents that Commentary .01(b)(1)–(4) with respect invested in OTC derivatives (calculated the issuer must notify the Exchange of to Short-Term Fixed Income Securities as the aggregate gross notional value of any failure by the Fund to comply with and Commentary .01(e) with respect to such OTC derivatives). In the the continued listing requirements and, OTC Derivatives, the Fund’s portfolio alternative, the Exchange proposes that pursuant to its obligations under up to 60% of the Fund’s assets will meet all other requirements of Section 19(g)(1) of the Act, the Exchange Commentary .01 to NYSE Arca Rule (calculated as the aggregate gross will monitor 47 for compliance with the 8.600–E, and the Shares of the Fund notional value) may be invested in OTC continued listing requirements. If the will conform to the initial and Derivatives.43 The Exchange states that continued listing criteria under NYSE it may be necessary for the Fund to Fund is not in compliance with the Arca Rule 8.600–E. utilize OTC Derivatives in order to more applicable listing requirements, the The Fund’s investments in Short- efficiently hedge its portfolio or to meet Exchange will commence delisting Term Fixed Income Securities will not its investment objective.44 procedures under NYSE Arca Rule 5.5– meet the requirements for fixed income The Commission, however, believes E(m). securities set forth in Commentary that certain factors help to mitigate For the foregoing reasons, the .01(b)(1)–(4) to NYSE Arca Rule 8.600– concerns that the Fund’s investment in Commission finds that the proposed E.39 The Commission, however, believes OTC Derivatives will make the Shares rule change, as modified by Amendment that the limited nature of the Fund’s more susceptible to manipulation. No. 2, is consistent with Section 6(b)(5) investment in, and certain restrictions Specifically, with respect to OTC of the Act 48 and the rules and Derivatives on the Reference Benchmark on, the Short Term Fixed Income regulations thereunder applicable to a (or on the commodities underlying the Securities helps to mitigate concerns national securities exchange. regarding the Shares being susceptible futures contracts included in the to manipulation because of the Fund’s Reference Benchmark), the Exchange represents that the Reference 45 NYSE Arca Rule 8.600–E(c)(2) requires that the investment in the Short Term Fixed website for each series of Managed Fund Shares 40 Income Securities. Specifically, the Benchmark includes 10 futures disclose the following information regarding the Exchange states that Short-Term Fixed contracts from a universe currently Disclosed Portfolio, to the extent applicable: (A) Income Securities primarily will composed of 18 physical commodities Ticker symbol; (B) CUSIP or other identifier; (C) include instruments that are included in in agriculture, energy, livestock, description of the holding; (D) with respect to the definition of cash equivalents,41 but precious metals, and industrial metals, holdings in derivatives, the identity of the security, are not considered cash equivalents and that futures on all of the commodity, index or other asset upon which the commodities in the Reference derivative is based; (E) the strike price for any because they have maturities of three options; (F) the quantity of each security or other months or longer. As proposed, the Benchmark are traded on futures asset held as measured by (i) par value, (ii) notional Fund’s investments in Short-Term Fixed exchanges that are members of the ISG value, (iii) number of shares, (iv) number of Income Securities will also include non- or with which the Exchange has in place contracts, and (v) number of units; (G) maturity convertible corporate debt securities, a CSSA. Moreover, on a daily basis, the date; (H) coupon rate; (I) effective date; (J) market but such holdings would be limited to value; and (K) percentage weighting of the holding in the portfolio. 30% of the weight of Fund’s holdings in 42 See supra Section II.A. 43 The Exchange represents that the Adviser and 46 See Amendment No. 2, supra note 9, at 17. its affiliates actively monitor counterparty credit 47 The Commission notes that certain proposals 37 In approving this proposed rule change, the risk exposure for OTC derivatives and evaluate for the listing and trading of exchange-traded Commission has considered the proposed rule’s counterparty credit quality on a continuous basis. products include a representation that the exchange impact on efficiency, competition, and capital See supra Section II.D. Moreover, the Exchange will ‘‘surveil’’ for compliance with the continued formation. See 15 U.S.C. 78c(f). states that investments in derivative instruments listing requirements. See, e.g., Securities Exchange 38 15 U.S.C. 78f(b)(5). will be made in accordance with the Fund’s Act Release No. 77499 (April 1, 2016), 81 FR 20428, 39 See supra note 32. investment objective and policies. To limit the 20432 (April 7, 2016) (SR–BATS–2016–04). In the 40 The Commission notes that all the fixed income potential risk associated with such transactions, the context of this representation, it is the securities the Fund may invest in other than those Fund will enter into offsetting transactions or Commission’s view that ‘‘monitor’’ and ‘‘surveil’’ included in Short-Term Fixed Income Securities segregate or ‘‘earmark’’ assets determined to be and cash equivalents will comply with the liquid by the Adviser in accordance with both mean ongoing oversight of compliance with requirements of Commentary .01(b) to NYSE Arca procedures established by the Board. In addition, the continued listing requirements. Therefore, the Rule 8.600–E, and the cash equivalents the Fund the Fund has included appropriate risk disclosure Commission does not view ‘‘monitor’’ as a more or may invest in will comply with the requirements in its offering documents, including leveraging risk. less stringent obligation than ‘‘surveil’’ with respect of Commentary .01(c). See supra Section II.A. See supra Section II.C. to the continued listing requirements. 41 See supra note 18. 44 See supra Section II.D. 48 15 U.S.C. 78f(b)(5).

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IV. Solicitation of Comments on V. Accelerated Approval of the 1 application, as amended, provides Amendment No. 2 to the Proposed Rule Proposed Rule Change, as Modified by detailed information on how it proposes Change Amendment No. 2 to satisfy the requirements of the The Commission finds good cause to Exchange Act. Interested persons are invited to approve the proposed rule change, as submit written views, data, and The Commission is publishing this modified by Amendment No. 2, prior to notice to solicit comments on MEMX’s arguments concerning whether the thirtieth day after the date of Amendment No. 2 is consistent with the Form 1 application. The Commission publication of notice of the filing of will take any comments it receives into Act. Comments may be submitted by Amendment No. 2 in the Federal any of the following methods: consideration in making its Register. The Commission notes that determination about whether to grant Electronic Comments Amendment No. 2 clarified the the Applicant’s request to register as a proposed rule change, including the national securities exchange. The • Use the Commission’s internet permitted investments of the Fund. Commission will grant the registration if comment form (http://www.sec.gov/ Such changes did not raise any new it finds that the requirements of the rules/sro.shtml); or issues and assisted the Commission in evaluating whether the Exchange’s Exchange Act and the rules and • Send an email to rule-comments@ proposal to list and trade the Shares is regulations thereunder with respect to sec.gov. Please include File Number SR– 2 consistent with the Act. Accordingly, MEMX are satisfied. NYSEArca–2019–12 on the subject line. the Commission finds good cause, As discussed in the Form 1 Paper Comments pursuant to Section 19(b)(2) of the application, MEMX would be a Act,49 to approve the proposed rule subsidiary of its parent company, • Send paper comments in triplicate change, as modified by Amendment No. MEMX Holdings, LLC (‘‘MEMX to Secretary, Securities and Exchange 2, on an accelerated basis. Holdings’’), which would directly hold Commission, 100 F Street NE, VI. Conclusion 99.5% of the equity of MEMX and Washington, DC 20549–1090. indirectly hold the other 0.5% of the It is therefore ordered, pursuant to All submissions should refer to File 50 equity of MEMX through its 100% Section 19(b)(2) of the Act, that the 3 Number SR–NYSEArca–2019–12. This proposed rule change (SR–NYSEArca– ownership of MEMX SubCo LLC. In file number should be included on the 2019–12), as modified by Amendment turn, MEMX Holdings would be owned subject line if email is used. To help the No. 2 thereto, be, and it hereby is, by a group of nine investors that include Commission process and review your approved on an accelerated basis. broker-dealers, retail brokers, and banks, eight of which have the ability to comments more efficiently, please use For the Commission, by the Division of only one method. The Commission will Trading and Markets, pursuant to delegated appoint a director to the board of MEMX 4 post all comments on the Commission’s authority.51 Holdings. Three of those investors also internet website (http://www.sec.gov/ Jill M. Peterson, would have the ability to nominate a rules/sro.shtml). Copies of the Assistant Secretary. director to the board of MEMX on a 5 submission, all subsequent [FR Doc. 2019–24188 Filed 11–5–19; 8:45 am] rotating schedule. amendments, all written statements BILLING CODE 8011–01–P The governing documents for MEMX with respect to the proposed rule can be found in Exhibit A to MEMX’s change that are filed with the Form 1 application, and a listing of the Commission, and all written SECURITIES AND EXCHANGE officers and directors of MEMX can be communications relating to the COMMISSION found in Exhibit J. The governing proposed rule change between the [Release No. 34–87436; File No. 10–237] documents for MEMX Holdings and Commission and any person, other than MEMX SubCo LLC can be found in those that may be withheld from the MEMX LLC; Notice of Filing of Exhibit C to MEMX’s Form 1 public in accordance with the Application, as Amended, for application. One notable novel provisions of 5 U.S.C. 552, will be Registration as a National Securities governance provision in the LLC available for website viewing and Exchange Under Section 6 of the Agreement of MEMX Holdings concerns printing in the Commission’s Public Securities Exchange Act of 1934 quorum requirements for the board of Reference Room, 100 F Street NE, October 31, 2019. directors that would require the Washington, DC 20549 on official On September 9, 2019, MEMX LLC presence of certain named investor- business days between the hours of (‘‘MEMX’’ or ‘‘Applicant’’) filed with 10:00 a.m. and 3:00 p.m. Copies of the the Securities and Exchange Restated LLC Agreement of MEMX LLC), B (Rules filing also will be available for Commission (‘‘Commission’’) a Form 1 of MEMX), C–2 (Third Amended and Restated LLC inspection and copying at the principal Agreement of MEMX Holdings LLC), and C–4 application under the Securities (Amended and Restated LLC Agreement of MEMX office of the Exchange. All comments Exchange Act of 1934 (‘‘Exchange Act’’), SubCo LLC). received will be posted without change. seeking registration as a national 2 15 U.S.C. 78s(a). Persons submitting comments are securities exchange under Section 6 of 3 A similar ownership structure exists for MEMX cautioned that we do not redact or edit the Exchange Act. On October 23, 2019, Execution Services LLC, which would act as an personal identifying information from MEMX submitted Amendment No. 1 to optional outbound routing broker for MEMX. 4 1 See Exhibit B (Directors and Observers comment submissions. You should its Form 1 application. MEMX’s Form Schedule) to the Third Amended and Restated LLC submit only information that you wish Agreement of MEMX Holdings. to make available publicly. All 49 15 U.S.C. 78s(b)(2). 5 See ‘‘Exchange Director Nominating Member’’ as submissions should refer to File 50 Id. defined in Article 1.1 of the Third Amended and 51 Number SR–NYSEArca–2019–12 and 17 CFR 200.30–3(a)(12). Restated LLC Agreement of MEMX Holdings. See 1 In Amendment No. 1, Applicant submitted also Exhibit J (Exchange Director Nomination should be submitted on or before updated portions of its Form 1 application, Rotation) to the Third Amended and Restated LLC November 27, 2019. including Exhibits A–5 (Second Amended and Agreement of MEMX Holdings.

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appointed directors to have a quorum to Electronic Comments SECURITIES AND EXCHANGE conduct business.6 • COMMISSION With respect to its trading system, the Use the Commission’s internet comment form (http://www.sec.gov/ Form 1 application further provides that [Release No. 34–87431; File No. SR–MIAX– MEMX would operate a fully automated rules/sro.shtml); or 2019–46]) electronic trading platform for the • Send an email to rule-comments@ trading of National Market System sec.gov. Please include File Number 10– Self-Regulatory Organizations; Miami stocks through unlisted trading 237 on the subject line. International Securities Exchange LLC; privileges with a continuous automated Notice of Filing and Immediate matching function. MEMX would not Paper Comments Effectiveness of a Proposed Rule maintain a physical trading floor. Change To Amend Its Fee Schedule • Send paper comments in triplicate Liquidity would be derived from orders to Secretary, Securities and Exchange to buy and orders to sell submitted to October 31, 2019. Commission, 100 F Street NE, MEMX electronically by its registered Pursuant to Section 19(b)(1) of the broker-dealer members from remote Washington, DC 20549–1090. Securities Exchange Act of 1934 locations. MEMX would have one class All submissions should refer to File (‘‘Act’’),1 and Rule 19b–4 thereunder,2 of membership open to registered Number 10–237. This file number notice is hereby given that on October broker-dealers, and also would allow should be included on the subject line 22, 2019, Miami International Securities members to register under MEMX rules if email is used. To help the Exchange LLC (‘‘MIAX Options’’ or as market makers on MEMX and be Commission process and review your ‘‘Exchange’’) filed with the Securities and Exchange Commission subject to certain specified requirements comments more efficiently, please use (‘‘Commission’’) a proposed rule change and obligations set forth in MEMX’s only one method. The Commission will as described in Items I, II, and III below, proposed rules. post all comments on the Commission’s According to the Applicant, it which Items have been prepared by the internet website (http://www.sec.gov/ Exchange. The Commission is ‘‘intends for its System to be relatively rules/other.shtml). Copies of the simple, without many of the complex publishing this notice to solicit submission, all subsequent order types or instructions available on comments on the proposed rule change amendments, all written statements other national securities exchanges.’’ 7 from interested persons. with respect to MEMX’s Form 1 filed While MEMX’s proposed rulebook with the Commission, and all written I. Self-Regulatory Organization’s generally conforms to the rules of other Statement of the Terms of Substance of 8 communications relating to the exchanges, one novel feature of the Proposed Rule Change MEMX’s proposed trading rules is an application between the Commission optional feature on random and any person, other than those that The Exchange is filing a proposal to replenishment for reserve orders that may be withheld from the public in amend the MIAX Options Fee Schedule would vary the time intervals of each accordance with the provisions of 5 (the ‘‘Fee Schedule’’) to modify certain replenishment.9 U.S.C. 552, will be available for website of the Exchange’s system connectivity A more detailed description of the viewing and printing in the fees. manner of operation of MEMX’s Commission’s Public Reference Room, The Exchange previously filed the proposed system can be found in 100 F Street NE, Washington, DC 20549, proposal on August 23, 2019 (SR– Exhibit E to the Applicant’s Form 1 on official business days between the MIAX–2019–38). That filing has been application. The proposed rulebook for hours of 10:00 a.m. and 3:00 p.m. All withdrawn and replaced with the the proposed exchange can be found in comments received will be posted current filing (SR–MIAX–2019–46). Exhibit B to MEMX’s Form 1 without change. Persons submitting The text of the proposed rule change application. A complete set of forms comments are cautioned that we do not is available on the Exchange’s website at concerning membership and access can redact or edit personal identifying http://www.miaxoptions.com/rule- be found in Exhibit F to MEMX’s Form information from comment submissions. filings, at MIAX’s principal office, and 1 application. You should submit only information at the Commission’s Public Reference MEMX’s Form 1 application, that you wish to make publicly Room. including all of the Exhibits referenced available. All submissions should refer II. Self-Regulatory Organization’s above, is available online at to File Number 10–237 and should be Statement of the Purpose of, and www.sec.gov/rules/other.shtml as well submitted on or before December 23, Statutory Basis for, the Proposed Rule as in the Commission’s Public Reference 2019. Change Room. Interested persons are invited to submit written data, views, and For the Commission, by the Division of In its filing with the Commission, the arguments concerning the Applicant’s Trading and Markets, pursuant to delegated Exchange included statements Form 1, including whether the authority.10 concerning the purpose of and basis for application is consistent with the Jill M. Peterson, the proposed rule change and discussed Exchange Act. Assistant Secretary. any comments it received on the Comments may be submitted by any [FR Doc. 2019–24180 Filed 11–5–19; 8:45 am] proposed rule change. The text of these of the following methods: BILLING CODE 8011–01–P statements may be examined at the places specified in Item IV below. The 6 See Article VIII, Section 8.6 of the Third Exchange has prepared summaries, set Amended and Restated LLC Agreement of MEMX forth in sections A, B, and C below, of Holdings. the most significant aspects of such 7 Form 1, Exhibit E at 16. statements. 8 See, e.g., Rulebook of Cboe EDGX Exchange, Inc., available at https://cdn.cboe.com/resources/ regulation/rule_book/EDGX_Rulebook.pdf. 1 15 U.S.C. 78s(b)(1). 9 See Proposed MEMX Rule 11.6(k)(1)(A). 10 17 CFR 200.30–3(a)(71)(i). 2 17 CFR 240.19b–4.

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A. Self-Regulatory Organization’s revenues, costs, and profitability Order also instituted proceedings to Statement of the Purpose of, and associated with providing network determine whether to approve or Statutory Basis for, the Proposed Rule connectivity services. Based on this disapprove the First Proposed Rule Change analysis, the Exchange believes that its Change.10 proposed fee increases are fair and The Healthy Markets Letter argued 1. Purpose reasonable because they will permit that the Exchange did not provide The Exchange is refiling its proposal recovery of less than all of the sufficient information in its filing to to amend the Fee Schedule in order to Exchange’s costs for providing the support a finding that the proposal is provide additional analysis of its network connectivity services and will consistent with the Act. Specifically, the baseline revenues, costs, and not result in excessive pricing or supra- Healthy Markets Letter objected to the profitability (before the proposed fee competitive profit, when comparing the Exchange’s reliance on the fees of other change) and the Exchange’s expected Exchange’s total annual expense exchanges to demonstrate that its fee revenues, costs, and profitability associated with providing the network increases are consistent with the Act. In (following the proposed fee change) for connectivity services versus the total addition, the Healthy Markets Letter its network connectivity services. This projected annual revenue the Exchange argued that the Exchange did not offer additional analysis includes information projects to collect for providing the any details to support its basis for regarding its methodology for network connectivity services. asserting that the proposed fee increases determining the baseline costs and Specifically, the Exchange proposes to are consistent with the Act. revenues, as well as expected costs and amend Sections 5(a) and (b) of the Fee On October 5, 2018, the Exchange revenues, for its network connectivity Schedule to increase the network withdrew the First Proposed Rule services. The Exchange is also refiling connectivity fees for the 1 Gigabit Change.11 The Exchange refiled the its proposal in order to address certain (‘‘Gb’’) fiber connection, the 10Gb fiber Proposed Fee Increases on September points raised in the only comment letter connection, and the 10Gb ultra-low 18, 2018, designating the Proposed Fee received by the Commission on the latency (‘‘ULL’’) fiber connection, which Increases immediately effective.12 The Exchange’s prior proposal to increase are charged to both Members 5 and non- Second Proposed Rule Change was connectivity fees.3 Members of the Exchange for published for comment in the Federal In order to determine the Exchange’s connectivity to the Exchange’s primary/ Register on October 10, 2018.13 The baseline costs associated with providing secondary facility. The Exchange also Commission received one comment network connectivity services, the proposes to increase the network letter on the proposal.14 The Proposed Exchange conducted an extensive cost connectivity fees for the 1Gb and 10Gb Fee Increases remained in effect until review in which the Exchange analyzed fiber connections for connectivity to the they were temporarily suspended every expense item in the Exchange’s Exchange’s disaster recovery facility. pursuant to a suspension order (the general expense ledger to determine Each of these connections are shared ‘‘Second Suspension Order’’) issued by whether each such expense relates to connections, and thus can be utilized to the Commission on October 3, 2018.15 the provision of network connectivity access both the Exchange and the The Second Suspension Order also services, and, if such expense did so Exchange’s affiliate, MIAX PEARL, LLC instituted proceedings to determine relate, what portion (or percentage) of (‘‘MIAX PEARL’’). These proposed fee whether to approve or disapprove the such expense actually supports the increases are collectively referred to Second Proposed Rule Change.16 provision of network connectivity herein as the ‘‘Proposed Fee Increases.’’ The SIFMA Letter argued that the services. The sum of all such portions The Exchange initially filed the Exchange did not provide sufficient of expenses represents the total actual Proposed Fee Increases on July 31, 2018, information in its filing to support a baseline cost of the Exchange to provide designating the Proposed Fee Increases finding that the proposal should be 6 network connectivity services. (For the effective August 1, 2018. The First avoidance of doubt, no expense amount Proposed Rule Change was published (Suspension of and Order Instituting Proceedings was allocated twice.) The Exchange is for comment in the Federal Register on To Determine Whether To Approve or Disapprove August 13, 2018.7 The Commission a Proposed Rule Change To Amend the Fee presenting the results of its cost review Schedule Regarding Connectivity Fees for Members in a way that corresponds directly with received one comment letter on the and Non-Members). 8 the Exchange’s 2018 Audited proposal. The Proposed Fee Increases 10 Id. Unconsolidated Financial Statements, remained in effect until they were 11 See Securities Exchange Act Release No. 84398 the relevant sections of which are temporarily suspended pursuant to a (October 10, 2018), 83 FR 52264 (October 16, 2018) suspension order (the ‘‘Suspension (SR–MIAX–2018–19) (Notice of Withdrawal of a attached [sic] hereto as Exhibit 3, which Proposed Rule Change To Amend the Fee Schedule Order’’) issued by the Commission on Regarding Connectivity Fees for Members and Non- are publicly available as part of the 9 Exchange’s Form 1 Amendment.4 The September 17, 2018. The Suspension Members). purpose of presenting it in this manner 12 See Securities Exchange Act Release No. 84357 5 The term ‘‘Member’’ means an individual or (October 3, 2018), 83 FR 50976 (October 10, 2018) is to provide greater transparency into organization approved to exercise the trading rights (SR–MIAX–2018–25) (the ‘‘Second Proposed Rule the Exchange’s actual and expected associated with a Trading Permit. Members are Change’’) (Notice of Filing of a Proposed Rule deemed ‘‘members’’ under the Exchange Act. See Change To Amend the Fee Schedule Regarding 3 See Letter from John Ramsay, Chief Market Exchange Rule 100. Connectivity Fees for Members and Non-Members; Policy Officer, Investors Exchange LLC (‘‘IEX’’), to 6 See Securities Exchange Act Release No. 83786 Suspension of and Order Instituting Proceedings To Vanessa Countryman, Secretary, Commission, dated (August 7, 2018), 83 FR 40106 (August 13, 2018) Determine Whether To Approve or Disapprove the October 9, 2019 (‘‘Third IEX Letter,’’ as further (SR–MIAX–2018–19) (the ‘‘First Proposed Rule Proposed Rule Change). described below). Change’’). 13 Id. 4 See the complete Audited Unconsolidated 7 Id. 14 See Letter from Theodore R. Lazo, Managing Financial Statements of Miami International 8 See Letter from Tyler Gellasch, Executive Director and Associate General Counsel, and Ellen Securities Exchange, LLC as of December 31, 2018, Director, The Healthy Markets Association Greene, Managing Director Financial Services and the Audited Unconsolidated Financial (‘‘Healthy Markets’’), to Brent J. Fields, Secretary, Operations, The Securities Industry and Financial Statements of MIAX PEARL, LLC as of December Commission, dated September 4, 2018 (‘‘Healthy Markets Association (‘‘SIFMA’’), to Brent J. Fields, 31, 2018, which are listed under Exhibit D of MIAX Markets Letter’’). Secretary, Commission, dated October 15, 2018 Form 1 Amendment 2019–7 Annual Filing at 9 See Securities Exchange Act Release No. 34– (‘‘SIFMA Letter’’). https://www.sec.gov/Archives/edgar/vprr/1900/ 84175 (September 17, 2018), 83 FR 47955 15 See supra note 12. 19003680.pdf. (September 21, 2018) (SR–MIAX–2018–19) 16 Id.

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approved by the Commission after Commission believes should be stated that the Third Proposed Rule further review of the proposed fee discussed in a connectivity fee filing. Change was ‘‘remarkably different,’’ and increases. Specifically, the SIFMA After the BOX Order was issued, the went on to further state as follows: Letter objected to the Exchange’s Commission received four comment The instant MIAX filings—along with reliance on the fees of other exchanges letters on the Third Proposed Rule their April 5th supplement—provide to justify its own fee increases. In Change.21 much greater detail regarding users of addition, the SIFMA Letter argued that The Second SIFMA Letter argued that connectivity, the market for the Exchange did not offer any details the Exchange did not provide sufficient connectivity, and costs than the Initial to support its basis for asserting that the information in its Third Proposed Rule MIAX Filings. They also appear to proposed fee increases are reasonable. Change to support a finding that the address many of the issues raised by the On November 23, 2018, the Exchange proposal should be approved by the Commission staff’s BOX disapproval withdrew the Second Proposed Rule Commission after further review of the order. This third round of MIAX filings Change.17 proposed fee increases. Specifically, the suggests that MIAX is operating in good The Exchange refiled the Proposed Second SIFMA Letter argued that the faith to provide what the Commission Exchange’s market data fees and and staff seek.23 Fee Increases on March 1, 2019, connectivity fees were not constrained On April 29, 2019, the Exchange designating the Proposed Fee Increases by competitive forces, the Exchange’s withdrew the Third Proposed Rule immediately effective.18 The Third filing lacked sufficient information Change.24 Proposed Rule Change was published regarding cost and competition, and that The Exchange refiled the Proposed for comment in the Federal Register on the Commission should establish a Fee Increases on April 30, 2019, March 20, 2019.19 The Third Proposed framework for determining whether fees designating the Proposed Fee Increases Rule Change provided new information, for exchange products and services are immediately effective.25 The Fourth including additional detail about the reasonable when those products and Proposed Rule Change was published market participants impacted by the services are not constrained by for comment in the Federal Register on Proposed Fee Increases, as well as the significant competitive forces. May 16, 2019.26 The Fourth Proposed additional costs incurred by the The IEX Letter argued that the Rule Change provided further cost Exchange associated with providing the Exchange did not provide sufficient analysis information to squarely and connectivity alternatives, in order to information in its Third Proposed Rule comprehensively address each and provide more transparency and support Change to support a finding that the every topic raised for discussion in the relating to the Exchange’s belief that the proposal should be approved by the BOX Order, the IEX Letter and the Proposed Fee Increases are reasonable, Commission and that the Commission Second SIFMA Letter to ensure that the equitable, and non-discriminatory, and should extend the time for public Proposed Fee Increases are reasonable, to provide sufficient information for the comment on the Third Proposed Rule equitable, and non-discriminatory, and Commission to determine that the Change. Despite the objection to the that the Commission should find that Proposed Fee Increases are consistent Proposed Fee Increases, the IEX Letter the Proposed Fee Increases are with the Act. did find that ‘‘MIAX has provided more consistent with the Act. On March 29, 2019, the Commission transparency and analysis in these On May 21, 2019, the Commission issued its Order Disapproving Proposed filings than other exchanges have sought issued the Staff Guidance on SRO Rule Rule Changes to Amend the Fee to do for their own fee increases.’’ 22 The Filings Relating to Fees.27 Schedule on the BOX Market LLC IEX Letter specifically argued that the The Commission received two Options Facility to Establish BOX Proposed Fee Increases were not comment letters on the Fourth Proposed Connectivity Fees for Participants and constrained by competition, the Rule Change, after the Guidance was Non-Participants Who Connect to the Exchange should provide data on the released.28 The Second IEX Letter and BOX Network (the ‘‘BOX Order’’).20 In Exchange’s actual costs and how those the Third SIFMA Letter argued that the the BOX Order, the Commission costs relate to the product or service in Exchange did not provide sufficient highlighted a number of deficiencies it question, and whether and how MIAX information in its Fourth Proposed Rule found in three separate rule filings by considered changes to transaction fees Change to justify the Proposed Fee BOX Exchange LLC (‘‘BOX’’) to increase as an alternative to offsetting exchange Increases based on the Guidance and the BOX’s connectivity fees that prevented costs. BOX Order. Of note, however, is that the Commission from finding that The Second Healthy Markets Letter BOX’s proposed connectivity fees were did not object to the Third Proposed 23 See Second Healthy Markets Letter, pg. 2. consistent with the Act. These Rule Change and the information 24 See SR–MIAX–2019–10. deficiencies relate to topics that the provided by the Exchange in support of 25 See Securities Exchange Act Release No. 85836 (May 10, 2019), 84 FR 22205 (May 16, 2019) (SR– the Proposed Fee Increases. Specifically, MIAX–2019–23) (the ‘‘Fourth Proposed Rule 17 See Securities Exchange Act Release No. 84650 the Second Healthy Markets Letter Change’’) (Notice of Filing and Immediate (November 26, 2018), 83 FR 61705 (November 30, Effectiveness of a Proposed Rule Change To Amend 2018) (SR–MIAX–2018–25) (Notice of Withdrawal 21 See Letter from Joseph W. Ferraro III, SVP & Its Fee Schedule). of a Proposed Rule Change To Amend the Fee Deputy General Counsel, MIAX, to Vanessa 26 Id. Schedule Regarding Connectivity Fees for Members Countryman, Acting Secretary, Commission, dated 27 See Staff Guidance on SRO Rule Filings and Non-Members). April 5, 2019 (‘‘MIAX Letter’’); Letter from Relating to Fees (May 21, 2019), at https:// 18 See Securities Exchange Act Release No. 85318 Theodore R. Lazo, Managing Director and Associate www.sec.gov/tm/staff-guidance-sro-rule-filings-fees (March 14, 2019), 84 FR 10363 (March 20, 2019) General Counsel, SIFMA, to Vanessa Countryman, (the ‘‘Guidance’’). (SR–MIAX–2019–10) (the ‘‘Third Proposed Rule Acting Secretary, Commission, dated April 10, 2019 28 See Letter from John Ramsay, Chief Market Change’’) (Notice of Filing and Immediate (‘‘Second SIFMA Letter’’); Letter from John Ramsay, Policy Officer, Investors Exchange LLC, to Vanessa Effectiveness of a Proposed Rule Change To Amend Chief Market Policy Officer, IEX, to Vanessa Countryman, Acting Secretary, Commission, dated Its Fee Schedule). Countryman, Acting Secretary, Commission, dated June 5, 2019 (the ‘‘Second IEX Letter’’) and Letter 19 Id. April 10, 2019 (‘‘IEX Letter’’); and Letter from Tyler from Theodore R. Lazo, Managing Director and 20 See Securities Exchange Act Release No. 85459 Gellasch, Executive Director, Healthy Markets, to Associate General Counsel, and Ellen Greene, (March 29, 2019), 84 FR 13363 (April 4, 2019) (SR– Brent J. Fields, Secretary, Commission, dated April Managing Director, SIFMA, to Vanessa BOX–2018–24, SR–BOX–2018–37, and SR–BOX– 18, 2019 (‘‘Second Healthy Markets Letter’’). Countryman, Acting Secretary, Commission, dated 2019–04). 22 See IEX Letter, pg. 1. June 6, 2019 (the ‘‘Third SIFMA Letter’’).

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unlike their previous comment letter, pricing or a supra-competitive profit for connections and further describe the the Third SIFMA Letter did not call for the Exchange. nature and closeness of the relationship the Commission to suspend the Fourth On August 23, 2019, the Exchange between the identified costs and Proposed Rule Change. Also, Healthy withdrew the Fifth Proposed Rule connectivity products and services as Markets did not comment on the Fourth Change.33 stated in the Exchange’s cost allocation Proposed Rule Change. The Exchange refiled the Proposed analysis. On June 26, 2019, the Exchange Fee Increases on August 23, 2019, On October 22, 2019, the Exchange withdrew the Fourth Proposed Rule designating the Proposed Fee Increases withdrew the Sixth Proposed Rule 34 Change.29 immediately effective. The Sixth Change.38 The Exchange refiled the Proposed Proposed Rule Change was published The Exchange is now refiling the for comment in the Federal Register on Proposed Fee Increases to provide Fee Increases on June 26, 2019, 35 designating the Proposed Fee Increases July 16, 2019. The Sixth Proposed additional analysis of its baseline Rule Change provided greater detail and revenues, costs, and profitability (before immediately effective.30 The Fifth clarity concerning the Exchange’s cost the proposed fee change) and the Proposed Rule Change was published methodology as it pertains to the Exchange’s expected revenues, costs, for comment in the Federal Register on Exchange’s expenses for network and profitability (following the July 16, 2019.31 The Fifth Proposed Rule connectivity services, using a line-by- proposed fee change) for its network Change bolstered the Exchange’s line analysis of the Exchange’s general connectivity services. This additional previous cost-based discussion to expense ledger to determine what, if analysis includes information regarding support its claim that the Proposed Fee any, portion of those expenses supports its methodology for determining the Increases are fair and reasonable the provision of network connectivity baseline costs and revenues, as well as because they will permit recovery of the services. expected costs and revenues, for its Exchange’s costs and will not result in The Commission received only one network connectivity services. The excessive pricing or supra-competitive comment letter on the Sixth Proposed Exchange is also refiling its proposal in profit, in light of the Guidance issued by Rule Change, twelve days after the order to address certain points raised in Commission staff subsequent to the comment period deadline ended.36 Of the Third IEX Letter. The Exchange Fourth Proposed Rule Change, and note, no member of the Exchange believes that the Proposed Fee Increases primarily through the inclusion of commented on the Sixth Proposed Rule are consistent with the Act because they anticipated revenue figures associated Change. Also, no issuer or other person (i) are reasonable, equitably allocated, with the provision of network using the facilities of the Exchange not unfairly discriminatory, and not an connectivity services. commented on the Sixth Proposed Rule undue burden on competition; (ii) The Commission received three Change. Also, no industry group that comply with the BOX Order and the comment letters on the Fifth Proposed represents members, issuers, or other Guidance; (iii) are supported by 32 Rule Change. persons using the facilities of the evidence (including data and analysis), Neither the Third Healthy Markets Exchange commented on the Sixth constrained by significant competitive Letter nor the Fourth SIFMA Letter Proposed Rule Change. Also, no forces; and (iv) are supported by specific called for the Commission to suspend or operator of an options market information (including quantitative disapprove the Proposed Fee Increases. commented on the Sixth Proposed Rule information), fair and reasonable In fact, the Third Healthy Markets Letter Change. Also, no operator of a high because they will permit recovery of the acknowledged that ‘‘it appears as performance, ultra-low latency network, Exchange’s costs (less than all) and will though MIAX is operating in good faith which network can support access to not result in excessive pricing or supra- to provide what the Commission, its three distinct exchanges and provides competitive profit. Accordingly, the staff, and market participants the premium network monitoring and Exchange believes that the Commission information needed to appropriately reporting services to customers, should find that the Proposed Fee assess the filings.’’ The Third IEX Letter commented on the Sixth Proposed Rule Increases are consistent with the Act. only reiterated points from the Second Change. Rather, the only comment letter The proposed rule change is IEX Letter and failed to address any of came from an operator of a single immediately effective upon filing with the new information in the Fifth equities market (equities market the Commission pursuant to Section Proposed Rule Change concerning the structure and resulting network 19(b)(3)(A) of the Act. Exchange’s revenue figures, cost demands are fundamentally different The Exchange currently offers various allocation or that the Proposed Fee from those in the options markets),37 bandwidth alternatives for connectivity Increases did not result in excessive which operator also has a to the Exchange, to its primary and fundamentally different business model secondary facilities, consisting of a 1Gb 29 See SR–MIAX–2019–23. (and agenda) than does the Exchange. fiber connection, a 10Gb fiber 30 See Securities Exchange Act Release No. 86342 That letter—the Third IEX Letter— connection, and a 10Gb ULL fiber (July 10, 2019), 84 FR 34012 (July 16, 2019) (SR– connection. The 10Gb ULL offering uses MIAX–2019–31) (the ‘‘Fifth Proposed Rule called for, among other things, the Exchange to explain its basis for an ultra-low latency switch, which Change’’). provides faster processing of messages 31 Id. concluding that it incurred substantially 32 See Letter from John Ramsay, Chief Market higher costs to provide lower-latency sent to it in comparison to the switch Policy Officer, IEX, to Vanessa Countryman, Acting used for the other types of connectivity. Secretary, Commission, dated August 8, 2019 33 See SR–MIAX–2019–31. The Exchange currently assesses the (‘‘Third IEX Letter’’); Letter from Tyler Gellasch, 34 following monthly network connectivity Executive Director, Healthy Markets, to Vanessa See Securities Exchange Act Release No. 86836 Countryman, Acting Secretary, Commission, dated (August 30, 2019), 84 FR 46997 (September 6, 2019) fees to both Members and non-Members August 5, 2019 (‘‘Third Healthy Markets Letter’’); (SR–MIAX–2019–38) (the ‘‘Sixth Proposed Rule for connectivity to the Exchange’s and Letter from Theodore R. Lazo, Managing Change’’). primary/secondary facility: (a) $1,100 35 Director and Associate General Counsel and Ellen Id. for the 1Gb connection; (b) $5,500 for Greene, Managing Director Financial Services 36 See supra note 3. Operations, SIFMA, to Vanessa Countryman, Acting 37 See infra pages 17 to 19 (describing the the 10Gb connection; and (c) $8,500 for Secretary, Commission, dated August 5, 2019 differences in equity market structure and options (‘‘Fourth SIFMA Letter’’). market structure). 38 See SR–MIAX–2019–38.

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the 10Gb ULL connection. The open market and a national market Bluefin Trading, and HAP Capital LLC. Exchange also assesses to both Members system, and, in general to protect In addition, of the market makers that and non-Members a monthly per investors and the public interest and is are connected to MIAX, it is the connection network connectivity fee of not designed to permit unfair individual needs of the market maker $500 for each 1Gb connection to the discrimination between customer, that require whether they need one disaster recovery facility and a monthly issuers, brokers and dealers. connection or multiple connections to per connection network connectivity fee The Commission has repeatedly the Exchange. The Exchange has market of $2,500 for each 10Gb connection to expressed its preference for competition maker Members that only purchase one the disaster recovery facility. over regulatory intervention in connection (10Gb or 10Gb ULL) and the The Exchange’s MIAX Express determining prices, products, and Exchange has market maker Members Network Interconnect (‘‘MENI’’) can be services in the securities markets. In that purchase multiple connections. It is configured to provide Members and Regulation NMS, the Commission all driven by the business needs of the non-Members of the Exchange network highlighted the importance of market market maker. Market makers that are connectivity to the trading platforms, forces in determining prices and SRO consolidators that target resting order market data systems, test systems, and revenues and also recognized that flow tend to purchase more connectivity disaster recovery facilities of both the current regulation of the market system than market makers that simply quote Exchange and its affiliate, MIAX ‘‘has been remarkably successful in all symbols on the Exchange. Even PEARL, via a single, shared connection. promoting market competition in its though non-Members purchase and Members and non-Members utilizing broader forms that are most important to resell 10Gb and 10Gb ULL connections the MENI to connect to the trading investors and listed companies.’’ 42 to both Members and non-Members, no platforms, market data systems, test The Exchange believes that its market makers currently connect to the systems and disaster recovery facilities proposal is consistent with Section Exchange indirectly through such of the Exchange and MIAX PEARL via 6(b)(4) of the Act, in that the Proposed resellers. a single, shared connection are assessed Fee Increases are fair, equitable and not The argument that all broker-dealers only one monthly network connectivity unreasonably discriminatory, because are required to connect to all exchanges fee per connection, regardless of the the fees for the connectivity alternatives is not true in the options markets. The trading platforms, market data systems, available on the Exchange, as proposed options markets have evolved test systems, and disaster recovery to be increased, are constrained by differently than the equities markets facilities accessed via such connection. significant competitive forces. The U.S. both in terms of market structure and The Exchange proposes to increase options markets are highly competitive functionality. For example, there are the monthly network connectivity fees (there are currently 16 options markets) many order types that are available in for such connections for both Members and a reliance on competitive markets is the equities markets that are not utilized and non-Members. The network an appropriate means to ensure in the options markets, which relate to connectivity fees for connectivity to the equitable and reasonable prices. mid-point pricing and pegged pricing Exchange’s primary/secondary facility The Exchange acknowledges that which require connection to the SIPs will be increased as follows: (a) From there is no regulatory requirement that and each of the equities exchanges in $1,100 to $1,400 for the 1Gb connection; any market participant connect to the order to properly execute those orders (b) from $5,500 to $6,100 for the 10Gb Exchange, or that any participant in compliance with best execution connection; and (c) from $8,500 to connect at any specific connection obligations. In addition, in the options $9,300 for the 10Gb ULL connection. speed. The rule structure for options markets there is a single SIP (OPRA) The network connectivity fees for exchanges are, in fact, fundamentally versus two SIPs in the equities markets, connectivity to the Exchange’s disaster different from those of equities resulting in fewer hops and thus recovery facility will be increased as exchanges. In particular, options market alleviating the need to connect directly follows: (a) From $500 to $550 for the participants are not forced to connect to to all the options exchanges. 1Gb connection; and (b) from $2,500 to (and purchase market data from) all Additionally, in the options markets, $2,750 for the 10Gb connection. options exchanges, as shown by the number of Members of MIAX as the linkage routing and trade through 2. Statutory Basis compared to the much greater number protection are handled by the The Exchange believes that its of members at other options exchanges exchanges, not by the individual proposal to amend its Fee Schedule is (as further detailed below). Not only members. Thus not connecting to an consistent with Section 6(b) of the Act 39 does MIAX have less than half the options exchange or disconnecting from in general, and furthers the objectives of number of members as certain other an options exchange does not Section 6(b)(4) of the Act 40 in options exchanges, but there are also a potentially subject a broker-dealer to particular, in that it provides for the number of the Exchange’s Members that violate order protection requirements. equitable allocation of reasonable dues, do not connect directly to MIAX. Gone are the days when the retail fees and other charges among Exchange Further, of the number of Members that brokerage firms (the Fidelity’s, the Members and issuers and other persons connect directly to MIAX, many such Schwab’s, the eTrade’s) were members using any facility or system which the Members do not purchase market data of the options exchanges—they are not Exchange operates or controls. The from MIAX. There are a number of large members of MIAX or its affiliates, MIAX Exchange also believes the proposal market makers and broker-dealers that PEARL and MIAX Emerald, they do not furthers the objectives of Section 6(b)(5) are members of other options exchange purchase connectivity to MIAX, and of the Act 41 in that it is designed to but not Members of MIAX. For example, they do not purchase market data from promote just and equitable principles of the following are not Members of MIAX: MIAX. The Exchange recognizes that the trade, to remove impediments to and The D.E. Shaw Group, CTC, XR Trading decision of whether to connect to the perfect the mechanism of a free and LLC, Hardcastle Trading AG, Ronin Exchange is separate and distinct from Capital LLC, Belvedere Trading, LLC, the decision of whether and how to 39 15 U.S.C. 78f(b). trade on the Exchange. The Exchange 40 15 U.S.C. 78f(b)(4). 42 See Securities Exchange Act Release No. 51808 acknowledges that many firms may 41 15 U.S.C. 78f(b)(5). (June 9, 2005), 70 FR 37496 (June 29, 2005). choose to connect to the Exchange, but

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ultimately not trade on it, based on their broker-dealers that have tens of MIAX and MIAX PEARL Members that particular business needs. customers of their own. Some of those connect (14 out of 33) purchase 1Gb To assist prospective Members or eleven (11) customers also purchase connections. The 1Gb direct connection firms considering connecting to MIAX, connectivity directly from MIAX and/or can support the sending of orders and the Exchange provides information MIAX PEARL. Accordingly, indirect the consumption of all market data feed about the Exchange’s available connectivity is a viable alternative that products, other than the top-of-market connectivity alternatives in a is already being used by non-Members data feed product or depth data feed Connectivity Guide, which contains of MIAX, constraining the price that product (which require a 10Gb detailed specifications regarding, among MIAX is able to charge for connectivity connection). The 1Gb direct connection other things, throughput and latency for to its Exchange. is generally purchased by market each available connection.43 The The Exchange 44 and MIAX PEARL 45 participants that utilize less bandwidth decision of which type of connectivity are comprised of 41 distinct Members and also generally do not require the to purchase, or whether to purchase between the two exchanges, excluding high touch network support services connectivity at all for a particular any additional affiliates of such provided by the Exchange. Accordingly, exchange, is based on the business Members that are also Members of these connections consume the least needs of the firm. For example, if the MIAX, MIAX PEARL, or both. Of those resources of the Exchange and are the firm wants to receive the top-of-market 41 distinct Members, 33 Members have least costly to the Exchange to provide. data feed product or depth data feed purchased the 1Gb, 10Gb, 10Gb ULL The market participants that purchase product, due to the amount/size of data connections or some combination of 10Gb ULL direct connections utilize the contained in those feeds, such firm multiple various connections. most bandwidth and also generally do would need to purchase either the 10Gb Furthermore, every Member who has require the high touch network support or 10Gb ULL connection. The 1Gb purchased at least one connection also services provided by the Exchange. connection is too small to support those trades on the Exchange, MIAX PEARL, Accordingly, these connections data feed products. MIAX notes that or both. The 8 remaining Members who consume the most resources of the there are twelve (12) Members that only have not purchased any connectivity to Exchange and are the most costly to the purchase the 1Gb connectivity the Exchange are still able to trade on Exchange to provide. Accordingly, the alternative. Thus, while there is a the Exchange indirectly through other Exchange believes the allocation of the meaningful percentage of purchasers of Members or non-Member service Proposed Fee Increases ($9,300 for a only 1Gb connections (12 of 33), by bureaus that are connected. These 8 10Gb ULL connection versus $1,400 for definition, those twelve (12) members Members who have not purchased a 1Gb connection) are reasonable based purchase connectivity that cannot connectivity are not forced or compelled on the resources consumed by the support the top-of-market data feed to purchase connectivity, and they respective type of connection—lowest product or depth data feed product and retain all of the other benefits of resource consuming members pay the thus they do not purchase such data Membership with the Exchange. least, and highest resource consuming feed products. Accordingly, purchasing Accordingly, Members have the choice members pays the most, particularly market data is a business decision/ to purchase connectivity and are not since higher resource consumption choice, and thus the pricing for it is compelled to do so in any way. translates directly to higher costs to the constrained by competition. The Exchange believes that the Exchange. The 10Gb ULL connection There is competition for connectivity Proposed Fee Increases are fair, offers optimized connectivity for latency to MIAX and its affiliates. MIAX equitable and not unreasonably sensitive participants and is competes with nine (9) non-Members discriminatory because the connectivity approximately single digit microseconds who resell MIAX connectivity. These pricing is directly related to the relative faster in round trip time for connection are resellers of MIAX connectivity— costs to the Exchange to provide those oriented traffic to the Exchange than the they are not arrangements between respective services, and does not impose 10Gb connection. This lower latency is broker-dealers to share connectivity a barrier to entry to smaller participants. achieved through more advanced costs. Those non-Members resell that Accordingly, the Exchange offers three network equipment, such as advanced connectivity to multiple market direct connectivity alternatives and hardware and switching components, participants over that same connection, various indirect connectivity (via third- which translates to increased costs to including both Members and non- party) alternatives, as described above. the Exchange. Market participants that Members of MIAX (typically extranets MIAX recognizes that there are various are less latency sensitive can purchase and service bureaus). When business models and varying sizes of 10Gb direct connections and quote in all connectivity is re-sold by a third-party, market participants conducting business products on the Exchange and consume MIAX does not receive any connectivity on the Exchange. The 1Gb direct all market data feeds, and such 10Gb revenue from that sale. It is entirely connectivity alternative is 1/10th the direct connections are priced lower than between the third-party and the size of the 10Gb direct connectivity the 10Gb ULL direct connections, purchaser, thus constraining the ability alternative. Because it is 1/10th of the offering smaller sized market makers a of MIAX to set its connectivity pricing size, it does not offer access to many of lower cost alternative. 10Gb connections as indirect connectivity is a substitute the products and services offered by the are less costly to provide than 10Gb ULL for direct connectivity. There are Exchange, such as the ability to quote or connections, which require greater currently nine (9) non-Members that receive certain market data products. network support services. purchase connectivity to MIAX and/or Approximately just less than half of With respect to options trading, the MIAX PEARL. Those non-Members Exchange had only a 3.87% market resell that connectivity to eleven (11) 44 The Exchange has 38 distinct Members, share of the U.S. options industry in excluding affiliated entities. See MIAX Exchange September 2019 in Equity/Exchange customers, some of whom are agency Member Directory, available at https:// www.miaxoptions.com/exchange-members. Traded Fund (‘‘ETF’’) classes according 46 43 See the MIAX Connectivity Guide at https:// 45 MIAX PEARL has 36 distinct Members, to the OCC. For September 2019, the www.miaxoptions.com/sites/default/files/page- excluding affiliated entities. See MIAX PEARL files/MIAX_Connectivity_Guide_v3.6_ Exchange Member Directory, available at https:// 46 See Exchange Market Share of Equity 01142019.pdf. www.miaxoptions.com/exchange-members/pearl. Products—2019, The Options Clearing Corporation,

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Exchange’s affiliate, MIAX PEARL, had the Exchange indirectly through another needs associated with their business only a 5.30% market share of the U.S. market participant. To illustrate, the model. After the fee increase, beginning options industry in Equity/ETF classes Exchange has only 45 Members August 1, 2018, the same number of according to the OCC.47 For September (including all such Members’ affiliate Members purchased the same number of 2019, the Exchange’s affiliate, MIAX Members). However, Cboe Exchange, connections.54 Furthermore, the total Emerald, had only a 0.81% market share Inc. (‘‘Cboe’’) has over 200 members,50 number of connections did not decrease of the U.S. options industry in Equity/ Nasdaq ISE, LLC has approximately 100 from July to August 2018, and in fact ETF classes according to the OCC.48 The members,51 and NYSE American LLC one Member even purchased two (2) Exchange is not aware of any evidence has over 80 members.52 If all market additional 10Gb ULL connections in that a combined market share of less participants were required to be August 2018, after the fee increase. than 10% provides the Exchange with Members of the Exchange and connect Also, in July 2018, four (4) non- anti-competitive pricing power. This, in directly to the Exchange, the Exchange Members purchased 1Gb connections, addition to the fact that not all broker- would have over 200 Members, in line two (2) non-Members purchased 10Gb dealers are required to connect to all with Cboe’s total membership. But it connections, and one (1) non-Member options exchanges, supports the does not. The Exchange only has 45 purchased 10Gb ULL connections. After Exchange’s conclusion that its pricing is Members (inclusive of Members’ the fee increase, beginning August 1, constrained by competition. affiliates). 2018, the same non-Members purchased Separately, the Exchange is not aware The Exchange finds it compelling that the same number of connections across of any reason why market participants all of the Exchange’s existing Members all available alternatives and two (2) could not simply drop their connections continued to purchase the Exchange’s additional non-Members purchased and cease being Members of the connectivity services during the period three (3) more connections after the fee Exchange if the Exchange were to for which the Proposed Fee Increases increase. These non-Members freely establish unreasonable and took effect in August 2018, particularly purchased their connectivity with the uncompetitive price increases for its in light of the R2G disconnection Exchange in order to offer trading connectivity alternatives. Market 53 example cited above. In particular, the services to other firms and customers, as participants choose to connect to a Exchange believes that the Proposed Fee well as access to the market data particular exchange and because it is a Increases are reasonable because the services that their connections to the choice, MIAX must set reasonable Exchange did not lose any Members (or Exchange provide them, but they are not connectivity pricing, otherwise the number of connections each prospective members would not connect required or compelled to purchase any Member purchased) or non-Member of the Exchange’s connectivity options. and existing members would disconnect connections due to the Exchange or connect through a third-party reseller MIAX did not experience any noticeable increasing its connectivity fees through change (increase or decrease) in order of connectivity. No options market the First Proposed Rule Change, which participant is required by rule, flow sent by its market participants as fee increase became effective August 1, a result of the fee increase. regulation, or competitive forces to be a 2018. For example, in July 2018, Member of the Exchange. As evidence of Of those Members and non-Members fourteen (14) Members purchased 1Gb that bought multiple connections, no the fact that market participants can and connections, ten (10) Members do disconnect from exchanges based on firm dropped any connections purchased 10Gb connections, and beginning August 1, 2018, when the connectivity pricing, see the R2G fifteen (15) Members purchased 10Gb Services LLC (‘‘R2G’’) letter based on Exchange increased its fees. Nor did the ULL connections. (The Exchange notes BOX’s proposed rule changes to Exchange lose any Members. that 1Gb connections are purchased increase its connectivity fees (SR–BOX– Furthermore, the Exchange did not primarily by EEM Members; 10Gb ULL 2018–24, SR–BOX–2018–37, and SR– receive any comment letters or official connections are purchased primarily by BOX–2019–04).49 The R2G Letter stated, complaints from any Member or non- higher volume Market Makers quoting ‘‘[w]hen BOX instituted a $10,000/ Member purchaser of connectivity all products across both MIAX and month price increase for connectivity; regarding the increased fees regarding MIAX PEARL; and 10Gb connections we had no choice but to terminate how the fee increase was unreasonable, are purchased by higher volume EEMs connectivity into them as well as unduly burdensome, or would and lower volume Market Makers.) The terminate our market data relationship. negatively impact their competitiveness The cost benefit analysis just didn’t vast majority of those Members amongst other market participants. make any sense for us at those new purchased multiple such connections These facts, coupled with the discussion levels.’’ Accordingly, this example with the actual number of connections above, showing that it is not necessary shows that if an exchange sets too high depending on the Member’s throughput to join and/or connect to all options of a fee for connectivity and/or market requirements based on the volume of exchanges and market participants can data services for its relevant their quote/order traffic and market data disconnect if pricing is set too high (the marketplace, market participants can R2G example),55 demonstrate that the 50 See Form 1/A, filed August 30, 2018 (https:// choose to disconnect from the exchange. www.sec.gov/Archives/edgar/vprr/1800/ Exchange’s fees are constrained by Several market participants choose 18002831.pdf); Form 1/A, filed August 30, 2018 competition and are reasonable and not not to be Members of the Exchange and (https://www.sec.gov/Archives/edgar/vprr/1800/ contrary to the Law of Demand. choose not to access the Exchange, and 18002833.pdf); Form 1/A, filed July 24, 2018 Therefore, the Exchange believes that (https://www.sec.gov/Archives/edgar/vprr/1800/ several market participants also access 18002781.pdf); Form 1/A, filed August 30, 2018 the Proposed Fee Increases are fair, (https://www.sec.gov/Archives/edgar/data/ available at https://www.theocc.com/webapps/ 1473845/999999999718007832/9999999997-18- 54 The Exchange notes that one Member exchange-volume. 007832-index.htm). downgraded one connection in July of 2018, 47 Id. 51 See Form 1/A, filed July 1, 2016 (https:// however such downgrade was done well ahead of 48 Id. www.sec.gov/Archives/edgar/vprr/1601/ notice of the Proposed Fee Increase and was the 49 See Letter from Stefano Durdic, R2G, to 16019243.pdf). result of a change to the Member’s business Vanessa Countryman, Acting Secretary, 52 See https://www.nyse.com/markets/american- operation that was completely independent of, and Commission, dated March 27, 2019 (the ‘‘R2G options/membership#directory. unrelated to, the Proposed Fee Increases. Letter’’). 53 See supra note 49. 55 See supra note 49.

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equitable, and non-discriminatory, as are not 4 to 6 times more than the 1Gb and quantified below. The Exchange the fees are competitive. connection. Rather, it is the associated believes that it is reasonable and The Exchange believes that the premium-product level network appropriate to increase its fees charged Proposed Fee Increases are equitably monitoring, reporting, and support for use of its connectivity to partially allocated among Members and non- services costs that accompany a 10Gb/ offset the increased costs the Exchange Members, as evidenced by the fact that 10Gb ULL connection which cause it to incurred during this time associated the fee increases are allocated across all be 4 to 6 times more costly to provide with maintaining and enhancing a state- connectivity alternatives according to than the 1Gb connection. As discussed of-the-art exchange network the Exchange’s costs to provide such above, the Exchange differentiates itself infrastructure in the U.S. options alternatives, and there is not a by offering a ‘‘premium-product’’ industry. disproportionate number of Members network experience, as an operator of a In particular, the Exchange’s purchasing any alternative—fourteen high performance, ultra-low latency increased costs associated with (14) Members purchased 1Gb network with unparalleled system supporting its network are due to connections, ten (10) Members throughput, which network can support several factors, including increased purchased 10Gb connections, fifteen access to three distinct options markets costs associated with maintaining and (15) Members purchased 10Gb ULL and multiple competing market-makers expanding a team of highly-skilled connections, four (4) non-Members having affirmative obligations to network engineers (the Exchange also purchased 1Gb connections, two (2) continuously quote over 750,000 hired additional network engineering non-Members purchased 10Gb distinct trading products (per exchange), staff in 2017 and 2018), increasing fees connections, and one (1) non-Member and the capacity to handle charged by the Exchange’s third-party purchased 10Gb ULL connections. The approximately 38 million quote data center operator, and costs Exchange recognizes that the relative fee messages per second. The ‘‘premium- associated with projects and initiatives increases are 27% for the 1Gb product’’ network experience enables designed to improve overall network connection, 10.9% for the 10Gb users of 10Gb and 10Gb ULL performance and stability, through the connection, and 9.4% for the 10Gb ULL connections to receive the network Exchange’s R&D efforts. connection, but the Exchange believes monitoring and reporting services for In order to provide more detail and to that percentage increase differentiation those approximately 750,000 distinct quantify the Exchange’s increased costs, is appropriate, given the actual costs to trading products. There is a significant, the Exchange notes that increased costs the Exchange to provide network quantifiable amount of research and are associated with the infrastructure connectivity and the respective development (‘‘R&D’’) effort, employee and increased headcount to fully- connection options, including the costs compensation and benefits expense, and support the advances in infrastructure associated with providing the different other expense associated with providing and expansion of network level services, levels of service associated with the the high touch network monitoring and including customer monitoring, alerting respective connections. reporting services that are utilized by and reporting. Additional technology Further, the Exchange believes that the 10Gb and 10Gb ULL connections expenses were incurred related to the fees are equitably allocated as the offered by the Exchange. These value expanding its Information Security users of the higher bandwidth add services are fully-discussed herein, services, enhanced network monitoring connections consume the most and the actual costs associated with and customer reporting, as well as resources of the Exchange. Also, these providing these services are the basis for Regulation SCI mandated processes firms account for the vast majority of the the differentiated amount of the fees for associated with network technology. All Exchange’s trading volume. The the various connectivity alternatives. of these additional expenses have been purchasers of the 10Gb ULL The Exchange believes that its incurred by the Exchange since it last connectivity account for approximately proposal is consistent with Section increased its connectivity fees on 75% of the volume on the Exchange. For 6(b)(4) of the Act because the Proposed January 1, 2017. example, for all of September 2019, Fee Increases will permit recovery of the Additionally, while some of the approximately 4.8 million contracts of Exchange’s costs and will not result in expense is fixed, much of the expense the 6.4 million contracts executed were excessive pricing or supra-competitive is not fixed, and thus increases as the done by the top market making firms on profit. The Proposed Fee Increases will number of connections increase. For the Exchange in simple (non-complex) allow the Exchange to recover a portion example, new 1Gb, 10Gb, and 10Gb ULL volume. The Exchange further believes (less than all) of the increased costs connections require the purchase of that the fees are equitably allocated, as incurred by the Exchange associated additional hardware to support those the amount of the fees for the various with providing and maintaining the connections as well as enhanced connectivity alternatives are directly necessary hardware and other network monitoring and reporting of customer related to the actual costs associated infrastructure as well as network performance that MIAX and its affiliates with providing the respective monitoring and support services in provide. And 10Gb ULL connections connectivity alternatives. That is, the order to provide the network require the purchase of specialized, cost to the Exchange of providing a 1Gb connectivity services, since it last filed more costly hardware. Further, as the network connection is significantly to increase its connectivity fees in total number of all connections increase, lower than the cost to the Exchange of December 2016, which became effective MIAX and its affiliates need to increase providing a 10Gb or 10Gb ULL network on January 1, 2017.56 Put simply, the their data center footprint and consume connection. Pursuant to its extensive costs of the Exchange to provide these more power, resulting in increased costs cost review described above, the services have increased considerably charged by their third-party data center Exchange believes that the average cost over this time, as more fully-detailed provider. Accordingly, the cost to MIAX to provide a 10Gb/10Gb ULL network and its affiliates is not entirely fixed. connection is approximately 4 to 6 56 See Securities Exchange Act Release No. 79666 Just the initial fixed cost buildout of the times more than the average cost to (December 22, 2016), 81 FR 96133 (December 29, network infrastructure of MIAX and its provide a 1Gb connection. The simple 2016) (SR–MIAX–2016–47) (Notice of Filing and affiliates, including both primary/ Immediate Effectiveness of a Proposed Rule Change hardware and software component costs To Amend Its Fee Schedule To Modify the secondary sites and disaster recovery, alone of a 10Gb/10Gb ULL connection Exchange’s Connectivity Fees). was over $30 million. These costs have

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increased over 10% since the last time exchange operators own and operate network’s hardware infrastructure. As the Exchange increased its connectivity their data centers, which offers them an example, in the last year, the fees on January 1, 2017. As these greater control over their data center Exchange’s R&D efforts resulted in a network connectivity-related expenses costs. Because those exchanges own and performance improvement, requiring increase, MIAX and its affiliates look to operate their data centers as profit the purchase of new equipment to offset those costs through increased centers, the Exchange is subject to support that improvement, and thus connectivity fees. additional costs. As a result, the resulting in increased costs in the A more detailed breakdown of the Exchange is subject to fee increases from hundreds of thousands of dollars range. expense increases since January 1, 2017 its data center provider, which the In sum, the costs associated with include an approximate 70% increase in Exchange experienced in 2017 and 2018 maintaining and enhancing a state-of- technology-related personnel costs in of approximately 10%, as cited above. the-art exchange network in the U.S. infrastructure, due to expansion of Connectivity fees, which are charged for options industry is a significant expense services/support (increase of accessing the Exchange’s data center for the Exchange that continues to approximately $800,000); an network infrastructure, are directly increase, and thus the Exchange approximate 10% increase in data related to the network and offset such believes that it is reasonable to offset a center costs due to price increases and costs. portion of those increased costs by footprint expansion (increase of Further, the Exchange invests increasing its network connectivity fees, approximately $500,000); an significant resources in network R&D, which are designed to recover those approximate 5% increase in vendor- which are not included in direct costs, as proposed herein. The Exchange supplied dark fiber due to price expenses to improve the overall invests in and offers a superior network increases and expanded capabilities performance and stability of its network. infrastructure as part of its overall (increase of approximately $25,000); For example, the Exchange has a options exchange services offering, and a 30% increase in market data number of network monitoring tools resulting in significant costs associated connectivity fees (increase of (some of which were developed in- with maintaining this network approximately $200,000). Of note, house, and some of which are licensed infrastructure, which are directly tied to regarding market data connectivity fee from third-parties), that continually the amount of the connectivity fees that increased cost, this is the cost associated monitor, detect, and report network must be charged to access it, in order to with the Exchange consuming performance, many of which serve as recover those costs. As detailed in the connectivity/content from the equities significant value-adds to the Exchange’s Exchange’s 2018 Audited markets in order to operate the Members and enable the Exchange to Unconsolidated Financial Statements, Exchange, causing the Exchange to provide a high level of customer service. the Exchange only has four primary effectively pay its competitors for this These tools detect and report sources of revenue: Transaction fees, connectivity. While the Exchange and performance issues, and thus enable the access fees (of which network MIAX PEARL have incurred a total Exchange to proactively notify a connectivity constitutes the majority), increase in connectivity expenses since Member (and the SIPs) when the regulatory fees, and market data fees. January 2017 (the last time connectivity Exchange detects a problem with a Accordingly, the Exchange must cover fees were raised) of approximately $1.5 Member’s connectivity. In fact, the all of its expenses from these four million per year (as described above), Exchange often receives calls from other primary sources of revenue. the total increase in connectivity industry participants regarding the revenue amount as a result of the status of networking issues outside of The Proposed Fee Increases are fair Proposed Fee Increases is projected to the Exchange’s own network and reasonable because they will not be approximately $1.2 million per year environment that are impacting the result in excessive pricing or supra- for MIAX and MIAX PEARL. industry as a whole via the SIPs, competitive profit, when comparing the Accordingly, the total projected MIAX including calls from regulators, because total annual expense of MIAX and and MIAX PEARL connectivity revenue the Exchange has a superior, state-of MIAX PEARL associated with providing as a result of the proposed increase, on the-art network that, through its network connectivity services versus the an annualized basis, is less than the enhanced monitoring and reporting total projected annual revenue of both total annual actual MIAX and MIAX solutions, often detects and identifies exchanges collected for providing PEARL connectivity expense. industry-wide networking issues ahead network connectivity services. For 2018, Accordingly, the Proposed Fee Increases of the SIPs. The costs associated with the total annual expense associated with are fair and reasonable because they will the maintenance and improvement of providing network connectivity services not result in excessive pricing or supra- existing tools and the development of (that is, the shared network connectivity competitive profit, when comparing the new tools resulted in significant of MIAX and MIAX PEARL, but increase in actual costs to the Exchange increased cost to the Exchange since excluding MIAX Emerald) was (since January 2017) versus the January 1, 2017 and are loss leaders for approximately $19.3 million. The $19.3 projected increase in annual revenue. the Exchange to provide these added million in total annual expense is The Exchange also incurred benefits for Members and non-Members. comprised of the following, all of which additional significant capital Certain recently developed network is directly related to the provision of expenditures over this same period to aggregation and monitoring tools network connectivity services by MIAX upgrade and enhance the underlying provide the Exchange with the ability to and MIAX PEARL to their respective technology components, as more fully- measure network traffic with a much Members and non-Members: (1) Third- detailed below. more granular level of variability. This party expense, relating to fees paid by Further, because the costs of operating is important as Exchange Members MIAX and MIAX PEARL to third-parties a data center are significant and not demand a higher level of network for certain products and services; and economically feasible for the Exchange, determinism and the ability to measure (2) internal expense, relating to the the Exchange does not operate its own variability in terms of single digit internal costs of MIAX and MIAX data centers, and instead contracts with nanoseconds. Also, the Exchange PEARL to provide the network a third-party data center provider. The routinely conducts R&D projects to connectivity services. All such expenses Exchange notes that larger, dominant improve the performance of the are more fully-described below, and are

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mapped to the MIAX and MIAX PEARL solutions to an intentionally delayed MIAX and MIAX PEARL do not allocate 2018 Statements of Operations and trading platform—quite the opposite their entire information technology and Member’s Deficit (the ‘‘2018 Financial from the Exchange. Thus, there is no communication costs to the provision of Statements’’). The $19.3 million in total relevant comparison between IEX network connectivity services. annual expense is directly related to the network connectivity costs and the For 2018, total internal expense, provision of network connectivity Exchange’s network connectivity costs, relating to the internal costs of MIAX services and not any other product or and IEX’s attempt to do so in the Third and MIAX PEARL to provide the service offered by the Exchange. It does IEX Letter is ill-informed and self- network connectivity services, was not, as the Third IEX Letter baselessly serving.57 $14,271,870. This includes, but is not claims, include general costs of For 2018, total third-party expense, limited to, costs associated with: (1) operating matching systems and other relating to fees paid by MIAX and MIAX Employee compensation and benefits trading technology. (And as stated PEARL to third-parties for certain for full-time employees that support previously, no expense amount was products and services for the Exchange network connectivity services, allocated twice.) As discussed, the to be able to provide network including staff in network operations, Exchange conducted an extensive cost connectivity services, was $5,052,346. trading operations, development, system review in which the Exchange analyzed This includes, but is not limited to, a operations, business, etc., as well as every expense item in the Exchange’s portion of the fees paid to: (1) Equinix, staff in general corporate departments general expense ledger (this includes for data center services, for the primary, (such as legal, regulatory, and finance) over 150 separate and distinct expense secondary, and disaster recovery that support those employees and items) to determine whether each such locations of the MIAX and MIAX functions; (2) depreciation and expense relates to the provision of PEARL trading system infrastructure; (2) amortization of hardware and software network connectivity services, and, if Zayo Group Holdings, Inc. (‘‘Zayo’’) for used to provide network connectivity such expense did so relate, what portion connectivity services (fiber and services, including equipment, servers, (or percentage) of such expense actually bandwidth connectivity) linking MIAX cabling, purchased software and supports the provision of network and MIAX PEARL office locations in internally developed software used in connectivity services, and thus bears a Princeton, NJ and Miami, FL to all data the production environment to support relationship that is, ‘‘in nature and center locations; (3) Secure Financial the provision of network connectivity closeness,’’ directly related to network Transaction Infrastructure (‘‘SFTI’’),58 for trading; and (3) occupancy costs for connectivity services. The sum of all which supports connectivity and feeds leased office space for staff that support such portions of expenses represents the for the entire U.S. options industry; (4) the provision of network connectivity total actual baseline cost of the various other services providers services. The breakdown of these costs Exchange to provide network (including Thompson Reuters, NYSE, is more fully-described below. All of the internal expenses described connectivity services. Nasdaq, and Internap), which provide above are contained in the following As discussed above, the Exchange content, connectivity services, and infrastructure services for critical line items under the section titled differentiates itself by offering a ‘‘Operating Expenses Incurred Directly ‘‘premium-product’’ network components of options connectivity; and (5) various other hardware and or Allocated From Parent’’ in the 2018 experience, as an operator of a high Financial Statements: (1) Employee performance, ultra-low latency network software providers (including Dell and Cisco, which support the production compensation and benefits; (2) with unparalleled system throughput, Depreciation and amortization; and (3) which network can support access to environment in which Members and non-Members connect to the network to Occupancy costs. For clarity, only a three distinct options markets and portion of all such internal expenses are multiple competing market-makers trade, receive market data, etc.). All of the third-party expense included in the internal expense herein having affirmative obligations to (only the portion that supports the continuously quote over 750,000 described above is contained in the information technology and provision of network connectivity distinct trading products (per exchange), services), and no expense amount is and the capacity to handle communication costs line item under the section titled ‘‘Operating Expenses allocated twice. Accordingly, MIAX and approximately 38 million quote MIAX PEARL do not allocate their messages per second. The ‘‘premium- Incurred Directly or Allocated From Parent’’ of the 2018 Financial entire costs contained in those line product’’ network experience enables items to the provision of network users of 10Gb and 10Gb ULL Statements. For clarity, only a portion of all fees paid to such third-parties is connectivity services. connections to receive the network MIAX’s and MIAX PEARL’s employee included in the third-party expense monitoring and reporting services for compensation and benefits expense herein (only the portion that actually those approximately 750,000 distinct relating to providing network supports the provision of network trading products. Thus, the Exchange is connectivity services was $5,264,151, connectivity services and no expense acutely aware of and can isolate the which is only a portion of the amount is allocated twice). Accordingly, actual costs associated with providing $11,997,098 (for MIAX) and $8,545,540 such a service to its customers, a (for MIAX PEARL) total expense for 57 See Third IEX Letter, pg. 5. significant portion of which relates to 58 In fact, on October 22, 2019, the Exchange was employee compensation and benefits the premium, value-add customer notified by SFTI that it is again raising its fees that is stated in the 2018 Financial network monitoring and support charged to the Exchange by approximately 11%, Statements. MIAX’s and MIAX PEARL’s services that accompany the service, as without having to show that such fee change depreciation and amortization expense complies with the Act by being reasonable, fully-described above. IEX, on the other equitably allocated, and not unfairly relating to providing network hand, does not offer such a network, discriminatory. It is unfathomable to the Exchange connectivity services was $8,269,048, and thus has no legal basis to offer a that, given the critical nature of the infrastructure which is only a portion of the qualified opinion on the Exchange’s services provided by SFTI, that its fees are not $6,179,506 (for MIAX) and $4,783,245 required to be rule-filed with the Commission costs associated with operating such a pursuant to Section 19(b)(1) of the Act and Rule (for MIAX PEARL) total expense for network. In fact, IEX differentiates itself 19b–4 thereunder. See 15 U.S.C. 78s(b)(1) and 17 depreciation and amortization that is as a provider of low cost connectivity CFR 240.19b–4, respectively. stated in the 2018 Financial Statements.

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MIAX’s and MIAX PEARL’s combined such similar connectivity to primary utilize the most bandwidth, and those occupancy expense relating to providing and secondary facilities.60 While are the participants that consume the network connectivity services was MIAX’s proposed connectivity fees are most resources from the network. $738,669, which is only a portion of the substantially lower than the fees Accordingly, the Proposed Fee Increases $945,431 (for MIAX) and $581,783 (for charged by Phlx, ISE, Arca and NYSE do not favor certain categories of market MIAX PEARL) total expense for American, MIAX believes that it offers participants in a manner that would occupancy that is stated in the 2018 significant value to Members over other impose a burden on competition; rather, Financial Statements. exchanges in terms of network the allocation of the Proposed Fee Accordingly, the total projected MIAX monitoring and reporting, which MIAX Increases reflects the network resources and MIAX PEARL combined revenue for believes is a competitive advantage, and consumed by the various size of market providing network connectivity differentiates its connectivity versus participants—lowest bandwidth services, reflective of the proposed connectivity to other exchanges. consuming members pay the least, and increase, on an annualized basis, of Additionally, the Exchange’s proposed highest bandwidth consuming members $14.5 million, is less than total annual connectivity fees to its disaster recovery pays the most, particularly since higher actual MIAX and MIAX PEARL facility are within the range of the fees bandwidth consumption translates to combined expense for providing charged by other exchanges for similar network connectivity services during connectivity alternatives.61 higher costs to the Exchange. 2018 of approximately $19.3 million. B. Self-Regulatory Organization’s Inter-Market Competition MIAX and MIAX PEARL project Statement on Burden on Competition comparable combined expenses for The Exchange believes the Proposed providing network connectivity services The Exchange does not believe that Fee Increases do not place an undue for 2019, as compared to 2018. the proposed rule change will impose burden on competition on other SROs For the avoidance of doubt, none of any burden on competition not that is not necessary or appropriate. In the expenses included herein relating to necessary or appropriate in furtherance particular, options market participants the provision of network connectivity of the purposes of the Act. are not forced to connect to (and services relate to the provision of any Intra-Market Competition purchase market data from) all options other services offered by MIAX and The Exchange does not believe that exchanges, as shown by the number of MIAX PEARL. Stated differently, no Members of MIAX as compared to the expense amount of the Exchange is the proposed rule change would place certain market participants at the much greater number of members at allocated twice. other options exchanges (as described Accordingly, the Proposed Fee Exchange at a relative disadvantage compared to other market participants above). Not only does MIAX have less Increases are fair and reasonable than half the number of members as because they do not result in excessive or affect the ability of such market participants to compete. In particular, certain other options exchanges, but pricing or supra-competitive profit, there are also a number of the when comparing the actual network the Exchange has received no official Exchange’s Members that do not connectivity costs to the Exchange complaints from Members, non- connect directly to MIAX. There are a versus the projected network Members (extranets and service number of large market makers and connectivity annual revenue, including bureaus), third-parties that purchase the broker-dealers that are members of other the increased amount. Additional Exchange’s connectivity and resell it, and customers of those resellers, that options exchange but not Members of information on overall revenue and the Exchange’s fees or the Proposed Fee expense of the Exchange can be found MIAX. Additionally, other exchanges Increases are negatively impacting or in the Exchange’s 2018 Financial have similar connectivity alternatives would negatively impact their abilities Statements. for their participants, including similar The Exchange notes that other to compete with other market low-latency connectivity, but with exchanges have similar connectivity participants or that they are placed at a much higher rates to connect.62 The alternatives for their participants, disadvantage. Exchange is also unaware of any The Exchange believes that the including similar low-latency assertion that its existing fee levels or Proposed Fee Increases do not place connectivity. For example, Nasdaq the Proposed Fee Increases would certain market participants at a relative PHLX LLC (‘‘Phlx’’), NYSE Arca, Inc. somehow unduly impair its competition disadvantage to other market with other options exchanges. To the (‘‘Arca’’), NYSE American LLC (‘‘NYSE participants because the connectivity American’’) and Nasdaq ISE, LLC contrary, if the fees charged are deemed pricing is associated with relative usage too high by market participants, they (‘‘ISE’’) all offer a 1Gb, 10Gb and 10Gb of the various market participants and can simply disconnect. low latency ethernet connectivity does not impose a barrier to entry to alternatives to each of their While the Exchange recognizes the 59 smaller participants. As described participants. The Exchange further above, the less expensive 1Gb direct distinction between connecting to an notes that Phlx, ISE, Arca and NYSE connection is generally purchased by exchange and trading at the exchange, American each charge higher rates for market participants that utilize less the Exchange notes that it operates in a bandwidth. The market participants that highly competitive options market in 59 See Phlx and ISE Rules, General Equity and which market participants can readily Options Rules, General 8, Section 1(b). Phlx and ISE purchase 10Gb ULL direct connections each charge a monthly fee of $2,500 for each 1Gb connect and trade with venues they connection, $10,000 for each 10Gb connection and 60 Id. desire. In such an environment, the $15,000 for each 10Gb Ultra connection, which the 61 See Nasdaq ISE, Options Rules, Options 7, Exchange must continually adjust its equivalent of the Exchange’s 10Gb ULL connection. Pricing Schedule, Section 11.D. (charging $3,000 for See also NYSE American Fee Schedule, Section disaster recovery testing & relocation services); see fees to remain competitive with other V.B, and Arca Fees and Charges, Co-Location Fees. also Cboe Exchange, Inc. (‘‘Cboe’’) Fees Schedule, exchanges. The Exchange believes that NYSE American and Arca each charge a monthly p. 14, Cboe Command Connectivity Charges the proposed changes reflect this fee of $5,000 for each 1Gb circuit, $14,000 for each (charging a monthly fee of $2,000 for a 1Gb disaster competitive environment. 10Gb circuit and $22,000 for each 10Gb LX circuit, recovery network access port and a monthly fee of which the equivalent of the Exchange’s 10Gb ULL $6,000 for a 10Gb disaster recovery network access connection. port). 62 See supra note 59.

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C. Self-Regulatory Organization’s proposed rule change between the I. Self-Regulatory Organization’s Statement on Comments on the Commission and any person, other than Statement of the Terms of the Substance Proposed Rule Change Received From those that may be withheld from the of the Proposed Rule Change Members, Participants, or Others public in accordance with the Cboe EDGX Exchange, Inc. (the provisions of 5 U.S.C. 552, will be Written comments were neither ‘‘Exchange’’ or ‘‘EDGX’’) proposes to available for website viewing and solicited nor received. adopt Rule 21.23. The text of the printing in the Commission’s Public proposed rule change is provided in III. Date of Effectiveness of the Reference Room, 100 F Street NE, Proposed Rule Change and Timing for Exhibit 5. Washington, DC 20549, on official Commission Action The text of the proposed rule change business days between the hours of is also available on the Exchange’s The foregoing rule change has become 10:00 a.m. and 3:00 p.m. Copies of the website (http://markets.cboe.com/us/ effective pursuant to Section filing also will be available for 63 options/regulation/rule_filings/edgx/), 19(b)(3)(A)(ii) of the Act, and Rule inspection and copying at the principal 64 at the Exchange’s Office of the 19b–4(f)(2) thereunder. At any time office of the Exchange. All comments within 60 days of the filing of the Secretary, and at the Commission’s received will be posted without change. Public Reference Room. proposed rule change, the Commission Persons submitting comments are summarily may temporarily suspend cautioned that we do not redact or edit II. Self-Regulatory Organization’s such rule change if it appears to the personal identifying information from Statement of the Purpose of, and Commission that such action is comment submissions. You should Statutory Basis for, the Proposed Rule necessary or appropriate in the public Change interest, for the protection of investors, submit only information that you wish or otherwise in furtherance of the to make available publicly. All In its filing with the Commission, the purposes of the Act. If the Commission submissions should refer to File Exchange included statements takes such action, the Commission shall Number SR–MIAX–2019–46 and should concerning the purpose of and basis for institute proceedings to determine be submitted on or before November 27, the proposed rule change and discussed whether the proposed rule should be 2019. any comments it received on the approved or disapproved. For the Commission, by the Division of proposed rule change. The text of these statements may be examined at the IV. Solicitation of Comments Trading and Markets, pursuant to delegated authority.65 places specified in Item IV below. The Interested persons are invited to Jill M. Peterson, Exchange has prepared summaries, set submit written data, views, and forth in sections A, B, and C below, of arguments concerning the foregoing, Assistant Secretary. the most significant aspects of such including whether the proposed rule [FR Doc. 2019–24184 Filed 11–5–19; 8:45 am] statements. change is consistent with the Act. BILLING CODE 8011–01–P Comments may be submitted by any of A. Self-Regulatory Organization’s the following methods: Statement of the Purpose of, and SECURITIES AND EXCHANGE Statutory Basis for, the Proposed Rule Electronic Comments COMMISSION Change • Use the Commission’s internet 1. Purpose comment form (http://www.sec.gov/ [Release No. 34–87435; File No. SR– rules/sro.shtml); or CboeEDGX–2019–064] The proposed rule change permits use • Send an email to rule-comments@ of its Solicitation Auction Mechanism sec.gov. Please include File Number SR– Self-Regulatory Organizations; Cboe (‘‘SAM’’) for complex orders. MIAX–2019–46 on the subject line. EDGX Exchange, Inc.; Notice of Filing Specifically, the proposed rule change Paper Comments of a Proposed Rule Change To Adopt adopts Rule 21.23, which describes how complex orders may be submitted to • Send paper comments in triplicate Rule 21.23 (Complex Solicitation Auction Mechanism) and will be processed in a SAM Auction to Secretary, Securities and Exchange (‘‘C–SAM’’ or ‘‘C–SAM Auction’’). Commission, 100 F Street NE, October 31, 2019. Complex orders will be processed and Washington, DC 20549–1090. executed in a C–SAM Auction pursuant Pursuant to Section 19(b)(1) of the All submissions should refer to File to proposed Rule 21.23 in a similar Securities Exchange Act of 1934 (the Number SR–MIAX–2019–46. This file manner as simple orders are processed ‘‘Act’’),1 and Rule 19b–4 thereunder,2 number should be included on the and executed in a SAM Auction notice is hereby given that on October subject line if email is used. To help the pursuant to Rule 21.21.3 C–SAM will Commission process and review your 23, 2019, Cboe EDGX Exchange, Inc. provide market participants with an comments more efficiently, please use (the ‘‘Exchange’’ or ‘‘EDGX’’) filed with opportunity to receive price only one method. The Commission will the Securities and Exchange improvement for their larger-sized post all comments on the Commission’s Commission (the ‘‘Commission’’) the complex orders. The proposed rule internet website (http://www.sec.gov/ proposed rule change as described in change is substantially the same as the rules/sro.shtml). Copies of the Items I, II, and III below, which Items complex order solicitation price submission, all subsequent have been prepared by the Exchange. improvement mechanism of Cboe amendments, all written statements The Commission is publishing this with respect to the proposed rule notice to solicit comments on the 3 The Exchange notes the Securities and Exchange change that are filed with the proposed rule change from interested Commission (the ‘‘Commission’’) recently approved Commission, and all written persons. Rule 21.21 regarding the Exchange’s SAM Auction, communications relating to the which the Exchange intends to make available upon approval of this rule filing. See Securities Exchange 65 17 CFR 200.30–3(a)(12). Act Release No. 87060 (September 23, 2019), 84 FR 63 15 U.S.C. 78s(b)(3)(A)(ii). 1 15 U.S.C. 78s(b)(1). 51211 (September 27, 2019) (SR–CboeEDGX–2019– 64 17 CFR 240.19b–4(f)(2). 2 17 CFR 240.19b–4. 047).

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Options, as well as other options strategies. With respect to the simple complex strategy resting in the COB, as exchanges.4 markets, appointed Market Makers have C–SAM permissible execution prices are The Exchange believes the similarity a variety of obligations related to based on all interest resting in the of C–SAM to SAM, AIM, and C–AIM providing liquidity and making Simple Book. and the mechanisms of other exchanges competitive markets in their appointed As defined, the Solicited Order may will allow the Exchange’s proposed classes. Therefore, prohibiting Market- be comprised of multiple orders, in price improvement functionality to fit Makers from being solicited in a simple which case they must total the same size seamlessly into the options market and SAM Auction may encourage those as the Agency Order. This will benefit market participants who are Market-Makers to provide liquidity in accommodate multiple contra-parties already familiar with this similar that auction to provide liquidity through and increase the opportunities for functionality. The Exchange also responses, as well as quotes on the Book customer orders to be submitted into a believes this will encourage Options that may have the opportunity to C–SAM Auction with the potential for Members to compete vigorously to execute against the Agency Order. price improvement, since the Solicited provide the opportunity for price Because Market-Makers have no Order must stop the full size of the improvement for complex orders in a obligations to provide liquidity to Agency Order. This will have no impact competitive auction process. complex markets (and there is no on the execution of the Agency Order, An Options Member (the ‘‘Initiating quoting functionality available in the which may trade against multiple Member’’) may electronically submit for complex order book (‘‘COB’’)), contra-parties depending on the final execution a complex order it represents appointed Market-Makers are on equal execution price(s), as set forth in as agent (‘‘Agency Order’’) against a footing with all other market proposed paragraph (e). The Exchange solicited complex order(s) (which participants with respect to C–SAM notes that with regard to order entry, the cannot have a Capacity of F for the same Auctions. Permitting Market-Makers to first order submitted into the system is EFID as the Agency Order) 5 (a be solicited provides all market marked as the agency side and the ‘‘Solicited Order’’) if it submits the participants with the opportunity to second order is marked as the initiating/ Agency Order for electronic execution provide liquidity to execute against contra-side. Additionally, the Solicited into a C–SAM Auction pursuant to Agency Orders in C–SAM Auctions in Order will always be entered as a single proposed Rule 21.23. The Agency Order the same manner (both through order, even if that order consists of and Solicited Order cannot both be for solicitation, responses, and interest multiple contra-parties, which are the accounts of a customer. The resting on the COB). Rule 21.22 allocated their portion of the trade in a Exchange believes it is appropriate for similarly does not restrict appointed post-trade allocation.9 such customer-to-customer crosses to be Market-Makers from being solicited to The Initiating Member may initiate a submitted to a C–AIM Auction pursuant participate on the contra-side of C–AIM C–SAM Auction if all of the following 8 to Rule 21.22, as that rule contains a Auctions. conditions are met: provision for Customer-to-Customer The Exchange does not believe • The Agency Order may be in any Immediate AIM Crosses for complex permitting an appointed Market-Maker class of options traded on the orders. For purposes of proposed Rule to be solicited for a C–SAM Auction Exchange.10 21.23, the term ‘‘SBBO’’ means the provides the Market-Maker with any • The Initiating Member must mark synthetic best bid or offer 6 at the advantages with respect to its potential an Agency Order for C–SAM Auction quotes in the applicable series in the 11 particular point in time applicable to processing. Simple Book. Rule 18.4 prohibits any the reference.7 • The smallest leg of the Agency Options Member from misusing material Unlike simple SAM, there is no Order must be for at least the minimum nonpublic information, and requires restriction on the solicited order being size designated by the Exchange (which Options Members to have policies and for the account of any Options Market may not be less than 500 standard procedures designed to prevent the Maker registered in the applicable series option contracts or 5,000 mini-option misuse of material nonpublic on the Exchange, as there are no Market contracts). The Solicited Order must be information. When a market participant Maker appointments to complex for (or must total, if the Solicited Order is solicited to be the contra-side in a is comprised of multiple solicited crossing auction, the knowledge of that 4 See Cboe Options Rule 5.40; see also, e.g., orders) the same size as the Agency Nasdaq ISE, LLC (‘‘ISE’’) Options 3, Section 11(e). auction is not yet public. If an Order. The System handles each of the 5 Because the Solicited Order cannot be facilitated appointed Market-Maker was solicited Agency Order and the Solicited Order as by the Initiating Member, the Exchange proposes to for a C–SAM Auction and modified its an all-or-none (‘‘AON’’) order.12 add these systematic blocks, and will also conduct quotes in the Simple Book in the surveillance for compliance with the rule that prevents the Solicited Order from being a applicable series in response to that 9 See Rule 21.22, introductory paragraph; see also facilitation. Additionally, bulk messages (the auction, the Exchange may determine Cboe Options Rule 5.40, introductory paragraph; equivalent of quoting functionality) are not that to be a violation of Rule 18.4. Such and ISE Regulatory Information Circular 2014–013 available for complex orders. See Rule 21.20(b). an action would only impact C–SAM (which states that the contra-side order submitted 6 The SBBO is calculated using the best displayed Auction execution prices if those quotes into a crossing mechanism (including the ISE price for each component of a complex strategy solicited order mechanism) may consist of one or from the Simple Book. See Rule 21.20(a)(11). were at the BBO in the applicable series. more parties). 7 See proposed introductory paragraph to Rule This is true for any Options Member 10 See proposed Rule 21.23(a)(1). Cboe Options 21.23. This proposed paragraph is the same as the solicited for a C–SAM Auction that Rule 5.40(a)(1) permits Cboe Options to make C– corresponding paragraph for simple SAM modified the prices of any orders it has SAM available on a class-by-class basis. The Exchange does not believe it currently needs this (introductory paragraph to Rule 21.21), except it resting in the applicable legs in the refers to SBBO rather than the national best bid or flexibility. offer (‘‘NBBO’’). There is no NBBO for complex Simple Book or in the applicable 11 See proposed Rule 21.23(a)(2); see also Cboe orders, as complex orders may be executed without Options Rule 5.40(a)(2). consideration of any prices for the complex strategy 8 Cboe Options Rule 5.40 similarly does not 12 See proposed Rule 21.23(a)(3); see also Cboe that might be available on other exchanges trading prohibit appointed Market-Makers from being Options Rule 5.40(a)(3). The Exchange notes Rule the same complex strategy. See Rule 21.20(c)(2)(E). solicited. See also NYSE American, LLC 21.21(a)(3) requires the Initiating Member to Additionally, executions of legs of complex orders (‘‘American’’) Rule 971.2NY(a)(1) (which permits designate the Agency Order and Solicited Order as are exceptions to the prohibition of trade-throughs. all users except customers from being solicited as AON. However, C–SAM functionality will See Rule 27.2(b)(8). the contra-party). Continued

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• The price of the Agency Order and Priority Customer order or quote on the the BBO of each component of the Solicited Order must be in an increment Simple Book, the stop price must be at complex strategy represents a non- of $0.01.13 or better than the SBB (SBO). This Priority Customer order on the Simple • The Initiating Member may not ensures the execution price of the Book, the stop price must be at or better designate an Agency Order or Solicited Agency Order will improve the SBBO if than the SBO (SBB). This ensures the Order as Post Only.14 there is a Priority Customer order in any execution price of the Agency Order • The Initiating Member may only of the legs on the Simple Book. The will improve the price of any Priority submit an Agency Order to a C–SAM proposed rule change protects Priority Customer orders resting in the Simple Auction after the complex order book Customers in any of the component legs Book at the opposite side of the SBBO, (‘‘COB’’) opens.15 of the Agency Order in the Simple Book. and not be through the opposite side of The System rejects or cancels both an By permitting a Priority Customer the SBBO.20 Agency Order and Solicited Order Agency Order to trade at the SBBO if • If the Agency Order is to buy (sell) submitted to a C–SAM Auction that do there is a resting non-Priority Customer and the best-priced sell (buy) complex not meet these conditions.16 order in the Book, the proposed rule order on the COB represents (a) a The proposed introductory paragraph change also protects Priority Customer Priority Customer complex order, the for Rule 21.23 is the same as the orders submitted into a C–SAM stop price must be at least $0.01 better corresponding paragraph for C–AIM Auction. The Exchange believes the than the SBO (SBB); or (b) a complex Auctions in Rule 21.22, which is the proposed rule change is consistent with order that is not a Priority Customer, the Exchange’s price improvement crossing general customer priority principles.18 stop price must be at or better than the auction for complex Agency Orders of • If the Agency Order is to buy (sell) price of the resting complex order. This all sizes and substantially similar to the and a buy (sell) complex order rests on ensures the execution price of the Exchange’s C–SAM Auctions, except C– the COB, the stop price must be at least Agency Order will improve the price of AIM Auctions permit facilitations and $0.01 better than the bid (offer) of the any Priority Customer complex orders customer-to-customer immediate resting complex order, unless the resting in the COB at the same price as crosses, while C–SAM Auctions only Agency Order is a Priority Customer the stop price, and not be through the permit solicitations of larger-sized order and the resting order is not a price of any other complex order resting orders and do not permit customer-to- Priority Customer, in which case the in the COB.21 customer immediate crosses, as set forth stop price must be at or better than the These proposed price checks are above.17 bid (offer) of the resting complex order. consistent with the permissible The Solicited Order must stop the This ensures the execution price of the execution prices as set forth in proposed entire Agency Order at a price that Agency Order will improve the price of paragraph (e), as described below. The satisfies the following: System rejects or cancels both an • any resting Priority Customer complex If the Agency Order is to buy (sell) orders on the COB, and that the Agency Order and Solicited Order and (a) the applicable side of the BBO execution price of a Priority Customer submitted to a C–SAM Auction that do on any component of the complex Agency Order will not be inferior to the not meet the conditions in this strategy represents a Priority Customer price of any resting non-Priority paragraph (b).22 order on the Simple Book, the stop price Customer complex orders on the COB. Upon receipt of an Agency Order that must be at least $0.01 better than the The proposed rule change protects meets the above conditions, the C–SAM SBB (SBO); or (b) the applicable side of Priority Customers on the same side of Auction process commences. One or the BBO on each component of the the COB as the current rule does. By more C–SAM Auctions in the same complex strategy represents a non- permitting a Priority Customer Agency complex strategy may occur at the same Order to trade at the same price as a time. C–SAM Auctions in different automatically handle any orders submitted to the resting non-Priority Customer order, the complex strategies may be ongoing at Exchange on a C–SAM message as AON, and thus will not require the Initiating Member to include an proposed rule change also protects any given time, even if the complex instruction on the orders for them to be handled as Priority Customer orders submitted into strategies have overlapping components. AON. The Exchange intends to amend Rule 21.21 a C–SAM Auction. Application of this A C–SAM Auction may be ongoing at in a separate rule filing to conform to the proposed check at the initiation of a C–SAM the same time as a SAM Auction in any provision. component of the complex strategy. 13 See proposed Rule 21.23(a)(4). Cboe Options Auction may result in the Agency Order Rule 5.40(a)(4) permits Cboe Options to apply executing at a better price, since the To the extent there is more than one different minimum increments for C–SAM on a stop price must improve any same-side C–SAM Auction in a complex strategy class-by-class basis. The Exchange does not believe complex orders (with the exception of a underway at a time, the C–SAM it currently needs this flexibility. Priority Customer Agency Order and a Auctions conclude sequentially based 14 See proposed Rule 21.23(a)(5); see also Cboe resting non-Priority Customer order on the exact time each C–SAM Auction Options Rule 5.40(a)(5). commenced, unless terminated early 15 See proposed Rule 21.23(a)(6); see also Cboe described above). The proposed rule Options Rule 5.40(a)(6). change is consistent with general pursuant to proposed paragraph (d). In 16 See proposed Rule 21.23(a). Proposed customer priority principles.19 the event there are multiple C–SAM paragraph (a) is the same as the corresponding • If the Agency Order is to buy (sell) Auctions underway that are each paragraph for simple SAM (see Rule 21.21(a)), terminated early pursuant to proposed except the proposed rule change does not provide and (a) the BBO of any component of that an Initiating Member may not submit an the complex strategy represents a paragraph (d), the System processes the Agency Order if the NBBO is crossed (unless the Priority Customer order on the Simple Agency Order is a SAM ISO. As noted above, there Book, the stop price must be at least 20 See also Rule 21.22(b)(3). 21 is no NBBO for complex orders, and the legs of $0.01 better than the SBO (SBB), or (b) There is no corresponding provision in Rule complex orders are not subject to the restriction on 21.22(b), because orders submitted into C–AIM NBBO trade-throughs. Additionally, the proposed auctions do not have AON contingencies, and rule change references the opening of the COB 18 See also Rule 21.22(b)(1). General principles of Agency Orders submitted into those auctions may rather than the market open, as the opening of the customer priority ensure the execution price of trade against both the contra-side order and other COB is when complex orders may begin trading. complex orders will not be executed at prices contra-side interest. 17 The proposed introductory paragraph is also inferior to the SBBO or at a price equal to the SBBO 22 Proposed Rule 21.23(b) is virtually identical to substantially the same as the introductory when there is a Priority Customer at the BBO for Cboe Options Rule 5.40(b), except the Cboe Options paragraph in Rule 21.21, which is the rule any component. rule accounts for the possibility that there may be describing the Exchange’s simple SAM Auction. 19 See also Rule 21.22(b)(2). a different minimum increment other than $0.01.

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C–SAM Auctions sequentially based on Agency Orders execute at prices that which may be no less than 100 the exact time each C–SAM Auction protect Priority Customer orders in the milliseconds and no more than one commenced. If the System receives a Simple Book and that are not inferior to second.26 An Initiating Member may not simple order that causes a SAM Auction the SBBO at the conclusion of the C– modify or cancel an Agency Order or and C–SAM Auction (or multiple SAM SAM Auction, even when there are Solicited Order after submission to a C– and/or C–SAM Auctions) to conclude concurrent simple and complex SAM Auction.27 pursuant to proposed paragraph (d) and auctions occurring. The proposed rule Any User other than the Initiating Rule 21.21(d), the System first processes change sets forth how any auctions with Member (the response cannot have the SAM Auctions (in price-time priority) overlapping components will conclude same EFID as the Agency Order) 28 may and then processes C–SAM Auctions (in if terminated due to the same event. submit responses to a C–SAM Auction price-time priority). At the time each C– The Exchange notes it is currently that are properly marked specifying SAM Auction concludes, the System possible for auctions in a component leg size, side of the market, and the Auction allocates the Agency Order pursuant to and a complex strategy containing that ID for the C–SAM Auction to which the proposed paragraph (e) and takes into component (such as a simple AIM User is submitting the response. A C– account all C–SAM Auction responses Auction in the component and a C–AIM SAM Auction response may only and unrelated orders and quotes in in the complex strategy that contains participate in the C–SAM Auction with place at the exact time of conclusion.23 that component) to occur concurrently. the Auction ID specified in the The Exchange currently permits While these auctions may be occurring response.29 concurrent AIM Auctions in the same at the same time, they will be processed • The minimum price increment for series (for Agency Orders of 50 or more in the order in which they are C–SAM responses is $0.01. The System contracts), concurrent SAM Auctions in terminated (similar to how the System rejects a C–SAM response that is not in the same series, and concurrent C–AIM will process auctions as proposed a $0.01 increment.30 Auctions in the same complex above). In other words, suppose there is • C–SAM responses are capped at the strategy,24 and thus believes it is an AIM Auction in a series and a C–AIM following prices that exist at the appropriate to similarly permit in a complex strategy for which one of conclusion of the C–SAM Auction: (i) concurrent C–SAM Auctions in the the components is the same series both The better of the SBO (SBB) or the offer same complex strategy. The Exchange occurring, which began and will (bid) of a resting complex order at the believes it is appropriate to permit terminate in that order, and each of top of the COB; or (ii) $0.01 lower concurrent C–SAM Auctions in the which last 100 milliseconds. While it is (higher) than the better of the SBO (SBB) same complex strategy for the same possible for both auctions to terminate or the offer (bid) of a resting complex reasons it permits concurrent C–AIM nearly simultaneously, the System will order at the top of the COB if the BBO Auctions for larger-sized orders, and for still process them in the order in which of any component of the complex the same reasons it permits concurrent they terminate. When the AIM Auction strategy or the resting complex order, simple AIM and SAM Auctions to terminates, the System will process it in respectively, is a Priority Customer occur. Different complex strategies are accordance with Rule 21.19, and the order. The System executes these C– essentially different products, as orders auctioned order may trade against any SAM responses, if possible, at the most in those strategies cannot interact, just resting interest (in addition to the as orders in different series or classes contra-side order and responses 26 See proposed Rule 21.23(c)(3); see also Rule cannot interact. Therefore, the Exchange 21.22(c)(3) and Cboe Options Rule 5.40(c)(3). The submitted to that AIM Auction, which proposed C–SAM Auction period is also the same believes concurrent C–SAM Auctions in may only trade against the order as the auction period for simple SAM (see Rule different complex strategies is auctioned in that AIM pursuant to Rule 21.21(c)(3)). The Exchange will make announce the appropriate given that concurrent 21.19). The System will then process the length of the C–SAM Auction period to Options simple AIM Auctions in different series Members pursuant to Rule 16.3. C–AIM Auction when it terminates, and 27 See proposed Rule 21.23(c)(4); see also Rule or different classes may occur. the auctioned order may trade against 21.22(c)(4) and Cboe Options Rule 5.40(c)(4). The Similarly, while it is possible for a any resting interest (in addition to the proposed C–SAM Auction notification message is complex order to leg into the Simple contra-side order and responses the same as the corresponding provision for simple Book, a complex order may only execute submitted to that C–AIM Auction, SAM (see Rule 21.21(c)(4)), except it includes the against simple orders if there is interest complex strategy rather than the series. which may only trade against the 28 Permitting the Initiating Member to respond to in each component in the appropriate Agency Order auctioned in that C–AIM), a C–SAM Auction would be inconsistent with the ratio for the complex strategy. A simple pursuant to Rule 21.22. purpose of the auction, which is to cross solicited order in one component of a complex The System initiates the C–SAM interest, rather than facilitated interest. Similar to strategy cannot on its own interact with the restriction that the Solicited Order cannot be for Auction process by sending a C–SAM the Initiating Member, the Exchange proposes to a complex order in that complex Auction notification message detailing add a systematic block, but will conduct strategy. Therefore, the Exchange the side, size, price, Capacity, Auction surveillance for compliance with the rule that believes it is appropriate to permit ID, and complex strategy of the Agency prevents the response from being for the Initiating concurrent SAM and C–SAM Auctions Order to all Options Members that elect Member (so that a response cannot be used in place that share a component. As proposed, of a facilitation order). to receive C–SAM Auction notification 29 See proposed Rule 21.23(c)(5); see also Rule C–SAM Auctions will ensure that messages. C–SAM Auction notification 21.22(c)(5) and Cboe Options Rule 5.40(c)(5). The messages are not included in OPRA.25 A proposed provisions regarding C–SAM responses 23 See proposed Rule 21.23(c)(1); see also Rule C–SAM Auction will last for a period of are the same as the provisions regarding SAM 21.22(c)(1) and Cboe Options Rule 5.40(c)(1). responses, except as set forth below. See Rule Proposed paragraph (c)(1) is the same as the time determined by the Exchange, 21.21(c)(5). corresponding paragraph for simple SAM (see Rule 30 See proposed Rule 21.23(c)(5)(A); see also Rule 21.21(c)(1)), except the proposed change adds how 25 See proposed Rule 21.23(c)(2); see also Rule 21.22(c)(5)(A). The proposed minimum increment the System will handle ongoing auctions that 21.22(c)(2) and Cboe Options Rule 5.40(c)(2). The for C–SAM responses is the same as the minimum include an overlapping component (whether that proposed C–SAM Auction notification message is increment for SAM responses. See Rule component is the subject of an ongoing simple SAM the same as the corresponding message for simple 21.21(c)(5)(A). Cboe Options Rule 5.40(c)(5)(A) Auction or part of a complex strategy for which a SAM (see Rule 21.21(c)(2)), except the proposed provides Cboe Options with flexibility to apply a different C–SAM Auction is ongoing). rule change indicates the notification message for different minimum increment to C–SAM responses. 24 See Rules 21.19(c)(1), 21.21(c)(1), and 21.22 a C–SAM Auction will include the complex strategy The Exchange does not currently believe it needs (c)(1); see also Cboe Options Rule 5.40(c)(1). rather than the series. this flexibility.

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aggressive permissible price not outside Agency Order. The System rejects a C– provided, however, that in such the SBBO at the conclusion of the C– SAM response on the same side of the instance, the C–SAM Auction concludes SAM Auction or price of the resting market as the Agency Order.34 without execution.37 complex order. This will ensure the • C–SAM responses are not visible to The Exchange proposes to conclude execution price is at or better than the C–SAM Auction participants or the C–SAM Auction in response to the SBBO (or better than the SBBO if any disseminated to OPRA.35 incoming orders described above, as component is represented by a Priority • A User may modify or cancel its C– they would cause the SBBO or the best- Customer order) or prices of resting SAM responses during the C–SAM priced complex order on the same side complex orders (or better than the best- Auction.36 of the market as the Agency Order to be priced resting complex order if Pursuant to proposed Rule 21.23(d), a better priced than the stop price, or represented by a Priority Customer C–SAM Auction concludes at the cause the stop price to be the same price complex order) at the end of the C–SAM earliest to occur of the following times: as the SBBO with a Priority Customer Auction as set forth in proposed Rule • The end of the C–SAM Auction order on the BBO for a component or a 21.23(e). Therefore, as proposed, the period; Priority Customer complex order on the price at which any response may be • upon receipt by the System of an COB. Similarly, the incoming orders entered (and thus be executed) will unrelated non-Priority Customer described above would cause the ultimately not be through the SBBO or complex order on the same side as the opposite side SBBO to be at or better the best-priced resting orders on the Agency Order that would post to the than the stop price. These events would COB at the conclusion of the C–SAM COB at a price better than the stop price; create circumstances under which a C– • Auction.31 upon receipt by the System of an SAM Auction would not have been • A User may submit multiple C– unrelated Priority Customer complex initiated, and therefore, the Exchange SAM responses at the same or multiple order on the same side as the Agency believes it is appropriate to conclude a prices to a C–SAM Auction. The System Order that would post to the COB at a C–SAM Auction when they exist. aggregates all of a User’s complex orders price equal to or better than the stop Additionally, the proposed rule on the COB and C–SAM responses for price; change would conclude a C–SAM • the same EFID at the same price.32 The upon receipt by the System of an Auction in response to an incoming Exchange believes this is appropriate unrelated non-Priority Customer order order that would cause the SBBO to be since all interest at a single price is or quote that would post to the Simple at a price not permissible under the considered for execution against the Book and cause the SBBO on the same Limit Up-Limit Down Plan or Agency Order at that price, and can then side as the Agency Order to be better Regulation SHO,38 and would conclude than the stop price; the C–SAM Auction without execution. together be subject to the size cap, as • discussed below. This (combined with upon receipt by the System of a This will ensure that the stock leg of a the proposed size cap described below) Priority Customer order in any stock-option order submitted into a C– will prevent an Options Member from component of the complex strategy that SAM Auction does not execute at a submitting multiple orders or responses would post to the Simple Book and price not permissible under that plan or at the same price to obtain a larger pro- cause the SBBO on the same side as the regulation. This is consistent with rata share of the Agency Order. Agency Order to be equal to or better current C–SAM functionality to ensure • The System caps the size of a C– than the stop price; that stock legs do not trade at prices not • SAM response, or the aggregate size of upon receipt by the System of a permissible under the Limit Up-Limit a User’s complex orders on the COB and simple non-Priority Customer order that Down Plan or Regulation SHO, and the C–SAM responses for the same EFID at would cause the SBBO on the opposite proposed rule change codifies this in the same price, at the size of the Agency side of the Agency Order to be better the Rules. Order (i.e., the System ignores size in than the stop price, or a Priority If the System receives an unrelated excess of the size of the Agency Order Customer order that would cause the market or marketable limit complex when processing the C–SAM Auction). SBBO on the opposite side of the order (against the SBBO or the best price The Exchange believes this will prevent Agency Order to be equal to or better of a complex order resting in the COB), than the stop price; including a Post Only complex order, on an Options Member from submitting an • order or response with an extremely upon receipt by the System of an the opposite side of the market during large size in order to obtain a larger pro- order that would cause the SBBO to be a C–SAM Auction, the C–SAM Auction rata share of the Agency Order.33 a price not permissible under the Limit does not end early, and the System • C–SAM responses must be on the Up-Limit Down Plan or Regulation executes the order against interest opposite side of the market as the SHO, provided, however, that in such outside the C–SAM Auction or posts the instance, the C–SAM Auction concludes complex order to the COB. If contracts 31 See proposed Rule 21.23(c)(5)(B); see also Rule without execution; remain from the unrelated complex • 21.22(c)(5)(B) and Cboe Options Rule 5.40(c)(5)(B). the market close; and order at the time the C–SAM Auction • This proposed provision is similar to the any time the Exchange halts trading ends, they may be allocated for corresponding provision for SAM responses, except in the complex strategy or any it refers to the SBBO and prices of complex order execution against the Agency Order rather than the NBBO. See Rule 21.21 (c)(5)(B). component of the complex strategy, 32 See proposed Rule 21.23(c)(5)(C); see also Rule 37 See proposed Rule 21.23(d). The proposed 21.22(c)(5)(C) and Cboe Options Rule 5.40(c)(5)(C). 34 See proposed Rule 21.23(c)(5)(E); see also Rule events that cause a C–SAM Auction to conclude are This is the same as the corresponding provision for 21.22(c)(5)(E) and Cboe Options Rule 5.40(c)(5)(E). the same as those that cause a C–AIM Auction to simple SAM, except it proposes to aggregate This is the same as the corresponding provision for conclude (see Rule 21.22(d)) and the same as those responses with complex order interest rather than simple SAM. See Rule 21.21(c)(5)(E). that cause a C–SAM Auction to conclude on Cboe simple order interest. See Rule 21.21(c)(5)(C). 35 See proposed Rule 21.23(c)(5)(F); see also Rule Options (see Cboe Options Rule 5.40(d)). 33 See proposed Rule 21.23(c)(5)(D); see also Rule 21.22(c)(5)(H) and Cboe Options Rule 5.40(c)(5)(F). Additionally, they are similar to those that cause a 21.22(c)(5)(D) and Cboe Options Rule 5.40(c)(5)(D). This is the same as the corresponding provision for simple SAM Auction to conclude, except are based This is the same as the corresponding provision for simple SAM. See Rule 21.21(c)(5)(F). on the entry of simple or complex orders that simple SAM, except it proposes to aggregate 36 See proposed Rule 21.23(c)(5)(G); see also Rule impact the SBBO or the best available prices on the responses with complex order interest, and cap 21.22(c)(5)(I) and Cboe Options Rule 5.40(c)(5)(G). same side of the COB rather than the BBO. See Rule aggregate complex size, rather than simple order This is the same as the corresponding provision for 21.21(d). interest. See Rule 21.21(c)(5)(D). simple SAM. See Rule 21.21(c)(5)(G). 38 See Rule 21.20(f)(2)(B).

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pursuant to proposed paragraph (e).39 an improve price(s) is sufficient to Priority Customer complex order, and Because these orders may have the satisfy the Agency Order.43 thus is consistent with general customer opportunity to trade against the Agency The System will cancel an Agency priority principles with respect to Order following the conclusion of the Order and Solicited Order with no complex orders, pursuant to which C–SAM Auction, which execution must execution if: complex orders may only trade against still be at or better than the SBBO and • Execution of the Agency Order complex interest at prices that improve the best-priced complex orders on the against the Solicited Order would not be the BBO of any component that is COB, the Exchange does not believe it (1) at or between the SBBO at the represented by a Priority Customer 47 is necessary to cause a C–SAM Auction conclusion of the SAM Auction; (2) order. The Simple Book and the COB are to conclude early in the event the better than the SBBO if there is a Priority Customer order in any leg separate, and orders on each do not Exchange receives such orders. This interact unless a complex order legs into will provide more time for potential component in the Simple Book; (3) at or better than the best-priced complex the Simple Book. As a result, the System price improvement, and the unrelated resting on the COB; or (4) better than the is not able to calculate the aggregate size complex order will have the best-priced complex order resting on the of complex auction responses and opportunity to trade against the Agency COB if it is a Priority Customer complex complex orders on the COB and the size Order in the same manner as all other order; of simple orders in the legs that 40 contra-side interest. • there is a Priority Customer comprise the complex strategy at each At the conclusion of the C–SAM complex order resting on the COB on potential execution price (as executions Auction, the System executes the the opposite side of the Agency Order may occur at multiple prices) prior to Agency Order against the Solicited at or better than the stop price, and the execution of an order following an Order or contra-side complex interest aggregate size of the Priority Customer auction for complex orders. If the (which includes complex orders on the complex order and any other contra-side Exchange were to permit legging into the Simple Book following a C–SAM COB and C–SAM responses) at the best interest is insufficient to satisfy the Auction in accordance with its current price(s) as follows. Any execution Agency Order; or • there is a non-Priority Customer complex order allocation in Rule 21.20, price(s) must be at or between the SBBO the System would first look to and the best prices of any complex complex order resting on the COB on the opposite side of the Agency Order determine whether there are Priority orders resting on the each side of the Customer orders resting in the Simple COB at the conclusion of the C–SAM at a price better than the stop price, and the aggregate size of the resting complex Book at the final auction price(s) (and in Auction.41 The Agency Order will the applicable ratio), and whether there execute against the Solicited Order if order and any other contra-side interest is insufficient to satisfy the Agency was sufficient interest at improved there are no Priority Customer complex Order.44 prices to satisfy the Agency Order. The orders resting on the COB on the Executions following a C–SAM System would then look back at C–SAM opposite side of the Agency Order at or Auction for a complex Agency Order are responses and complex orders resting in better than the stop price and the subject to the complex order price the COB to determine whether there is aggregate size of contra-side interest at restrictions and priority in Rule interest at that price level that could an improved price(s) is insufficient to 21.20(f)(2).45 The System cancels or execute against the Agency Order. 42 Finally, the System would then look satisfy the Agency Order. The System rejects any unexecuted C–SAM back at the Simple Book to determine will execute the Agency Order against responses (or unexecuted portions) at whether any non-Priority Customer contra-side interest (and will cancel the the conclusion of the C–SAM Auction.46 orders in the legs are able to trade Solicited Order) if (a) there is a Priority The Agency Order will only execute against the Agency Order. The System Customer complex order resting on the against the Solicited Order or C–SAM would need to do this at each price COB on the opposite side of the Agency responses and complex orders resting in level, and then determine whether there Order at or better than the stop price the COB, and will not leg into the were any Priority Customer orders and the aggregate size of that order and Simple Book, at the conclusion of a C– resting on the Simple Book that are part other contra-side interest is sufficient to SAM Auction. As proposed, the of the SBBO or COB at the stop price, satisfy the Agency Order or (b) the execution prices for an Agency Order and determine whether there was aggregate size of contra-side interest at will always be better than the SBBO sufficient size at improved prices, or existing at the conclusion of the C–SAM sufficient size with any Priority 39 See proposed Rule 21.23(d). Similarly, market Auction if it includes a Priority Customer orders at the stop price, to or marketable limit simple orders on the opposite Customer order on any leg, as well as satisfy the Agency Order. side of the Agency Order will not cause an AIM better than the best-priced complex Auction, SAM Auction, or a C–AIM Auction to end. The amount of aggregate interest See Rules 21.19(d); 21.21(d); and 21.22(d) order resting on the COB if it is a available to execute against the Agency (respectively); see also Cboe Options Rule 5.40(d). Order is relevant in a C–SAM Auction 43 40 This is the same as the corresponding provision See proposed Rule 21.23(e)(2); see also Cboe with respect to the allocation of for C–AIM Auctions (see Rule 21.22(d)(2)), and Options Rule 5.40(e)(2). The Agency Order will similar to the corresponding provision for simple execute against contra-side interest at each price contracts against the Agency Order and SAM Auctions (see Rule 21.21(d)(2)). level to the price at which the balance of the other interest because of the all-or-none 41 Additionally, if there is a Priority Customer Agency Order can be fully executed first against nature of the Agency Order. Because the order representing any leg of the SBBO in the Priority Customer complex orders on the COB (in System will not be able to determine the time priority) and then against remaining contra- Simple Book, the execution price must be better aggregate size of contra-side interest than the SBBO, in accordance with complex order side interest (including non-Priority Customer priority. See Rule 21.20(f)(2) in the shell Rulebook. orders in the COB and SAM responses) in a pro- (including simple and complex) at Additionally, any execution price must be better rata manner. improved prices, it would not be able to than the price of any resting Priority Order complex 44 See proposed Rule 21.23(e)(3); see also Cboe determine whether the Agency Order order on the COB. As further discussed below, as Options Rule 5.40(e)(3). would execute against the Solicited proposed, an execution may only occur at such a 45 See proposed Rule 21.23(e)(4); see also Cboe price. Options Rule 5.40(e)(4). Order or other contra-side interest. 42 See proposed Rule 21.23(e)(1); see also Cboe 46 See proposed Rule 21.23(e)(5); see also Cboe Options Rule 5.40(e)(1). Options Rule 5.40(e)(5). 47 See proposed Rule 21.23(e)(5).

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The Exchange notes there would be in any leg.48 Therefore, the proposed and perfect the mechanism of a free and significant technical complexities rule change protects Priority Customer open market and a national market associated with reprogramming priority orders in the Simple Book even though system, and, in general, to protect within the System to permit Agency Agency Orders may not leg into the investors and the public interest. Orders to leg into the Simple Book Simple Book. Additionally, the Exchange believes the following a C–SAM Auction and Proposed Rule 21.23, Interpretations proposed rule change is consistent with allocate the Agency Order in a manner and Policies .01 and .02 state: the Section 6(b)(5) 52 requirement that consistent with standard priority • Prior to entering Agency Orders the rules of an exchange not be designed principles and crossing auctions, while into a C–SAM Auction on behalf of to permit unfair discrimination between making the most crossing functionality customers, Initiating Members must customers, issuers, brokers, or dealers. available to Options Members. The deliver to the customer a written The proposed rule change will proposed rule change will ensure the notification informing the customer that provide market participants with access Agency Order executes in accordance his order may be executed using the C– to an auction mechanism for execution with the C–SAM allocation principles, SAM Auction. The written notification of complex orders, which will provide which provide Priority Customers with must disclose the terms and conditions them with greater flexibility in pricing priority over the Solicited Order (and contained in proposed Rule 21.23 and complex orders and may provide more other contra-side interest) but also be in a form approved by the Exchange. opportunities for price improvement. C– provide for the Solicited Order to Under Rule 21.23, Initiating Members SAM as proposed will function in a execute against the Agency Order if may enter contra-side orders that are substantially similar manner as SAM for there is no price improvement and no solicited. C–SAM provides a facility for simple orders, the Exchange’s current Priority Customer interest present. The Members that locate liquidity for their solicitation price improvement Exchange believes providing this customer orders. Members may not use mechanism for larger orders—the functionality will encourage Options the C–SAM Auction to circumvent Rule proposed differences relate primarily to Members to submit large complex 21.19 or 21.22 limiting principal basing the price and execution of the orders into C–SAM Auctions and transactions. This may include, but is Agency Order on the SBBO and the provide customer orders with not limited to, Members entering contra- COB, rather than on the NBBO, and to ensure execution prices are consistent opportunities for price improvement. It side orders that are solicited from (a) with complex order priority principles. will also ensure orders (including affiliated broker-dealers or (b) broker- Additionally, C–SAM as proposed will Priority Customer orders) on the Simple dealers with which the Member has an function in a substantially similar Book are protected in accordance with arrangement that allows the Members to manner as C–AIM, the Exchange’s standard complex order priority realize similar economic benefits from the solicited transaction as it would current price improvement mechanism principles, as an Agency Order will only achieve by executing the customer order for all-sized complex orders. C–SAM be permitted to execute at prices that do in whole or in part as principal.49 provides equal access to the exposed not trade at the SBBO existing at the Agency Orders for all market conclusion of the C–SAM Auction if it 2. Statutory Basis participants, as all Options Members includes a Priority Customer order on The Exchange believes the proposed that subscribe to the Exchange’s data any leg, and that do not trade through rule change is consistent with the feeds will have the opportunity to the SBBO existing at the conclusion of Securities Exchange Act of 1934 (the interact with orders submitted into C– the C–SAM Auction. ‘‘Act’’) and the rules and regulations SAM Auctions.53 C–SAM will benefit As noted above, the stop price of the thereunder applicable to the Exchange investors, because it is designed to Agency Order must be better than the and, in particular, the requirements of provide investors seeking to execute same and opposite side of the SBBO if Section 6(b) of the Act.50 Specifically, larger-sized complex orders with there is a Priority Customer order at the the Exchange believes the proposed rule opportunities to access additional BBO in any component of the complex change is consistent with the Section liquidity and receive price strategy. Additionally, the stop price 6(b)(5) 51 requirements that the rules of improvement. It will provide Options must be better than the price of any an exchange be designed to prevent Members with a facility in which to Priority Customer order resting at the fraudulent and manipulative acts and execute customers’ complex orders, top of the COB on either side of the practices, to promote just and equitable potentially at improved prices. The Agency Order. Further, a C–SAM principles of trade, to foster cooperation proposed rule change may result in Auction concludes upon receipt of an and coordination with persons engaged increased liquidity available at unrelated Priority Customer order in in regulating, clearing, settling, improved prices for complex orders, any component of the complex strategy processing information with respect to, with competitive final pricing out of the that would post to the Simple Book and and facilitating transactions in Initiating Member’s control. The cause the SBBO on either side of the securities, to remove impediments to Exchange believes C–SAM will promote Agency Order to be equal to or better and foster competition and provide than the stop price, or upon the receipt 48 If there was a Priority Customer order resting more options contracts with the of an unrelated Priority Customer at the BBO in any leg of a complex strategy in the opportunity for price improvement. Simple Book, and a complex order was submitted complex order on either side of the to the Exchange (outside of a C–SAM Auction) with The Exchange believes the proposed Agency Order that post to the COB with a price one minimum increment better than the rule change will remove impediments to a price equal to or better than the stop SBBO, that complex order would not be able to and perfect the mechanism of a free and price. Additionally, any execution execute against interest in the leg markets open market and a national market (including the Priority Customer order). system, because other options prices at the conclusion of the C–SAM 49 These provisions are virtually identical to the Auction are subject to the standard ones applicable to simple SAM Auctions. See Rule exchanges similarly permit larger-sized complex order priority, which will 21.21, Interpretations and Policies .01 and .02; see ensure an Agency Order must execute at also Cboe Options Rule 5.40, Interpretations and 52 Id. Policies .01 and .02. 53 a price that improves the SBBO if there Any Options Member can subscribe to the 50 15 U.S.C. 78f(b). options data disseminated through the Exchange’s is a Priority Customer order at the BBO 51 15 U.S.C. 78f(b)(5). data feeds.

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complex orders to be submitted into simple SAM Auction, the Solicited requirements for a simple SAM Auction, their solicitation mechanisms.54 The Order cannot execute if there is a except the proposed rule change general framework of the proposed C– Priority Customer order resting on the excludes the requirement related to the SAM Auction process (such as the Book at a price at or better than the stop NBBO, because there is no NBBO for eligibility requirements, the auction price. Similarly, in a C–SAM Auction, complex orders, and the legs of complex response period, the same-side stop the Solicited Order will not execute if orders are not subject to the restriction price requirements, response there is a Priority Customer complex on NBBO trade-throughs. Additionally, requirements, and auction notification order resting on the COB at a price at the proposed rule change references the process),55 is substantively the same as or better than the stop price. opening of the COB rather than the the framework of the SAM Auction for The purpose of C–SAM is to provide market open, as the opening of the COB simple orders, except to account for the a facility for Options Members that is when complex orders may begin differences between simple and locate liquidity for their larger-sized trading. These are minor differences that complex orders, as described above. The customer orders to execute these orders relate solely to underlying differences Exchange believes using the same (and potentially obtain better prices). between simple and complex orders.58 general framework for the simple and An Initiating Member that provides or The proposed rule that an Initiating complex auctions will benefit investors, locates interest to execute against its Member may not designate an Agency as it will minimize confusion regarding customer orders at the best then- Order or Solicited Order as Post Only how the auction mechanisms work. available price (or better) will receive in protects investors, because it provides Further, the new functionality may exchange for that effort execution transparency regarding functionality lead to an increase in Exchange volume priority over non-Priority Customers that will not be available for C–SAM. and should allow the Exchange to better (who do not expend similar efforts to The Exchange believes this is compete against other markets that trade against the Agency Order and do appropriate, as the purpose of a Post already offer an electronic price not provide price improvement) to trade Only complex order is to not execute improvement solicitation mechanism against a specified percentage of the upon entry and instead rest in the COB, for larger-sized complex orders, while Agency Order at the stop price. The while the purpose of submitting orders providing an opportunity for price Exchange believes the proposed rule to a C–SAM Auction is to receive an improvement for Agency Orders and change promotes just and equitable execution following the auction and not ensuring that Priority Customers on the principles of trade, because it will enter the COB. Pursuant to proposed Simple Book and the COB are protected. protect Priority Customer complex Rule 21.23, an Agency Order will fully C–SAM Auction functionality should orders resting on the COB while execute against contra-side interest (the promote and foster competition and encouraging Options Members to Solicited Order or other contra-side provide more options contracts with the continue to provide or locate liquidity complex interest), and thus there cannot opportunity for price improvement, against which their customers may be remaining contracts in an Agency which should benefit market execute their complex orders. The Order to enter the COB. Similarly, the participants. Exchange believes this may also Solicited Order may only execute The Exchange believes the proposed encourage non-Priority Customers to against the Agency Order at the rule change will result in efficient submit interest at improved prices if conclusion of a C–SAM Auction, and trading and reduce the risk for investors they seek to execute against Agency thus will not enter the COB. The Exchange believes the proposed that seek access to additional liquidity Orders. By keeping the priority and allocation rule change to permit the Solicited and price improvement for complex rules for a C–SAM Auction similar to Order to be comprised of multiple orders by providing additional the allocation used for a simple SAM orders that total the size of the Agency opportunities to do so. The proposed Auction on the Exchange and consistent Order may increase liquidity and priority and allocation rules in the C– with current complex order priority, the opportunity for Agency Orders to SAM Auction are consistent with the proposed rule change reduces the ability participate in C–SAM Auctions, and Exchange’s current complex order of market participants to misuse the C– therefore provide Agency Orders with priority principles, pursuant to which SAM Auction to circumvent standard additional opportunities for price complex orders may only trade against priority rules in a manner that is improvement, which is consistent with complex interest at prices that improve designed to prevent fraudulent and the principles behind the C–SAM the BBO of any component that is manipulative acts and practices, and to Auction. The Exchange believes this represented by a Priority Customer promote just and equitable principles of 56 will be beneficial to participants order. This will ensure a fair and trade on the Exchange. The proposed because allowing multiple contra- orderly market by protecting Priority execution and priority rules will allow parties should foster competition for Customer orders on the Simple Book orders to interact with interest in the filling the contra-side order and thereby while still affording the opportunity for COB, and will allow interest on the COB result in potentially better prices, as price improvement for complex orders to interact with option orders in the opposed to only allowing one contra- during each C–SAM Auction price improvement mechanism in an party, which would require that contra- commenced on the Exchange. The efficient and orderly manner. The party to guarantee the entire Agency proposed allocation is also consistent Exchange believes this interaction of Order, which could result in a worse with the allocation principles for the orders will benefit investors by price for the trade. The Solicited Order simple SAM Auction, which ensures increasing the opportunity for complex for simple SAM Auctions may be protection of Priority Customer orders orders to receive executions, while also comprised of multiple contra-parties.59 resting on the Simple Book.57 In a enhancing the execution quality for orders resting on the COB. 58 The eligibility requirements are also 54 See, e.g., Cboe Options Rule 5.40; and Nasdaq The proposed C–SAM Auction substantially the same as those for C–AIM, except ISE LLC (‘‘ISE’’) Options 3, Section 11(e). eligibility requirements are reasonable for the minimum size requirement for C–SAM. See 55 See Rule 21.19. Rule 21.22(a); see also Cboe Options Rule 5.40(a). 56 See proposed Rule 21.23(e)(4) and current Rule and promote a fair and orderly market 59 See Rule 21.19; see also Rule 21.22 (which 21.20(f)(2). and national market system, because permits the contra-side order in C–AIM Auctions to 57 See Rule 21.19(e). they are the same as the eligibility Continued

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The proposed C–SAM Auction The Exchange does not believe that submitted into C–SAM Auctions.62 The requirements for the stop price are allowing multiple auctions to overlap proposed auction notification message reasonable and promote a fair and for Agency Orders presents any unique includes the same information as the orderly market and national market issues that differ from functionality auction notification message for simple system, because they are consistent with already in place on the Exchange. SAM Auctions, and will be available in the corresponding requirements for a Pursuant to Rules 21.19(c)(1), the same data feed. The Exchange has simple SAM Auction, except the 21.21(c)(1), and 21.22(c)(1), multiple proposed a range between no less than proposed requirements are based on the AIM (for Agency Orders for 50 or more 100 milliseconds and no more than one SBBO and complex order prices in the contracts), SAM, and C–AIM (for second for the duration of a C–SAM COB rather than the NBBO. As noted Agency Orders with the smallest leg for Auction, which is the same duration of above, there is no NBBO for complex 50 or more contracts) Auctions, a simple SAM Auction. This will orders. The proposed stop price respectively, may overlap.61 Different provide investors with more timely requirements promote just and equitable complex strategies are essentially execution of their complex orders, while principles of trade, because they protect different products, as orders in those ensuring there is an adequate exposure Priority Customer orders in the Simple strategies cannot interact, just as orders of complex orders. This proposed Book and Priority Customer complex in different series or classes cannot auction response time should provide orders in the COB, and prevent trading interact. Therefore, the Exchange investors with the opportunity to through the SBBO and the best-priced believes concurrent C–SAM Auctions in receive price improvement for complex 60 orders on the COB. different complex strategies is orders through C–SAM while reducing As discussed above, the Exchange has appropriate given that concurrent market risk. The Exchange believes a proposed to allow C–SAM Auctions to simple SAM Auctions in different series briefer time period reduces the market occur concurrently with other C–SAM or different classes may occur. risk for the Initiating Member, versus an Auctions for the same complex Similarly, while it is possible for a auction with a longer period, as well as strategies. Although C–SAM Auctions complex order to leg into the Simple for any Options Member providing for Agency Orders will be allowed to Book, a complex order may only execute overlap, the Exchange does not believe responses to a broadcast. As such, the against simple orders if there is interest Exchange believes the proposed rule this raises any issues that are not in each component in the ratio of the addressed through the proposed rule change would help perfect the complex strategy. A simple order in one mechanism for a free and open national change described above. For example, component of a complex strategy cannot although overlapping, each C–SAM market system, and generally help on its own interact with a complex protect investors and the public interest. Auction will be started in a sequence order in that complex strategy. and with a time that will determine its All Options Members will have an equal Therefore, the Exchange believes it is opportunity to respond with their best processing. Thus, even if there are two appropriate to permit concurrent SAM C–SAM Auctions in the same complex prices during the C–SAM Auction. and C–SAM Auctions in the same Since the Exchange considers all strategy that commence and conclude, component. As proposed, C–SAM at nearly the same time, each C–SAM complex interest present in the System, Auctions will ensure that Agency and not solely C–SAM responses, for Auction will have a distinct conclusion Orders execute at prices that protect at which time the C–SAM Auction will execution against the Agency Order, Priority Customer orders in the Simple those participants who are not explicit be allocated. In turn, when the first C– Book and that are not inferior to the SAM Auction concludes, unrelated responders to a C–SAM Auction may SBBO, even when there are concurrent receive executions via C–SAM as well.63 orders that then exist will be considered simple and complex auctions occurring. for participation in the C–SAM Auction. The proposed rule change sets forth The proposed C–SAM Auction If unrelated orders are fully executed in how any auctions with overlapping response requirements are reasonable such C–SAM Auction, then there will be components will conclude if terminated and promote a fair and orderly market no unrelated orders for consideration due to the same event. The Rules do not and national market system, because when the subsequent C–SAM Auction is currently prevent a C–AIM in a complex they are virtually identical to the processed (unless new unrelated order strategy from occurring at the same time corresponding requirements for a simple interest has arrived). If instead there is as an AIM in one of the components of SAM Auction and benefit investors by remaining unrelated order interest after the complex strategy. Therefore, the providing clarity regarding how they the first C–SAM Auction has been Exchange believes it is similarly may respond to a C–SAM Auction. The allocated, then such unrelated order reasonable to permit a C–SAM in a only differences are that C–SAM interest will be considered for allocation complex strategy to occur at the same responses will be aggregated with other when the subsequent C–SAM Auction is time as a SAM in one of the components complex size rather than other simple processed. As another example, each C– of the complex strategy. interest, and C–SAM responses will be SAM response is required to specifically The proposed auction process will capped at the SBBO or prices of identify the Auction for which it is promote a free and open market, complex orders rather than the NBBO targeted and if not fully executed will be because it ensures equal access to (because, as discussed above, there is no cancelled back at the conclusion of the information regarding C–SAM Auctions NBBO for complex orders and Auction. Thus, C–SAM responses will and the exposed Agency Orders for all restricting prices based on the SBBO be specifically considered only in the market participants, as all Options and complex orders will ensure specified C–SAM Auction. Members that subscribe to the protection of Priority Customer orders). Exchange’s data feeds with the This will further benefit investors by consist of multiple orders) and Cboe Options Rule providing consistency across the 5.40 (which permits the Solicited Order in Cboe opportunity to interact with orders Options C–SAM Auctions to consist of multiple orders). 61 See also Cboe Options Rules 5.37(c)(1), 62 Any Options Member can subscribe to the 60 See also Rule 21.22(b) (which applies similar 5.38(c)(1), 5.39(c)(1), and 5.40(c)(1) (which permit options data disseminated through the Exchange’s stop price requirements in C–AIM Auctions) and concurrent AIM (for larger-sized Agency Orders), data feeds. Cboe Options Rule 5.40(b) (which applies the same C–AIM (for larger-sized Agency Orders), SAM, and 63 See also Rule 21.22(c) and Cboe Options Rule stop price requirements in C–SAM Auctions. C–SAM Auctions, respectively). 5.40(c).

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Exchange’s price improvement is a trading halt on the Exchange in the in the COB (or auction responses), and mechanisms.64 affected series. Cancelling C–SAM last against any other simple interest in The proposed rule change will also Auctions without execution in this the Simple Book (with executions perfect the mechanism of a free and circumstance is consistent with against the Simple Book occurring in open market and a national market Exchange handling of trading halts in the applicable ratio). This occurs at each system, because it is consistent with the context of continuous trading on price at which the complex order may linkage rules. Rule 27.2(b)(8) provides EDGX Options and promotes just and execute. Requiring the System to make that a transaction that is effected as a equitable principles of trade and, in these determinations by going ‘‘back portion of a complex trade is exception general, protects investors and the and forth’’ between the Simple Book to the prohibition on effecting trade- public interest.66 and the COB at multiple price levels is throughs. As discussed above, any Pursuant Rule 21.20, if an order is more complicated after a C–SAM executions following a C–SAM Auction able to leg into the Simple Book, the Auction. The System must determine will not trade-through the SBBO or System would first execute an order the aggregate amount of interest prices of complex orders resting on the against Priority Customer orders in the available at each execution price level COB (and will always improve the Simple Book, then against any complex before determining whether the Agency SBBO or COB prices if they consist of order interest in the COB (or auction Order will execute against the Solicited a Priority Customer order). responses), and last against any other Order or contra-side complex interest. The proposed events that will simple interest in the Simple Book (with conclude a C–SAM Auction are executions against the Simple Book As discussed above, the Exchange reasonable and promote a fair and occurring in the applicable ratio). This believes the proposed rule change orderly market and national market would occur at each price at which the protects Priority Customer orders on the system, because they are consistent with complex order may execute. Requiring Simple Book, because executions the corresponding events that will the System to make these following a C–SAM Auction will be conclude a simple SAM Auction, and determinations by going ‘‘back and subject to the general complex order benefit investors by providing clarity forth’’ between the Simple Book and the priority 68 that will apply to all regarding what will cause a C–SAM COB at multiple price levels would be executions of all complex orders on the Auction to conclude. These events more complicated after a C–SAM Exchange. It ensures an Agency Order would create circumstances under Auction. The System must determine will only execute at prices better than which a C–SAM would not have been the aggregate amount of interest the SBBO existing at the conclusion of permitted to start, and thus the available at each execution price level the C–SAM Auction if there is a Priority Exchange believes it is appropriate to before executing any portion of the Customer order at the BBO on any leg, conclude a C–SAM Auction if those Agency Order to determine the final and at prices equal to or better than the circumstances occur. As is the case with auction price and how to allocate the SBBO existing at the conclusion of the a simple SAM Auction (which will not Agency Order against contra-side C–SAM Auction if there is no Priority conclude early due to the receipt of an interest at the conclusion of a C–SAM Customer order at the BBO on any leg. opposite side simple order), the Auction. This is necessary because the The proposed allocation will also Exchange will not conclude a C–SAM System must determine at each price ensure the Agency Order does not trade Auction early due to the receipt of an level the aggregate non-Priority at the same price as a Priority Customer opposite side complex order. The Customer interest to determine whether complex order resting on the COB or Exchange believes this promotes just there is sufficient size of contra-side through the best-priced complex orders and equitable principles of trade, interest at improved prices and thus on the COB, and will protect investors because these orders may have the whether the Agency Order will execute by providing Priority Customer complex opportunity to trade against the Agency against the Solicited Order or contra- orders with priority at each price level. Order following the conclusion of the side interest. Given the infrequency with which C–SAM Auction, which execution must As noted above, there would be complex orders currently leg into the still be at or better than the SBBO and significant technical complexities Simple Book, the Exchange believes it is prices of complex orders in the COB. associated with reprogramming priority in the best interest of investors to not The Exchange believes this will protect within the System to permit Agency implement additional technical investors, because it will provide more Orders to leg into the Simple Book complexities given the expected 67 time for price improvement, and the following a C–SAM Auction and minimal impact, if any, that not unrelated order will have the allocate the Agency Order in a manner permitting Agency Orders to leg into the opportunity to trade against the Agency consistent with standard priority Simple Book following a C–SAM Order in the same manner as all other principles and crossing auctions, while 65 Auction would have on execution contra-side complex interest. making the most crossing functionality opportunities for orders in the Simple With respect to trading halts, as available to Options Members. Pursuant Book.69 described above, in the case of a trading to the complex order priority principles halt on the Exchange in the affected in Rule 21.20(f)(2), if an order is able to As is the case with SAM, an Options complex strategy or any component leg into the Simple Book, the System Member may not use C–SAM to series, the C–SAM Auction will be first executes an order against Priority circumvent the Exchange’s rules cancelled without execution. This is Customer orders in the Simple Book, limiting principal transactions. The consistent with simple SAM, which will then against any complex order interest proposed regulatory provisions are the be cancelled without execution if there same as those applicable to simple 66 The Exchange notes that trading on the 64 See also Rule 21.22(c)(5) and Cboe Options Exchange in any option contract will be halted 68 See proposed Rule 21.23(e)(4). Rule 5.40(c)(5). whenever trading in the underlying security has 69 See also Rule 21.22(e) (pursuant to which 65 See also Rule 21.22(d) (pursuant to which the been paused or halted by the primary listing market Agency Orders will not leg into the Simple Book same events will conclude a C–AIM Auction) and and other circumstances. See Rule 20.3. following a C–AIM Auction) and Cboe Options Rule Cboe Options Rule 5.40(d) (pursuant to which the 67 The Exchange notes AON complex orders will 5.40(e) (pursuant to which Agency Orders will same events will conclude a C–SAM Auction on not be able to leg into the Simple Book due to the execute in the same manner as the proposed rule Cboe Options). same technical complexities. See Rule 21.20(g). change following a C–SAM Auction).

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SAM,70 and the Exchange believes they C–SAM would satisfy the requirements Agency Order and Solicited Order, or will protect customers and the public of Rule 11a2–2(T). the response, as applicable, have been interest, prevent fraudulent and The Exchange does not operate a transmitted, the Initiating Member that manipulative acts and practices, and physical trading floor. In the context of transmitted the orders, or the User that promote just and equitable principles of automated trading systems, the submitted the response, respectively, trade. Commission has found that the off-floor will not participate in the execution of The proposed rule change is also transmission requirement is met if a the Agency Order or Solicited Order, or consistent with Section 11(a)(1) of the covered account order is transmitted the response, respectively. No Options Act 71 and the rules promulgated from a remote location directly to an Member, including the Initiating thereunder. Generally, Section 11(a)(1) exchange’s floor by electronic means.76 Member, will see a C–SAM response of the Act restricts any member of a The Exchange represents that the submitted into C–SAM, and therefore national securities exchange from System and the proposed C–SAM and will not be able to influence or effecting any transaction on such Auction will receive all orders guide the execution of their Agency exchange for (i) the member’s own electronically through remote terminals Orders, Solicited Orders, or C–SAM account, (ii) the account of a person or computer-to-computer interfaces. The responses, as applicable. associated with the member, or (iii) an Exchange represents that orders (as well Rule 11a2–2(T)’s third condition account over which the member or a as responses) for covered accounts from requires that the order be executed by person associated with the member Options Members will be transmitted an exchange member who is unaffiliated exercises investment discretion from a remote location directly to the with the member initiating the order. (collectively, referred to as ‘‘covered proposed C–SAM mechanism by The Commission has stated that the accounts’’), unless a specific exemption electronic means, and thus will satisfy requirement is satisfied when is available. Examples of common the off-floor transmission requirement. automated exchange facilities, such as exemptions include the exemption for The second condition of Rule 11a2– the C–SAM Auction are used, as long as transactions by broker dealers acting in 2(T) requires that neither a member nor the design of these systems ensures that the capacity of a market maker under an associated person of such member members do not possess any special or Section 11(a)(1)(A),72 the ‘‘G’’ participate in the execution of its order. unique trading advantages in handling exemption for yielding priority to non- The Exchange represents that, upon their orders after transmitting them to members under Section 11(a)(1)(G) of submission to the C–SAM Auction, an the exchange.78 The Exchange the Act and Rule 11a1–1(T) order or C–SAM response will be represents that the C–SAM Auction is thereunder,73 and ‘‘Effect vs. Execute’’ executed automatically pursuant to the designed so that no Options Member exemption under Rule 11a2–2(T) under rules set forth for C–SAM Auctions. In has any special or unique trading the Act.74 particular, execution of an order advantage in the handling of its orders The ‘‘Effect vs. Execute’’ exemption (including the Agency and Solicited or responses after transmitting its orders permits an exchange member, subject to Order) or a C–SAM response sent to the to the mechanism. certain conditions, to effect transactions mechanism depends not on the Options Rule 11a2–2(T)’s fourth condition for covered accounts by arranging for an Member entering the order or response, requires that, in the case of a transaction unaffiliated member to execute but rather on what other orders and effected for an account with respect to transactions on the exchange. To responses are present and the priority of which the initiating member or an comply with Rule 11a2–2(T)’s those orders and responses. Thus, at no associated person thereof exercises conditions, a member: (i) Must transmit time following the submission of an investment discretion, neither the the order from off the exchange floor; order or response is an Options Member initiating member nor any associated (ii) may not participate in the execution or associated person of such Options person thereof may retain any of the transaction once it has been Member able to acquire control or compensation in connection with transmitted to the member performing influence over the result or timing of effecting the transaction, unless the the execution; 75 (iii) may not be order or response execution.77 Once the person authorized to transact business affiliated with the executing member; for the account has expressly provided and (iv) with respect to an account over 76 See, e.g., Securities Exchange Act Release Nos. otherwise by written contract referring which the member has investment 61419 (January 26, 2010), 75 FR 5157 (February 1, to Section 11(a) of the Act and Rule 2010) (SR–BATS–2009–031) (approving BATS 79 discretion, neither the member nor its options trading); 59154 (December 23, 2008), 73 FR 11a2–2(T) thereunder. The Exchange associated person may retain any 80468 (December 31, 2008) (SR–BSE–2008–48) compensation in connection with (approving equity securities listing and trading on orders, after they have been transmitted so long as effecting the transaction except as BSE); 57478 (March 12, 2008), 73 FR 14521 (March such modifications or cancellations are also 18, 2008) (SR–NASDAQ–2007–004 and SR– transmitted from off the floor. See Securities provided in the Rule. For the reasons set NASDAQ–2007–080) (approving NOM options Exchange Act Release No. 14563 (March 14, 1978), forth below, the Exchange believes that trading); 53128 (January 13, 2006), 71 FR 3550 43 FR 11542, 11547 (the ‘‘1978 Release’’). Options Members entering orders into a (January 23, 2006) (File No. 10–131) (approving The 78 In considering the operation of automated Nasdaq Stock Market LLC); 44983 (October 25, execution systems operated by an exchange, the 2001), 66 FR 55225 (November 1, 2001) (SR–PCX– Commission noted that, while there is not an 70 See Rule 21.21, Interpretations and Policies .01 00–25) (approving Archipelago Exchange); 29237 independent executing exchange member, the and .02; see also Cboe Options Rule 5.40, (May 24, 1991), 56 FR 24853 (May 31, 1991) (SR– execution of an order is automatic once it has been Interpretations and Policies .01 and .02. NYSE–90–52 and SR–NYSE–90–53) (approving transmitted into the system. Because the design of 71 15 U.S.C. 78k(a). Section 11(a)(1) prohibits a NYSE’s Off-Hours Trading Facility); and 15533 these systems ensures that members do not possess member of a national securities exchange from (January 29, 1979), 44 FR 6084 (January 31, 1979) any special or unique trading advantages in effecting transactions on that exchange for its own (‘‘1979 Release’’). handling their orders after transmitting them to the account, the account of an associated person, or an 77 An Initiating Member may not cancel or modify exchange, the Commission has stated that account over which it or its associated person an Agency Order or Solicited Order after it has been executions obtained through these systems satisfy exercises discretion unless an exception applies. submitted into C–SAM, but Users may modify or the independent execution requirement of Rule 72 15 U.S.C. 78k(a)(1)(A). cancel their responses after being submitted into a 11a2–2(T). See 1979 Release. 73 15 U.S.C. 78k(a)(1)(G) and 17 CFR 240.11a1– C–SAM. See proposed Rule 5.40(c)(4) and (c)(5)(G). 79 See 17 CFR 240.11a2–2(T)(a)(2)(iv). In addition, 1(T). The Exchange notes that the Commission has stated Rule 11a2–2(T)(d) requires a member or associated 74 17 CFR 240.11a2–2(T). that the non-participation requirement does not person authorized by written contract to retain 75 The member may, however, participate in preclude members from cancelling or modifying compensation, in connection with effecting clearing and settling the transaction. orders, or from modifying instructions for executing transactions for covered accounts over which such

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recognizes that Options Members turn, will simplify the technology for simple SAM.82 The auction process relying on Rule 11a2–2(T) for implementation, changes, and is also similar, and is modified to transactions effected through the C– maintenance by Users of the Exchange address the underlying differences SAM Auction must comply with this that are also participants on Cboe between simple and complex orders. condition of the Rule and the Exchange Affiliated Exchanges. This will provide For example, C–SAM will base pricing will enforce this requirement pursuant Users with greater harmonization of and execution requirements on the to its obligations under Section 6(b)(1) price improvement auction mechanisms SBBO and complex orders in the COB, of the Act to enforce compliance with available among the Cboe Affiliated rather than the NBBO (which does not federal securities laws. Exchanges, and therefore perfect the apply to complex orders), to ensure The Exchange believes that the instant mechanism of a free and open market consistency with Priority Customer proposal is consistent with Rule 11a2– and a national market system and priority and complex order priority 2(T), and that therefore the exception protect investors. principles. should apply in this case. Therefore, the The Exchange believes that the Exchange believes the proposed rule B. Self-Regulatory Organization’s proposed rule change will relieve any change is consistent with Section 11(a) Statement on Burden on Competition burden on, or otherwise promote, of the Act and the Rules thereunder. The Exchange does not believe that competition. The Exchange believes this The proposed rule change will also the proposed rule change will impose proposed rule change is necessary to perfect the mechanism of a free and any burden on competition that is not permit fair competition among the open market and a national market necessary or appropriate in furtherance options exchanges and to establish more system, because it is consistent with of the purposes of the Act. The uniform price improvement auction linkage rules. Rule 27.2(b)(8) provides Exchange does not believe the proposed rules on the various options exchanges. that a transaction that is effected as a rule change will impose any burden on The Exchange anticipates that this portion of a complex trade is exception intramarket competition, as the proposal will create new opportunities to the prohibition on effecting trade- proposed rule change will apply in the for the Exchange to attract new business throughs. As discussed above, any same manner to all orders submitted to and compete on equal footing with executions following a C–SAM Auction a C–SAM Auction. The proposed C– those options exchanges with complex will not trade-through the SBBO or SAM Auction is voluntary for Options order price improvement auctions and prices of complex orders resting on the Members to use and will be available to for this reason the proposal does not COB (and will always improve the all Options Members. As discussed create an undue burden on intermarket SBBO or COB prices if they consist of above, the Exchange believes the competition. Rather, the Exchange a Priority Customer order). The proposed rule change should encourage believes that the proposed rule would proposed rule change will also remove Options Members to compete amongst bolster intermarket competition by impediments to and perfect the each other by responding with their best promoting fair competition among mechanism of a free and open market price and size for a particular auction. individual markets. and a national market system, because By offering all Options Members the it is substantially similar to solicitation ability to participate in the proposed C. Self-Regulatory Organization’s auction mechanisms of other options allocation during the C–SAM Auction, Statement on Comments on the exchanges.80 an Options Member will be encouraged Proposed Rule Change Received From The proposed rule change enhances to submit complex orders outside of the Members, Participants, or Others one of its price improvement auction C–SAM Auction at the best and most The Exchange neither solicited nor mechanisms to apply to complex orders, aggressive prices. Within the C–SAM received comments on the proposed which enhanced auction mechanism is Auction, the Exchange believes the rule change. substantially the same as one offered by proposed rule change will encourage III. Date of Effectiveness of the Cboe Options and has a framework that Options Member to compete vigorously Proposed Rule Change and Timing for is aligned with the other auction to provide the opportunity for price Commission Action mechanisms offered by the Exchange improvement in a competitive auction and Cboe Options. Therefore, this process. The proposed execution and Within 45 days of the date of proposed rule change will ultimately allocation rules are consistent with publication of this notice in the Federal provide a consistent technology offering those applicable to simple SAM, as well Register or within such longer period across the exchanges affiliated with the as complex order priority, and therefore up to 90 days (i) as the Commission may Exchange (the ‘‘Cboe Affiliated will ensure protection of Priority designate if it finds such longer period Exchanges,’’ which include Cboe Customer orders in both the Simple to be appropriate and publishes its Options, Cboe C2 Exchange, Inc., and Book and the COB. reasons for so finding or (ii) as to which Cboe BZX Exchange, Inc.), which, in The Exchange does not believe the the Exchange consents, the Commission proposed rule change will impose any will: member or associated persons thereof exercises burden on intermarket competition, A. By order approve or disapprove investment discretion, to furnish at least annually because other options exchanges offer such proposed rule change, or to the person authorized to transact business for the similar complex order price B. institute proceedings to determine account a statement setting forth the total amount whether the proposed rule change of compensation retained by the member in improvement auctions for larger-sized connection with effecting transactions for the orders.81 The general framework and should be disapproved. account during the period covered by the statement primary features of the proposed C– which amount must be exclusive of all amounts IV. Solicitation of Comments paid to others during that period for services SAM Auction process (such as the Interested persons are invited to rendered to effect such transactions. See also 1978 eligibility requirements, auction submit written data, views, and Release, at 11548 (stating ‘‘[t]he contractual and response period, response requirements, arguments concerning the foregoing, disclosure requirements are designed to assure that and auction notification process), are accounts electing to permit transaction-related compensation do so only after deciding that such substantively the same as the framework 82 See Rule 21.21. It is also substantially similar arrangements are suitable to their interests’’). to the general framework of the Exchange’s other 80 See, e.g., Cboe Options Rule 5.40; and ISE 81 See, e.g., Cboe Options Rule 5.40; and ISE Rule price improvement auctions, AIM and C–AIM. See Options 3, Section 11(e). Options 3, Section 11(e). Rules 21.19 and 21.22 (respectively).

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including whether the proposed rule For the Commission, by the Division of statements may be examined at the change is consistent with the Act. Trading and Markets, pursuant to delegated places specified in Item IV below. The 83 Comments may be submitted by any of authority. Exchange has prepared summaries, set the following methods: Jill M. Peterson, forth in sections A, B, and C below, of Assistant Secretary. the most significant aspects of such Electronic Comments [FR Doc. 2019–24185 Filed 11–5–19; 8:45 am] statements. • Use the Commission’s internet BILLING CODE 8011–01–P A. Self-Regulatory Organization’s comment form (http://www.sec.gov/ Statement of the Purpose of, and rules/sro.shtml); or SECURITIES AND EXCHANGE Statutory Basis for, the Proposed Rule • Send an email to rule-comments@ COMMISSION Change sec.gov. Please include File Number SR– [Release No. 34–87433; File No. SR– 1. Purpose CboeEDGX–2019–064 on the subject EMERALD–2019–35] line. The Exchange is refiling its proposal Self-Regulatory Organizations; MIAX to amend the Fee Schedule in order to Paper Comments Emerald, LLC; Notice of Filing and provide additional analysis of its • Send paper comments in triplicate Immediate Effectiveness of a Proposed baseline revenues, costs, and profitability (before the proposed fee to Secretary, Securities and Exchange Rule Change To Amend Its Fee change) and the Exchange’s expected Commission, 100 F Street NE, Schedule revenues, costs, and profitability Washington, DC 20549–1090. October 31, 2019 (following the proposed fee change) for All submissions should refer to File Pursuant to Section 19(b)(1) of the its network connectivity services. This Number SR–CboeEDGX–2019–064. This Securities Exchange Act of 1934 additional analysis includes information file number should be included on the (‘‘Act’’),1 and Rule 19b–4 thereunder,2 regarding its methodology for subject line if email is used. To help the notice is hereby given that on October determining the baseline costs and Commission process and review your 22, 2019, MIAX Emerald, LLC (‘‘MIAX revenues, as well as expected costs and comments more efficiently, please use Emerald’’ or ‘‘Exchange’’), filed with the revenues, for its network connectivity only one method. The Commission will Securities and Exchange Commission services. The Exchange is also refiling post all comments on the Commission’s (‘‘Commission’’) a proposed rule change its proposal in order to address certain as described in Items I and II below, internet website (http://www.sec.gov/ points raised in the only comment letter which Items have been prepared by the received by the Commission on the rules/sro.shtml). Copies of the Exchange. The Commission is Exchange’s prior proposal to increase submission, all subsequent publishing this notice to solicit connectivity fees.3 In order to determine amendments, all written statements comments on the proposed rule change the Exchange’s baseline costs associated with respect to the proposed rule from interested persons. with providing network connectivity change that are filed with the I. Self-Regulatory Organization’s services, the Exchange conducted an Commission, and all written extensive cost review in which the communications relating to the Statement of the Terms of Substance of the Proposed Rule Change Exchange analyzed every expense item proposed rule change between the in the Exchange’s general expense Commission and any person, other than The Exchange is filing a proposal to ledger to determine whether each such those that may be withheld from the amend the MIAX Emerald Fee Schedule expense relates to the provision of public in accordance with the (the ‘‘Fee Schedule’’) to adopt the network connectivity services, and, if provisions of 5 U.S.C. 552, will be Exchange’s system connectivity fees. such expense did so relate, what portion available for website viewing and The Exchange previously filed the (or percentage) of such expense actually printing in the Commission’s Public proposal on August 23, 2019 (SR– supports the provision of network Reference Room, 100 F Street NE, EMERALD–2019–31). That filing has connectivity services. The sum of all Washington, DC 20549 on official been withdrawn and replaced with the such portions of expenses represents the business days between the hours of current filing (SR–EMERALD–2019–35). total actual baseline cost of the 10:00 a.m. and 3:00 p.m. Copies of such The text of the proposed rule change Exchange to provide network filing also will be available for is available on the Exchange’s website at connectivity services. (For the inspection and copying at the principal http://www.miaxoptions.com/rule- avoidance of doubt, no expense amount filings/emerald, at MIAX’s principal office of the Exchange. All comments was allocated twice.) The Exchange is office, and at the Commission’s Public received will be posted without change. presenting the results of its cost review Reference Room. Persons submitting comments are in a way that corresponds directly with cautioned that we do not redact or edit II. Self-Regulatory Organization’s the Exchange’s 2018 Audited personal identifying information from Statement of the Purpose of, and Unconsolidated Financial Statement, the relevant section of which is attached comment submissions. You should Statutory Basis for, the Proposed Rule [sic] hereto as Exhibit 3, which is submit only information that you wish Change publicly available as part of the to make available publicly. All In its filing with the Commission, the Exchange’s Form 1 Amendment.4 The submissions should refer to File Exchange included statements Number SR–CboeEDGX–2019–064, and concerning the purpose of and basis for 3 See Letter from John Ramsay, Chief Market should be submitted on or before the proposed rule change and discussed Policy Officer, Investors Exchange LLC (‘‘IEX’’), to November 27, 2019. any comments it received on the Vanessa Countryman, Secretary, Commission, dated proposed rule change. The text of these October 9, 2019 (‘‘Third IEX Letter,’’ as further described below). 4 See the complete Audited Unconsolidated 83 17 CFR 200.30–3(a)(12). Financial Statement of MIAX Emerald, LLC, as of 1 15 U.S.C. 78s(b)(1). December 31, 2018, which is listed under Exhibit 2 17 CFR 240.19b–4. D of MIAX Form 1 Amendment 2019–7 Annual

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purpose of presenting it in this manner relate to Shared Connections, and thus the Commission from finding that is to provide greater transparency into are the same amounts as are currently in BOX’s proposed connectivity fees were the Exchange’s actual and expected place at MIAX and MIAX PEARL; (ii) all consistent with the Act. These revenues, costs, and profitability of the Members of MIAX Emerald are deficiencies relate to topics that the associated with providing network also members of either MIAX and/or Commission believes should be connectivity services. Based on this MIAX PEARL, and most of those discussed in a connectivity fee filing. analysis, the Exchange believes that its Members already have connectivity to After the BOX Order was issued, the proposed fees are fair and reasonable the Exchange via existing Shared Commission received four comment because they will permit recovery of Connections (without paying any new letters on the First Proposed Rule less than all of the Exchange’s costs for incremental connectivity fees), the Change.10 providing the network connectivity Exchange is providing similar The Second SIFMA Letter argued that services and will not result in excessive information to that which was provided the Exchange did not provide sufficient pricing or supra-competitive profit, in the MIAX and PEARL Fee Filings, information in its First Proposed Rule when comparing the Exchange’s total including providing detail about the Change to support a finding that the annual expense associated with market participants impacted by the proposal should be approved by the providing the network connectivity Proposed Fees, as well as the costs Commission after further review of the services versus the total projected incurred by the Exchange associated Proposed Fees. Specifically, the Second annual revenue the Exchange projects to with providing the connectivity SIFMA Letter argued that the collect for providing the network alternatives, in order to provide Exchange’s market data fees and connectivity services. transparency and support relating to the connectivity fees were not constrained Specifically, the Exchange proposes to Exchange’s belief that the Proposed Fees by competitive forces, the Exchange’s amend Sections 5(a) and (b) of the Fee are reasonable, equitable, and non- filing lacked sufficient information Schedule to adopt the network discriminatory, and to provide sufficient regarding cost and competition, and that connectivity fees for the 1 Gigabit information for the Commission to the Commission should establish a (‘‘Gb’’) fiber connection and the 10Gb determine that the Proposed Fees are framework for determining whether fees ultra-low latency (‘‘ULL’’) fiber consistent with the Act. for exchange products and services are connection, which are charged to both The Exchange initially filed the reasonable when those products and 5 Members and non-Members of the Proposed Fees on March 1, 2019, services are not constrained by Exchange for connectivity to the designating the Proposed Fees significant competitive forces. Exchange’s primary/secondary facility. immediately effective.7 The First The IEX Letter argued that the The Exchange also proposes to adopt Proposed Rule Change was published Exchange did not provide sufficient network connectivity fees for the 1Gb for comment in the Federal Register on information in its First Proposed Rule and 10Gb fiber connections for March 20, 2019.8 The First Proposed Change to support a finding that the connectivity to the Exchange’s disaster Rule Change provided information proposal should be approved by the recovery facility. Each of these about the market participants impacted Commission and that the Commission connections (with the exception of the by the Proposed Fees, as well as the should extend the time for public 10Gb ULL) are shared connections additional costs incurred by the comment on the First Proposed Rule (collectively, the ‘‘Shared Exchange associated with providing the Change. Despite the objection to the Connections’’), and thus can be utilized connectivity alternatives, in order to Proposed Fees, the IEX Letter did find to access the Exchange and both of the provide transparency and support that ‘‘MIAX has provided more Exchange’s affiliates, Miami relating to the Exchange’s belief that the transparency and analysis in these International Securities Exchange, LLC Proposed Fees are reasonable, equitable, filings than other exchanges have sought (‘‘MIAX’’) and MIAX PEARL, LLC and non-discriminatory, and to provide to do for their own fee increases.’’ 11 The (‘‘MIAX PEARL’’). The 10Gb ULL sufficient information for the IEX Letter specifically argued that the connection is a dedicated connection Commission to determine that the Proposed Fees were not constrained by (‘‘Dedicated Connection’’), which Proposed Fees are consistent with the competition, the Exchange should provides network connectivity solely to Act. provide data on the Exchange’s actual the trading platforms, market data On March 29, 2019, the Commission costs and how those costs relate to the systems, and test system facilities of issued its Order Disapproving Proposed product or service in question, and MIAX Emerald. These proposed fees are Rule Changes to Amend the Fee whether and how MIAX Emerald and its collectively referred to herein as the Schedule on the BOX Market LLC affiliates considered changes to ‘‘Proposed Fees.’’ The amounts of the Options Facility to Establish BOX transaction fees as an alternative to Proposed Fees for the Shared Connectivity Fees for Participants and offsetting exchange costs. Connections are the same amounts that Non-Participants Who Connect to the The Second Healthy Markets Letter 9 are currently in place at MIAX and BOX Network (the ‘‘BOX Order’’). In did not object to the First Proposed Rule MIAX PEARL.6 While the Exchange is the BOX Order, the Commission new and only launched trading on highlighted a number of deficiencies it 10 See Letter from Joseph W. Ferraro III, SVP & March 1, 2019, since: (i) All of the found in three separate rule filings by Deputy General Counsel, MIAX, to Vanessa Proposed Fees (except for the fee BOX Exchange LLC (‘‘BOX’’) to increase Countryman, Acting Secretary, Commission, dated relating to the 10Gb ULL connection) BOX’s connectivity fees that prevented April 5, 2019 (‘‘MIAX Letter’’); Letter from Theodore R. Lazo, Managing Director and Associate General Counsel, SIFMA, to Vanessa Countryman, Filing at https://www.sec.gov/Archives/edgar/vprr/ 7 See Securities Exchange Act Release No. 85316 Acting Secretary, Commission, dated April 10, 2019 1900/19003680.pdf. (March 14, 2019), 84 FR 10350 (March 20, 2019) (‘‘Second SIFMA Letter’’); Letter from John Ramsay, 5 The term ‘‘Member’’ means an individual or (SR–EMERALD–2019–11) (the ‘‘First Proposed Rule Chief Market Policy Officer, IEX, to Vanessa organization approved to exercise the trading rights Change’’). Countryman, Acting Secretary, Commission, dated associated with a Trading Permit. Members are 8 Id. April 10, 2019 (‘‘IEX Letter’’); and Letter from Tyler deemed ‘‘members’’ under the Exchange Act. See 9 See Securities Exchange Act Release No. 85459 Gellasch, Executive Director, Healthy Markets, to Exchange Rule 100. (March 29, 2019), 84 FR 13363 (April 4, 2019) (SR– Brent J. Fields, Secretary, Commission, dated April 6 See SR–MIAX–2019–46 and SR–PEARL–2019– BOX–2018–24, SR–BOX–2018–37, and SR–BOX– 18, 2019 (‘‘Second Healthy Markets Letter’’). 33 (the ‘‘MIAX and PEARL Fee Filings’’). 2019–04). 11 See IEX Letter, pg. 1.

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Change and the information provided by did not call for the Commission to The Exchange refiled the Proposed the Exchange in support of the Proposed suspend the Second Proposed Rule Fee Increases on August 23, 2019, Fees. Specifically, the Second Healthy Change. Also, Healthy Markets did not designating the Proposed Fee Increases Markets Letter stated that the First comment on the Second Proposed Rule immediately effective.23 The Fourth Proposed Rule Change was ‘‘remarkably Change. Proposed Rule Change was published different,’’ and went on to further state On June 26, 2019, the Exchange for comment in the Federal Register on as follows: withdrew the Second Proposed Rule July 16, 2019.24 The Fourth Proposed The instant MIAX filings—along with their Change.18 Rule Change provided greater detail and April 5th supplement—provide much greater The Exchange refiled the Proposed clarity concerning the Exchange’s cost detail regarding users of connectivity, the Fees on June 26, 2019, designating the methodology as it pertains to the market for connectivity, and costs than the Proposed Fees immediately effective.19 Initial MIAX Filings. They also appear to Exchange’s expenses for network address many of the issues raised by the The Third Proposed Rule Change was connectivity services, using a line-by- Commission staff’s BOX disapproval order. published for comment in the Federal line analysis of the Exchange’s general 20 This third round of MIAX filings suggests Register on July 16, 2019. The Third expense ledger to determine what, if that MIAX is operating in good faith to Proposed Rule Change bolstered the any, portion of those expenses supports provide what the Commission and staff Exchange’s previous cost-based seek.12 the provision of network connectivity discussion to support its claim that the services. On April 29, 2019, the Exchange Proposed Fees are fair and reasonable withdrew the First Proposed Rule because they will permit recovery of the The Commission received only one Change.13 Exchange’s costs and will not result in comment letter on the Fourth Proposed The Exchange refiled the Proposed excessive pricing or supra-competitive Rule Change, twelve days after the Fees on April 30, 2019, designating the profit, in light of the Guidance issued by comment period deadline ended.25 Of Proposed Fees immediately effective.14 Commission staff subsequent to the note, no member of the Exchange The Second Proposed Rule Change was Second Proposed Rule Change. commented on the Fourth Proposed published for comment in the Federal The Commission received three Rule Change. Also, no issuer or other Register on May 16, 2019.15 The Second comment letters on the Third Proposed person using the facilities of the Proposed Rule Change provided further Rule Change.21 Exchange commented on the Fourth cost analysis information to squarely Neither the Third Healthy Markets Proposed Rule Change. Also, no and comprehensively address each and Letter nor the Fourth SIFMA Letter industry group that represents members, every topic raised for discussion in the called for the Commission to suspend or issuers, or other persons using the BOX Order, the IEX Letter and the disapprove the Proposed Fee Increases. facilities of the Exchange commented on Second SIFMA Letter to ensure that the In fact, the Third Healthy Markets Letter the Fourth Proposed Rule Change. Also, Proposed Fees are reasonable, equitable, acknowledged that ‘‘it appears as no operator of an options market and non-discriminatory, and that the though MIAX is operating in good faith commented on the Fourth Proposed Commission should find that the to provide what the Commission, its Rule Change. Also, no operator of a high Proposed Fees are consistent with the staff, and market participants the performance, ultra-low latency network, Act. information needed to appropriately which network can support access to On May 21, 2019, the Commission assess the filings.’’ The Third IEX Letter issued the Staff Guidance on SRO Rule three distinct exchanges and provides only reiterated points from the Second premium network monitoring and Filings Relating to Fees.16 IEX Letter and failed to address any of reporting services to customers, The Commission received two the new information in the Fifth commented on the Fourth Proposed comment letters on the Second Proposed Rule Change concerning the Proposed Rule Change, after the Exchange’s revenue figures, cost Rule Change. Rather, the only comment Guidance was released.17 The Second allocation or that the Proposed Fee letter came from an operator of a single IEX Letter and the Third SIFMA Letter Increases did not result in excessive equities market (equities market argued that the Exchange did not pricing or a supra-competitive profit for structure and resulting network provide sufficient information in its the Exchange. demands are fundamentally different 26 Second Proposed Rule Change to justify On August 23, 2019, the Exchange from those in the options markets), the Proposed Fees based on the withdrew the Third Proposed Rule which operator also has a Guidance and the BOX Order. Of note, Change.22 fundamentally different business model however, is that unlike their previous (and agenda) than does the Exchange. comment letter, the Third SIFMA Letter 18 See SR–EMERALD–2019–20. That letter—the Third IEX Letter— 19 See Securities Exchange Act Release No. 86344 called for, among other things, the 12 See Second Healthy Markets Letter, pg. 2. (July 10, 2019), 84 FR 34030 (July 16, 2019) (SR– Exchange to explain its basis for 13 See SR–EMERALD–2019–11. EMERALD–2019–24) (the ‘‘Third Proposed Rule concluding that it incurred substantially 14 See Securities Exchange Act Release No. 85839 Change’’). (May 10, 2019), 84 FR 22192 (May 16, 2019) (SR– 20 Id. higher costs to provide lower-latency EMERALD–2019–20) (the ‘‘Second Proposed Rule 21 See Letter from John Ramsay, Chief Market connections and further describe the Change’’) (Notice of Filing and Immediate Policy Officer, IEX, to Vanessa Countryman, Acting nature and closeness of the relationship Effectiveness of a Proposed Rule Change To Adopt Secretary, Commission, dated August 8, 2019 System Connectivity Fees). (‘‘Third IEX Letter’’); Letter from Tyler Gellasch, 15 Id. Executive Director, Healthy Markets, to Vanessa 23 16 See Staff Guidance on SRO Rule Filings Countryman, Acting Secretary, Commission, dated See Securities Exchange Act Release No. 86839 Relating to Fees (May 21, 2019), at https:// August 5, 2019 (‘‘Third Healthy Markets Letter’’); (August 30, 2019), 84 FR 47009 (September 6, 2019) www.sec.gov/tm/staff-guidance-sro-rule-filings-fees and Letter from Theodore R. Lazo, Managing (SR–EMERALD–2019–31) (the ‘‘Fourth Proposed (the ‘‘Guidance’’). Director and Associate General Counsel and Ellen Rule Change’’). 24 17 See Letter from John Ramsay, Chief Market Greene, Managing Director Financial Services Id. Policy Officer, IEX, to Vanessa Countryman, Acting Operations, SIFMA, to Vanessa Countryman, Acting 25 See supra note 3. Secretary, Commission, dated June 5, 2019 (the Secretary, Commission, dated August 5, 2019 26 See infra pages 16 to 18 (describing the (‘‘Fourth SIFMA Letter’’). differences in equity market structure and options 22 See SR–EMERALD–2019–24. market structure).

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between the identified costs and configured to provide Members and place at MIAX and MIAX PEARL. The connectivity products and services as non-Members of the Exchange network reasons for the substantial discount are stated in the Exchange’s cost allocation connectivity to the trading platforms, that the Dedicated Connection offers analysis. market data systems, test systems, and access to only a single market (the On October 22, 2019, the Exchange disaster recovery facilities of the Exchange), whereas the 10Gb ULL withdrew the Fourth Proposed Rule Exchange and its affiliates, MIAX and connection offered by MIAX and MIAX Change.27 MIAX PEARL, via a single, shared PEARL offers access to two markets The Exchange is now refiling the connection. Any Member or non- (MIAX and MIAX PEARL), as well as Proposed Fees to provide additional Member can purchase a Shared cost savings the Exchange was able to analysis of its baseline revenues, costs, Connection. achieve (and thus pass through to its and profitability (before the proposed For the Dedicated Connection, the Members) as a result of a dedicated fee change) and the Exchange’s expected Exchange’s MENI is configured to architecture. The network connectivity revenues, costs, and profitability provide Members and non-Members of fees for connectivity to the Exchange’s (following the proposed fee change) for the Exchange network connectivity to primary/secondary facility will be as its network connectivity services. This the trading platforms, market data follows: (a) 1,400 for the 1Gb additional analysis includes information systems, test systems, and disaster connection; and (b) $6,000 for the 10Gb regarding its methodology for recovery facilities of the Exchange. Any ULL connection. The network determining the baseline costs and Member or non-Member can purchase a connectivity fees for connectivity to the revenues, as well as expected costs and Dedicated Connection. The Exchange Exchange’s disaster recovery facility revenues, for its network connectivity determined to design its network will be as follows: (a) $550 for the 1Gb services. The Exchange is also refiling architecture in a manner that offered connection; and (b) $2,750 for the 10Gb its proposal in order to address certain 10Gb ULL connections as dedicated connection. points raised in the Third IEX Letter. connections (as opposed to shared The Exchange believes that the connections) in order to provide cost 2. Statutory Basis Proposed Fees are consistent with the saving opportunities for itself and for its The Exchange believes that its Act because they (i) are reasonable, Members, by reducing the amount of proposal to amend its Fee Schedule is equitably allocated, not unfairly equipment that the Exchange would consistent with Section 6(b) of the Act 28 discriminatory, and not an undue have to purchase and to which the in general, and furthers the objectives of burden on competition; (ii) comply with Members would have to connect. Section 6(b)(4) of the Act 29 in the BOX Order and the Guidance; (iii) Accordingly, the Exchange is able to particular, in that it provides for the are supported by evidence (including offer to its Members 10Gb ULL equitable allocation of reasonable dues, data and analysis), constrained by connectivity at a lower price point than fees and other charges among Exchange significant competitive forces; and (iv) is offered on MIAX and MIAX PEARL, Members and issuers and other persons are supported by specific information the price difference being reflective of using any facility or system which the (including quantitative information), the lower cost to the Exchange. Exchange operates or controls. The fair and reasonable because they will For the Shared Connections, Members Exchange also believes the proposal permit recovery of the Exchange’s costs and non-Members utilizing the MENI to furthers the objectives of Section 6(b)(5) (less than all) and will not result in connect to the trading platforms, market of the Act 30 in that it is designed to excessive pricing or supra-competitive data systems, test systems and disaster promote just and equitable principles of profit. Accordingly, the Exchange recovery facilities of the Exchange, trade, to remove impediments to and believes that the Commission should MIAX, and MIAX PEARL via a single, perfect the mechanism of a free and find that the Proposed Fees are shared connection are assessed only one open market and a national market consistent with the Act. The proposed monthly network connectivity fee per system, and, in general to protect rule change is immediately effective connection, regardless of the trading investors and the public interest and is upon filing with the Commission platforms, market data systems, test not designed to permit unfair pursuant to Section 19(b)(3)(A) of the systems, and disaster recovery facilities discrimination between customer, accessed via such connection. Thus, Act. issuers, brokers and dealers. The Exchange offers to both Members since all of the Members of MIAX The Commission has repeatedly and non-Members various bandwidth Emerald are also members of either expressed its preference for competition alternatives for connectivity to the MIAX and/or MIAX PEARL, and most of over regulatory intervention in Exchange, to its primary and secondary those Members already have determining prices, products, and facilities, consisting of a 1Gb fiber connectivity to the Exchange via services in the securities markets. In connection and a 10Gb ULL fiber existing Shared Connections, most Regulation NMS, the Commission connection. The 10Gb ULL offering uses Members of MIAX Emerald have instant highlighted the importance of market an ultra-low latency switch, which connectivity to the Exchange without forces in determining prices and SRO provides faster processing of messages paying any new incremental revenues and, also, recognized that sent to it in comparison to the switch connectivity fees, as more fully-detailed current regulation of the market system used for the other types of connectivity. below. ‘‘has been remarkably successful in The Exchange also offers to both The Exchange proposes to establish promoting market competition in its Members and non-Members various the monthly network connectivity fees broader forms that are most important to bandwidth alternatives for connectivity for such connections for both Members investors and listed companies.’’ 31 to the Exchange, to its disaster recovery and non-Members. As discussed above, the amounts of the Proposed Fees for The Exchange believes that its facility, consisting of a 1Gb fiber proposal is consistent with Section connection and a 10Gb connection. the Shared Connections are the same For the Shared Connections, the amounts that are currently in place at 28 15 U.S.C. 78f(b). Exchange’s MIAX Express Network MIAX and MIAX PEARL. The amount of 29 15 U.S.C. 78f(b)(4). Interconnect (‘‘MENI’’) can be the Proposed Fee for the Dedicated 30 15 U.S.C. 78f(b)(5). Connection is offered at a substantial 31 See Securities Exchange Act Release No. 51808 27 See SR–EMERALD–2019–31. discount to the amount currently in (June 9, 2005), 70 FR 37496 (June 29, 2005).

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6(b)(4) of the Act, in that the Proposed Members, no market makers currently needs of the firm. For example, if the Fees are fair, equitable and not connect to the Exchange indirectly firm wants to receive the top-of-market unreasonably discriminatory, because through such resellers. data feed product or depth data feed the fees for the connectivity alternatives The argument that all broker-dealers product, due to the amount/size of data available on the Exchange, as proposed, are required to connect to all exchanges contained in those feeds, such firm are constrained by significant is not true in the options markets. The would need to purchase a 10Gb ULL competitive forces. The U.S. options options markets have evolved connection. The 1Gb connection is too markets are highly competitive (there differently than the equities markets small to support those data feed are currently 16 options markets) and a both in terms of market structure and products. MIAX Emerald notes that functionality. For example, there are reliance on competitive markets is an there are twelve (12) Members that only many order types that are available in appropriate means to ensure equitable purchase the 1Gb connectivity the equities markets that are not utilized and reasonable prices. alternative. Thus, while there is a in the options markets, which relate to The Exchange acknowledges that meaningful percentage of purchasers of there is no regulatory requirement that mid-point pricing and pegged pricing which require connection to the SIPs only 1Gb connections (12 of 33), by any market participant connect to the definition, those twelve (12) members Exchange, or that any participant and each of the equities exchanges in order to properly execute those orders purchase connectivity that cannot connect at any specific connection support the top-of-market data feed speed. The rule structure for options in compliance with best execution product or depth data feed product and exchanges are, in fact, fundamentally obligations. In addition, in the options thus they do not purchase such data different from those of equities markets there is a single SIP (OPRA) exchanges. In particular, options market versus two SIPs in the equities markets, feed products. Accordingly, purchasing participants are not forced to connect to resulting in fewer hops and thus market data is a business decision/ (and purchase market data from) all alleviating the need to connect directly choice, and thus the pricing for it is options exchanges, as shown by the to all the options exchanges. constrained by competition. number of Members of MIAX Emerald Additionally, in the options markets, There is competition for connectivity as compared to the much greater the linkage routing and trade through to MIAX Emerald and its affiliates. number of members at other options protection are handled by the MIAX Emerald competes with eight (8) exchanges (as further detailed below). exchanges, not by the individual non-Members, who resell MIAX members. Thus not connecting to an MIAX Emerald is a brand new Emerald connectivity. These are options exchange or disconnecting from exchange, having only commenced resellers of MIAX Emerald an options exchange does not operations in March 2019. Not only connectivity—they are not arrangements does MIAX Emerald have less than half potentially subject a broker-dealer to violate order protection requirements. between broker-dealers to share the number of members as certain other connectivity costs. Those non-Members options exchanges, but there are also a Gone are the days when the retail brokerage firms (the Fidelity’s, the resell that connectivity to multiple number of the Exchange’s Members that market participants over that same do not connect directly to MIAX Schwab’s, the eTrade’s) were members connection, including both Members Emerald. Further, of the number of of the options exchanges—they are not and non-Members of MIAX Emerald Members that connect directly to MIAX members of MIAX Emerald or its (typically extranets and service Emerald, many such Members do not affiliates, MIAX and MIAX PEARL, they purchase market data from MIAX do not purchase connectivity to MIAX bureaus). When connectivity is re-sold Emerald. There are a number of large Emerald, and they do not purchase by a third-party, MIAX Emerald does market makers and broker-dealers that market data from MIAX Emerald. The not receive any connectivity revenue are members of other options exchanges Exchange further recognizes that the from that sale. It is entirely between the but not Members of MIAX Emerald. For decision of whether to connect to the third-party and the purchaser, thus example, the following are not Members Exchange is separate and distinct from constraining the ability of MIAX of MIAX Emerald: The D. E. Shaw the decision of whether and how to Emerald to set its connectivity pricing Group, CTC, XR Trading LLC, trade on the Exchange. The Exchange as indirect connectivity is a substitute Hardcastle Trading AG, Ronin Capital acknowledges that many firms may for direct connectivity. In fact, there are LLC, Belvedere Trading, LLC, Bluefin choose to connect to the Exchange, but currently seven (7) non-Members that Trading, and HAP Capital LLC. In ultimately not trade on it, based on their purchase 1Gb direct connectivity that addition, of the market makers that are particular business needs. are able to access MIAX Emerald, MIAX connected to MIAX Emerald, it is the To assist prospective Members or and MIAX PEARL. Those non-Members firms considering connecting to MIAX individual needs of the market maker resell that connectivity to eight (8) Emerald, the Exchange provides that require whether they need one customers, some of whom are agency information about the Exchange’s connection or multiple connections to broker-dealers that have tens of available connectivity alternatives in a the Exchange. The Exchange has market customers of their own. Some of those maker Members that only purchase one Connectivity Guide, which contains detailed specifications regarding, among eight (8) customers also purchase connection and the Exchange has connectivity directly from MIAX market maker Members that purchase other things, throughput and latency for 32 Emerald and/or its affiliates, MIAX and multiple connections. It is all driven by each available connection. The decision of which type of connectivity MIAX PEARL. Accordingly, indirect the business needs of the market maker. connectivity is a viable alternative used Market makers that are consolidators to purchase, or whether to purchase by non-Members of MIAX Emerald, that target resting order flow tend to connectivity at all for a particular constraining the price that MIAX purchase more connectivity than market exchange, is based on the business makers that simply quote all symbols on Emerald is able to charge for 32 See the MIAX Connectivity Guide at https:// connectivity to its Exchange. the Exchange. Even though non- www.miaxoptions.com/sites/default/files/page- Members purchase and resell 10Gb ULL files/MIAX_Connectivity_Guide_v3.6_ connections to both Members and non- 01142019.pdf.

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The Exchange,33 MIAX,34 and MIAX Connections, the most expensive connectivity alternative. Because it is 1/ PEARL 35 are comprised of 41 distinct connectivity option. 10th of the size, it does not offer access members amongst all three exchanges, As a result, of those 22 Members, to many of the products and services excluding any additional affiliates of through existing Shared Connections, offered by the Exchange, such as the such members that are also members of newly purchased Shared Connections, ability to quote or receive certain market the Exchange, MIAX, MIAX PEARL, or and newly purchased Dedicated data products. Approximately just less any combination thereof. Of those 41 Connections: 14 Members have 1Gb than half of MIAX Emerald, MIAX and distinct members, 28 of those distinct (primary/secondary) connections; 13 MIAX PEARL Members that connect (15 members are Members of MIAX Members have 10Gb ULL (primary/ out of 33) purchase 1Gb connections. Emerald. (Currently, there are no secondary) connections; 3 Members The 1Gb direct connection can support Members of MIAX Emerald that are not have 10Gb (disaster recovery) the sending of orders and the also members of MIAX or MIAX PEARL, connections; and 10 Members have 1Gb consumption of all market data feed or both.) Of those 28 distinct Members (disaster recovery) connections, or some products, other than the top-of-market of MIAX Emerald, there are 6 Members combination of multiple various data feed product or depth data feed that have no connectivity to the connections. All such Members with product (which require a 10Gb Exchange. Members are not forced to those Shared Connections and connection). The 1Gb direct connection purchase connectivity to the Exchange, Dedicated Connections trade on MIAX is generally purchased by market and these Members have elected not to Emerald. participants that utilize less bandwidth The 6 Members who have not purchase such connectivity. Of note, and also generally do not require the purchased any connectivity to the these same 6 Members also do not have high touch network support services Exchange are still able to trade on the connectivity to either MIAX or MIAX provided by the Exchange. Accordingly, Exchange indirectly through other PEARL. These Members either trade these connections consume the least indirectly through other Members or Members or non-Member service bureaus that are connected. These 6 resources of the Exchange and are the non-Members that have connectivity to least costly to the Exchange to provide. the Exchange, or do not trade and Members who have not purchased connectivity are not forced or compelled The market participants that purchase conduct another type of business on the 10Gb ULL direct connections utilize the Exchange. Of the remaining 22 distinct to purchase connectivity, and they retain all of the other benefits of most bandwidth and also generally do Members of MIAX Emerald, all 22 of require the high touch network support those distinct Members already had membership with the Exchange. Accordingly, Members have the choice services provided by the Exchange. connectivity to the Exchange via Accordingly, these connections existing Shared Connections, thus to purchase connectivity and are not compelled to do so in any way. consume the most resources of the providing all such 22 MIAX Emerald In addition, there are 5 non-Member Exchange and are the most costly to the Members with instant connectivity to service bureaus that already have Exchange to provide. Accordingly, the the Exchange without paying any new connectivity to the Exchange via Exchange believes the allocation of the incremental connectivity fees. existing Shared Connections, thus Proposed Fees ($6,000 for a 10Gb ULL Further, of those 22 Members, 14 of providing all 5 of those non-Member connection versus $1,400 for a 1Gb such Members elected to purchase service bureaus with instant connection) are reasonable based on the additional connectivity to the Exchange, connectivity to the Exchange without resources consumed by the respective including additional Shared paying any new incremental type of connection—lowest resource Connections and additional Dedicated connectivity fees. These non-Members consuming members pay the least, and Connections. The Exchange made freely purchased their connectivity from highest resource consuming members available in advance to all of its one of the Exchange’s affiliates, either pay the most, particularly since higher prospective Members its proposed MIAX or MIAX PEARL, in order to offer resource consumption translates connectivity pricing (subject to trading services to other firms and directly to higher costs to the Exchange. regulatory clearance), in order for those customers, as well as access to the The 10Gb ULL connection offers prospective Members to make an market data services that their optimized connectivity for latency informed decision about whether to connections to the Exchange provide sensitive participants. This lower become a Member of the Exchange and them, but they are not required or latency is achieved through more whether to purchase connectivity to the compelled to purchase any of the advanced network equipment, such as Exchange. Accordingly, each such Exchange’s connectivity options. advanced hardware and switching Member made the decision to become a The Exchange believes that the components, which translates to Member of the Exchange and to Proposed Fees are fair, equitable and not increased costs to the Exchange. purchase connectivity to the Exchange, unreasonably discriminatory because The Exchange launched trading on knowing in advance the connectivity the connectivity pricing is directly March 1, 2019. Thus, at the time that the pricing. And the vast majority of the related to the relative costs to the 14 Members who elected to purchase additional connectivity purchased by Exchange to provide those respective connectivity to the Exchange, the those Members were for Dedicated services, and does not impose a barrier Exchange was untested and unproven, to entry to smaller participants. and had 0% market share of the U.S. 33 The Exchange has 28 distinct Members, Accordingly, the Exchange offers two options industry. For September of excluding affiliated entities. See MIAX Emerald direct connectivity alternatives and 2019, the Exchange had only a 0.81% Exchange Member Directory, available at https:// various indirect connectivity (via third- www.miaxoptions.com. market share of the U.S. options party) alternatives, as described above. 34 MIAX has 38 distinct Members, excluding industry in Equity/Exchange Traded MIAX Emerald recognizes that there are affiliated entities. See MIAX Exchange Member Fund (‘‘ETF’’) classes according to the Directory, available at https:// various business models and varying OCC.36 For September of 2019, the www.miaxoptions.com. sizes of market participants conducting 35 MIAX PEARL has 36 distinct Members, excluding affiliated entities. See MIAX PEARL business on the Exchange. The 1Gb 36 See Exchange Market Share of Equity Exchange Member Directory, available at https:// direct connectivity alternative is 1/10th Products—2019, The Options Clearing Corporation, www.miaxoptions.com. the size of the 10Gb ULL direct Continued

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Exchange’s affiliate, MIAX, had only 2018–37, and SR–BOX–2019–04).39 The With respect to the now MIAX 3.87% market share of the U.S. options R2G Letter stated, ‘‘[w]hen BOX Emerald Members that had Shared industry in Equity/ETF classes instituted a $10,000/month price Connections in place as of August 1, according to the OCC.37 For September increase for connectivity; we had no 2018 (via a previously purchased of 2019, the Exchange’s affiliate, MIAX choice but to terminate connectivity Shared Connection from MIAX or MIAX PEARL, had only 5.30% market share of into them as well as terminate our PEARL), the Exchange finds it the U.S. options industry in Equity/ETF market data relationship. The cost compelling that all of those Members classes according to the OCC.38 The benefit analysis just didn’t make any continued to purchase those Shared Exchange is not aware of any evidence sense for us at those new levels.’’ Connections after August 1, 2018, when that a combined market share less than Accordingly, this example shows that if MIAX and MIAX PEARL increased the 10% provides the Exchange with anti- an exchange sets too high of a fee for connectivity fees for the Shared competitive pricing power. This, in connectivity and/or market data services Connections to the current amounts addition to the fact that not all broker- for its relevant marketplace, market proposed by the Exchange herein. In dealers are required to connect to all participants can choose to disconnect particular, the Exchange believes that options exchanges, supports the from the exchange. the Proposed Fees for the Shared Exchange’s conclusion that its pricing is Several market participants choose Connections are reasonable because constrained by competition. Certainly, not to be Members of the Exchange and MIAX and MIAX PEARL, which charge an untested and unproven exchange, choose not to access the Exchange, and the same amount for the Shared with less than 1% market share in any several market participants are Connections, did not lose any Members month, and no rule or requirement that proposing to access the Exchange (or the number of Shared Connections a market participant must join or indirectly through another market each Member purchased) or non- participant. To illustrate, the Exchange connect to it, does not have anti- Member Shared Connections when has only 34 total Members (including all competitive pricing power, with respect MIAX and MIAX PEARL proposed to such Members’ affiliate Members). to setting the pricing for the Dedicated increase the connectivity fees for the However, Cboe Exchange, Inc. (‘‘Cboe’’) Connections or the Shared Connections. Shared Connections on August 1, 2018. has over 200 members,40 Nasdaq ISE, If the Exchange were to attempt to For example, with respect to the Shared LLC has approximately 100 members,41 establish unreasonable connectivity Connections maintained by now and NYSE American LLC has over 80 pricing, then no market participant Members of MIAX Emerald who had members.42 If all market participants would join or connect. Therefore, since Shared Connections in place as of July were required to be Members of the 28 distinct Members joined MIAX 2018, 12 Members purchased 1Gb Exchange and connect directly to the Emerald and 14 of those distinct connections. The vast majority of those Exchange, the Exchange would have Members purchased additional Members purchased multiple such over 200 Members, in line with Cboe’s connectivity to the Exchange, all connections, the number of connections total membership. But it does not. The knowing, in advance, the connectivity depending on their throughput Exchange only has 34 Members. fees, the Exchange believes the requirements based on the volume of Further, since there are 41 distinct their quote/order traffic and market data Proposed Fees are reasonable, equitable, members amongst all three exchanges, and not unfairly discriminatory. needs associated with their business and only 28 of those distinct members model. After the fee increase, beginning Separately, the Exchange is not aware decided to become Members of MIAX August 1, 2018, the same 12 Members of any reason why market participants Emerald, there were 13 distinct purchased 1Gb connections. could not simply drop their connections members that decided not to become Furthermore, the total number of and cease being Members of the Members of MIAX Emerald. This further connections did not decrease from July Exchange if the Exchange were to reinforces the fact that all market to August. establish unreasonable and participants are not required to be Further, with respect to the Shared uncompetitive price increases for its Members of the Exchange and are not Connections maintained by now connectivity alternatives. Market required to connect to the Exchange. It Members of MIAX Emerald who had participants choose to connect to a is a choice whether to join and it is a Shared Connections in place as of July particular exchange and because it is a choice to connect. Therefore, the 2018, of those Members and non- choice, MIAX Emerald must set Exchange believes that the Proposed Members that bought multiple reasonable connectivity pricing, Fees are fair, equitable, and non- connections, no firm dropped any otherwise prospective members would discriminatory, as the fees are connections beginning August 1, 2018, not connect and existing members competitive. when MIAX and MIAX PEARL would disconnect or connect through a increased its fees. Furthermore, the third-party reseller of connectivity. No 39 See Letter from Stefano Durdic, R2G, to Exchange understands that MIAX and options market participant is required Vanessa Countryman, Acting Secretary, MIAX PEARL did not receive any by rule, regulation, or competitive forces Commission, dated March 27, 2019 (the ‘‘R2G Letter’’). official comment letters or complaints to be a Member of the Exchange. As 40 See Form 1/A, filed August 30, 2018 (https:// from any now Members of MIAX evidence of the fact that market www.sec.gov/Archives/edgar/vprr/1800/ Emerald who had Shared Connections participants can and do disconnect from 18002831.pdf); Form 1/A, filed August 30, 2018 in place as of July 2018 regarding the exchanges based on connectivity (https://www.sec.gov/Archives/edgar/vprr/1800/ 18002833.pdf); Form 1/A, filed July 24, 2018 increased fees regarding how the change pricing, see the R2G Services LLC (https://www.sec.gov/Archives/edgar/vprr/1800/ was unreasonable, unduly burdensome, (‘‘R2G’’) letter based on BOX’s proposed 18002781.pdf); Form 1/A, filed August 30, 2018 or would negatively impact their rule changes to increase its connectivity (https://www.sec.gov/Archives/edgar/data/ competitiveness amongst other market fees (SR–BOX–2018–24, SR–BOX– 1473845/999999999718007832/9999999997-18- 007832-index.htm). participants. These facts, coupled with 41 See Form 1/A, filed July 1, 2016 (https:// the discussion above, showing that it is available at https://www.theocc.com/webapps/ www.sec.gov/Archives/edgar/vprr/1601/ not necessary to join and/or connect to exchange-volume. 16019243.pdf). 37 Id. 42 See https://www.nyse.com/markets/american- all options exchanges and market 38 Id. options/membership#directory. participants can disconnect if pricing is

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set too high (the R2G example),43 the 1Gb connection. As discussed associated with maintaining and demonstrate that the Exchange’s fees are above, the Exchange differentiates itself expanding a team of highly-skilled constrained by competition and are by offering a ‘‘premium-product’’ network engineers, fees charged by the reasonable and not contrary to the Law network experience, as an operator of a Exchange’s third-party data center of Demand. Therefore, the Exchange high performance, ultra-low latency operator, and costs associated with believes that the Proposed Fees are fair, network with unparalleled system projects and initiatives designed to equitable, and non-discriminatory, as throughput, which network can support improve overall network performance the fees are competitive. access to three distinct options markets and stability, through the Exchange’s The Exchange believes that the and multiple competing market-makers R&D efforts. Proposed Fees are equitably allocated having affirmative obligations to In order to provide more detail and to among Members and non-Members, as continuously quote over 750,000 quantify the Exchange’s costs, the evidenced by the fact that the fees are distinct trading products (per exchange), Exchange notes that costs are associated allocated across all connectivity and the capacity to handle with the infrastructure and headcount to alternatives according to the Exchange’s approximately 18 million quote fully-support the advances in costs to provide such alternatives, and messages per second. The ‘‘premium- infrastructure and expansion of network there is not a disproportionate number product’’ network experience enables level services, including customer of Members purchasing any users of 10Gb ULL connections to monitoring, alerting and reporting. The alternative—14 Members have 1Gb receive the network monitoring and Exchange incurs technology expenses (primary/secondary) connections; 14 reporting services for those related to establishing and maintaining Members have 10Gb ULL (primary/ approximately 750,000 distinct trading Information Security services, enhanced secondary) connections; 3 Members products. There is a significant, network monitoring and customer have 10Gb (disaster recovery) quantifiable amount of research and reporting, as well as Regulation SCI connections; and 11 Members have 1Gb development (‘‘R&D’’) effort, employee mandated processes, associated with its (disaster recovery) connections, or some compensation and benefits expense, and network technology. Additionally, the combination of multiple various other expense associated with providing Exchange incurred costs in the connections. the high touch network monitoring and expansion/buildout of the network Further, the Exchange believes that reporting services that are utilized by leading up to the launch of operations, the fees are equitably allocated as the the 10Gb ULL connections offered by and the network maintenance costs users of the higher bandwidth the Exchange. These value add services continue to increase year-over-year. connections consume the most are fully-discussed herein, and the While some of the expense is fixed, resources of the Exchange. Also, these actual costs associated with providing much of the expense is not fixed, and firms account for the vast majority of the these services are the basis for the thus increases as the number of Exchange’s trading volume. The differentiated amount of the fees for the connections increase. For example, new purchasers of the 10Gb ULL various connectivity alternatives. 1Gb and 10Gb ULL connections require connectivity account for approximately The Exchange believes that its the purchase of additional hardware to 76% of the volume on the Exchange. For proposal is consistent with Section support those connections as well as example, for all of September 2019, 2.2 6(b)(4) of the Act because the Proposed enhanced monitoring and reporting of million contracts of the 2.9 million Fees will permit recovery of the customer performance that MIAX contracts executed were done by the top Exchange’s costs and will not result in Emerald and its affiliates provide. And market making firms on the Exchange in excessive or supra-competitive profit. 10Gb ULL connections require the simple (non-complex) volume. The The Proposed Fees will allow the purchase of specialized, more costly Exchange further believes that the fees Exchange to recover a portion (less than hardware. Further, as the total number are equitably allocated, as the amount of all) of the costs incurred by the of all connections increase, MIAX the fees for the various connectivity Exchange associated with providing and Emerald and its affiliates need to alternatives are directly related to the maintaining the necessary hardware and increase their data center footprint and actual costs associated with providing other infrastructure as well as network consume more power, resulting in the respective connectivity alternatives. monitoring and support services in increased costs charged by their third- That is, the cost to the Exchange of order to provide the network party data center provider. Accordingly, providing a 1Gb network connection is connectivity services. The Exchange the cost to MIAX Emerald and its significantly lower than the cost to the believes that it is reasonable and affiliates is not entirely fixed. Just the Exchange of providing a 10Gb ULL appropriate to establish its fees charged initial fixed cost buildout of the network network connection. Pursuant to its for use of its connectivity at a level that infrastructure of MIAX Emerald and its extensive cost review described above, will partially offset the costs to the affiliates, including both primary/ the Exchange believes that the average Exchange associated with maintaining secondary sites and disaster recovery, cost to provide a 10Gb ULL network and enhancing a state-of-the-art was over $30 million. connection is approximately 4 to 6 exchange network infrastructure in the A more detailed breakdown of the times more than the average cost to U.S. options industry. expense increases since the initial provide a 1Gb connection. The simple The costs associated with making the phases of the buildout of the Exchange hardware and software component costs network accessible to Exchange over two years ago include the alone of a 10Gb ULL connection are not Members and non-Members, through following: With respect to the network, 4 to 6 times more than the 1Gb the expansion associated with new there has been an approximate 70% connection. Rather, it is the associated Shared Connections and Dedicated increase in technology-related personnel premium-product level network Connections, as well as the general costs in infrastructure, due to expansion monitoring, reporting, and support expansion of a state-of-the-art of services/support (increase of services costs that accompany a 10Gb infrastructure, are extensive, have approximately $800,000); an ULL connection which cause it to be 4 increased year-over-year in the past two approximate 10% increase in datacenter to 6 times more costly to provide than years, and are projected to increase year- costs due to price increases and over-year in the future. This is due to footprint expansion (increase of 43 See supra note 39. several factors, including costs approximately $500,000); an

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approximate 5% increase in vendor- because the Exchange has a superior, access fees (of which network supplied dark fiber due to price state-of the-art network that, through its connectivity constitute the majority), increases and expanded capabilities enhanced monitoring and reporting regulatory fees, and market data fees. (increase of approximately $25,000); solutions, often detects and identifies Accordingly, the Exchange must cover and a 30% increase in market data industry-wide networking issues ahead all of its expenses from these four connectivity fees (increase of of the SIPs. The Exchange also incurs primary sources of revenue. approximately $200,000). Of note, costs associated with the maintenance The Proposed Fees are fair and regarding market data connectivity fee and improvement of existing tools and reasonable because they will not result cost, this is the cost associated with the development of new tools. in excessive pricing or supra- MIAX Emerald consuming connectivity/ Certain recently developed network competitive profit, when comparing the content from the equities markets in aggregation and monitoring tools total annual expense of MIAX Emerald order to operate the Exchange, causing provide the Exchange with the ability to associated with providing network MIAX Emerald to effectively pay its measure network traffic with a much connectivity services versus the total competitors for this connectivity. more granular level of variability. This projected annual revenue of the There was also significant capital is important as Exchange Members Exchange associated with providing expenditures over this same period to demand a higher level of network network connectivity services. For 2018, upgrade and enhance the underlying determinism and the ability to measure the total annual expense associated with technology components. The Exchange variability in terms of single digit providing network connectivity services for MIAX Emerald was approximately believes that it is reasonable and nanoseconds. Also, routine R&D appropriate to establish its fees charged $4.7 million. The $4.7 million in total projects to improve the performance of for use of its connectivity at a level that annual expense is comprised of the the network’s hardware infrastructure will partially offset the costs to the following, all of which are directly result in additional cost. As an example, Exchange associated with the buildout, related to the provision of network in the last year, R&D efforts resulted in maintenance, and enhancement of its connectivity services by MIAX Emerald a performance improvement, requiring network infrastructure. to its respective Members and non- the purchase of new equipment to Further, because the costs of operating Members: (1) Third-party expense, support that improvement, and thus a data center are significant and not relating to fees paid by MIAX Emerald resulting in increased costs in the economically feasible for the Exchange, to third-parties for certain products and the Exchange does not operate its own hundreds of thousands of dollars range. services; and (2) internal expense, data centers, and instead contracts with In sum, the costs associated with relating to the internal costs of MIAX a third-party data center provider. The maintaining and enhancing a state-of- Emerald to provide the network Exchange notes that larger, dominant the-art exchange network in the U.S. connectivity services. All such expenses exchange operators own/operate their options industry is a significant expense are more fully-described below, and are data centers, which offers them greater for the Exchange that also increases mapped to MIAX Emerald’s 2018 control over their data center costs. year-over-year, and thus the Exchange Statements of Operations and Member’s Because those exchanges own and believes that it is reasonable to offset a Deficit (the ‘‘2018 Financial operate their data centers as profit portion of those costs through Statements’’). The $4.7 million in total centers, the Exchange is subject to establishing network connectivity fees, annual expense is directly related to the additional costs. Connectivity fees, which are designed to recover those provision of network connectivity which are charged for accessing the costs, as proposed herein. Overall, the services and not any other product or Exchange’s data center network Proposed Fees are projected to offset service offered by the Exchange. It does infrastructure, are directly related to the only a portion of the Exchange’s not, as the Third IEX Letter baselessly network and offset costs such costs. network connectivity costs. The claims, include general costs of Further, the Exchange invests Exchange invests in and offers a operating matching systems and other significant resources in network R&D to superior network infrastructure as part trading technology. (And as stated improve the overall performance and of its overall options exchange services previously, no expense amount was stability of its network. For example, the offering, resulting in significant costs allocated twice.) As discussed, the Exchange has a number of network associated with maintaining this Exchange conducted an extensive cost monitoring tools (some of which were network infrastructure, which are review in which the Exchange analyzed developed in-house, and some of which directly tied to the amount of the every expense item in the Exchange’s are licensed from third-parties), that connectivity fees that must be charged general expense ledger (this includes continually monitor, detect, and report to access it, in order to recover those over 150 separate and distinct expense network performance, many of which costs. In fact, the Exchange often items) to determine whether each such serve as significant value-adds to the receives inquiries from other industry expense relates to the provision of Exchange’s Members and enable the participants regarding the status of network connectivity services, and, if Exchange to provide a high level of networking issues outside of the such expense did so relate, what portion customer service. These tools detect and Exchange’s own network environment (or percentage) of such expense actually report performance issues, and thus that are impacting the industry as a supports the provision of network enable the Exchange to proactively whole via the SIPs, including inquiries connectivity services, and thus bears a notify a Member (and the SIPs) when from regulators, because the Exchange relationship that is, ‘‘in nature and the Exchange detects a problem with a has a superior, state-of the-art network closeness,’’ directly related to network Member’s connectivity. In fact, the that, through its enhanced monitoring connectivity services. The sum of all Exchange often receives inquiries from and reporting solutions, often detects such portions of expenses represents the other industry participants regarding the and identifies industry-wide networking total actual baseline cost of the status of networking issues outside of issues ahead of the SIPs. As detailed in Exchange to provide network the Exchange’s own network the Exchange’s 2018 Audited connectivity services. environment that are impacting the Unconsolidated Financial Statements, As discussed above, the Exchange industry as a whole via the SIPs, the Exchange only has four primary differentiates itself by offering a including inquiries from regulators, sources of revenue: Transaction fees, ‘‘premium-product’’ network

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experience, as an operator of a high which supports connectivity and feeds compensation and benefits; (2) performance, ultra-low latency network for the entire U.S. options industry; (4) Depreciation and amortization; and (3) with unparalleled system throughput, various other services providers Occupancy costs. For clarity, only a which network can support access to (including Thompson Reuters, NYSE, portion of all such internal expenses are three distinct options markets and Nasdaq, and Internap), which provide included in the internal expense herein multiple competing market-makers content, connectivity services, and (only the portion that supports the having affirmative obligations to infrastructure services for critical provision of network connectivity continuously quote over 750,000 components of options connectivity; services), and no expense amount is distinct trading products (per exchange), and (5) various other hardware and allocated twice. Accordingly, MIAX and the capacity to handle software providers (including Dell and Emerald does not allocate its entire approximately 18 million quote Cisco, which support the production costs contained in those line items to messages per second. The ‘‘premium- environment in which Members and the provision of network connectivity product’’ network experience enables non-Members connect to the network to services. users of 10Gb ULL connections to trade, receive market data, etc.). MIAX Emerald’s employee receive the network monitoring and All of the third-party expense compensation and benefits expense reporting services for those described above is contained in the relating to providing network approximately 750,000 distinct trading information technology and connectivity services was $3,262,226, products. Thus, the Exchange is acutely communication costs line item under which is only a portion of the aware of and can isolate the actual costs the section titled ‘‘Operating Expenses $10,193,837 total expense for employee associated with providing such a service Incurred Directly or Allocated From compensation and benefits that is stated to its customers, a significant portion of Parent’’ of the 2018 Financial in the 2018 Financial Statements. MIAX which relates to the premium, value-add Statements. For clarity, only a portion of Emerald’s depreciation and customer network monitoring and all fees paid to such third-parties is amortization expense relating to support services that accompany the included in the third-party expense providing network connectivity services service, as fully-described above. IEX, herein (only the portion that actually was $416,807, which is only a portion on the other hand, does not offer such supports the provision of network of the $616,785 total expense for a network, and thus has no legal basis connectivity services), and no expense depreciation and amortization that is to offer a qualified opinion on the amount is allocated twice. Accordingly, stated in the 2018 Financial Statements. Exchange’s costs associated with MIAX Emerald does not allocate its MIAX Emerald’s occupancy expense operating such a network. In fact, IEX entire information technology and relating to providing network differentiates itself as a provider of low communication costs to the provision of connectivity services was $352,458, cost connectivity solutions to an network connectivity services. which is only a portion of the $732,720 intentionally delayed trading platform— For 2018, total internal expense, total expense for occupancy that is quite the opposite from the Exchange. relating to the internal costs of MIAX stated in the 2018 Financial Statements. Thus, there is no relevant comparison Emerald to provide the network The total projected MIAX Emerald between IEX network connectivity costs connectivity services, was $4,031,491. revenue for providing network and the Exchange’s network This includes, but is not limited to, connectivity services, on a full year run connectivity costs, and IEX’s attempt to costs associated with: (1) Employee rate, is $3.0 million. However, since do so in the Third IEX Letter is ill- compensation and benefits for full-time MIAX Emerald was launched on March informed and self-serving.44 employees that support network 1, 2019, it did not start collecting For 2018, total third-party expense, connectivity services, including staff in revenue for network connectivity relating to fees paid by MIAX Emerald network operations, trading operations, services until March 1, 2019. Thus, for to third-parties for certain products and development, system operations, 2018, MIAX Emerald’s expense for services for the Exchange to be able to business, etc., as well as staff in general providing network connectivity services provide network connectivity services, corporate departments (such as legal, was approximately $4.7 million, while was $728,246. This includes, but is not regulatory, and finance) that support its revenue for providing network limited to, a portion of the fees paid to: those employees and functions; (2) connectivity services was $0. For 2019, (1) Equinix, for data center services, for depreciation and amortization of MIAX Emerald projects 10 full months the primary, secondary, and disaster hardware and software used to provide of revenue for network connectivity recovery locations of the MIAX Emerald network connectivity services, services (March 1–December 31), of $2.5 trading system infrastructure; (2) Zayo including equipment, servers, cabling, million, however it also projects Group Holdings, Inc. (‘‘Zayo’’) for purchased software and internally increased expense for providing connectivity services (fiber and developed software used in the network connectivity services for 2019, bandwidth connectivity) linking MIAX production environment to support as compared to 2018. Nevertheless, Emerald’s office locations in Princeton, connectivity for trading; and (3) utilizing 2018 expense figures, for 2019, NJ and Miami, FL to all data center occupancy costs for leased office space MIAX Emerald’s expense for providing locations; (3) Secure Financial for staff that support network network connectivity services would be Transaction Infrastructure (‘‘SFTI’’), 45 connectivity services. The breakdown of approximately $4.7 million, while its these costs is more fully-described revenue for providing network 44 See Third IEX Letter, pg. 5. below. connectivity services would be $2.5 45 In fact, on October 22, 2019, the Exchange was All of the internal expenses described million. On a fully annualized basis, notified by SFTI that it is again raising its fees utilizing 2018 expense figures and 2019 charged to the Exchange by approximately 11%, above are contained in the following without having to show that such fee change line items under the section titled projected revenue extrapolated out to a complies with the Act by being reasonable, ‘‘Operating Expenses Incurred Directly full year run rate, MIAX Emerald’s equitably allocated, and not unfairly or Allocated From Parent’’ in the 2018 expense for providing network discriminatory. It is unfathomable to the Exchange connectivity services would be that, given the critical nature of the infrastructure Financial Statements: (1) Employee services provided by SFTI, that its fees are not approximately $4.7 million, while its required to be rule-filed with the Commission 19b–4 thereunder. See 15 U.S.C. 78s(b)(1) and 17 revenue for providing network pursuant to Section 19(b)(1) of the Act and Rule CFR 240.19b–4, respectively. connectivity services would be $3

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million. Accordingly, for both 2018 and measure to the Exchange and its participants to compete. In particular, 2019, the total MIAX Emerald projected Members. the Exchange has received no official revenue for providing network The Exchange notes that other complaints from Members, non- connectivity services during 2018 ($0) exchanges have similar connectivity Members (extranets and service and during 2019 ($2.5 million) is less alternatives for their participants, bureaus), third-parties that purchase the than total actual and projected MIAX including similar low-latency Exchange’s connectivity and resell it, Emerald expense for providing network connectivity. For example, Nasdaq and customers of those resellers, that connectivity services for 2018 ($4.7 PHLX LLC (‘‘Phlx’’), NYSE Arca, Inc. the Exchange’s fees or the Proposed million) and 2019 (greater than $4.7 (‘‘Arca’’), NYSE American LLC (‘‘NYSE Fees are negatively impacting or would million). American’’) and Nasdaq ISE, LLC negatively impact their abilities to For the avoidance of doubt, none of (‘‘ISE’’) all offer a 1Gb, 10Gb and 10Gb compete with other market participants the expenses included herein relating to low latency ethernet connectivity or that they are placed at a the provision of network connectivity alternatives to each of their disadvantage. services relate to the provision of any participants.47 The Exchange further The Exchange believes that the other services offered by MIAX Emerald. notes that Phlx, ISE, Arca and NYSE Proposed Fees do not place certain Stated differently, no expense amount of American each charge higher rates for market participants at a relative the Exchange is allocated twice. such similar connectivity to primary disadvantage to other market 48 Accordingly, the Proposed Fee and secondary facilities, however the participants because the connectivity Increases are fair and reasonable Exchange also notes that the Exchange’s pricing is associated with relative usage because they do not result in excessive 10Gb ULL connection is dedicated of the various market participants and pricing or supra-competitive profit, solely to one market (the Exchange) does not impose a barrier to entry to when comparing the actual network whereas the Exchange believes that smaller participants. As described connectivity costs to the Exchange other exchanges offer a shared 10Gb above, the less expensive 1Gb direct versus the projected network ULL connection to multiple markets. connection is generally purchased by connectivity annual revenue, including While MIAX Emerald’s proposed market participants that utilize less the increased amount. Additional connectivity fees are substantially lower bandwidth. The market participants that information on overall revenue and than the fees charged by Phlx, ISE, Arca purchase 10Gb ULL direct connections expense of the Exchange can be found and NYSE American, MIAX Emerald utilize the most bandwidth, and those in the Exchange’s 2018 Financial believes that it offers significant value to are the participants that consume the Statements. Members over other exchanges in terms most resources from the network. Accordingly, the Proposed Fees do not The Exchange also believes its of network monitoring and reporting, favor certain categories of market proposal to offer 10Gb ULL connections which MIAX Emerald believes is a participants in a manner that would as dedicated connections furthers the competitive advantage, and differentiates its connectivity versus impose a burden on competition; rather, objectives of Section 6(b)(5) of the Act 46 connectivity to other exchanges. the allocation of the Proposed Fees in that it is designed to promote just and Additionally, the Exchange’s proposed reflects the network resources equitable principles of trade, to remove connectivity fees to its disaster recovery consumed by the various size of market impediments to and perfect the facility are within the range of the fees participants—lowest bandwidth mechanism of a free and open market charged by other exchanges for similar consuming members pay the least, and and a national market system, and, in connectivity alternatives.49 highest bandwidth consuming members general to protect investors and the pays the most, particularly since higher public interest and is not designed to B. Self-Regulatory Organization’s bandwidth consumption translates to permit unfair discrimination between Statement on Burden on Competition higher costs to the Exchange. customer, issuers, brokers and dealers. The Exchange does not believe that Inter-Market Competition In particular, for the Dedicated the proposed rule change would place Connection, the Exchange’s MENI is certain market participants at the The Exchange believes the Proposed configured to provide Members and Exchange at a relative disadvantage Fees do not place an undue burden on non-Members of the Exchange network compared to other market participants competition on other SROs that is not connectivity to the trading platforms, or affect the ability of such market necessary or appropriate. In particular, market data systems, test systems, and options market participants are not disaster recovery facilities of the 47 See Phlx and ISE Rules, General Equity and forced to connect to (and purchase Exchange. Any Member or non-Member Options Rules, General 8, Section 1(b). Phlx and ISE market data from) all options exchanges, can purchase a Dedicated Connection. each charge a monthly fee of $2,500 for each 1Gb as shown by the number of Members of The Exchange determined to design its connection, $10,000 for each 10Gb connection and $15,000 for each 10Gb Ultra connection, which the the Exchange as compared to the much network architecture in a manner that equivalent of the Exchange’s 10Gb ULL connection. greater number of members at other offered 10Gb ULL connections as See also NYSE American Fee Schedule, Section options exchanges (as described above). dedicated connections (as opposed to V.B, and Arca Fees and Charges, Co-Location Fees. Not only does MIAX Emerald have less shared connections) in order to provide NYSE American and Arca each charge a monthly fee of $5,000 for each 1Gb circuit, $14,000 for each than half the number of members as cost saving opportunities for itself and 10Gb circuit and $22,000 for each 10Gb LX circuit, certain other options exchanges, but for its Members, by reducing the amount which the equivalent of the Exchange’s 10Gb ULL there are also a number of the of equipment that the Exchange would connection. Exchange’s Members that do not have to purchase and to which the 48 Id. connect directly to MIAX Emerald. Members would have to connect. A 49 See Nasdaq ISE, Options Rules, Options 7, Pricing Schedule, Section 11.D. (charging $3,000 for There are a number of large market dedicated 10Gb ULL connection does disaster recovery testing & relocation services); see makers and broker-dealers that are not offer any unfair advantage over a also Cboe Exchange, Inc. (‘‘Cboe’’) Fees Schedule, members of other options exchange but shared 10GB ULL connection, as is p. 14, Cboe Command Connectivity Charges not Members of MIAX Emerald. being offered solely as a cost-saving (charging a monthly fee of $2,000 for a 1Gb disaster recovery network access port and a monthly fee of Additionally, other exchanges have $6,000 for a 10Gb disaster recovery network access similar connectivity alternatives for 46 15 U.S.C. 78f(b)(5). port). their participants, including similar

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low-latency connectivity, but with • Send an email to rule-comments@ SECURITIES AND EXCHANGE much higher rates to connect.50 The sec.gov. Please include File Number SR– COMMISSION Exchange is also unaware of any EMERALD–2019–35 on the subject line. assertion that its existing fee levels or Paper Comments [Release No. 34–87432; File No. SR– the Proposed Fees would somehow PEARL–2019–33] unduly impair its competition with • Send paper comments in triplicate other options exchanges. To the to Secretary, Securities and Exchange Self-Regulatory Organizations; MIAX contrary, if the fees charged are deemed Commission, 100 F Street NE, PEARL, LLC; Notice of Filing and too high by market participants, they Immediate Effectiveness of a Proposed Washington, DC 20549–1090. can simply disconnect. Rule Change To Amend the MIAX While the Exchange recognizes the All submissions should refer to File PEARL Fee Schedule distinction between connecting to an Number SR–EMERALD–2019–35. This exchange and trading at the exchange, file number should be included on the October 31, 2019. the Exchange notes that it operates in a subject line if email is used. To help the Pursuant to Section 19(b)(1) of the highly competitive options market in Commission process and review your Securities Exchange Act of 1934 which market participants can readily comments more efficiently, please use (‘‘Act’’),1 and Rule 19b–4 thereunder,2 connect and trade with venues they only one method. The Commission will notice is hereby given that on October desire. In such an environment, the post all comments on the Commission’s 22, 2019, MIAX PEARL, LLC (‘‘MIAX Exchange must continually adjust its internet website (http://www.sec.gov/ PEARL’’ or ‘‘Exchange’’) filed with the fees to remain competitive with other rules/sro.shtml). Copies of the Securities and Exchange Commission exchanges. The Exchange believes that submission, all subsequent (‘‘Commission’’) a proposed rule change the proposed changes reflect this amendments, all written statements as described in Items I, II, and III below, competitive environment. with respect to the proposed rule which Items have been prepared by the C. Self-Regulatory Organization’s change that are filed with the Exchange. The Commission is publishing this notice to solicit Statement on Comments on the Commission, and all written comments on the proposed rule change Proposed Rule Change Received From communications relating to the from interested persons. Members, Participants, or Others proposed rule change between the Written comments were neither Commission and any person, other than I. Self-Regulatory Organization’s solicited nor received. those that may be withheld from the Statement of the Terms of Substance of public in accordance with the the Proposed Rule Change III. Date of Effectiveness of the provisions of 5 U.S.C. 552, will be Proposed Rule Change and Timing for The Exchange is filing a proposal to available for website viewing and Commission Action amend the MIAX PEARL Fee Schedule printing in the Commission’s Public The foregoing rule change has become (the ‘‘Fee Schedule’’) to modify certain Reference Room, 100 F Street NE, of the Exchange’s system connectivity effective pursuant to Section Washington, DC 20549, on official 51 fees. 19(b)(3)(A)(ii) of the Act, and Rule business days between the hours of 52 19b–4(f)(2) thereunder. At any time 10:00 a.m. and 3:00 p.m. Copies of the The Exchange previously filed the proposal on August 23, 2019 (SR– within 60 days of the filing of the filing also will be available for PEARL–2019–25). That filing has been proposed rule change, the Commission inspection and copying at the principal summarily may temporarily suspend withdrawn and replaced with the office of the Exchange. All comments such rule change if it appears to the current filing (SR–PEARL–2019–33). received will be posted without change. Commission that such action is The text of the proposed rule change necessary or appropriate in the public Persons submitting comments are cautioned that we do not redact or edit is available on the Exchange’s website at interest, for the protection of investors, http://www.miaxoptions.com/rule- or otherwise in furtherance of the personal identifying information from comment submissions. You should filings/pearl at MIAX PEARL’s principal purposes of the Act. If the Commission office, and at the Commission’s Public submit only information that you wish takes such action, the Commission shall Reference Room. institute proceedings to determine to make available publicly. All whether the proposed rule should be submissions should refer to File II. Self-Regulatory Organization’s approved or disapproved. Number SR–EMERALD–2019–35 and Statement of the Purpose of, and should be submitted on or before Statutory Basis for, the Proposed Rule IV. Solicitation of Comments November 27, 2019. Change Interested persons are invited to For the Commission, by the Division of submit written data, views, and In its filing with the Commission, the Trading and Markets, pursuant to delegated Exchange included statements arguments concerning the foregoing, authority.53 including whether the proposed rule concerning the purpose of and basis for change is consistent with the Act. Jill M. Peterson, the proposed rule change and discussed Comments may be submitted by any of Assistant Secretary. any comments it received on the the following methods: [FR Doc. 2019–24186 Filed 11–5–19; 8:45 am] proposed rule change. The text of these statements may be examined at the BILLING CODE 8011–01–P Electronic Comments places specified in Item IV below. The • Use the Commission’s internet Exchange has prepared summaries, set comment form (http://www.sec.gov/ forth in sections A, B, and C below, of rules/sro.shtml); or the most significant aspects of such statements. 50 See supra note 47. 51 15 U.S.C. 78s(b)(3)(A)(ii). 1 15 U.S.C. 78s(b)(1). 52 17 CFR 240.19b–4(f)(2). 53 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4.

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A. Self-Regulatory Organization’s revenues, costs, and profitability September 17, 2018.9 The Suspension Statement of the Purpose of, and associated with providing network Order also instituted proceedings to Statutory Basis for, the Proposed Rule connectivity services. Based on this determine whether to approve or Change analysis, the Exchange believes that its disapprove the First Proposed Rule proposed fee increases are fair and Change.10 1. Purpose reasonable because they will permit The Healthy Markets Letter argued The Exchange is refiling its proposal recovery of less than all of the that the Exchange did not provide to amend the Fee Schedule in order to Exchange’s costs for providing the sufficient information in its filing to provide additional analysis of its network connectivity services and will support a finding that the proposal is baseline revenues, costs, and not result in excessive pricing or supra- consistent with the Act. Specifically, the profitability (before the proposed fee competitive profit, when comparing the Healthy Markets Letter objected to the change) and the Exchange’s expected Exchange’s total annual expense Exchange’s reliance on the fees of other revenues, costs, and profitability associated with providing the network exchanges to demonstrate that its fee (following the proposed fee change) for connectivity services versus the total increases are consistent with the Act. In its network connectivity services. This projected annual revenue the Exchange addition, the Healthy Markets Letter additional analysis includes information projects to collect for providing the argued that the Exchange did not offer regarding its methodology for network connectivity services. any details to support its basis for determining the baseline costs and asserting that the Proposed Fee revenues, as well as expected costs and Specifically, the Exchange proposes to Increases are consistent with the Act. revenues, for its network connectivity amend Sections 5(a) and (b) of the Fee On October 5, 2018, the Exchange services. The Exchange is also refiling Schedule to increase the network withdrew the First Proposed Rule its proposal in order to address certain connectivity fees for the 1 Gigabit Change.11 The Exchange refiled the points raised in the only comment letter (‘‘Gb’’) fiber connection, the 10Gb fiber Proposed Fee Increases on September received by the Commission on the connection, and the 10Gb ultra-low 18, 2018, designating the Proposed Fee Exchange’s prior proposal to increase latency (‘‘ULL’’) fiber connection, which Increases immediately effective.12 The 5 connectivity fees.3 are charged to both Members and non- Second Proposed Rule Change was In order to determine the Exchange’s Members of the Exchange for published for comment in the Federal baseline costs associated with providing connectivity to the Exchange’s primary/ Register on October 10, 2018.13 The network connectivity services, the secondary facility. The Exchange also Commission received one comment Exchange conducted an extensive cost proposes to increase the network letter on the proposal.14 The Proposed review in which the Exchange analyzed connectivity fees for the 1Gb and 10Gb Fee Increases remained in effect until every expense item in the Exchange’s fiber connections for connectivity to the they were temporarily suspended general expense ledger to determine Exchange’s disaster recovery facility. pursuant to a suspension order (the whether each such expense relates to Each of these connections are shared ‘‘Second Suspension Order’’) issued by the provision of network connectivity connections, and thus can be utilized to the Commission on October 3, 2018.15 services, and, if such expense did so access both the Exchange and the The Second Suspension Order also relate, what portion (or percentage) of Exchange’s affiliate, Miami International instituted proceedings to determine such expense actually supports the Securities Exchange, LLC (‘‘MIAX’’). whether to approve or disapprove the provision of network connectivity These proposed fee increases are Second Proposed Rule Change.16 services. The sum of all such portions collectively referred to herein as the The SIFMA Letter argued that the of expenses represents the total actual ‘‘Proposed Fee Increases.’’ Exchange did not provide sufficient baseline cost of the Exchange to provide The Exchange initially filed the information in its filing to support a network connectivity services. (For the Proposed Fee Increases on July 31, 2018, finding that the proposal should be avoidance of doubt, no expense amount designating the Proposed Fee Increases approved by the Commission after further review of the proposed fee was allocated twice.) The Exchange is effective August 1, 2018.6 The First increases. Specifically, the SIFMA presenting the results of its cost review Proposed Rule Change was published Letter objected to the Exchange’s in a way that corresponds directly with for comment in the Federal Register on reliance on the fees of other exchanges the Exchange’s 2018 Audited August 13, 2018.7 The Commission to justify its own fee increases. In Unconsolidated Financial Statements, received one comment letter on the addition, the SIFMA Letter argued that the relevant sections of which are proposal.8 The Proposed Fee Increases the Exchange did not offer any details attached [sic] hereto as Exhibit 3, which remained in effect until they were are publicly available as part of the temporarily suspended pursuant to a 9 4 See Securities Exchange Act Release No. 34– Exchange’s Form 1 Amendment. The suspension order (the ‘‘Suspension 84177 (September 17, 2018). purpose of presenting it in this manner Order’’) issued by the Commission on 10 Id. is to provide greater transparency into 11 See Securities Exchange Act Release No. 84397 the Exchange’s actual and expected 5 The term ‘‘Member’’ means an individual or (October 10, 2018), 83 FR 52272 (October 16, 2018) organization that is registered with the Exchange (SR–PEARL–2018–16). 12 3 See Letter from John Ramsay, Chief Market pursuant to Chapter II of the Exchange’s Rules for See Securities Exchange Act Release No. 84358 Policy Officer, Investors Exchange LLC (‘‘IEX’’), to purposes of trading on the Exchange as an (October 3, 2018), 83 FR 51022 (October 10, 2018) Vanessa Countryman, Secretary, Commission, dated ‘‘Electronic Exchange Member’’ or ‘‘Market Maker.’’ (SR–PEARL–2018–19) (the ‘‘Second Proposed Rule October 9, 2019 (‘‘Third IEX Letter,’’ as further Members are deemed ‘‘members’’ under the Change’’). described below). Exchange Act. See Exchange Rule 100. 13 Id. 4 See the complete Audited Unconsolidated 6 See Securities Exchange Act Release No. 83785 14 See Letter from Theodore R. Lazo, Managing Financial Statements of MIAX PEARL, LLC, LLC as (August 7, 2018), 83 FR 40101 (August 13, 2018) Director and Associate General Counsel, and Ellen of December 31, 2018, and the Audited (SR–PEARL–2018–16) (the ‘‘First Proposed Rule Greene, Managing Director Financial Services Unconsolidated Financial Statements of Miami Change’’). Operations, The Securities Industry and Financial International Securities Exchange, LLC as of 7 Id. Markets Association (‘‘SIFMA’’), to Brent J. Fields, December 31, 2018, which are listed under Exhibit 8 See Letter from Tyler Gellasch, Executive Secretary, Commission, dated October 15, 2018 D of MIAX Form 1 Amendment 2019–7 Annual Director, The Healthy Markets Association, to Brent (‘‘SIFMA Letter’’). Filing at https://www.sec.gov/Archives/edgar/vprr/ J. Fields, Secretary, Commission, dated September 15 See supra note 12. 1900/19003680.pdf. 4, 2018 (‘‘Healthy Markets Letter’’). 16 Id.

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to support its basis for asserting that the The Second SIFMA Letter argued that provide what the Commission and staff Proposed Fee Increases are reasonable. the Exchange did not provide sufficient seek.23 On November 23, 2018, the Exchange information in its Third Proposed Rule On April 29, 2019, the Exchange withdrew the Second Proposed Rule Change to support a finding that the withdrew the Third Proposed Rule Change.17 proposal should be approved by the Change.24 The Exchange refiled the Proposed Commission after further review of the The Exchange refiled the Proposed Fee Increases on March 1, 2019, proposed fee increases. Specifically, the Fee Increases on April 30, 2019, designating the Proposed Fee Increases Second SIFMA Letter argued that the designating the Proposed Fee Increases immediately effective.18 The Third Exchange’s market data fees and immediately effective.25 The Fourth Proposed Rule Change was published connectivity fees were not constrained Proposed Rule Change was published for comment in the Federal Register on by competitive forces, the Exchange’s for comment in the Federal Register on March 20, 2019.19 The Third Proposed filing lacked sufficient information May 16, 2019.26 The Fourth Proposed Rule Change provided new information, regarding cost and competition, and that Rule Change provided further cost including additional detail about the the Commission should establish a analysis information to squarely and market participants impacted by the framework for determining whether fees comprehensively address each and Proposed Fee Increases, as well as the for exchange products and services are every topic raised for discussion in the additional costs incurred by the reasonable when those products and BOX Order, the IEX Letter and the Exchange associated with providing the services are not constrained by Second SIFMA Letter to ensure that the connectivity alternatives, in order to significant competitive forces. Proposed Fee Increases are reasonable, provide more transparency and support The IEX Letter argued that the equitable, and non-discriminatory, and relating to the Exchange’s belief that the Exchange did not provide sufficient that the Commission should find that Proposed Fee Increases are reasonable, information in its Third Proposed Rule the Proposed Fee Increases are equitable, and non-discriminatory, and Change to support a finding that the consistent with the Act. to provide sufficient information for the proposal should be approved by the On May 21, 2019, the Commission Commission to determine that the Commission and that the Commission issued the Staff Guidance on SRO Rule Proposed Fee Increases are consistent should extend the time for public Filings Relating to Fees.27 with the Act. comment on the Third Proposed Rule The Commission received two On March 29, 2019, the Commission Change. Despite the objection to the comment letters on the Fourth Proposed issued its Order Disapproving Proposed Proposed Fee Increases, the IEX Letter Rule Change, after the Guidance was Rule Changes to Amend the Fee did find that ‘‘MIAX has provided more released.28 The Second IEX Letter and Schedule on the BOX Market LLC transparency and analysis in these the Third SIFMA Letter argued that the Options Facility to Establish BOX filings than other exchanges have sought Exchange did not provide sufficient Connectivity Fees for Participants and to do for their own fee increases.’’ 22 The information in its Fourth Proposed Rule Non-Participants Who Connect to the IEX Letter specifically argued that the Change to justify the Proposed Fee BOX Network (the ‘‘BOX Order’’).20 In Proposed Fee Increases were not Increases based on the Guidance and the the BOX Order, the Commission constrained by competition, the BOX Order. Of note, however, is that highlighted a number of deficiencies it Exchange should provide data on the unlike their previous comment letter, found in three separate rule filings by Exchange’s actual costs and how those the Third SIFMA Letter did not call for BOX Exchange LLC (‘‘BOX’’) to increase costs relate to the product or service in the Commission to suspend the Fourth BOX’s connectivity fees that prevented question, and whether and how MIAX Proposed Rule Change. Also, Healthy the Commission from finding that considered changes to transaction fees Markets did not comment on the Fourth BOX’s proposed connectivity fees were as an alternative to offsetting exchange Proposed Rule Change. consistent with the Act. These costs. On June 26, 2019, the Exchange deficiencies relate to topics that the The Second Healthy Markets Letter withdrew the Fourth Proposed Rule Commission believes should be did not object to the Third Proposed Change.29 discussed in a connectivity fee filing. Rule Change and the information The Exchange refiled the Proposed After the BOX Order was issued, the provided by the Exchange in support of Fee Increases on June 26, 2019, Commission received four comment the Proposed Fee Increases. Specifically, designating the Proposed Fee Increases letters on the Third Proposed Rule the Second Healthy Markets Letter Change.21 stated that the Third Proposed Rule 23 See Second Healthy Markets Letter, pg. 2. Change was ‘‘remarkably different,’’ and 24 See SR–PEARL–2019–08. 17 See Securities Exchange Act Release No. 84651 went on to further state as follows: 25 See Securities Exchange Act Release No. 85837 (November 26, 2018), 83 FR 61687 (November 30, (May 10, 2019), 84 FR 22214 (May 16, 2019) (SR– 2018) (SR–PEARL–2018–19). The instant MIAX filings—along with their PEARL–2019–17) (the ‘‘Fourth Proposed Rule 18 See Securities Exchange Act Release No. 85317 April 5th supplement—provide much greater Change’’) (Notice of Filing and Immediate (March 14, 2019), 84 FR 10380 (March 20, 2019) detail regarding users of connectivity, the Effectiveness of a Proposed Rule Change To Amend (SR–PEARL–2019–08) (the ‘‘Third Proposed Rule market for connectivity, and costs than the the MIAX PEARL Fee Schedule). Change’’) (Notice of Filing and Immediate Initial MIAX Filings. They also appear to 26 Id. Effectiveness of a Proposed Rule Change To Amend address many of the issues raised by the 27 See Staff Guidance on SRO Rule Filings the MIAX PEARL Fee Schedule). Relating to Fees (May 21, 2019), at https:// 19 Commission staff’s BOX disapproval order. Id. This third round of MIAX filings suggests www.sec.gov/tm/staff-guidance-sro-rule-filings-fees 20 (the ‘‘Guidance’’). See Securities Exchange Act Release No. 85459 that MIAX is operating in good faith to (March 29, 2019), 84 FR 13363 (April 4, 2019) (SR– 28 See Letter from John Ramsay, Chief Market BOX–2018–24, SR–BOX–2018–37, and SR–BOX– Policy Officer, Investors Exchange LLC, to Vanessa 2019–04). (‘‘Second SIFMA Letter’’); Letter from John Ramsay, Countryman, Acting Secretary, Commission, dated 21 See Letter from Joseph W. Ferraro III, SVP & Chief Market Policy Officer, IEX, to Vanessa June 5, 2019 (the ‘‘Second IEX Letter’’) and Letter Deputy General Counsel, MIAX, to Vanessa Countryman, Acting Secretary, Commission, dated from Theodore R. Lazo, Managing Director and Countryman, Acting Secretary, Commission, dated April 10, 2019 (‘‘IEX Letter’’); and Letter from Tyler Associate General Counsel, and Ellen Greene, April 5, 2019 (‘‘MIAX Letter’’); Letter from Gellasch, Executive Director, Healthy Markets, to Managing Director, SIFMA, to Vanessa Theodore R. Lazo, Managing Director and Associate Brent J. Fields, Secretary, Commission, dated April Countryman, Acting Secretary, Commission, dated General Counsel, SIFMA, to Vanessa Countryman, 18, 2019 (‘‘Second Healthy Markets Letter’’). June 6, 2019 (the ‘‘Third SIFMA Letter’’). Acting Secretary, Commission, dated April 10, 2019 22 See IEX Letter, pg. 1. 29 See SR–PEARL–2019–17.

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immediately effective.30 The Fifth for comment in the Federal Register on the proposed fee change) and the Proposed Rule Change was published July 16, 2019.35 The Sixth Proposed Exchange’s expected revenues, costs, for comment in the Federal Register on Rule Change provided greater detail and and profitability (following the July 16, 2019.31 The Fifth Proposed Rule clarity concerning the Exchange’s cost proposed fee change) for its network Change bolstered the Exchange’s methodology as it pertains to the connectivity services. This additional previous cost-based discussion to Exchange’s expenses for network analysis includes information regarding support its claim that the Proposed Fee connectivity services, using a line-by- its methodology for determining the Increases are fair and reasonable line analysis of the Exchange’s general baseline costs and revenues, as well as because they will permit recovery of the expense ledger to determine what, if expected costs and revenues, for its Exchange’s costs and will not result in any, portion of those expenses supports network connectivity services. The excessive pricing or supra-competitive the provision of network connectivity Exchange is also refiling its proposal in profit, in light of the Guidance issued by services. order to address certain points raised in Commission staff subsequent to the The Commission received only one the Third IEX Letter. The Exchange Fourth Proposed Rule Change, and comment letter on the Sixth Proposed believes that the Proposed Fee Increases primarily through the inclusion of Rule Change, twelve days after the are consistent with the Act because they anticipated revenue figures associated comment period deadline ended.36 Of (i) are reasonable, equitably allocated, with the provision of network note, no member of the Exchange not unfairly discriminatory, and not an connectivity services. commented on the Sixth Proposed Rule undue burden on competition; (ii) The Commission received three Change. Also, no issuer or other person comply with the BOX Order and the comment letters on the Fifth Proposed using the facilities of the Exchange Guidance; (iii) are supported by Rule Change.32 commented on the Sixth Proposed Rule evidence (including data and analysis), Neither the Third Healthy Markets Change. Also, no industry group that constrained by significant competitive Letter nor the Fourth SIFMA Letter represents members, issuers, or other forces; and (iv) are supported by specific called for the Commission to suspend or persons using the facilities of the information (including quantitative disapprove the Proposed Fee Increases. Exchange commented on the Sixth information), fair and reasonable In fact, the Third Healthy Markets Letter Proposed Rule Change. Also, no because they will permit recovery of the acknowledged that ‘‘it appears as operator of an options market Exchange’s costs (less than all) and will though MIAX [PEARL] is operating in commented on the Sixth Proposed Rule not result in excessive pricing or supra- good faith to provide what the Change. Also, no operator of a high competitive profit. Accordingly, the Commission, its staff, and market performance, ultra-low latency network, Exchange believes that the Commission participants the information needed to which network can support access to should find that the Proposed Fee appropriately assess the filings.’’ The three distinct exchanges and provides Increases are consistent with the Act. Third IEX Letter only reiterated points premium network monitoring and The proposed rule change is from the Second IEX Letter and failed to reporting services to customers, immediately effective upon filing with address any of the new information in commented on the Sixth Proposed Rule the Commission pursuant to Section the Fifth Proposed Rule Change Change. Rather, the only comment letter 19(b)(3)(A) of the Act. concerning the Exchange’s revenue came from an operator of a single The Exchange currently offers various figures, cost allocation or that the equities market (equities market bandwidth alternatives for connectivity Proposed Fee Increases did not result in structure and resulting network to the Exchange to its primary and excessive pricing or a supra-competitive secondary facilities, consisting of a 1Gb demands are fundamentally different profit for the Exchange. fiber connection, a 10Gb fiber from those in the options markets),37 On August 23, 2019, the Exchange connection, and a 10Gb ULL fiber which operator also has a withdrew the Fifth Proposed Rule connection. The 10Gb ULL offering uses fundamentally different business model Change.33 an ultra-low latency switch, which (and agenda) than does the Exchange. The Exchange refiled the Proposed provides faster processing of messages That letter—the Third IEX Letter— Fee Increases on August 23, 2019, sent to it in comparison to the switch called for, among other things, the designating the Proposed Fee Increases used for the other types of connectivity. 34 Exchange to explain its basis for immediately effective. The Sixth The Exchange currently assesses the Proposed Rule Change was published concluding that it incurred substantially following monthly network connectivity higher costs to provide lower-latency fees to both Members and non-Members 30 See Securities Exchange Act Release No. 86343 connections and further describe the for connectivity to the Exchange’s (July 10, 2019), 84 FR 34003 (July 16, 2019) (SR– nature and closeness of the relationship PEARL–2019–21) (the ‘‘Fifth Proposed Rule primary/secondary facility: (a) $1,100 between the identified costs and for the 1Gb connection; (b) $5,500 for Change’’). connectivity products and services as 31 Id. the 10Gb connection; and (c) $8,500 for stated in the Exchange’s cost allocation 32 See Letter from John Ramsay, Chief Market the 10Gb ULL connection. The Policy Officer, IEX, to Vanessa Countryman, Acting analysis. Exchange also assesses to both Members Secretary, Commission, dated August 8, 2019 On October 22, 2019, the Exchange and non-Members a monthly per (‘‘Third IEX Letter’’); Letter from Tyler Gellasch, withdrew the Sixth Proposed Rule connection network connectivity fee of Executive Director, Healthy Markets, to Vanessa 38 Countryman, Acting Secretary, Commission, dated Change. $500 for each 1Gb connection to the August 5, 2019 (‘‘Third Healthy Markets Letter’’); The Exchange is now refiling the disaster recovery facility and a monthly and Letter from Theodore R. Lazo, Managing Proposed Fee Increases to provide per connection network connectivity fee Director and Associate General Counsel and Ellen additional analysis of its baseline Greene, Managing Director Financial Services of $2,500 for each 10Gb connection to Operations, SIFMA, to Vanessa Countryman, Acting revenues, costs, and profitability (before the disaster recovery facility. Secretary, Commission, dated August 5, 2019 The Exchange’s MIAX Express (‘‘Fourth SIFMA Letter’’). 35 Id. Network Interconnect (‘‘MENI’’) can be 36 33 See SR–PEARL–2019–21. See supra note 3. configured to provide Members and 34 See Securities Exchange Act Release No. 86837 37 See infra pages 17 to 19 (describing the (August 30, 2019), 84 FR 46988 (September 6, 2019) differences in equity market structure and options non-Members of the Exchange network (SR–PEARL–2019–25) (the ‘‘Sixth Proposed Rule market structure). connectivity to the trading platforms, Change’’). 38 See SR–PEARL–2019–25. market data systems, test systems, and

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disaster recovery facilities of both the current regulation of the market system consolidators that target resting order Exchange and its affiliate, MIAX, via a ‘‘has been remarkably successful in flow tend to purchase more connectivity single, shared connection. Members and promoting market competition in its than Market Makers that simply quote non-Members utilizing the MENI to broader forms that are most important to all symbols on the Exchange. Even connect to the trading platforms, market investors and listed companies.’’ 42 though non-Members purchase and data systems, test systems and disaster The Exchange believes that its resell 10Gb and 10Gb ULL connections recovery facilities of the Exchange and proposal is consistent with Section to both Members and non-Members, no MIAX via a single, shared connection 6(b)(4) of the Act, in that the Proposed market makers currently connect to the are assessed only one monthly network Fee Increases are fair, equitable and not Exchange indirectly through such connectivity fee per connection, unreasonably discriminatory, because resellers. regardless of the trading platforms, the fees for the connectivity alternatives market data systems, test systems, and available on the Exchange, as proposed The argument that all broker-dealers disaster recovery facilities accessed via to be increased, are constrained by are required to connect to all exchanges such connection. significant competitive forces. The U.S. is not true in the options markets. The The Exchange proposes to increase options markets are highly competitive options markets have evolved the monthly network connectivity fees (there are currently 16 options markets) differently than the equities markets for such connections for both Members and a reliance on competitive markets is both in terms of market structure and and non-Members. The network an appropriate means to ensure functionality. For example, there are connectivity fees for connectivity to the equitable and reasonable prices. many order types that are available in Exchange’s primary/secondary facility The Exchange acknowledges that the equities markets that are not utilized will be increased as follows: (a) From there is no regulatory requirement that in the options markets, which relate to $1,100 to $1,400 for the 1Gb connection; any market participant connect to the mid-point pricing and pegged pricing (b) from $5,500 to $6,100 for the 10Gb Exchange, or that any participant which require connection to the SIPs connection; and (c) from $8,500 to connect at any specific connection and each of the equities exchanges in $9,300 for the 10Gb ULL connection. speed. The rule structure for options order to properly execute those orders The network connectivity fees for exchanges are, in fact, fundamentally in compliance with best execution connectivity to the Exchange’s disaster different from those of equities obligations. In addition, in the options recovery facility will be increased as exchanges. In particular, options market markets there is a single SIP (OPRA) follows: (a) from $500 to $550 for the participants are not forced to connect to versus two SIPs in the equities markets, 1Gb connection; and (b) from $2,500 to (and purchase market data from) all resulting in fewer hops and thus $2,750 for the 10Gb connection. options exchanges, as shown by the alleviating the need to connect directly number of Members of MIAX PEARL as to all the options exchanges. 2. Statutory Basis compared to the much greater number Additionally, in the options markets, The Exchange believes that its of members at other options exchanges the linkage routing and trade through proposal to amend its Fee Schedule is (as further detailed below). Not only protection are handled by the consistent with Section 6(b) of the Act 39 does MIAX PEARL have less than half exchanges, not by the individual in general, and furthers the objectives of the number of members as certain other Section 6(b)(4) of the Act 40 in options exchanges, but there are also a members. Thus not connecting to an particular, in that it provides for the number of the Exchange’s Members that options exchange or disconnecting from equitable allocation of reasonable dues, do not connect directly to MIAX an options exchange does not fees and other charges among Exchange PEARL. Further, of the number of potentially subject a broker-dealer to Members and issuers and other persons Members that connect directly to MIAX violate order protection requirements. using any facility or system which the PEARL, many such Members do not Gone are the days when the retail Exchange operates or controls. The purchase market data from MIAX brokerage firms (the Fidelity’s, the Exchange also believes the proposal PEARL. There are a number of large Schwab’s, the eTrade’s) were members furthers the objectives of Section 6(b)(5) market makers and broker-dealers that of the options exchanges—they are not of the Act 41 in that it is designed to are members of other options exchange members of MIAX PEARL or its promote just and equitable principles of but not Members of MIAX PEARL. For affiliates, MIAX and MIAX Emerald, trade, to remove impediments to and example, the following are not Members they do not purchase connectivity to perfect the mechanism of a free and of MIAX PEARL: The D.E. Shaw Group, MIAX PEARL, and they do not purchase open market and a national market CTC, XR Trading LLC, Hardcastle market data from MIAX PEARL. The system, and, in general to protect Trading AG, Ronin Capital LLC, Exchange further recognizes that the investors and the public interest and is Belvedere Trading, LLC, Bluefin decision of whether to connect to the not designed to permit unfair Trading, and HAP Capital LLC. In Exchange is separate and distinct from discrimination between customer, addition, of the market makers that are the decision of whether and how to issuers, brokers and dealers. connected to MIAX PEARL, it is the trade on the Exchange. The Exchange The Commission has repeatedly individual needs of the market maker acknowledges that many firms may expressed its preference for competition that require whether they need one choose to connect to the Exchange, but over regulatory intervention in connection or multiple connections to ultimately not trade on it, based on their determining prices, products, and the Exchange. The Exchange has market particular business needs. services in the securities markets. In maker Members that only purchase one To assist prospective Members or Regulation NMS, the Commission connection (10Gb or 10Gb ULL) and the firms considering connecting to MIAX highlighted the importance of market Exchange has market maker Members PEARL, the Exchange provides forces in determining prices and SRO that purchase multiple connections. It is information about the Exchange’s revenues and, also, recognized that all driven by the business needs of the available connectivity alternatives in a market maker. Market makers that are Connectivity Guide, which contains 39 15 U.S.C. 78f(b). detailed specifications regarding, among 40 15 U.S.C. 78f(b)(4). 42 See Securities Exchange Act Release No. 51808 41 15 U.S.C. 78f(b)(5). (June 9, 2005), 70 FR 37496 (June 29, 2005). other things, throughput and latency for

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each available connection.43 The that MIAX PEARL is able to charge for connection). The 1Gb direct connection decision of which type of connectivity connectivity to its Exchange. is generally purchased by market to purchase, or whether to purchase The Exchange 44 and MIAX 45 are participants that utilize less bandwidth connectivity at all for a particular comprised of 41 distinct Members and also generally do not require the exchange, is based on the business between the two exchanges, excluding high touch network support services needs of the firm. For example, if the any additional affiliates of such provided by the Exchange. Accordingly, firm wants to receive the top-of-market Members that are also Members of these connections consume the least data feed product or depth data feed MIAX PEARL, MIAX, or both. Of those resources of the Exchange and are the product, due to the amount/size of data 41 distinct Members, 33 Members have least costly to the Exchange to provide. contained in those feeds, such firm purchased the 1Gb, 10Gb, 10Gb ULL The market participants that purchase would need to purchase either the 10Gb connections or some combination of 10Gb ULL direct connections utilize the or 10Gb ULL connection. The 1Gb multiple various connections. most bandwidth and also generally do connection is too small to support those Furthermore, every Member who has require the high touch network support data feed products. MIAX PEARL notes purchased at least one connection also services provided by the Exchange. that there are twelve (12) Members that trades on the Exchange, MIAX, or both. Accordingly, these connections only purchase the 1Gb connectivity The 8 remaining Members who have not consume the most resources of the alternative. Thus, while there is a purchased any connectivity to the Exchange and are the most costly to the meaningful percentage of purchasers of Exchange are still able to trade on the Exchange to provide. Accordingly, the only 1Gb connections (12 of 33), by Exchange indirectly through other Exchange believes the allocation of the definition, those twelve (12) members Members or non-Member service Proposed Fee Increases ($9,300 for a bureaus that are connected. These 8 purchase connectivity that cannot 10Gb ULL connection versus $1,400 for Members who have not purchased support the top-of-market data feed a 1Gb connection) are reasonable based connectivity are not forced or compelled product or depth data feed product and on the resources consumed by the to purchase connectivity, and they thus they do not purchase such data respective type of connection—lowest retain all of the other benefits of resource consuming members pay the feed products. Accordingly, purchasing Membership with the Exchange. market data is a business decision/ least, and highest resource consuming Accordingly, Members have the choice members pays the most, particularly choice, and thus the pricing for it is to purchase connectivity and are not constrained by competition. since higher resource consumption compelled to do so in any way. translates directly to higher costs to the There is competition for connectivity The Exchange believes that the Exchange. The 10Gb ULL connection to MIAX PEARL and its affiliates. MIAX Proposed Fee Increases are fair, offers optimized connectivity for latency PEARL competes with nine (9) non- equitable and not unreasonably sensitive participants and is Members who resell MIAX PEARL discriminatory because the connectivity approximately single digit microseconds connectivity. These are resellers of pricing is directly related to the relative faster in round trip time for connection MIAX PEARL connectivity—they are costs to the Exchange to provide those oriented traffic to the Exchange than the not arrangements between broker- respective services, and does not impose 10Gb connection. This lower latency is dealers to share connectivity costs. a barrier to entry to smaller participants. achieved through more advanced Those non-Members resell that Accordingly, the Exchange offers three network equipment, such as advanced connectivity to multiple market direct connectivity alternatives and hardware and switching components, participants over that same connection, various indirect connectivity (via third- which translates to increased costs to including both Members and non- party) alternatives, as described above. the Exchange. Market participants that Members of MIAX PEARL (typically MIAX PEARL recognizes that there are are less latency sensitive can purchase extranets and service bureaus). When various business models and varying 10Gb direct connections and quote in all connectivity is re-sold by a third-party, sizes of market participants conducting products on the Exchange and consume MIAX PEARL does not receive any business on the Exchange. The 1Gb all market data feeds, and such 10Gb connectivity revenue from that sale. It is direct connectivity alternative is 1/10th direct connections are priced lower than entirely between the third-party and the the size of the 10Gb direct connectivity the 10Gb ULL direct connections, purchaser, thus constraining the ability alternative. Because it is 1/10th of the offering smaller sized market makers a of MIAX PEARL to set its connectivity size, it does not offer access to many of lower cost alternative. 10Gb connections pricing as indirect connectivity is a the products and services offered by the are less costly to provide than 10Gb ULL substitute for direct connectivity. There Exchange, such as the ability to quote or connections, which require greater are currently nine (9) non-Members that receive certain market data products. network support services. purchase connectivity to MIAX PEARL Approximately just less than half of With respect to options trading, the and/or MIAX. Those non-Members MIAX PEARL and MIAX Members that Exchange had only 5.30% market share resell that connectivity to eleven (11) connect (14 out of 33) purchase 1Gb of the U.S. options industry in Equity/ customers, some of whom are agency connections. The 1Gb direct connection Exchange Traded Fund (‘‘ETF’’) classes broker-dealers that have tens of can support the sending of orders and according to the OCC in September the consumption of all market data feed customers of their own. Some of those 2019.46 For September 2019, the products, other than the top-of-market eleven (11) customers also purchase Exchange’s affiliate, MIAX, had only data feed product or depth data feed connectivity directly from MIAX PEARL 3.87% market share of the U.S. options product (which require a 10Gb and/or MIAX. Accordingly, indirect industry in Equity/ETF classes connectivity is a viable alternative that according to the OCC.47 For September is already being used by non-Members 44 MIAX PEARL has 36 distinct Members, excluding affiliated entities. See MIAX PEARL 2019, the Exchange’s affiliate, MIAX of MIAX PEARL, constraining the price Exchange Member Directory, available at https:// www.miaxoptions.com/exchange-members/pearl. 46 See Exchange Market Share of Equity 43 See the MIAX Connectivity Guide at https:// 45 MIAX has 38 distinct Members, excluding Products—2019, The Options Clearing Corporation, www.miaxoptions.com/sites/default/files/page- affiliated entities. See MIAX Exchange Member available at https://www.theocc.com/webapps/ files/MIAX_Connectivity_Guide_v3.6_ Directory, available at https:// exchange-volume. 01142019.pdf. www.miaxoptions.com/exchange-members. 47 Id.

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Emerald, had only 0.81% market share Inc. (‘‘Cboe’’) has over 200 members,50 connections.54 Furthermore, the total of the U.S. options industry in Equity/ Nasdaq ISE, LLC has approximately 100 number of connections did not decrease ETF classes according to the OCC.48 The members,51 and NYSE American LLC from July to August 2018, and in fact Exchange is not aware of any evidence has over 80 members.52 If all market one Member even purchased two (2) that a combined market share of less participants were required to be additional 10Gb ULL connections in than 10% provides the Exchange with Members of the Exchange and connect August 2018, after the fee increase. anti-competitive pricing power. This, in directly to the Exchange, the Exchange Also, in July 2018, four (4) non- addition to the fact that not all broker- would have over 200 Members, in line Members purchased 1Gb connections, dealers are required to connect to all with Cboe’s total membership. But it two (2) non-Members purchased 10Gb options exchanges, supports the does not. The Exchange only has 41 connections, and one (1) non-Member Exchange’s conclusion that its pricing is Members (inclusive of Members’ purchased 10Gb ULL connections. After constrained by competition. affiliates). the fee increase, beginning August 1, 2018, the same non-Members purchased Separately, the Exchange is not aware The Exchange finds it compelling that the same number of connections across of any reason why market participants all of the Exchange’s existing Members all available alternatives and two (2) could not simply drop their connections continued to purchase the Exchange’s additional non-Members purchased and cease being Members of the connectivity services during the period three (3) more connections after the fee Exchange if the Exchange were to for which the Proposed Fee Increases increase. These non-Members freely establish unreasonable and took effect in August 2018, particularly purchased their connectivity with the uncompetitive price increases for its in light of the R2G disconnection Exchange in order to offer trading connectivity alternatives. Market example cited above.53 In particular, the services to other firms and customers, as participants choose to connect to a Exchange believes that the Proposed Fee well as access to the market data particular exchange and because it is a Increases are reasonable because the services that their connections to the choice, MIAX PEARL must set Exchange did not lose any Members (or Exchange provide them, but they are not reasonable connectivity pricing, the number of connections each required or compelled to purchase any otherwise prospective members would Member purchased) or non-Member of the Exchange’s connectivity options. not connect and existing members connections due to the Exchange MIAX PEARL did not experience any would disconnect or connect through a increasing its connectivity fees through noticeable change (increase or decrease) third-party reseller of connectivity. No the First Proposed Rule Change, which in order flow sent by its market options market participant is required fee increase became effective August 1, participants as a result of the fee by rule, regulation, or competitive forces 2018. For example, in July 2018, increase. to be a Member of the Exchange. As fourteen (14) Members purchased 1Gb Of those Members and non-Members evidence of the fact that market connections, ten (10) Members that bought multiple connections, no participants can and do disconnect from purchased 10Gb connections, and firm dropped any connections exchanges based on connectivity fifteen (15) Members purchased 10Gb beginning August 1, 2018, when the pricing, see the R2G Services LLC ULL connections. (The Exchange notes Exchange increased its fees. Nor did the (‘‘R2G’’) letter based on BOX’s proposed that 1Gb connections are purchased Exchange lose any Members. rule changes to increase its connectivity primarily by EEM Members; 10Gb ULL Furthermore, the Exchange did not fees (SR–BOX–2018–24, SR–BOX– connections are purchased primarily by receive any comment letters or official 2018–37, and SR–BOX–2019–04).49 The higher volume Market Makers quoting complaints from any Member or non- R2G Letter stated, ‘‘[w]hen BOX all products across both MIAX PEARL Member purchaser of connectivity instituted a $10,000/month price and MIAX; and 10Gb connections are regarding the increased fees regarding increase for connectivity; we had no purchased by higher volume EEMs and how the fee increase was unreasonable, choice but to terminate connectivity lower volume Market Makers.) The vast unduly burdensome, or would into them as well as terminate our majority of those Members purchased negatively impact their competitiveness market data relationship. The cost multiple such connections with the amongst other market participants. benefit analysis just didn’t make any actual number of connections These facts, coupled with the discussion sense for us at those new levels.’’ depending on the Member’s throughput above, showing that it is not necessary Accordingly, this example shows that if requirements based on the volume of to join and/or connect to all options an exchange sets too high of a fee for their quote/order traffic and market data exchanges and market participants can connectivity and/or market data services needs associated with their business disconnect if pricing is set too high (the for its relevant marketplace, market model. After the fee increase, beginning R2G example),55 demonstrate that the participants can choose to disconnect August 1, 2018, the same number of Exchange’s fees are constrained by from the exchange. Members purchased the same number of competition and are reasonable and not Several market participants choose contrary to the Law of Demand. not to be Members of the Exchange and 50 See Form 1/A, filed August 30, 2018 (https:// Therefore, the Exchange believes that choose not to access the Exchange, and www.sec.gov/Archives/edgar/vprr/1800/ the Proposed Fee Increases are fair, several market participants also access 18002831.pdf); Form 1/A, filed August 30, 2018 equitable, and non-discriminatory, as (https://www.sec.gov/Archives/edgar/vprr/1800/ the fees are competitive. the Exchange indirectly through another 18002833.pdf); Form 1/A, filed July 24, 2018 market participant. To illustrate, the (https://www.sec.gov/Archives/edgar/vprr/1800/ The Exchange believes that the Exchange has only 41 Members 18002781.pdf); Form 1/A, filed August 30, 2018 Proposed Fee Increases are equitably (including all such Members’ affiliate (https://www.sec.gov/Archives/edgar/data/ 1473845/999999999718007832/9999999997-18- 54 Members). However, Cboe Exchange, The Exchange notes that one Member 007832-index.htm). downgraded one connection in July of 2018, 51 See Form 1/A, filed July 1, 2016 (https:// however such downgrade was done well ahead of 48 Id. www.sec.gov/Archives/edgar/vprr/1601/ notice of the Proposed Fee Increase and was the 49 See Letter from Stefano Durdic, R2G, to 16019243.pdf). result of a change to the Member’s business Vanessa Countryman, Acting Secretary, 52 See https://www.nyse.com/markets/american- operation that was completely independent of, and Commission, dated March 27, 2019 (the ‘‘R2G options/membership#directory. unrelated to, the Proposed Fee Increases. Letter’’). 53 See supra note 49. 55 See supra note 49.

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allocated among Members and non- monitoring, reporting, and support In particular, the Exchange’s Members, as evidenced by the fact that services costs that accompany a 10Gb/ increased costs associated with the fee increases are allocated across all 10Gb ULL connection which cause it to supporting its network are due to connectivity alternatives according to be 4 to 6 times more costly to provide several factors, including increased the Exchange’s costs to provide such than the 1Gb connection. As discussed costs associated with maintaining and alternatives, and there is not a above, the Exchange differentiates itself expanding a team of highly-skilled disproportionate number of Members by offering a ‘‘premium-product’’ network engineers (the Exchange also purchasing any alternative—fourteen network experience, as an operator of a hired additional network engineering (14) Members purchased 1Gb high performance, ultra-low latency staff in 2017 and 2018), increasing fees connections, ten (10) Members network with unparalleled system charged by the Exchange’s third-party purchased 10Gb connections, fifteen throughput, which network can support data center operator, and costs (15) Members purchased 10Gb ULL access to three distinct options markets associated with projects and initiatives connections, four (4) non-Members and multiple competing market-makers designed to improve overall network purchased 1Gb connections, two (2) having affirmative obligations to performance and stability, through the non-Members purchased 10Gb continuously quote over 750,000 Exchange’s R&D efforts. connections, and one (1) non-Member distinct trading products (per exchange), In order to provide more detail and to purchased 10Gb ULL connections. The and the capacity to handle quantify the Exchange’s increased costs, Exchange recognizes that the relative fee approximately 10.7 million quote the Exchange notes that increased costs increases are 27% for the 1Gb messages per second. The ‘‘premium- are associated with the infrastructure connection, 10.9% for the 10Gb product’’ network experience enables and increased headcount to fully- connection, and 9.4% for the 10Gb ULL users of 10Gb and 10Gb ULL support the advances in infrastructure connection, but the Exchange believes connections to receive the network and expansion of network level services, that percentage increase differentiation monitoring and reporting services for including customer monitoring, alerting is appropriate, given the actual costs to those approximately 750,000 distinct and reporting. Additional technology the Exchange to provide network trading products. There is a significant, expenses were incurred related to connectivity and the respective quantifiable amount of research and expanding its Information Security connection options, including the costs development (‘‘R&D’’) effort, employee services, network monitoring and associated with providing the different compensation and benefits expense, and customer reporting, as well as levels of service associated with the other expense associated with providing Regulation SCI mandated processes respective connections. the high touch network monitoring and associated with network technology. All reporting services that are utilized by of these additional expenses have been Further, the Exchange believes that incurred by the Exchange since became the fees are equitably allocated as the the 10Gb and 10Gb ULL connections offered by the Exchange. These value operational in February 2017. users of the higher bandwidth Additionally, while some of the add services are fully-discussed herein, connections consume the most expense is fixed, much of the expense and the actual costs associated with resources of the Exchange. Also, these is not fixed, and thus increases as the providing these services are the basis for firms account for the vast majority of the number of connections increase. For the differentiated amount of the fees for Exchange’s trading volume. The example, new 1Gb, 10Gb, and 10Gb ULL the various connectivity alternatives. purchasers of the 10Gb ULL connections require the purchase of connectivity account for approximately The Exchange believes that its additional hardware to support those 81% of the volume on the Exchange. For proposal is consistent with Section connections as well as enhanced example, for all of September 2019, 6(b)(4) of the Act because the Proposed monitoring and reporting of customer approximately 15.5 million contracts of Fee Increases will permit recovery of the performance that MIAX PEARL and its the approximately 19.1 million Exchange’s costs and will not result in affiliates provide. And 10Gb ULL contracts executed were done by the top excessive pricing or supra-competitive connections require the purchase of market making firms of the Exchange’s profit. The Proposed Fee Increases will specialized, more costly hardware. total volume. The Exchange further allow the Exchange to recover a portion Further, as the total number of all believes that the fees are equitably (less than all) of the increased costs connections increase, MIAX PEARL and allocated, as the amount of the fees for incurred by the Exchange associated its affiliates need to increase their data the various connectivity alternatives are with providing and maintaining the center footprint and consume more directly related to the actual costs necessary hardware and other network power, resulting in increased costs associated with providing the respective infrastructure as well as network charged by their third-party data center connectivity alternatives. That is, the monitoring and support services in provider. Accordingly, the cost to MIAX cost to the Exchange of providing a 1Gb order to provide the network PEARL and its affiliates is not entirely network connection is significantly connectivity services, since Exchange fixed. Just the initial fixed cost buildout lower than the cost to the Exchange of launched operations in February 2017. of the network infrastructure of MIAX providing a 10Gb or 10Gb ULL network Put simply, the costs of the Exchange to PEARL and its affiliates, including both connection. Pursuant to its extensive provide these services have increased primary/secondary sites and disaster cost review described above, the considerably over this time, as more recovery, was over $30 million. These Exchange believes that the average cost fully-detailed and quantified below. The costs have increased over 10% since the to provide a 10Gb/10Gb ULL network Exchange believes that it is reasonable Exchange became operational in connection is approximately 4 to 6 and appropriate to increase its fees February 2017. As these network times more than the average cost to charged for use of its connectivity to connectivity-related expenses increase, provide a 1Gb connection. The simple partially offset the increased costs the MIAX PEARL and its affiliates look to hardware and software component costs Exchange incurred during this time offset those costs through increased alone of a 10Gb/10Gb ULL connection associated with maintaining and connectivity fees. are not 4 to 6 times more than the 1Gb enhancing a state-of-the-art exchange A more detailed breakdown of the connection. Rather, it is the associated network infrastructure in the U.S. expense increases since February 2017 premium-product level network options industry. include an approximate 70% increase in

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technology-related personnel costs in Exchange experienced in 2017 and 2018 maintaining and enhancing a state-of- infrastructure, due to expansion of of approximately 10%, as cited above. the-art exchange network in the U.S. services/support (increase of Connectivity fees, which are charged for options industry is a significant expense approximately $800,000); an accessing the Exchange’s data center for the Exchange that continues to approximate 10% increase in datacenter network infrastructure, are directly increase, and thus the Exchange costs due to price increases and related to the network and offset such believes that it is reasonable to offset a footprint expansion (increase of costs. portion of those increased costs by approximately $500,000); an Further, the Exchange invests increasing its network connectivity fees, approximate 5% increase in vendor- significant resources in network R&D, which are designed to recover those supplied dark fiber due to price which are not included in direct costs, as proposed herein. The Exchange increases and expanded capabilities expenses to improve the overall invests in and offers a superior network (increase of approximately $25,000); performance and stability of its network. infrastructure as part of its overall and a 30% increase in market data For example, the Exchange has a options exchange services offering, connectivity fees (increase of number of network monitoring tools resulting in significant costs associated approximately $200,000). Of note, (some of which were developed in- with maintaining this network regarding market data connectivity fee house, and some of which are licensed infrastructure, which are directly tied to increased cost, this is the cost associated from third-parties), that continually the amount of the connectivity fees that with MIAX PEARL consuming monitor, detect, and report network must be charged to access it, in order to connectivity/content from the equities performance, many of which serve as recover those costs. As detailed in the markets in order to operate the significant value-adds to the Exchange’s Exchange’s 2018 Audited Exchange, causing MIAX PEARL to Members and enable the Exchange to Unconsolidated Financial Statements, effectively pay its competitors for this provide a high level of customer service. the Exchange only has four primary connectivity. While the Exchange and These tools detect and report sources of revenue: Transaction fees, MIAX have incurred a total increase in performance issues, and thus enable the access fees (of which network connectivity expenses since January Exchange to proactively notify a connectivity constitutes the majority), 2017 (the last time connectivity fees Member (and the SIPs) when the regulatory fees, and market data fees. were raised) of approximately $1.5 Exchange detects a problem with a Accordingly, the Exchange must cover million per year (as described above), Member’s connectivity. In fact, the all of its expenses from these four the total increase in connectivity Exchange often receives calls from other primary sources of revenue. revenue amount as a result of the industry participants regarding the status of networking issues outside of The Proposed Fee Increases are fair Proposed Fee Increases is projected to and reasonable because they will not be approximately $1.2 million per year the Exchange’s own network environment that are impacting the result in excessive pricing or supra- for MIAX PEARL and MIAX. competitive profit, when comparing the Accordingly, the total projected MIAX industry as a whole via the SIPs, including calls from regulators, because total annual expense of MIAX PEARL PEARL and MIAX connectivity revenue and MIAX collected for providing as a result of the proposed increase, on the Exchange has a superior, state-of the-art network that, through its network connectivity services versus the an annualized basis, is less than the total projected annual revenue of both total annual actual MIAX PEARL and enhanced monitoring and reporting solutions, often detects and identifies exchanges associated with providing MIAX connectivity expense. industry-wide networking issues ahead network connectivity services. For 2018, Accordingly, the Proposed Fee Increases of the SIPs. The costs associated with the total annual expense associated with are fair and reasonable because they will the maintenance and improvement of providing network connectivity services not result in excessive pricing or supra- existing tools and the development of (that is, the shared network connectivity competitive profit, when comparing the new tools resulted in significant of MIAX PEARL and MIAX, but increase in actual costs to the Exchange increased cost to the Exchange since excluding MIAX Emerald) was (since February 2017) versus the February 2017 and are loss leaders for approximately $19.3 million. The $19.3 projected increase in annual revenue. the Exchange to provide these added million in total annual expense is The Exchange also incurred additional benefits for Members and non-Members. comprised of the following, all of which significant capital expenditures over Certain recently developed network is directly related to the provision of this same period to upgrade and aggregation and monitoring tools network connectivity services by MIAX enhance the underlying technology provide the Exchange with the ability to PEARL and MIAX to their respective components, as more fully-detailed measure network traffic with a much Members and non-Members: (1) Third- below. more granular level of variability. This party expense, relating to fees paid by Further, because the costs of operating is important as Exchange Members MIAX PEARL and MIAX to third-parties a data center are significant and not demand a higher level of network for certain products and services; and economically feasible for the Exchange, determinism and the ability to measure (2) internal expense, relating to the the Exchange does not operate its own variability in terms of single digit internal costs of MIAX PEARL and data centers, and instead contracts with nanoseconds. Also, the Exchange MIAX to provide the network a third-party data center provider. The routinely conducts R&D projects to connectivity services. All such expenses Exchange notes that larger, dominant improve the performance of the are more fully-described below, and are exchange operators own and operate network’s hardware infrastructure. As mapped to the MIAX PEARL and MIAX their data centers, which offers them an example, in the last year, the 2018 Statements of Operations and greater control over their data center Exchange’s R&D efforts resulted in a Member’s Deficit (the ‘‘2018 Financial costs. Because those exchanges own and performance improvement, requiring Statements’’). The $19.3 million in total operate their data centers as profit the purchase of new equipment to annual expense is directly related to the centers, the Exchange is subject to support that improvement, and thus provision of network connectivity additional costs. As a result, the resulting in increased costs in the services and not any other product or Exchange is subject to fee increases from hundreds of thousands of dollars range. service offered by the Exchange. It does its data center provider, which the In sum, the costs associated with not, as the Third IEX Letter baselessly

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claims, include general costs of IEX Letter is ill-informed and self- network connectivity services, was operating matching systems and other serving.56 $14,271,870. This includes, but is not trading technology. (And as stated For 2018, total third-party expense, limited to, costs associated with: (1) previously, no expense amount was relating to fees paid by MIAX PEARL Employee compensation and benefits allocated twice.) As discussed, the and MIAX to third-parties for certain for full-time employees that support Exchange conducted an extensive cost products and services for the Exchange network connectivity services, review in which the Exchange analyzed to be able to provide network including staff in network operations, every expense item in the Exchange’s connectivity services, was $5,052,346. trading operations, development, system general expense ledger (this includes This includes, but is not limited to, a operations, business, etc., as well as over 150 separate and distinct expense portion of the fees paid to: (1) Equinix, staff in general corporate departments items) to determine whether each such for data center services, for the primary, (such as legal, regulatory, and finance) expense relates to the provision of secondary, and disaster recovery that support those employees and functions; (2) depreciation and network connectivity services, and, if locations of the MIAX PEARL and MIAX trading system infrastructure; (2) amortization of hardware and software such expense did so relate, what portion Zayo Group Holdings, Inc. (‘‘Zayo’’) for used to provide network connectivity (or percentage) of such expense actually connectivity services (fiber and services, including equipment, servers, supports the provision of network bandwidth connectivity) linking MIAX cabling, purchased software and connectivity services, and thus bears a PEARL and MIAX office locations in internally developed software used in relationship that is, ‘‘in nature and Princeton, NJ and Miami, FL to all data the production environment to support closeness,’’ directly related to network center locations; (3) Secure Financial the provision of network connectivity connectivity services. The sum of all Transaction Infrastructure (‘‘SFTI’’),57 for trading; and (3) occupancy costs for such portions of expenses represents the which supports connectivity and feeds leased office space for staff that support total actual baseline cost of the for the entire U.S. options industry; (4) the provision of network connectivity Exchange to provide network various other services providers services. The breakdown of these costs connectivity services. (including Thompson Reuters, NYSE, is more fully-described below. As discussed above, the Exchange Nasdaq, and Internap), which provide All of the internal expenses described differentiates itself by offering a content, connectivity services, and above are contained in the following ‘‘premium-product’’ network infrastructure services for critical line items under the section titled experience, as an operator of a high components of options connectivity; ‘‘Operating Expenses Incurred Directly or Allocated From Parent’’ in the 2018 performance, ultra-low latency network and (5) various other hardware and Financial Statements: (1) Employee with unparalleled system throughput, software providers (including Dell and Cisco, which support the production compensation and benefits; (2) which network can support access to Depreciation and amortization; and (3) three distinct options markets and environment in which Members and non-Members connect to the network to Occupancy costs. For clarity, only a multiple competing market-makers portion of all such internal expenses are having affirmative obligations to trade, receive market data, etc.). All of the third-party expense included in the internal expense herein continuously quote over 750,000 described above is contained in the (only the portion that supports the distinct trading products (per exchange), information technology and provision of network connectivity and the capacity to handle communication costs line item under services), and no expense amount is approximately 38 million quote the section titled ‘‘Operating Expenses allocated twice). Accordingly, MIAX messages per second. The ‘‘premium- Incurred Directly or Allocated From PEARL and MIAX do not allocate their product’’ network experience enables Parent’’ of the 2018 Financial entire costs contained in those line users of 10Gb and 10Gb ULL Statements. For clarity, only a portion of items to the provision of network connections to receive the network all fees paid to such third-parties is connectivity services. monitoring and reporting services for included in the third-party expense MIAX’s and MIAX PEARL’s combined those approximately 750,000 distinct herein (only the portion that actually employee compensation and benefits trading products. Thus, the Exchange is supports the provision of network expense relating to providing network acutely aware of and can isolate the connectivity services and no expense connectivity services was $5,264,151, which is only a portion of the actual costs associated with providing amount is allocated twice). Accordingly, $11,997,098 (for MIAX) and $8,545,540 such a service to its customers, a MIAX PEARL and MIAX do not allocate (for MIAX PEARL) total expense for significant portion of which relates to their entire information technology and employee compensation and benefits the premium, value-add customer communication costs to the provision of that is stated in the 2018 Financial network monitoring and support network connectivity services. services that accompany the service, as For 2018, total internal expense, Statements. MIAX’s and MIAX PEARL’s fully-described above. IEX, on the other relating to the internal costs of MIAX combined depreciation and hand, does not offer such a network, PEARL and MIAX to provide the amortization expense relating to providing network connectivity services and thus has no legal basis to offer a was $8,269,048, which is only a portion qualified opinion on the Exchange’s 56 See Third IEX Letter, pg. 5. of the $6,179,506 (for MIAX) and costs associated with operating such a 57 In fact, on October 22, 2019, the Exchange was $4,783,245 (for MIAX PEARL) total network. In fact, IEX differentiates itself notified by SFTI that it is again raising its fees charged to the Exchange by approximately 11%, expense for depreciation and as a provider of low cost connectivity without having to show that such fee change amortization that is stated in the 2018 solutions to an intentionally delayed complies with the Act by being reasonable, Financial Statements. MIAX’s and trading platform—quite the opposite equitably allocated, and not unfairly discriminatory. It is unfathomable to the Exchange MIAX PEARL’s combined occupancy from the Exchange. Thus, there is no that, given the critical nature of the infrastructure expense relating to providing network relevant comparison between IEX services provided by SFTI, that its fees are not connectivity services was $738,669, network connectivity costs and the required to be rule-filed with the Commission which is only a portion of the $945,431 Exchange’s network connectivity costs, pursuant to Section 19(b)(1) of the Act and Rule 19b–4 thereunder. See 15 U.S.C. 78s(b)(1) and 17 (for MIAX) and $581,783 (for MIAX and IEX’s attempt to do so in the Third CFR 240.19b–4, respectively. PEARL) total expense for occupancy

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that is stated in the 2018 Financial American, MIAX PEARL believes that it impose a burden on competition; rather, Statements. offers significant value to Members over the allocation of the Proposed Fee Accordingly, the total projected MIAX other exchanges in terms of network Increases reflects the network resources and MIAX PEARL combined revenue for monitoring and reporting, which MIAX consumed by the various size of market providing network connectivity PEARL believes is a competitive participants—lowest bandwidth services, reflective of the proposed advantage, and differentiates its consuming members pay the least, and increase, on an annualized basis, of connectivity versus connectivity to highest bandwidth consuming members $14.5 million, is less than total annual other exchanges. Additionally, the pays the most, particularly since higher actual MIAX PEARL and MIAX Exchange’s proposed connectivity fees bandwidth consumption translates to combined expense for providing to its disaster recovery facility are higher costs to the Exchange. network connectivity services during within the range of the fees charged by 2018 of approximately $19.3 million. other exchanges for similar connectivity Inter-Market Competition MIAX PEARL and MIAX project alternatives.60 The Exchange believes the Proposed comparable combined expenses for B. Self-Regulatory Organization’s Fee Increases do not place an undue providing network connectivity services Statement on Burden on Competition burden on competition on other SROs for 2019, as compared to 2018. that is not necessary or appropriate. In For the avoidance of doubt, none of MIAX PEARL does not believe that particular, options market participants the expenses included herein relating to the proposed rule changes will impose are not forced to connect to (and the provision of network connectivity any burden on competition not purchase market data from) all options services relate to the provision of any necessary or appropriate in furtherance exchanges, as shown by the number of other services offered by MIAX PEARL of the purposes of the Act. Members of MIAX PEARL as compared and MIAX. Stated differently, no Intra-Market Competition to the much greater number of members expense amount of the Exchange is The Exchange does not believe that at other options exchanges (as described allocated twice. above). Not only does MIAX PEARL Accordingly, the Proposed Fee the proposed rule change would place certain market participants at the have less than half the number of Increases are fair and reasonable members as certain other options because they do not result in excessive Exchange at a relative disadvantage compared to other market participants exchanges, but there are also a number pricing or supra-competitive profit, of the Exchange’s Members that do not when comparing the actual network or affect the ability of such market participants to compete. In particular, connect directly to MIAX PEARL. There connectivity costs to the Exchange are a number of large market makers and versus the projected network the Exchange has received no official complaints from Members, non- broker-dealers that are members of other connectivity annual revenue, including Members (extranets and service options exchange but not Members of the increased amount. Additional bureaus), third-parties that purchase the MIAX PEARL. Additionally, other information on overall revenue and Exchange’s connectivity and resell it, exchanges have similar connectivity expense of the Exchange can be found and customers of those resellers, that alternatives for their participants, in the Exchange’s 2018 Financial the Exchange’s fees or the Proposed Fee including similar low-latency Statements. Increases are negatively impacting or connectivity, but with much higher The Exchange notes that other 61 would negatively impact their abilities rates to connect. The Exchange is also exchanges have similar connectivity to compete with other market unaware of any assertion that its alternatives for their participants, participants or that they are placed at a existing fee levels or the Proposed Fee including similar low-latency disadvantage. The Exchange believes Increases would somehow unduly connectivity. For example, Nasdaq that the Proposed Fee Increases do not impair its competition with other PHLX LLC (‘‘Phlx’’), NYSE Arca, Inc. place certain market participants at a options exchanges. To the contrary, if (‘‘Arca’’), NYSE American LLC (‘‘NYSE relative disadvantage to other market the fees charged are deemed too high by American’’) and Nasdaq ISE, LLC participants because the connectivity market participants, they can simply (‘‘ISE’’) all offer a 1Gb, 10Gb and 10Gb pricing is associated with relative usage disconnect. While the Exchange low latency ethernet connectivity of the various market participants and recognizes the distinction between alternatives to each of their connecting to an exchange and trading 58 does not impose a barrier to entry to participants. The Exchange further smaller participants. As described at the exchange, the Exchange notes that notes that Phlx, ISE, Arca and NYSE above, the less expensive 1Gb direct it operates in a highly competitive American each charge higher rates for connection is generally purchased by options market in which market such similar connectivity to primary market participants that utilize less participants can readily connect and 59 and secondary facilities. While MIAX bandwidth. The market participants that trade with venues they desire. In such PEARL’s proposed connectivity fees are purchase 10Gb ULL direct connections an environment, the Exchange must substantially lower than the fees utilize the most bandwidth, and those continually adjust its fees to remain charged by Phlx, ISE, Arca and NYSE are the participants that consume the competitive with other exchanges. The most resources from the network. Exchange believes that the proposed 58 See Phlx and ISE Rules, General Equity and Accordingly, the Proposed Fee Increases changes reflect this competitive Options Rules, General 8, Section 1(b). Phlx and ISE each charge a monthly fee of $2,500 for each 1Gb do not favor certain categories of market environment. connection, $10,000 for each 10Gb connection and participants in a manner that would $15,000 for each 10Gb Ultra connection, which the C. Self-Regulatory Organization’s Statement on Comments on the equivalent of the Exchange’s 10Gb ULL connection. 60 See Nasdaq ISE, Options Rules, Options 7, See also NYSE American Fee Schedule, Section Pricing Schedule, Section 11.D. (charging $3,000 for Proposed Rule Change Received From V.B, and Arca Fees and Charges, Co-Location Fees. disaster recovery testing & relocation services); see Members, Participants, or Others NYSE American and Arca each charge a monthly also Cboe Exchange, Inc. (‘‘Cboe’’) Fees Schedule, fee of $5,000 for each 1Gb circuit, $14,000 for each p. 14, Cboe Command Connectivity Charges Written comments were neither 10Gb circuit and $22,000 for each 10Gb LX circuit, (charging a monthly fee of $2,000 for a 1Gb disaster solicited nor received. which the equivalent of the Exchange’s 10Gb ULL recovery network access port and a monthly fee of connection. $6,000 for a 10Gb disaster recovery network access 59 Id. port). 61 See supra note 58.

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III. Date of Effectiveness of the Reference Room, 100 F Street NE, rule change was published for comment Proposed Rule Change and Timing for Washington, DC 20549, on official in the Federal Register on September Commission Action business days between the hours of 18, 2019.3 On October 16, 2019, the The foregoing rule change has become 10:00 a.m. and 3:00 p.m. Copies of the Exchange filed Amendment No. 1 to the effective pursuant to Section filing also will be available for proposed rule change, which replaced 19(b)(3)(A)(ii) of the Act,62 and Rule inspection and copying at the principal and superseded the proposed rule 19b–4(f)(2) 63 thereunder. At any time office of the Exchange. All comments change as originally filed.4 The within 60 days of the filing of the received will be posted without change. Commission has received no comments proposed rule change, the Commission Persons submitting comments are on the proposed rule change. The summarily may temporarily suspend cautioned that we do not redact or edit Commission is publishing this notice to such rule change if it appears to the personal identifying information from solicit comments on Amendment No. 1 Commission that such action is comment submissions. You should from interested persons, and is necessary or appropriate in the public submit only information that you wish approving the proposed rule change, as interest, for the protection of investors, to make available publicly. All modified by Amendment No. 1, on an or otherwise in furtherance of the submissions should refer to File accelerated basis. Number SR–PEARL–2019–33 and purposes of the Act. If the Commission II. Description of the Proposed Rule takes such action, the Commission shall should be submitted on or before November 27, 2019. Change, as Modified by Amendment institute proceedings to determine No. 1 whether the proposed rule should be For the Commission, by the Division of approved or disapproved. Trading and Markets, pursuant to delegated The Exchange proposes to: (1) Permit authority.64 the continued listing and trading of IV. Solicitation of Comments Jill M. Peterson, Shares of the Innovator MSCI EAFE Interested persons are invited to Assistant Secretary. Power Buffer ETF (July Series) and submit written data, views, and [FR Doc. 2019–24187 Filed 11–5–19; 8:45 am] Innovator MSCI Emerging Markets arguments concerning the foregoing, BILLING CODE 8011–01–P Power Buffer ETF (July Series); (2) list including whether the proposed rule and trade Shares of up to an additional change is consistent with the Act. eleven Innovator MSCI EAFE Power Comments may be submitted by any of SECURITIES AND EXCHANGE Buffer ETF Series of the Trust (‘‘EAFE the following methods: COMMISSION Power Buffer Funds’’); and (3) list and trade Shares of up to an additional Electronic Comments [Release No. 34–87437; File No. SR– NYSEArca–2019–62] eleven Innovator MSCI Emerging • Use the Commission’s internet Markets Power Buffer ETF Series of the comment form (http://www.sec.gov/ Self-Regulatory Organizations; NYSE Trust (‘‘Emerging Markets Power Buffer rules/sro.shtml); or Arca, Inc.; Notice of Filing of Funds’’).5 Innovator Capital • Send an email to rule-comments@ Amendment No. 1, and Order Granting Management, LLC (‘‘Adviser’’) is the sec.gov. Please include File Number SR– Accelerated Approval of a Proposed investment adviser to the Funds and PEARL–2019–33 on the subject line. Rule Change, as Modified by Milliman Financial Risk Management Paper Comments Amendment No. 1, Relating to the LLC (‘‘Sub-Adviser’’) is the sub-adviser. The investment objective of the EAFE • Send paper comments in triplicate Listing and Trading of Shares of the Power Buffer Funds is to provide to Secretary, Securities and Exchange Innovator MSCI EAFE Power Buffer Commission, 100 F Street NE, ETFs and Innovator MSCI Emerging investors with returns that match those Washington, DC 20549–1090. Markets Power Buffer ETFs, Series of of the MSCI EAFE Investable Market the Innovator ETFs Trust, Under NYSE Index—Price Return (‘‘MSCI EAFE All submissions should refer to File Index’’) over a period of approximately Number SR–PEARL–2019–33. This file Arca Rule 8.600–E one year, while providing a level of number should be included on the October 31, 2019. protection from MSCI EAFE Index subject line if email is used. To help the losses. The investment objective of the Commission process and review your I. Introduction comments more efficiently, please use On August 29, 2019, NYSE Arca, Inc. 3 See Securities Exchange Act Release No. 86948 only one method. The Commission will (‘‘Exchange’’ or ‘‘NYSE Arca’’) filed (September 12, 2019), 84 FR 49131. post all comments on the Commission’s with the Securities and Exchange 4 In Amendment No. 1, the Exchange: (1) Clarified internet website (http://www.sec.gov/ Commission (‘‘Commission’’), pursuant that it is submitting this proposal in order to allow rules/sro.shtml). Copies of the to Section 19(b)(1) of the Securities each Fund to hold listed derivatives (i.e., FLEX and standardized options on the Indexes and on ETFs 1 submission, all subsequent Exchange Act of 1934 (‘‘Act’’) and Rule that track the Indexes) in a manner that does not amendments, all written statements 19b–4 thereunder,2 a proposed rule comply with Commentary .01(d)(2) to NYSE Arca with respect to the proposed rule change relating to the listing and trading Rule 8.600–E; (2) clarified the Funds’ use of change that are filed with the of shares (‘‘Shares’’) of the Innovator standardized options; (3) specified that while the Funds will invest primarily in FLEX and Commission, and all written MSCI EAFE Power Buffer ETFs and standardized options, they may also invest in cash communications relating to the Innovator MSCI Emerging Markets and cash equivalents; and (4) made other technical, proposed rule change between the Power Buffer ETFs (each a ‘‘Fund’’ and clarifying, and conforming changes. Amendment Commission and any person, other than collectively the ‘‘Funds’’), series of the No. 1 is available at: https://www.sec.gov/ comments/sr-nysearca-2019-62/srnysearca201962- those that may be withheld from the Innovator ETFs Trust (‘‘Trust’’), under 6310013-193523.pdf. public in accordance with the NYSE Arca Rule 8.600–E, which 5 The Trust is registered with the Commission as provisions of 5 U.S.C. 552, will be governs the listing and trading of an investment company and has filed a registration available for website viewing and Managed Fund Shares. The proposed statement on Form N–1A under the Securities Act printing in the Commission’s Public of 1933 and the Investment Company Act of 1940 for each of the Innovator MSCI EAFE Power Buffer 64 17 CFR 200.30–3(a)(12). ETF (July Series and October Series) and Innovator 62 15 U.S.C. 78s(b)(3)(A)(ii). 1 15 U.S.C. 78s(b)(1). MSCI Emerging Markets Power Buffer ETF (July 63 17 CFR 240.19b–4(f)(2). 2 17 CFR 240.19b–4. Series and October Series).

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Emerging Markets Power Buffer Funds the EAFE Power Buffer Fund will seek other investments (i.e., cash or cash is to provide investors with returns that to provide a total return of zero; and equivalents 13) which the Adviser or match those of the MSCI Emerging • If the MSCI EAFE Index decreases Sub-Adviser believes will help each Markets Investable Market Index—Price over the outcome period by more than Fund to meet its investment objective Return (‘‘MSCI Emerging Markets 15%, the EAFE Power Buffer Fund will and that will be disclosed at the end of Index’’ and, together with the MSCI seek to provide a total return loss that each trading day. EAFE Index, the ‘‘Indexes’’) over a is 15% less than the percentage loss on According to the Exchange, it is period of approximately one year, while the MSCI EAFE Index with a maximum submitting this proposal in order to providing a level of protection from loss of approximately 85%. allow each Fund to hold listed MSCI Emerging Markets Index losses. In addition, pursuant to the Emerging derivatives (i.e., FLEX and standardized In particular, the Funds are actively Markets Power Buffer Strategy, each options on the Indexes and on ETFs that managed funds that employ a defined Emerging Markets Power Buffer Fund’s track the Indexes) in a manner that does outcome strategy 6 that: (1) For the EAFE portfolio managers will seek to produce not comply with Commentary .01(d)(2) Power Buffer Funds, seeks to provide the following outcomes during the to NYSE Arca Rule 8.600–E. investment returns during the outcome outcome period: • Commentary .01(d)(2) to NYSE Arca period that match the gains of the MSCI If the MSCI Emerging Markets Index Rule 8.600–E provides that the aggregate EAFE Index, up to a maximized annual appreciates over the outcome period, gross notional value of listed derivatives return (‘‘EAFE Cap Level’’),7 while the Emerging Markets Power Buffer based on any five or fewer underlying guarding against a decline in the MSCI Fund will seek to provide shareholders reference assets shall not exceed 65% of EAFE Index of the first 15% (‘‘EAFE with a total return that matches that of the weight of the portfolio (including Power Buffer Strategy’’); and (2) for the the MSCI Emerging Markets Index, up to gross notional exposures), and the Emerging Markets Power Buffer Funds, and including the Emerging Markets aggregate gross notional value of listed seeks to provide investment returns Cap Level; • derivatives based on any single during the outcome period that match If the MSCI Emerging Markets Index underlying reference asset shall not the gains of the MSCI Emerging Markets depreciates over the outcome period by exceed 30% of the weight of the Index, up to a maximized annual return 15% or less, the Emerging Markets portfolio (including gross notional (‘‘Emerging Markets Cap Level’’),8 while Power Buffer Fund will seek to provide exposures). guarding against a decline in the MSCI a total return of zero; • Emerging Markets Index of the first 15% If the MSCI Emerging Markets Index III. Discussion and Commission (‘‘Emerging Markets Power Buffer decreases over the outcome period by Findings Strategy’’). more than 15%, the Emerging Markets Power Buffer Fund will seek to provide After careful review, the Commission More specifically, pursuant to the finds that the proposed rule change, as EAFE Power Buffer Strategy, each EAFE a total return loss that is 15% less than the percentage loss on the MSCI modified by Amendment No. 1, is Power Buffer Fund’s portfolio managers consistent with the requirements of the will seek to produce the following Emerging Markets Index with a maximum loss of approximately 85%. Act and the rules and regulations outcomes during the outcome period: thereunder applicable to a national • Under normal market conditions: 9 (1) If the MSCI EAFE Index appreciates securities exchange.14 In particular, the over the outcome period, the EAFE Each EAFE Power Buffer Fund will invest primarily in FLEX options or Commission finds that the proposed Power Buffer Fund will seek to provide rule change, as modified by Amendment shareholders with a total return that standardized options contracts listed on a U.S. exchange that reference either the No. 1, is consistent with Section 6(b)(5) matches that of the MSCI EAFE Index, 15 10 of the Act, which requires, among up to and including the EAFE Cap MSCI EAFE Index or ETFs that track the MSCI EAFE Index; and (2) each other things, that the Exchange’s rules Level; be designed to prevent fraudulent and • Emerging Markets Power Buffer Fund If the MSCI EAFE Index depreciates manipulative acts and practices, to over the outcome period by 15% or less, will invest primarily in FLEX options or standardized options contracts listed on promote just and equitable principles of a U.S. exchange that reference either the trade, to remove impediments to and 6 Defined outcome strategies are designed to perfect the mechanism of a free and participate in market gains and losses within pre- MSCI Emerging Markets Index or determined ranges over a specified period (i.e., ETFs 11 that track the MSCI Emerging open market and a national market point to point). These outcomes are predicated on Markets Index.12 Each of the Funds may system, and, in general, to protect the assumption that an investment vehicle invest its net assets (in the aggregate) in investors and the public interest. The employing the strategy is held for the designated Commission also finds that the proposal outcome periods. 7 9 The term ‘‘normal market conditions’’ is defined is consistent with Section The EAFE Cap Level will be determined with 16 respect to each EAFE Power Buffer Fund on the in NYSE Arca Rule 8.600–E(c)(5). 11A(a)(1)(C)(iii) of the Act, which sets inception date of the EAFE Power Buffer Fund and 10 For purposes of this proposal, the term ‘‘ETFs’’ forth Congress’ finding that it is in the at the beginning of each outcome period and is means Investment Company Units (as described in public interest and appropriate for the determined based on the price of the FLEX options NYSE Arca Rule 5.2–E(j)(3)), Portfolio Depositary protection of investors and the acquired by the EAFE Power Buffer Fund at that Receipts (as described in NYSE Arca Rule 8.100– time. The EAFE Cap Level will be determined only E), and Managed Fund Shares (as described in maintenance of fair and orderly markets once at the beginning of each outcome period and NYSE Arca Rule 8.600–E). All ETFs will be listed to assure the availability to brokers, not within an outcome period. and traded in the U.S. on a national securities dealers and investors of information 8 The Emerging Markets Cap Level will be exchange. determined with respect to each Emerging Markets 11 See supra note 10. 13 Power Buffer Fund on the inception date of the 12 Options on the Indexes are traded on Cboe Cash equivalents are the short-term instruments Emerging Markets Power Buffer Fund and at the Exchange, Inc. (‘‘Cboe Options’’). Options on ETFs enumerated in Commentary .01(c) to NYSE Arca beginning of each outcome period and is based on the Indexes are listed and traded in the Rule 8.600–E. determined based on the price of the FLEX options U.S. on national securities exchanges. The 14 In approving this proposed rule change, the acquired by the Emerging Markets Power Buffer Exchange, Cboe Options, and all other national Commission has considered the proposed rule’s Fund at that time. The Emerging Markets Cap Level securities exchanges are members of the Intermarket impact on efficiency, competition, and capital will be determined only once at the beginning of Surveillance Group (‘‘ISG’’). Moreover, Cboe formation. See 15 U.S.C. 78c(f). each outcome period and not within an outcome Options and the Exchange are members of the 15 15 U.S.C. 78f(b)(5). period. Options Regulatory Surveillance Authority. 16 15 U.S.C. 78k–1(a)(1)(C)(iii).

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with respect to quotations for and existing and prospective shareholders each Fund will comply with the initial transactions in securities. with certain information to help inform and continued listing standards under According to the Exchange, intra-day investment decisions. The information NYSE Arca Rule 8.600–E. and closing price information regarding provided includes the start and end (2) Trading in the Shares will be Index options and ETF options is dates of the current outcome period, the subject to the existing trading available from the Options Price time remaining in the outcome period, surveillances, administered by FINRA Reporting Authority, Cboe Options’ the Funds’ current NAV, each Fund’s on behalf of the Exchange, or by website, and from major market data cap for the outcome period and the regulatory staff of the Exchange, which vendors. FINRA’s Trade Reporting and maximum investment gain available up are designed to detect violations of Compliance Engine (‘‘TRACE’’) will be to the cap for a shareholder purchasing Exchange rules and applicable federal a source of price information for certain Shares at the current NAV. The web tool securities laws. fixed income securities to the extent also provides information regarding (3) For initial and continued listing, transactions in such securities are each Fund’s buffer. This information the Funds will be in compliance with reported to TRACE. Price information includes the remaining buffer available Rule 10A–3 under the Act,17 as regarding U.S. government securities for a shareholder purchasing Shares at provided by NYSE Arca Rule 5.3–E. and other cash equivalents generally the current NAV or the amount of losses (4) With respect to each of the may be obtained from brokers and that a shareholder purchasing Shares at proposed additional eleven series of dealers who make markets in such the current NAV would incur before each Fund, a minimum of 100,000 securities or through nationally benefitting from the protection of the Shares will be outstanding at the recognized pricing services through buffer. commencement of trading on the subscription agreements. Information The Shares do not qualify for generic Exchange. regarding market price and trading listing because the Funds will not This approval order is based on all of volume of the Shares will be continually satisfy the requirements of Commentary the Exchange’s statements and available on a real-time basis throughout .01(d)(2) to NYSE Arca Rule 8.600–E representations, including those set the day on brokers’ computer screens that the aggregate gross notional value of forth above and in Amendment No. 1. and other electronic services. listed derivatives based on any five or IV. Solicitation of Comments on Information regarding the previous fewer underlying reference assets shall Amendment No. 1 to the Proposed Rule day’s closing price and trading volume not exceed 65% of the weight of the Change information for the Shares will be portfolio (including gross notional published daily in the financial section exposures) and the aggregate gross Interested persons are invited to of newspapers. Quotation and last sale notional value of listed derivatives submit written data, views, and information for the Shares will be based on any single underlying arguments concerning whether available via the Consolidated Tape reference asset shall not exceed 30% of Amendment No. 1 is consistent with the Association high-speed line. In the weight of the portfolio (including Act. Comments may be submitted by addition, the Portfolio Indicative Value, gross notional exposures). As noted any of the following methods: as defined in NYSE Arca Rule 8.600– above, under normal market conditions: Electronic Comments E(c)(3), will be widely disseminated by (1) Each EAFE Power Buffer Fund will one or more major market data vendors invest primarily in FLEX Options or • Use the Commission’s internet at least every 15 seconds during the standardized options contracts listed on comment form (http://www.sec.gov/ Core Trading Session. a U.S. exchange that reference either the rules/sro.shtml); or • The Commission also believes that the MSCI EAFE Index or ETFs that track the Send an email to rule-comments@ proposal is reasonably designed to MSCI EAFE Index; and (2) each sec.gov. Please include File Number SR– promote fair disclosure of information Emerging Markets Power Buffer Fund NYSEArca–2019–62 on the subject line. that may be necessary to price the will invest primarily in FLEX Options Paper Comments Shares appropriately and to prevent or standardized options contracts listed • trading when a reasonable degree of on a U.S. exchange that reference either Send paper comments in triplicate transparency cannot be assured. Under the MSCI Emerging Markets Index or to Secretary, Securities and Exchange NYSE Arca Rule 8.600–E(d)(2)(D), if the ETFs that track the MSCI Emerging Commission, 100 F Street NE, Exchange becomes aware that the net Markets Index. The Commission notes Washington, DC 20549–1090. asset value (‘‘NAV’’) or the Disclosed that, although the Funds’ holdings in All submissions should refer to File Portfolio (as defined in NYSE Arca Rule these listed derivatives will not meet the Number SR–NYSEArca–2019–62. This 8.600–E(c)(2)) is not disseminated to all requirements of Commentary .01(d)(2) file number should be included on the market participants at the same time, to NYSE Arca Rule 8.600–E, the Indexes subject line if email is used. To help the the Exchange is required to halt trading are broad-based; the ETFs will be listed Commission process and review your in such series of Managed Fund Shares. and traded in the U.S. on national comments more efficiently, please use In addition, the Exchange represents securities exchanges; and all Index and only one method. The Commission will that if a Fund is not in compliance with ETF options contacts held by the Funds post all comments on the Commission’s the applicable listing requirements, the will trade on markets that are a member internet website (http://www.sec.gov/ Exchange will commence delisting of ISG or affiliated with a member of rules/sro.shtml). Copies of the procedures under NYSE Arca Rule 5.5– ISG, or with which the Exchange has in submission, all subsequent E(m). The Exchange also states that it place a comprehensive surveillance amendments, all written statements has a general policy prohibiting the sharing agreement, all of which help to with respect to the proposed rule distribution of material, non-public mitigate concerns about the prices of the change that are filed with the information by its employees. Further, Shares being susceptible to Commission, and all written the issuer currently provides and manipulation. communications relating to the maintains for the July Series, and will Additionally, in support of this proposed rule change between the provide and maintain for any future proposal, the Exchange represents that: Commission and any person, other than series of a Fund, a publicly available (1) With the exception of the web tool on its website that provides requirements of Commentary .01(d)(2), 17 17 CFR 240.10A–3.

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those that may be withheld from the No. 1, be, and it hereby is, approved on Regulatory Program projects listed for public in accordance with the an accelerated basis. Commission action were those that were provisions of 5 U.S.C. 552, will be For the Commission, by the Division of the subject of public hearings conducted available for website viewing and Trading and Markets, pursuant to delegated by the Commission on October 31, 2019, printing in the Commission’s Public authority.20 and identified in the notices for such Reference Room, 100 F Street NE, Jill M. Peterson, hearings, which was published in 84 FR Washington, DC 20549, on official Assistant Secretary. 52552, October 2, 2019. business days between the hours of The public is invited to attend the [FR Doc. 2019–24189 Filed 11–5–19; 8:45 am] 10:00 a.m. and 3:00 p.m. Copies of the Commission’s business meeting. BILLING CODE 8011–01–P filing also will be available for Comments on the Regulatory Program inspection and copying at the principal projects are subject to a deadline of office of the Exchange. All comments November 12, 2019. Written comments received will be posted without change. SUSQUEHANNA RIVER BASIN pertaining to other items on the agenda Persons submitting comments are COMMISSION at the business meeting may be mailed cautioned that we do not redact or edit Commission Meeting to the Susquehanna River Basin personal identifying information from Commission, 4423 North Front Street, comment submissions. You should AGENCY: Susquehanna River Basin Harrisburg, Pennsylvania 17110–1788, submit only information that you wish Commission. or submitted electronically through to make available publicly. All ACTION: Notice. www.srbc.net/about/meetings-events/ submissions should refer to File business-meeting.html. Such comments Number SR–NYSEArca–2019–62, and SUMMARY: The Susquehanna River Basin are due to the Commission on or before should be submitted on or before Commission will hold its regular November 26, 2019. Comments will not November 27, 2019. business meeting on December 5, 2019, be accepted at the business meeting in Harrisburg, Pennsylvania. Details noticed herein. V. Accelerated Approval of Proposed concerning the matters to be addressed Rule Change, as Modified by Authority: Pub. L. 91–575, 84 Stat. 1509 et at the business meeting are contained in seq., 18 CFR parts 806, 807, and 808. Amendment No. 1 the SUPPLEMENTARY INFORMATION section Dated: October 31, 2019. The Commission finds good cause to of this notice. Also the Commission Jason E. Oyler, approve the proposed rule change, as published a document in the Federal modified by Amendment No. 1, prior to Register on October 2, 2019, concerning General Counsel and Secretary to the Commission. the thirtieth day after the date of its public hearing on October 31, 2019, publication of notice of the filing of in Harrisburg, Pennsylvania. [FR Doc. 2019–24176 Filed 11–5–19; 8:45 am] Amendment No. 1 in the Federal DATES: The meeting will be held on BILLING CODE 7040–01–P Register. As discussed above, in Thursday, December 5, 2019, at 9 a.m. Amendment No. 1, the Exchange: (1) ADDRESSES: The meeting will be held at Clarified that it is submitting this the Susquehanna River Basin DEPARTMENT OF TRANSPORTATION proposal in order to allow each Fund to Commission, 4423 N Front Street, Federal Motor Carrier Safety hold listed derivatives (i.e., FLEX and Harrisburg, PA 17110. Administration standardized options on the Indexes and FOR FURTHER INFORMATION CONTACT: on ETFs that track the Indexes) in a Jason E. Oyler, General Counsel and [Docket No. FMCSA–2019–0101] manner that does not comply with Secretary to the Commission, telephone: Commentary .01(d)(2) to NYSE Arca 717–238–0423; fax: 717–238–2436. Agency Information Collection Activities; Information Collection Rule 8.600–E; (2) clarified the Funds’ SUPPLEMENTARY INFORMATION: The Renewal: 391.41 CMV Driver use of standardized options; (3) business meeting will include actions or Medication Form, OMB Control specified that while the Funds will presentations on the following items: (1) Number: 2126–0064 invest primarily in FLEX and Informational presentation of interest to standardized options, they may also the lower Susquehanna River region; (2) AGENCY: Federal Motor Carrier Safety invest in cash and cash equivalents; and proposed FY2020 fee schedule changes; Administration (FMCSA), DOT. (4) made other technical, clarifying, and (3) ratification/approval of contracts/ ACTION: Notice and request for conforming changes. The Commission grants; (4) a report on delegated comments. believes that Amendment No. 1 does not settlements; (5) Regulatory Program raise any novel regulatory issues and projects; and (6) waiver requests that SUMMARY: In accordance with the provides additional clarity to the have been submitted to the Commission. Paperwork Reduction Act of 1995, proposal. Accordingly, the Commission This agenda is complete at the time of FMCSA announces its plan to submit finds good cause, pursuant to Section issuance, but other items may be added, the renewal Information Collection 19(b)(2) of the Act,18 to approve the and some stricken without further Request (ICR) described below to the proposed rule change, as modified by notice. The listing of an item on the Office of Management and Budget Amendment No. 1, on an accelerated agenda does not necessarily mean that (OMB) for its review and approval and basis. the Commission will take final action on invites public comment. This VI. Conclusion it at this meeting. When the Information Collection (IC) is voluntary Commission does take final action, and may be utilized by certified Medical It is therefore ordered, pursuant to notice of these actions will be published Examiners (ME) responsible for issuing Section 19(b)(2) of the Act,19 that the in the Federal Register after the Medical Examiner’s Certificates (MEC) proposed rule change (SR–NYSEArca– meeting. Any actions specific to projects to commercial motor vehicle (CMV) 2019–62), as modified by Amendment will also be provided in writing directly drivers. Certified MEs who choose to to project sponsors. use this IC do so in an effort to 18 15 U.S.C. 78s(b)(2). communicate with treating healthcare 19 Id. 20 17 CFR 200.30–3(a)(12). professionals, who are responsible for

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prescribing certain medications, so that ME to have the 391.41 CMV Driver prescribed by a licensed medical the certified MEs fully understand the Medication Form, MCSA–5895, practitioner, as defined in 49 CFR reasons the medications have been completed by a prescribing healthcare 382.107,1 who is familiar with the prescribed. The information obtained by professional). driver’s medical history and has advised this IC assists the certified MEs in Estimated Time per Response: 8 the driver that the substance will not determining if drivers are physically minutes. adversely affect the driver’s ability to qualified and if there are medical Expiration Date: January 31, 2020. safely operate a CMV. conditions or being treated with certain Frequency of Response: Voluntary. In 2006, FMCSA’s Medical Review prescribed medications that would Estimated Total Annual Burden: Board (MRB) deliberated on the topic of adversely affect the drivers’ ability to 262,267 hours. the use of Schedule II medications. The Background: The primary mission of safely operate CMVs. FMCSA requests MRB considered information provided FMCSA is to reduce crashes, injuries, approval to renew an ICR titled, ‘‘391.41 in a 2006 FMCSA-sponsored Evidence and fatalities involving large trucks and CMV Driver Medication Form.’’ In Report and by a subsequent Medical buses. The Secretary of Transportation response to the Federal Register notice Expert Panel (MEP) to examine the has delegated to FMCSA responsibility published on July 3, 2019, requesting relationship between the licit use of a under 49 U.S.C. 31136 and 31502 to public comment, FMCSA received two Schedule II drug and the risk of a motor prescribe regulations that ensure CMVs comments. vehicle crash. In 2013, FMCSA tasked are operated safely. As part of this DATES: Please send your comments to the MRB with updating the opinions mission, the Agency’s Medical Programs and recommendations of the 2006 OMB by December 6, 2019. OMB must Division works to ensure that CMV receive your comments by this date in Evidence Report and MEP. drivers engaged in interstate commerce On September 10, 2013, the MRB and order to act quickly on the ICR. are physically qualified and able to Motor Carrier Safety Advisory ADDRESSES: All comments should perform their work safely. Committee (MCSAC) met jointly to hear reference Federal Docket Management Information used to determine and presentations on the licit use of System (FDMS) Docket Number certify that a driver meets the physical Schedule II medications and their FMCSA–2019–0101. Interested persons qualification standards must be regulation, and on U.S. Department of are invited to submit written comments collected in order for our highways to be Transportation drug and alcohol testing on the proposed IC to the Office of safe. FMCSA is the Federal government protocols. Subsequently, the committees Information and Regulatory Affairs at agency authorized to require the engaged in a discussion on the issue as OMB. Comments should be addressed to collection of this information. FMCSA is it applies to CMV drivers. On September the attention of the Desk Officer, required by statute to establish 11, 2013, the MRB discussed the issue Department of Transportation/Federal standards for the physical qualifications in greater detail in light of its task to Motor Carrier Safety Administration, of drivers who operate CMVs in present a letter report to the Agency _ and sent via electronic mail to oira interstate commerce for non-excepted relating to CMV drivers and Schedule II [email protected] or faxed to industries (49 U.S.C. 31136(a)(3) and medication use and to develop a form (202) 395–6974. An alternative, though 31502(b)). The regulations discussing for certified MEs on the National slower, method is by U.S mail to the this IC are outlined in the Federal Motor Registry of Certified Medical Examiners Office of Information and Regulatory Carrier Safety Regulations (FMCSRs) at (National Registry) to send to treating Affairs, Office of Management and 49 CFR parts 390–399. The FMCSRs at healthcare professionals of CMV drivers Budget, Docket Library, Room 10102, 49 CFR 391.41 set forth the physical to expound on the use of these 725 17th Street NW, Washington, DC qualification standards that interstate medications by driver applicants. On 20503. CMV drivers who are subject to part 391 October 22, 2013, the MRB submitted its FOR FURTHER INFORMATION CONTACT: Mr. must meet, with the exception of recommendations to FMCSA. Charles A. Horan III, Director, Office of commercial driver’s license/commercial Thereafter, an MEP convened to Carrier, Driver, and Vehicle, Safety learner’s permit holders transporting provide an updated opinion on its prior Standards, U.S. Department of migrant workers (who must meet the report titled, ‘‘Schedule II Opioids and Transportation, Federal Motor Carrier physical qualification standards set Stimulants & CMV Crash Risk and Safety Administration, West Building forth in 49 CFR 398.3). The FMCSRs Driver Performance.’’ FMCSA revised 6th Floor, 1200 New Jersey Avenue SE, covering driver physical qualification the task of the MRB and instructed it to Washington, DC 20590. Telephone: records are found at 49 CFR 391.43, review the updated evidence report and (202) 366–2362; email: charles.horan@ which specify that a medical MEP opinions in the report titled dot.gov. Office hours are from 9 a.m. to examination be performed on CMV ‘‘Schedule II Opioids and Stimulants & 5 p.m., Monday through Friday, except drivers subject to part 391 who operate CMV Crash Risk and Driver Federal Holidays. in interstate commerce. The results of Performance: Evidence Report and Systematic Review’’ that was furnished SUPPLEMENTARY INFORMATION: the examination must be recorded in Title: 391.41 CMV Driver Medication accordance with the requirements set subsequent to the MRB’s deliberations. Form. forth in that section. FMCSA directed the MRB to consider OMB Control Number: 2126–0064. The physical qualification standard this report’s findings and confer with Type of Request: Renewal of a regarding the use of drugs and the MCSAC on this topic during a joint currently approved collection. substances in 49 CFR 391.41(b)(12) meeting in October 2014. The MRB met Respondents: Prescribing healthcare states that a person is physically in public meetings on July 29–30, 2014, professionals. qualified to drive a CMV if that person and developed Schedule II medication Estimated Number of Respondents: does not use any drug or substance recommendations. The MRB presented Up to 1,223,470 (total number of identified in 21 CFR 1308.11 Schedule these recommendations to the MCSAC prescribing healthcare professionals in I, an amphetamine, a narcotic, or other the U.S.). habit-forming drug; or does not use any 1 A licensed medical practitioner means a person Estimated Number of Responses: Up non-Schedule I drug or substance that is who is licensed, certified, or registered, in accordance with applicable Federal, State, local, or to 1,967,006 (total number of CMV identified in the other Schedules in 21 foreign laws and regulations, to prescribe controlled drivers who may be asked by a certified CFR part 1308 except when the use is substances and other drugs (49 CFR 382.107).

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in a joint public meeting on October 27, c. Question 3—What medical healthcare professionals can fax or scan 2014, where they were deliberated by conditions are being treated with these and email the report to the certified ME. both committees. As a result, FMCSA’s medications? Consistent with OMB’s commitment to MRB and MCSAC provided joint d. Question 4—It is my medical minimizing respondents’ recordkeeping recommendations related to the use of opinion that, considering the mental and paperwork burdens and the Schedule II medications by CMV and physical requirements of operating increased use of secure electronic drivers. a CMV and with awareness of a CMV modes of communication, the Agency Because there is moderate evidence to driver’s role (consistent with The believes that approximately 50 percent support the contention that the licit use Driver’s Role statement on page 2 of the of the 391.41 CMV Driver Medication of opioids increases the risk of motor form), I believe my patient: (a) Has no Forms, MCSA–5895, are transmitted vehicle crashes and negatively impacts medication side effects from electronically. indirect measures of driver medication(s) that I prescribe that The information collected from the performance,2 included was the would adversely affect the ability to 391.41 CMV Driver Medication Form, recommendation that FMCSA develop a operate a CMV safely; and (2) has no MCSA–5895, is used by the certified ME standardized medication questionnaire medical condition(s) that I am treating who requested the completion of the to assist the certified ME when with the above medication(s) that would form and is attached to the Medical reviewing prescription medications that adversely affect the ability to operate a Examination Report Form, MCSA–5875, have been disclosed during the history CMV safely. which becomes part of the CMV driver’s and physical examination for CMV The public interest in, and right to record maintained by the certified ME. driver certification. The two advisory have, safe highways requires the Therefore, the information is not committees recommended to FMCSA assurance that drivers of CMVs can available to the public. The FMCSRs that the standardized CMV driver safely perform the increased physical covering driver physical qualification medication questionnaire be voluntary and mental demands of their duties. records are found at 49 CFR 391.43, and include the following information FMCSA’s physical qualification which specify that a medical and questions: standards provide this assurance by examination be performed on CMV 1. Questionnaire should be titled, requiring drivers to be examined and drivers subject to part 391 who operate ‘‘391.41 CMV Driver Medication medically certified as physically in interstate commerce. The results of Questionnaire.’’ qualified to drive. Accordingly, FMCSA the examination must be recorded in 2. Questionnaire should request the developed the 391.41 CMV Driver accordance with the requirements set following information: Medication Form, MCSA–5895. forth in that section. MEs are required a. Identifying name and date of birth The purpose of this voluntary to maintain records of the CMV driver of the CMV driver. collection of information is to assist the medical examinations they conduct. b. Introductory paragraph stating certified ME in determining if the driver purpose of the CMV Driver Medication is physically qualified under 49 CFR Discussion of Comments Received Report. 391.41 and if there are disqualifying c. Statements of 391.41(b)(12) In response to the Federal Register medical conditions or certain prescribed notice published on July 3, 2019 (84 FR (Physical Qualifications of Drivers medications that would adversely affect relating to driver use of scheduled 31980), requesting public comment the driver’s ability to drive safely. concerning: (1) Whether the proposed substances) and The Driver’s Role, as Section 391.41(b)(12) states that a found in the Medical Examination collection is necessary for the person is physically qualified to drive a performance of FMCSA’s functions; (2) Report form at the end of 49 CFR 391.43 CMV if that person does not use any (Medical Examination; Certificate of the accuracy of the estimated burden; drug or substance identified in 21 CFR (3) ways for FMCSA to enhance the Physical Examination).3 1308.11 Schedule I, an amphetamine, a quality, usefulness, and clarity of the d. Name, state of licensure, signature, narcotic, or other habit-forming drug; or collected information; and (4) ways that address, and contact information of the does not use any non-Schedule I drug or burden could be minimized without prescribing healthcare provider, as well substance that is identified in the other reducing the quality of the collection as the date the form was completed. Schedules in 21 CFR part 1308 except information, FMCSA received two e. Name, signature, date, address, and when the use is prescribed by a licensed comments. One was from the Owner- contact information of the certified ME. medical practitioner, as defined in 49 3. Report should include the Operator Independent Drivers CFR 382.107, who is familiar with the following questions: Association (OOIDA), and the other one driver’s medical history and has advised a. Question 1—List all medications was from an individual. These the driver that the substance will not and dosages that you have prescribed to comments are outlined below, along adversely affect the driver’s ability to the above named individual. with FMCSA’s responses. b. Question 2—List any other safely operate a CMV. medications and dosages that you are The use of the 391.41 CMV Driver Is the collection necessary for the aware have been prescribed to the above Medication Form, MCSA–5895, is at the performance of FMCSA’s functions? discretion of the certified ME and named individual by another treating OOIDA Comment healthcare provider. facilitates communication with treating healthcare professionals, who are OOIDA stated that if this ICR is 2 Schedule II Opioids and Stimulants & CMV responsible for prescribing certain renewed the number of inconsistencies Crash Risk and Driver Performance: Evidence medications, so that the certified ME will continue to grow as certified MEs Report and Systematic Review, October 18, 2014, fully understands the reasons the with no personal relationship with the available at https://rosap.ntl.bts.gov/view/dot/199. medications have been prescribed. driver attempt to evaluate years of long- 3 After the recommendations, FMCSA began using a new version of the examination form titled Because the use of the form is voluntary, term medication usage. It also stated Medical Examination Report Form, MCSA–5875. there is no required collection that the ICR invites second guessing of This version does not include The Driver’s Role frequency. a primary physician by certified MEs statement. Therefore, The Driver’s Role statement The 391.41 CMV Driver Medication who are empowered by an unreliable no longer appears in 49 CFR 391.43, but still appears on the 391.41 CMV Driver Medication Form, MCSA–5895, may be downloaded medical form and that studies do not Form, MCSA–5895. from the FMCSA website. Prescribing show a significant number of CMV

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operators are crashing due to prescribing physician has taken the a standardized medication prescription medication use. OOIDA driver’s role into consideration and questionnaire to assist the certified ME continued that this ICR will only standardizes the process. when reviewing prescription increase problems its members have medications that have been disclosed FMCSA Response already experienced with certified MEs, during the history and physical which have resulted in higher costs and The individual is correct that the form examination for CMV driver lengthy delays for drivers. would not be necessary for every certification. As part of their examination. The comment supports recommendations, they suggested what FMCSA Response that the form is useful in the should be included on the form to assist Section 391.41(b)(12)(ii) provides that certification process. the certified ME in making a physical a certified ME may only certify a driver qualification determination. FMCSA Ways for FMCSA To Enhance the who uses controlled drugs or substances considered their recommendations and Quality, Usefulness, and Clarity of the listed on Schedules II through V in 21 included the necessary information on Collected Information CFR part 1308 if the prescribing the form. healthcare professional provides certain Individual Comment FMCSA has considered the information to the certified ME. suggestions, but does not believe they This individual provided the Interstate CMV drivers are required to would enhance the usefulness of the following suggestions for enhancing the use a certified ME listed on the National form or serve the purpose for which the Registry for their physical qualification quality, usefulness, and clarity of the form was intended to be used. Adding collected information. examination and certification. • the driver’s license number to the form Therefore, in many cases the driver is Add the commercial driver’s license would provide unnecessary personally going to a certified ME from whom he number as an identifier near the driver’s identifiable information to the or she does not routinely receive date of birth on the form since this is prescribing healthcare professional. The healthcare and who is not a healthcare becoming the primary identifier for certified ME’s contact information is professional prescribing medications for CMV drivers across Commercial Driver already clearly set forth on page 2 of the the driver. The 391.41 CMV Driver Medical Exams (CDMEs) and drug form. The use of ‘‘by any other,’’ rather Medication Form, MCSA–5895, is an screening for FMCSA. • than ‘‘another,’’ is not likely to create optional tool a certified ME can use to Consider making this form confusion. FMCSA declines to add a communicate with the prescribing mandatory during the CDME process for comments section to question 4 because healthcare professional who has a drivers currently taking a Schedule II unqualified medical opinions are relationship with the driver and drug. • sought. The Driver’s Role statement understands the driver’s medical Facilitate use by the prescribing adequately covers the activities history. The form provides a provider by putting the CDME suggested. Question 4 states that the standardized and efficient way for the information, date it was initiated, and medical opinions are to be consistent certified ME to obtain the information contact information on page 1, just with The Driver’s Role statement, which needed to make a more informed under the introduction (before the 49 is sufficient to indicate the entire medical certification determination. The CFR 391.41 excerpt). statement is to be considered. decision to certify a driver is • Change wording for precision in The Agency also declines to make the discretionary and continues to rest with question 2 to ‘‘. . . prescribed to the use of the form mandatory for Schedule the certifying ME. above named individual by any other II drugs, which would require a FMCSA believes that use of the form treating health care provider.’’, instead regulatory change to implement. The should streamline the certification of ‘‘. . . by another treating. . . .’’ form was not intended to address only process and minimize the amount of • Add a comments section for the opioids. Moreover, 49 CFR 391.41(b)(12) time needed to obtain the necessary prescribing provider to use if having provides that a certified ME may only information from the prescribing difficulty answering ‘‘yes’’ or ‘‘no’’ to certify a driver who uses controlled healthcare professional. In addition, 49 question 4, or if has qualification or drugs or substances listed on Schedules CFR 391.43(g)(4) provides a clarification, etc. II through V in 21 CFR part 1308 if the ‘‘determination pending category’’ that • Consider adding wording to ‘‘The prescribing healthcare professional allows up to 45 days to complete the Driver’s Role’’ that indicates: provides certain information to the certification examination if the certified Æ Duties may also include overhead certified ME. FMCSA has provided the ME determines additional information activity such as reaching, or forcefully 391.41 CMV Driver Medication Form, is needed. The driver may continue to pushing or pulling (adjusting rear-view MCSA–5895, to be used by certified operate a CMV during this period, as mirror, tightening/loosening load MEs at their discretion and as a resource long as the driver has an unexpired straps), and squatting (inspection, on in making medical certification MEC. the road maintenance). determinations of interstate CMV Æ FMCSA does not allow drivers to drivers. The use of the form is Individual Comment be cleared medically for specific jobs or voluntary. The form is just one way that This individual stated that the 391.41 duties; a medically qualified driver certified MEs may communicate with CMV Driver Medication Form, MCSA– must be able to do all aspects of ‘‘The prescribing healthcare professionals so 5895, would not be necessary for every Driver’s Role.’’ that the certified MEs fully understand examination because not every driver is the reasons the medications have been FMCSA Response taking a medication that would require prescribed. FMCSA encourages certified the certified ME to collect this Because there is moderate evidence to MEs to use the form as often as they find information. The individual noted that support the contention that the licit use necessary. when a driver is using a Schedule II of opioids increases the risk of motor Public Comments Invited: You are drug or any other drug that may have vehicle crashes and negatively impacts asked to comment on any aspect of this negative side effects, the information indirect measures of driver IC, including: (1) Whether the proposed collected aids the certified ME in performance, FMCSA’s MRB and collection is necessary for the FMCSA to determining whether or not the driver’s MCSAC recommended FMCSA develop perform its functions; (2) the accuracy of

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the estimated burden; (3) ways for the is unable to submit via www.Grants.gov, A. Program Description FMCSA to enhance the quality, an applicant may submit an original and 1. Overview usefulness, and clarity of the collected two (2) copies to Amy Houser, Office of information; and (4) ways that the Program Delivery, Federal Railroad The purpose of this notice is to solicit burden could be minimized without Administration, 1200 New Jersey applications for Operating Assistance reducing the quality of the collected Avenue SE, Room W36–412, grants for Initiating, Restoring, or information. Washington, DC 20590. However, due to Enhancing Intercity Rail Passenger Transportation authorized in Sections Issued under the authority delegated in 49 delays caused by enhanced screening of CFR 1.87 on: October 31, 2019. mail delivered via the U.S. Postal 11104 and 11303 of the Fixing America’s Surface Transportation Kelly Regal, Service, applicants are advised to use other means of conveyance (such as (FAST) Act, Public Law 114–94 (2015); Associate Administrator for Office of now codified at 49 U.S.C. 22908 1 and Research and Information Technology. courier service) to assure timely receipt funded in the 2018 and 2019 [FR Doc. 2019–24231 Filed 11–5–19; 8:45 am] of materials before the application deadline. Appropriations Acts. FRA will consider BILLING CODE 4910–EX–P applications consistent with the FOR FURTHER INFORMATION CONTACT: For priorities in 49 U.S.C. 22908(d). further information regarding the R&E DEPARTMENT OF TRANSPORTATION 2. Definitions of Key Terms Grant Program, please contact Ruthie Federal Railroad Administration Americus, Office of Policy and a. ‘‘Enhancing’’ or ‘‘Enhance’’ means Planning, Federal Railroad upgrading or modifying the service Notice of Funding Opportunity for the Administration, 1200 New Jersey currently offered on a route or train. Restoration and Enhancement Grants Avenue SE, Room W36–403, Examples may include Operating Costs Program Washington, DC 20590; email: associated with, but not limited to, [email protected]; phone: 202– adding a station stop, increasing AGENCY: Federal Railroad 493–0431. Grant application submission frequency of a train (e.g., tri-weekly to Administration (FRA), Department of and processing questions should be daily train service or increasing daily Transportation (DOT). addressed to Amy Houser, Office of train service frequencies), or modifying ACTION: Notice of funding opportunity Program Delivery, Federal Railroad on-board services offered on the train (NOFO or notice). Administration, 1200 New Jersey (e.g., food or sleeping accommodations). b. ‘‘Initiating’’ or ‘‘Initiate’’ means SUMMARY: This notice details the Avenue SE, Room W36–412, Washington, DC 20590; email: commencing service on a route that did application requirements and not previously operate Intercity Rail procedures to obtain grant funding for [email protected]; phone: 202–493– 0303. Passenger Transportation. eligible projects under the Restoration c. ‘‘Intercity Rail Passenger and Enhancement (R&E) Grants SUPPLEMENTARY INFORMATION: Notice to Transportation’’ means rail passenger Program. This notice makes available applicants: FRA recommends that transportation, except commuter rail R&E Grants Program funding provided applicants read this notice in its entirety passenger transportation. See 49 U.S.C. by the Consolidated Appropriations Act, prior to preparing application materials. 22901(3). In this notice, ‘‘Intercity 2018 (2018 Appropriation) and the The term ‘‘grant’’ is used throughout Passenger Rail Service’’ and ‘‘Intercity Consolidated Appropriations Act, 2019 this document and is intended to Passenger Rail Transportation’’ are (2019 Appropriation), as well as reference funding awarded through a equivalent terms to ‘‘Intercity Rail available funding remaining from the grant agreement, as well as funding Passenger Transportation.’’ Consolidated Appropriations Act, 2017 awarded through a cooperative d. ‘‘Net Operating Costs’’ are defined (2017 Appropriation). The opportunities agreement. Definitions of key terms as operating expenses incurred minus described in this notice are made used throughout the NOFO are provided operating revenue for an Intercity Rail available under Catalog of Federal in Section A(2) below. These key terms Passenger Transportation route. Domestic Assistance (CFDA) number are capitalized throughout the NOFO. e. ‘‘Operating Assistance’’ refers to 20.324, ‘‘Restoration and There are several administrative financial assistance covering allowable Enhancement.’’ prerequisites and eligibility Operating Costs. DATES: Applications for funding under requirements described herein with f. ‘‘Operating Costs’’ means expenses this solicitation are due no later than which applicants must comply. associated with the operation of 5:00 p.m. EDT January 6, 2020. Additionally, applicants should note Intercity Rail Passenger Transportation. Applications for funding, or that the required Project Narrative Examples of such expenses may supplemental material in support of an component of the application package include: Staffing costs for train application, received after 5:00 p.m. may not exceed 25 pages in length. engineers, conductors, and on-board EDT on January 6, 2020 will not be service crew; diesel fuel or electricity considered for funding. Incomplete Table of Contents costs associated with train propulsion power; station costs such as ticket sales, applications will not be considered for A. Program Description funding. See Section D of this notice for customer information, and train additional information on the B. Federal Award Information dispatching services; station building application process. C. Eligibility Information utility and maintenance costs; lease ADDRESSES: Applications must be D. Application and Submission payments on rolling stock; routine submitted via www.Grants.gov. Only Information planned maintenance costs of equipment and train cleaning; host applicants who comply with all E. Application Review Information submission requirements described in railroad access costs; train yard F. Federal Award Administration this notice and submit applications Information 1 through www.Grants.gov will be eligible The Department of Transportation Reports G. Federal Awarding Agency Contacts Harmonization Act, Public Law 115–420, sec. 7 for award. For any supporting (2019) transferred this section from its location at application materials that an applicant H. Other Information 49 U.S.C. 24408 to 49 U.S.C. 22908.

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operation costs; general and currently available, applicants are (4) A public agency or publicly administrative costs; and management, encouraged to identify scalable project chartered authority established by one marketing, sales and reservations costs. elements. FRA may select a project for or more States; 3 g. ‘‘Rail Carrier’’ means a person funding that is less than the total (5) A political subdivision of a State; providing common carrier railroad amount requested in the application. (6) Amtrak or another Rail Carrier that transportation for compensation, but FRA strongly encourages applicants to provides Intercity Rail Passenger does not include street, suburban, or identify and include other state, local, Transportation; interurban electric railways not public, and private funding to support (7) Any Rail Carrier in partnership operated as part of the general system of the proposed project in order to with at least one of the entities rail transportation. See 49 U.S.C. maximize competitiveness. A recipient described in paragraphs (1) through 10102(5). of an R&E grant may use the grant (5); 4 and h. ‘‘Restoring’’ or ‘‘Restore’’ means funding in combination with other (8) Any combination of the entities reinstating service to a route that Federal grants that would benefit the described in paragraph (1) through (7). formerly operated Intercity Rail applicable rail service. Applications must identify an eligible Passenger Transportation. applicant as the lead applicant. The lead 4. Award Type applicant serves as the primary point of B. Federal Award Information FRA will make awards for projects contact for the application, and if 1. Available Award Amount selected under this notice through grant selected, as the recipient of the R&E Program grant award. Eligible applicants The total funding available for awards agreements or cooperative agreements. may reference entities that are not under this NOFO is $24,419,000. Grant agreements are used when FRA eligible applicants in an application as Should additional R&E funds become does not expect to have substantial a project partner. available after the release of this NOFO, Federal involvement in carrying out the FRA may elect to award such funds to funded activity. Cooperative agreements 2. Cost Sharing or Matching allow for substantial involvement in applications received under this NOFO. Grants for a project funded under the Of the $25,000,000 made available for carrying out the funded activity, including technical assistance, and R&E program shall not exceed 80 R&E in the 2018 and 2019 percent of the projected Net Operating Appropriations, $23,982,500 is available increased program oversight under 2 Costs for the first year of service; 60 for grants; $767,500 is set aside for CFR 200.24. percent of the Net Operating Costs for Special Transportation Circumstances 2 The funding provided under this the second year of service; and 40 as required under 49 U.S.C. 22907(l); NOFO will be made available to percent of the projected Net Operating and FRA will set aside $250,000 for grantees on a reimbursable basis. Costs for the third year of service. The award and program oversight. Of the Applicants must certify that their matching funds for the projected Net $5,000,000 made available for R&E in expenditures are allowable, allocable, Operating Costs not covered by the R&E the 2017 Appropriation, awards and set- reasonable, and necessary to the grant may be comprised of eligible asides were previously determined and approved project before seeking public sector funding (e.g., state, local, $436,500 remains available under this reimbursement from FRA. Additionally, or other federal funding) or private NOFO. the grantee is expected to expend matching funds at the required sector funding. FRA encourages 2. Award Limits percentage concurrent with Federal applicants to broaden their funding The R&E grants may not provide funds throughout the life of the project. table in applications. FRA will give preference to non- funding for more than three years for FRA may award grants in installments, federal shares consisting of funding any individual Intercity Rail Passenger and may terminate any grant or from multiple sources (e.g., a state, Transportation route and may not be cooperative agreement upon the county, railroad) that demonstrate broad renewed. Applicants can apply to use cessation of service or the violation of participation and cost sharing from R&E funding for: (a) Multiple (up to the any other term of the grant. See an affected stakeholders. FRA will give first three) years of service or (b) only example of standard terms and priority to applications proposing a one year of service, provided the service conditions for FRA grant awards at: lower R&E grant share of projected Net has not already received three years of https://www.fra.dot.gov/eLib/Details/ Operating Costs than stated above, as R&E funding. Grantees receiving less L19057. than three years of funding for any further discussed in Section E(1). C. Eligibility Information individual Intercity Rail Passenger Applicants must identify the source(s) Transportation route under this NOFO This section of the notice explains of their matching funds for the R&E and/or previous R&E NOFOs may apply applicant eligibility, cost sharing and grant associated with the service, and for R&E Operating Assistance under matching requirements, and project must clearly and distinctly reflect these future NOFOs if available. In addition, eligibility. Applications that do not funds in the application budget. FRA will not consider funds already no more than six R&E grants may be meet the requirements in this section expended (or otherwise encumbered) active simultaneously, but an applicant will be ineligible for funding. that do not comply with 2 CFR 200.458 may be awarded more than one grant. Instructions for submitting eligibility information to FRA are detailed in toward the matching funds requirement. 3. Award Size Section D of this NOFO. Additionally, only cash contributions There are no predetermined minimum will be counted toward the matching or maximum dollar thresholds for 1. Eligible Applicants funds requirements. Before submitting awards. FRA will only make a The following entities are eligible an application, applicants should maximum of six simultaneous awards applicants for all projects permitted with all available R&E program funding. under this notice: 3 See Section D(2)(a)(iv) for supporting documentation required to demonstrate eligibility Given the limited amount of funding (1) A State (including the District of under this eligibility category. Columbia); 4 See Section D(2)(a)(iv) for supporting 2 The Special Transportation Circumstances (2) A group of States; information required to demonstrate eligibility funds will be announced under a separate NOFO(s). (3) An Interstate Compact; under this eligibility category.

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carefully review the principles for cost paragraphs. Applicants must complete • FRA’s Additional Assurances and sharing or matching in 2 CFR 200.306. and submit all components of the Certifications A recipient of an operating assistance application. See Section D(2) for the • SF LLL—Disclosure of Lobbying grant under this NOFO may use that application checklist. FRA welcomes Activities grant in combination with other Federal the submission of additional relevant a. Project Narrative grants awarded that would benefit the supporting documentation, such as host applicable service. railroad agreements, Amtrak/operator This section describes the minimum agreements, and funding commitment content required in the Project Narrative 3. Project Eligibility documentation. The additional relevant of the grant application. The Project Projects eligible for funding under supporting documentation will not Narrative must follow the basic outline this NOFO must be projects within the count against the Project Narrative page below to address the program United States and be for Operating limit. requirements and assist evaluators in Assistance to Initiate, Restore, or locating relevant information. Enhance Intercity Rail Passenger 1. Address To Request Application Package I. Cover Page ...... See D.2.a.i. Transportation. FRA will give priority to II. Project Summary ...... See D.2.a.ii. proposed projects in applications that: Applicants must submit all III. Project Funding Summary .. See D.2.a.iii. a. Show completed or nearly application materials in their entirety IV. Applicant Eligibility Criteria See D.2.a.iv. completed planning, design, through http://www.Grants.gov no later V. Project Eligibility Criteria ...... See D.2.a.v. VI. Detailed Project Description See D.2.a.vi. environmental reviews, negotiation of than 5:00 p.m. EDT, on January 6, 2020. VII. Project Location ...... See D.2.a.vii. agreements, acquisition of equipment, FRA reserves the right to modify this VIII. Evaluation and Selection See D.2.a.viii. construction, and other actions deadline. General information for Criteria. necessary for Initiation, Restoration, or IX. Project Implementation and See D.2.a.ix. submitting applications through Management. Enhancement of Intercity Rail Passenger Grants.gov can be found at: https:// X. Project Readiness ...... See D.2.a.x. Transportation; www.fra.dot.gov/Page/P0270. b. Restore service over routes formerly For any supporting application The above content must be provided operated by Amtrak, including routes in materials that an applicant cannot in a narrative statement submitted by the Gulf Coast region between New submit via Grants.gov, an applicant may the applicant. The Project Narrative may Orleans, Louisiana, and Orlando, submit an original and two (2) copies to not exceed 25 pages in length Florida as described in Section 11304 of Amy Houser, Office of Program (excluding cover pages, table of the Passenger Rail Reform and Delivery, Federal Railroad contents, and supporting Investment Act of 2015; Administration, 1200 New Jersey documentation). FRA will not review or c. Provide daily or daytime service Avenue SE, Room W36–412, consider Project Narratives beyond the over routes where such service did not Washington, DC 20590. Due to delays 25-page limitation. If possible, previously exist; caused by enhanced screening of mail applicants should submit supporting d. Include funding or other significant delivered via the U.S. Postal Service, documents via website links rather than participation by State, local, and FRA advises applicants to use other hard copies. If supporting documents regional governmental and private means of conveyance (such as courier are submitted, applicants must clearly entities; service) to assure timely receipt of identify the page number of the relevant e. Include a funding plan that materials before the application portion of the supporting demonstrates the Intercity Rail deadline. Additionally, if documents documentation in the Project Narrative. Passenger Service will be financially can be obtained online, providing The Project Narrative must adhere to the sustainable beyond the three-year grant instructions to FRA on how to access following outline. period; files on a referenced website may also i. Cover Page: Include a cover page f. Provide service to regions and be sufficient. that lists the following elements in a communities that are underserved or table: not served by other intercity public 2. Content and Form of Application transportation; Submission Project title g. Foster economic development, FRA strongly advises applicants to Lead Applicant. particularly in rural communities and read this section carefully. Applicants City(ies), State(s), Congressional Dis- for disadvantaged populations; must submit all required information trict(s) where the project is located. h. Provide other non-transportation and components of the application Projected Total Operating Costs for the funded service (by year). benefits, such as livability benefits; and package to be considered for funding. Projected Operating Revenue for the i. Enhance connectivity and Required documents for an funded service (by year). geographic coverage of the existing application package are outlined in the Projected Net Operating Costs for the national network of Intercity Rail checklist below. funded service (by year). R&E Funding Requested (by year). Passenger Service. • Project Narrative (see D.2.a) Match for Remaining Net Operating For a project that uses rights-of-way • Statement of Work (see D.2.b.i) Costs Not Provided by R&E Funding owned by a railroad, 49 U.S.C. • Capital and mobilization plan (see (by year). 22905(c)(1) requires that a written D.2.b.ii) agreement exist between the applicant • Operating plan (see D.2.b.iii) ii. Project Summary: Provide a brief and the owning railroad regarding use • Funding plan (see D.2.b.iv) 4–6 sentence summary of the proposed and ownership. This requirement is a • Status of negotiations and agreements project and what the project will entail. condition to making a grant under the (see D.2.b.v) Include challenges the proposed project R&E Program. • SF424—Application for Federal aims to address, and summarize the Assistance intended outcomes and anticipated D. Application and Submission • SF 424A—Budget Information for benefits that will result from the Information Non-Construction proposed project. Required documents for the • SF 424B—Assurances for Non- iii. Project Funding Summary: application are outlined in the following Construction Indicate the annual amount of R&E

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funding requested, the year or years of pending Federal requests. Also, note if reservation system, stations, or facilities service operations for which the funding the requested Federal funding under because they are directly related to the is requested, the match for the R&E or other programs must be Rail Carrier’s operations, and whether remaining Net Operating Costs not obligated or spent by a certain date due they expect the FRA to award a portion provided by R&E funding, and the to dependencies or relationships with of the requested R&E grant to Amtrak for annual projected Net Operating Costs other Federal or non-Federal funding such access (and in what amount).5 for each of the first three years of sources, related projects, law, or other Provide information about any requests operation. Identify the source(s) of factors. Additionally, specify whether submitted to other programs for capital matching funds, and clearly and Federal funding for the project has funding related to this project that distinctly reflect these funds as part of previously been sought, and identify the supports the project’s Initiation, the total projected Net Operating Cost in Federal program and fiscal year of the Restoration, or Enhancement of the the application budget. Additionally, funding request(s). Rail Carriers other Intercity Rail Passenger Service. identify any other sources of Federal than Amtrak should state whether they funds committed to the project and any will require access to Amtrak’s iv. Example Project Funding Table:

Year of operations Year 1 Year 2 Year 3

FY17 R&E Federal Funds Previously Secured. FY17 Non-Federal Funding/Match. FY18–FY19 R&E Federal Funding Request. FY18–FY19 Non-Federal Funding/Match.

v. Applicant Eligibility Criteria: for ensuring safe operations; and any each of the investments. Describe the Explain how the applicant meets the other information the applicant deems appropriate planning, design, any applicant eligibility criteria outlined in necessary to justify the proposed environmental reviews, negotiation of Section C of this notice. For public project. An applicant must specify agreements, acquisition of equipment, agencies and publicly chartered whether it is seeking funding for a construction, and other actions authorities established by one or more project that has already received Federal necessary for Initiation, Restoration, and states, the explanation must include financial assistance, and if applicable, Enhancement of service that have been citations to the applicable enabling explain how the new scope proposed to completed or remain necessary for legislation. If the applicant is eligible be funded under this NOFO relates to completion. Provide the date when the under 49 U.S.C. 22908(a)(7) as a Rail the previous scope. first year of rail service will commence Carrier in partnership with at least one viii. Project Location: Include or when Enhancements to existing of the other eligible entities, the geospatial data for the project, as well as service will be placed into service. applicant should explain the a map of the project’s location. Include partnership and each entity’s the Congressional districts in which the b. Additional Application Elements contribution to the partnership. project will take place. Applicants must submit: vi. Project Eligibility Criteria: Explain ix. Evaluation and Selection Criteria: i. A Statement of Work (SOW) how the project meets the project Include a thorough discussion of how addressing the scope, schedule, and eligibility criteria in Section C(3) of this the proposed project meets all of the budget for the proposed project if it notice. evaluation and selection criteria, as were selected for award. The SOW must vii. Detailed Project Description: outlined in Section E of this notice. If contain sufficient detail so FRA, and the Include a detailed project description an application does not sufficiently applicant, can understand the expected that expands upon the brief summary address the evaluation criteria and the outcomes of the proposed work to be required above and cites with page selection criteria, it is unlikely to be a performed and can monitor progress number references to information competitive application. For the life- toward completing project tasks and included in documents responsive to cycle cost selection criteria, applicants deliverables during a prospective grant’s Subsections D(2)(b)(ii–v). This detailed should demonstrate a credible plan to period of performance. Applicants must description should provide, at a maintain related capital project assets use FRA’s standard SOW, schedule, and minimum: The specific components and without having to rely on Federal budget templates to be considered for elements of the project, including funding. service frequency; name and description x. Project Implementation and award. The templates are located at of the planned routes and schedules; Management: Describe proposed project https://www.fra.dot.gov/Page/P0325. station facilities; equipment that will be implementation and project When preparing the budget, the total used and how it will be acquired or management arrangements. Include Net Operating Cost of a project must be refurbished (if necessary); where descriptions of the expected based on the best available information equipment will be maintained and by arrangements for project contracting, as indicated in cited references. The what entity; additional background on contract oversight, change-order project schedule should be sufficiently the challenges the project aims to management, risk management, and detailed to include the date when the address; the expected users and conformance to Federal requirements first year of service will commence (or beneficiaries of the project; projected for project progress reporting. when the proposed Enhancement will ridership, revenues and costs; all xi. Project Readiness: Provide a be placed into service), as well as railroads owning tracks to be used; summary of the: Capital and reasonable due dates for expenses service providers or entities expected to mobilization plan including any capital provide services or facilities that will be investments; service planning actions; 5 The Secretary, acting through the FRA, is permitted in 49 U.S.C. 22908(h) to award an used, including access to Amtrak mobilization actions (such as appropriate portion of R&E grants under this NOFO systems, stations, and facilities; train qualification of train crews); and to Amtrak as compensation for permitting certain operators and their qualifications; plan timeline for undertaking and completing access.

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associated with the operation of the vii. SF 424A—Budget Information for a. Obtain a DUNS Number Intercity Rail Passenger Transportation. Non-Construction ii. Capital and mobilization plan that viii. SF 424B—Assurances for Non- A DUNS number is required for includes: Construction Grants.gov registration. The Office of (A) A description of any capital ix. FRA’s Additional Assurances and Management and Budget requires that investments, service planning actions Certifications; and all businesses and nonprofit applicants (such as environmental reviews), and x. SF LLL—Disclosure of Lobbying for Federal funds include a DUNS mobilization actions (such as Activities. number in their applications for a new qualifications of train crews) required Forms needed for the electronic award or renewal of an existing award. for Initiation of the Intercity Rail application process are at A DUNS number is a unique nine-digit Passenger Transportation; and www.Grants.gov. sequence recognized as the universal (B) A timeline for undertaking and c. Post-Selection Requirements standard for the government in completing each of the investments and identifying and keeping track of entities actions referred to in subparagraph (A). See Section F(2) for post-selection receiving Federal funds. The identifier iii. Operating plan describing: requirements. is used for tracking purposes and to (A) Planned service operation; 1. Unique Entity Identifier, System for validate address and point of contact (B) Identity and qualifications of the Award Management (SAM), and information for Federal assistance train operator; Submission Instructions applicants, recipients, and (C) Identity and qualifications of any subrecipients. The DUNS number will other service providers (e.g., on-board To apply for funding through be used throughout the grant life cycle. service, equipment maintenance, station Grants.gov, applicants must be properly Obtaining a DUNS number is a free, staff); registered in SAM before submitting its one-time activity. Applicants may (D) Service frequency; application, provide a valid unique obtain a DUNS number by calling 1– (E) Planned routes and schedules; entity identifier in its application, and 866–705–5711 or by applying online at (F) Station facilities that will be continue to maintain an active SAM http://www.dnb.com/us. utilized; registration all as described in detail (G) Projected ridership, revenues, and below. Complete instructions on how to b. Register With the SAM at costs; register and submit an application can www.SAM.gov be found at www.Grants.gov. Registering (H) Descriptions of how the All applicants for Federal financial projections under subparagraph (G) with Grants.gov is a one-time process; however, it can take up to several weeks assistance must maintain current were developed; registrations in the SAM database. An (I) Equipment that will be utilized, for first-time registrants to receive confirmation and a user password. FRA applicant must be registered in SAM to how such equipment will be acquired or successfully register in Grants.gov. The refurbished (if necessary), and where recommends that applicants start the registration process as early as possible SAM database is the repository for such equipment will be maintained; and standard information about Federal (J) A plan for ensuring safe operations to prevent delays that may preclude financial assistance applicants, and compliance with applicable safety submitting an application package by recipients, and subrecipients. regulations; the application deadline. Applications Organizations that have previously iv. Funding plan that: will not be accepted after the due date. submitted applications via Grants.gov (A) Describes the funding of initial Delayed registration is not an acceptable are already registered with SAM, as it is capital costs and Operating Costs for the justification for an application a requirement for Grants.gov first three years of operation; extension. (B) Includes commitment by the FRA may not make a grant award to registration. Please note, however, that applicant to provide the funds described an applicant until the applicant has applicants must update or renew their in subparagraph (A) to the extent not complied with all applicable Data SAM registration at least once per year covered by Federal grants and revenues; Universal Numbering System (DUNS) to maintain an active status. Therefore, and and SAM requirements, and if an it is critical to check registration status (C) Describes the funding of Operating applicant has not fully complied with well in advance of the application Costs and capital costs, to the extent the requirements by the time the Federal deadline. If an applicant is selected for necessary, after the first three years of awarding agency is ready to make a an award, the applicant must maintain operation. Federal award, the Federal awarding an active SAM registration with current v. Status of negotiations and agency may determine that the information throughout the period of agreements with: applicant is not qualified to receive a the award. Information about SAM (A) Each of the railroads or regional Federal award and use that registration procedures is available at transportation authorities whose tracks determination as a basis for making a www.sam.gov. or facilities would be utilized by the Federal award to another applicant. c. Create a Grants.gov Username and service; (Please note that if a Dun & Bradstreet Password (B) The anticipated railroad carrier, if DUNS number must be obtained or such entity is not part of the applicant renewed, this may take a significant Applicants must complete an group; and amount of time to complete.) Late Authorized Organization Representative (C) Any other service providers or applications that are the result of failure (AOR) profile on www.Grants.gov and entities expected to provide services or to register or comply with Grants.gov create a username and password. facilities that will be used by the applicant requirements in a timely Applicants must use the organization’s service, including any required access to manner will not be considered. If an DUNS number to complete this step. Amtrak systems, stations, and facilities applicant has not fully complied with Additional information about the if Amtrak is not part of the applicant the requirements by the submission registration process is available at: group. deadline, the application will not be https://www.grants.gov/web/grants/ vi. SF424—Application for Federal considered. To submit an application applicants/organization- Assistance through Grants.gov, applicants must: registration.html.

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d. Acquire Authorization for Your AOR 3. Intergovernmental Review b. Evaluation Criteria From the E-Business Point of Contact FRA subject-matter experts will (E-Biz POC) Executive Order 12372 requires applicants from state and local units of evaluate all eligible and complete The E-Biz POC at the applicant’s government or other organizations applications using the evaluation organization must respond to the providing services within a state to criteria outlined in this section to registration email from Grants.gov and submit a copy of the application to the determine technical merit and public login at www.Grants.gov to authorize the State Single Point of Contact (SPOC), if benefits consistent with the priorities in applicant as the AOR. Please note there one exists, and if this program has been 49 U.S.C. 22908(d). can be more than one AOR for an selected for review by the state. i. Technical Merit: FRA will evaluate organization. Applicants must contact their State application information for the degree to SPOC to determine if the program has which— (A) The tasks and subtasks outlined in e. Submit an Application Addressing been selected for state review. All Requirements Outlined in This the SOW are appropriate to achieve the NOFO 4. Funding Restrictions expected outcomes of the proposed project. If an applicant experiences difficulties R&E grants awarded for any (B) The application is thorough and at any point during this process, please individual Intercity Rail Passenger responsive to all the requirements call the Grants.gov Customer Center Transportation route will not receive outlined in this notice, including the Hotline at 1–800–518–4726, 24 hours a funding for more than three years and strength and comprehensiveness of the day, 7 days a week (closed on Federal may not be renewed. No more than six capital and mobilization plan, operating holidays). For information and Operating Assistance grant awards will plan, funding plan, and status of instructions on each of these processes, be simultaneously active under the R&E negotiations and agreements described please see instructions at: http:// Grants Program. FRA will approve pre- in Section D(2)(b). In particular, the www.grants.gov/web/grants/applicants/ award costs consistent with 2 CFR funding plan demonstrates the Intercity apply-for-grants.html. 200.458, as applicable. Under 2 CFR Rail Passenger Service will be Note: Please use generally accepted 200.458, grant recipients must seek financially sustainable beyond the 3- formats such as .pdf, .doc, .docx, .xls, written approval from FRA for pre- year grant period. .xlsx and .ppt, when uploading award activities to be eligible for (C) The appropriate planning, design, attachments. While applicants may reimbursement. Activities initiated prior any environmental reviews, negotiation to the execution of an agreement embed picture files, such as .jpg, .gif, of agreements, acquisition of equipment, without FRA’s written approval may not and .bmp, in document files, applicants construction, and other actions be eligible for reimbursement or should not submit attachments in these necessary for Initiation, Restoration, or included as a grantee’s matching formats. Additionally, the following Enhancement of service have been contribution. For Enhancement projects, formats will not be accepted: .com, .bat, completed or nearly completed. FRA will only fund the portion of the .exe, .vbs, .cfg, .dat, .db, .dbf, .dll, .ini, (D) Service is restored over routes Operating Costs associated with the .log, .ora, .sys, and .zip. formerly operated by Amtrak, including Enhancement. routes in the Gulf Coast region between 2. Submission Dates and Times FRA is limited to funding a New Orleans, Louisiana, and Orlando, percentage of projected Net Operating Florida as described in Section 11304 of Applicants must submit complete the Passenger Rail Reform and applications to www.Grants.gov no later Costs and may not fund any service producing net operating profits. Investment Act of 2015. than 5:00 p.m. EDT, January 6, 2020. (E) The appropriate funding or other Applicants will receive a system- 5. Other Submission Requirements significant participation by State, local, generated acknowledgement of receipt. and regional governmental and private FRA reviews www.Grants.gov If an applicant experiences difficulties at any point during this process, please entities are in place. information on the dates/and times of ii. Benefits: applications submitted to determine call the Grants.gov Customer Center Hotline at 1–800–518–4726, 24 hours a FRA will evaluate the proposed rail timeliness of submissions. Late service on: applications will be neither reviewed day, 7 days a week (closed on Federal holidays). For information and (A) Providing daily or daytime service nor considered. Delayed registration is over routes where such service did not not an acceptable reason for late instructions on each of these processes, please see instructions at: http:// previously exist; submission. FRA strongly encourages (B) Providing service to regions and applicants to apply early to ensure that www.grants.gov/web/grants/applicants/ apply-for-grants.html. See Section D.1 communities that are underserved or all materials are received before this not served by other intercity public deadline. for submission of applications via postal mail, electronic mail or hand delivery. transportation; To ensure a fair competition of (C) Fostering economic development, limited discretionary funds, the E. Application Review Information particularly in rural communities and following conditions are not valid for disadvantaged populations; reasons to permit late submissions: (1) 1. Criteria (D) Providing other non- Failure to complete the registration a. Eligibility and Completeness Review transportation benefits; and process before the deadline; (2) failure (E) Enhancing connectivity and to follow Grants.gov instructions on FRA will first screen each application geographic coverage of the existing how to register and apply as posted on for eligibility (eligibility requirements national network of Intercity Rail its website; (3) failure to follow all are outlined in Section C of this notice), Passenger Service. instructions in this NOFO; and (4) completeness (application technical issues experienced with the documentation and submission c. Selection Criteria applicant’s computer or information requirements are outlined in Section D In addition to the eligibility and technology environment. of this notice) and the minimum match. completeness review and the evaluation

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criteria outlined in this subsection, the 3. Reporting Matters Related to Integrity In connection with any program or FRA Administrator (or his designee) and Performance activity conducted with or benefiting will select projects in consultation with from funds awarded under this notice, Before making a Federal award with a senior review team, which includes a total amount of Federal share greater recipients of funds must comply with senior leadership from the Office of the than the simplified acquisition all applicable requirements of Federal Secretary and FRA, applying the threshold of $150,000 (see 2 CFR 200.88 law, including, without limitation, the following selection criteria: Simplified Acquisition Threshold), FRA Constitution of the United States; the i. The FRA will give preference to will review and consider any conditions of performance, projects for which the: information about the applicant that is nondiscrimination requirements, and (A) Proposed matching funds exceed in the designated integrity and other assurances made applicable to the the annual minimum required amounts performance system accessible through award of funds in accordance with specified in Section C(2); and SAM (currently the Federal Awardee regulations of the Department of (B) Proposed matching funds are from Performance and Integrity Information Transportation; and applicable Federal more than one source, including private System (FAPIIS)). See 41 U.S.C. 2313. financial assistance and contracting sources, demonstrating broad An applicant, at its option, may principles promulgated by the Office of participation by affected stakeholders; review information in the designated Management and Budget. In complying and integrity and performance systems with these requirements, recipients, in ii. The FRA will also take into accessible through SAM and comment particular, must ensure that no account the following key Departmental on any information about itself that a concession agreements are denied or objectives: Federal awarding agency previously other contracting decisions made on the basis of speech or other activities (A) Supporting economic vitality at entered and is currently in the protected by the First Amendment. If the national and regional level; designated integrity and performance the Department determines that a (B) Leveraging Federal funding to system accessible through SAM. FRA will consider any comments by recipient has failed to comply with attract other, non-Federal sources of applicable Federal requirements, the infrastructure investment; the applicant, in addition to the other information in the designated integrity Department may terminate the award of (C) Preparing for future operations funds and disallow previously incurred and maintenance costs associated with and performance system, in making a judgment about the applicant’s integrity, costs, requiring the recipient to their project’s life-cycle, as reimburse any expended award funds. demonstrated by a credible plan to business ethics, and record of maintain assets without having to rely performance under Federal awards Examples of administrative and on future Federal funding; when completing the review of risk national policy requirements include: 2 posed by applicants as described in 2 CFR part 200; procurement standards; (D) Using innovative approaches to CFR 200.205. compliance with Federal civil rights improve safety and expedite project laws and regulations; requirements for delivery; and, F. Federal Award Administration disadvantaged business enterprises; Information (E) Holding grant recipients debarment and suspension accountable for their performance and 1. Federal Award Notice requirements; and drug-free workplace; achieving specific, measurable FRA’s and OMB’s Assurances and outcomes identified by grant applicants. FRA will announce applications selected for funding in a press release Certifications; Americans with iii. In determining the allocation of Disabilities Act; safety requirements; program funds, FRA may also consider and on the FRA website after the application review period. FRA will NEPA; environmental justice geographic diversity, diversity in the requirements; performance measures; size of the systems receiving funding, contact applicants with successful applications after announcement with grant conditions under 49 U.S.C. 22905, the applicant’s receipt of other including the Buy America competitive awards, and projects information and instructions about the award process. This notification is not requirements, the provision deeming located in or that support transportation operators rail carriers for certain service in a qualified opportunity zone an authorization to begin proposed project activities. FRA requires purposes and grantee agreements with designated pursuant to 26 U.S.C. railroad right-of-way owners for projects 1400Z–1. satisfaction of applicable requirements by the applicant and a formal agreement using railroad right-of-way. 2. Review and Selection Process signed by both the grantee and the FRA, See an example of standard terms and FRA will conduct a four-part including an approved scope, schedule, conditions for FRA grant awards at application review process, as follows: and budget, before obligation. https://www.fra.dot.gov/eLib/Details/ L19057. a. Screen applications for 2. Administrative and National Policy completeness and eligibility; Requirements 3. Reporting b. Evaluate eligible applications For projects on a State-Supported a. Progress Reporting on Grant Activity (completed by technical panels applying route (as defined in 49 U.S.C. the evaluation criteria); 24102(13)), grant recipients must be in Each applicant selected for a grant c. Review and recommend initial compliance with the cost allocation will be required to comply with all selection of projects for the FRA methodology required under Section standard FRA reporting requirements, Administrator’s review by a non-career 209 of the Passenger Rail Investment including quarterly progress reports, Senior Review Team, which includes and Improvement Act of 2008 (Pub. L. quarterly Federal financial reports, and senior leadership from the Office of the 110–432) with respect to that route. interim and final performance reports, Secretary and FRA; and Selected grantees must maintain as well as all applicable auditing, d. Selection of awards by the FRA compliance with the cost allocation monitoring and close out requirements. Administrator for the Secretary’s review methodology for the duration of the Reports may be submitted and approval. service. electronically.

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b. Additional Reporting performance, applicants are informed of to FRA, as well as other implementation the post award reporting requirements information that includes the status of Applicants selected for funding are reflected in 2 CFR part 200, Appendix the investments and funded operations, required to comply with all reporting XII—Award Term and Condition for requirements in the standard terms and the plans for continued operation and Recipient Integrity and Performance funding of routes, and any legislative conditions for FRA grant awards Matters. including 2 CFR 180.335 and 2 CFR recommendations. 180.350. See an example of standard c. Performance Reporting Grant recipients must also collect terms and conditions for FRA grant As a part of the grant agreement, the information and report on the project’s awards at: https://www.fra.dot.gov/eLib/ grant recipient must provide similar performance using measures established Details/L19057. information regarding the route by the FRA to assess progress in If the Federal share of any Federal performance, financial, and ridership achieving strategic goals and objectives. award under this NOFO may include projections, and capital and business Examples of some rail measures are more than $500,000 over the period of plans that Amtrak is required to provide listed in the below table.

Secondary strategic Rail measures Unit measured Temporal Primary strategic goal goal Description

Passenger Counts ...... Count ...... Annual ...... Economic Competi- State of Good Repair Count of the annual passenger boardings tiveness. and alightings at stations within the project area. Travel Time ...... Time/Trip ...... Annual ...... Economic Competi- Quality of Life ...... Point-to-point travel times between pre-de- tiveness. termined station stops within the project area. This measure demonstrates how track improvements and other upgrades improve operations on a rail line. It also helps make sure the railroad is maintain- ing the line after project completion.

G. Federal Awarding Agency Contacts information that is ultimately (MP) 124.2, and Palmers Cove, MP For further information regarding this determined to be confidential under that 128.1, on the New England Division, notice, please contact Amy Houser, procedure will be exempt from Main Line New Haven to Boston, Office of Program Delivery, Federal disclosure under FOIA. Northeast Corridor. The advanced civil Railroad Administration, 1200 New Issued in Washington, DC. speed enforcement system enforcing Jersey Avenue SE, Room W36–412, Quintin C. Kendall, positive train stop at Groton signal 4W and Palmers Cove signal 4E will remain Washington, DC 20590; email: Deputy Administrator, Federal Railroad [email protected]. For information Administration. in place and in-service. Amtrak is designating Track 4 as non- about the R&E Grants Program or project [FR Doc. 2019–24225 Filed 11–5–19; 8:45 am] mainline track. Amtrak states the reason specific questions, please contact Ruthie BILLING CODE 4910–06–P Americus, Office of Policy and for the removal of signal equipment is Planning, Federal Railroad to eliminate maintenance of equipment Administration,1200 New Jersey DEPARTMENT OF TRANSPORTATION which provides no significant benefit to Avenue SE, Room W36–403, the safety of operations. Washington, DC 20590; email: Federal Railroad Administration A copy of the petition, as well as any [email protected]. written communications concerning the [Docket Number FRA–2019–0088] petition, is available for review online at H. Other Information Notice of Application for Approval of http://www.regulations.gov and in All information submitted as part of Discontinuance or Modification of a person at the U.S. Department of or in support of any application shall Railroad Signal System Transportation’s (DOT) Docket use publicly available data or data that Operations Facility, 1200 New Jersey can be made public and methodologies Under part 235 of title 49 of the Code Ave. SE, W12–140, Washington, DC that are accepted by industry practice of Federal Regulations (CFR) and 49 20590. The Docket Operations Facility and standards, to the extent possible. If U.S.C. 20502(a), this provides the public is open from 9 a.m. to 5 p.m., Monday the application includes information the notice that by a document dated October through Friday, except Federal applicant considers to be a trade secret 10, 2019, the National Railroad Holidays. or confidential commercial or financial Passenger Corporation (Amtrak) Interested parties are invited to information, the applicant should do the petitioned the Federal Railroad participate in these proceedings by following: (1) Note on the front cover Administration (FRA) seeking approval submitting written views, data, or that the submission ‘‘Contains to discontinue or modify a signal comments. FRA does not anticipate Confidential Business Information system. FRA assigned the petition scheduling a public hearing in (CBI)’’; (2) mark each affected page Docket Number FRA–2019–0088. connection with these proceedings since ‘‘CBI’’; and (3) highlight or otherwise Applicant: Amtrak, Mr. Nicholas J. the facts do not appear to warrant a denote the CBI portions. Croce III, PE, Deputy Chief Engineer, hearing. If any interested parties desire FRA protects such information from C&S, 2995 Market Street, Philadelphia, an opportunity for oral comment and a disclosure consistent with applicable PA 19104. public hearing, they should notify FRA, law. In the event FRA receives a Specifically, Amtrak requests in writing, before the end of the Freedom of Information Act (FOIA) permission to retire signals 1267–4 and comment period and specify the basis request for the information, FRA will 1268–4, as well as associated track for their request. follow the procedures described in its circuits and cab signals on Track 4 All communications concerning these FOIA regulations at 49 CFR 7.17. Only between Groton Interlocking, milepost proceedings should identify the

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appropriate docket number and may be concerning country-by-country agency, including whether the submitted by any of the following reporting. information shall have practical utility; methods: (b) the accuracy of the agency’s estimate • DATES: Written comments should be Website: http:// received on or before January 6, 2020 to of the burden of the collection of www.regulations.gov. Follow the online be assured of consideration. information; (c) ways to enhance the instructions for submitting comments. quality, utility, and clarity of the ADDRESSES: Direct all written comments • Fax: 202–493–2251. information to be collected; (d) ways to to Dr. Philippe Thomas, Internal • Mail: Docket Operations Facility, minimize the burden of the collection of Revenue Service, Room 6529, 1111 U.S. Department of Transportation, 1200 information on respondents, including Constitution Avenue NW, Washington, New Jersey Ave. SE, W12–140, through the use of automated collection DC 20224. Washington, DC 20590. techniques or other forms of information • Hand Delivery: 1200 New Jersey FOR FURTHER INFORMATION CONTACT: technology; and (e) estimates of capital Ave. SE, Room W12–140, Washington, Requests for additional information or or start-up costs and costs of operation, DC 20590, between 9 a.m. and 5 p.m., copies of the form should be directed to maintenance, and purchase of services Monday through Friday, except Federal Kerry Dennis, at (202) 317–5751 or to provide information. Holidays. Internal Revenue Service, Room 6529, Communications received by 1111 Constitution Avenue NW, Approved: September 16, 2019. December 23, 2019 will be considered Washington, DC 20224, or through the Philippe Thomas, by FRA before final action is taken. internet, at [email protected]. Supervisor Tax Analyst. Comments received after that date will SUPPLEMENTARY INFORMATION: [FR Doc. 2019–24211 Filed 11–5–19; 8:45 am] be considered if practicable. Title: Country-by-Country Reporting. BILLING CODE 4830–01–P Anyone can search the electronic OMB Number: 1545–2072. form of any written communications Form Number: 8975. and comments received into any of our Abstract: Form 8975 is used to DEPARTMENT OF THE TREASURY dockets by the name of the individual provide certain information required to submitting the comment (or signing the report annual country-by-country Internal Revenue Service document, if submitted on behalf of an reporting by certain United States Proposed Collection; Comment association, business, labor union, etc.). persons that are the ultimate parent Request for Form Project Under 5 U.S.C. 553(c), DOT solicits entity of a US MNE that has annual comments from the public to better revenue for the preceding annual AGENCY: Internal Revenue Service (IRS), inform its processes. DOT posts these accounting period of $850 million or Treasury. comments, without edit, including any more. ACTION: Notice and request for personal information the commenter Current Actions: There are no changes comments. provides, to www.regulations.gov, as being made to the form or burden described in the system of records estimates at this time. SUMMARY: The Internal Revenue Service, notice (DOT/ALL–14 FDMS), which can Type of Review: Extension of a as part of its continuing effort to reduce be reviewed at http://www.dot.gov/ currently approved collection. paperwork and respondent burden, privacy. See also http:// Affected Public: Business or other-for- invites the general public and other www.regulations.gov/#!privacyNotice profits. Federal agencies to take this for the privacy notice of regulations.gov. Estimated Number of Respondents: opportunity to comment on continuing 3,120. Issued in Washington, DC. information collections, as required by Estimated Time per Respondent: 1 John Karl Alexy, the Paperwork Reduction Act of 1995. hour, 30 minutes. The IRS is soliciting comments Associate Administrator for Railroad Safety Estimated Total Annual Burden Chief Safety Officer. concerning U.S. estate tax return for Hours: 4,680 hours. qualified domestic trusts. [FR Doc. 2019–24228 Filed 11–5–19; 8:45 am] The following paragraph applies to all DATES: Written comments should be BILLING CODE 4910–06–P of the collections of information covered received on or before January 6, 2020 to by this notice. be assured of consideration. An agency may not conduct or DEPARTMENT OF THE TREASURY sponsor, and a person is not required to ADDRESSES: Direct all written comments respond to, a collection of information to Dr. Philippe Thomas, Internal Internal Revenue Service unless the collection of information Revenue Service, Room 6529, 1111 displays a valid OMB control number. Constitution Avenue NW, Washington, Proposed Collection; Comment Books or records relating to a collection DC 20224. Request for Form Project of information must be retained as long FOR FURTHER INFORMATION CONTACT: AGENCY: Internal Revenue Service (IRS), as their contents may become material Requests for additional information or Treasury. in the administration of any internal copies of the form should be directed to Kerry Dennis, at (202) 317–5751 or ACTION: Notice and request for revenue law. Generally, tax returns and comments. tax return information are confidential, Internal Revenue Service, Room 6529, as required by 26 U.S.C. 6103. 1111 Constitution Avenue NW, SUMMARY: The Internal Revenue Service, Request for Comments: Comments Washington, DC 20224, or through the as part of its continuing effort to reduce submitted in response to this notice will internet, at [email protected]. paperwork and respondent burden, be summarized and/or included in the SUPPLEMENTARY INFORMATION: invites the general public and other request for OMB approval. All Title: U.S. Estate Tax Return for Federal agencies to take this comments will become a matter of Qualified Domestic Trusts. opportunity to comment on continuing public record. Comments are invited on: OMB Number: 1545–1212. information collections, as required by (a) Whether the collection of Form Numbers: 706 QDT. the Paperwork Reduction Act of 1995. information is necessary for the proper Abstract: Form 706–QDT is used by The IRS is soliciting comments performance of the functions of the the trustee or the designated filer to

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compute and report the Federal estate Approved: October 31, 2019. husband or wife to file a statement with tax imposed on qualified domestic Philippe Thomas, their short period return when changing trusts by Internal Revenue Code section Supervisor Tax Analyst. to the other spouse’s taxable year. 2056A. The IRS uses the information to [FR Doc. 2019–24212 Filed 11–5–19; 8:45 am] Current Actions: There are no changes enforce this tax and to verify that the tax BILLING CODE 4830–01–P being made to the regulation at this has been properly computed. time. Current Actions: There are no changes Type of Review: Extension of a being made to the form at this time. DEPARTMENT OF THE TREASURY currently approved collection. Affected Public: Business or other for- Type of Review: Extension of a Internal Revenue Service profit organizations, and individuals or currently approved collection. households. Affected Public: Individuals or Proposed Collection; Comment Estimated Number of Respondents: households, and business or other for- Request for Regulation Project 1,000. profit organizations. AGENCY: Internal Revenue Service (IRS), Estimated Time per Respondent: 30 Estimated Number of Respondents: Treasury. minutes. Estimated Total Annual Burden 80. ACTION: Notice and request for comments. Hours: 500 hours. Estimated Time per Respondent: 4 The following paragraph applies to all hours, 28 minutes. SUMMARY: The Internal Revenue Service, of the collections of information covered Estimated Total Annual Burden as part of its continuing effort to reduce by this notice. Hours: 357 hours. paperwork and respondent burden, An agency may not conduct or sponsor, and a person is not required to The following paragraph applies to all invites the general public and other respond to, a collection of information of the collections of information covered Federal agencies to take this unless the collection of information by this notice. opportunity to comment on continuing information collections, as required by displays a valid OMB control number. An agency may not conduct or the Paperwork Reduction Act of 1995. Books or records relating to a collection sponsor, and a person is not required to The IRS is soliciting comments of information must be retained as long respond to, a collection of information concerning changes in accounting as their contents may become material unless the collection of information periods. in the administration of any internal displays a valid OMB control number. revenue law. Generally, tax returns and DATES: Written comments should be Books or records relating to a collection tax return information are confidential, received on or before January 6, 2020 to of information must be retained as long as required by 26 U.S.C. 6103. be assured of consideration. as their contents may become material Request for Comments: Comments in the administration of any internal ADDRESSES: Direct all written comments submitted in response to this notice will revenue law. Generally, tax returns and to Dr. Philippe Thomas, Internal be summarized and/or included in the tax return information are confidential, Revenue Service, Room 6529, 1111 request for OMB approval. All as required by 26 U.S.C. 6103. Constitution Avenue NW, Washington, comments will become a matter of DC 20224. Request for Comments: Comments public record. Comments are invited on: FOR FURTHER INFORMATION CONTACT: (a) Whether the collection of submitted in response to this notice will Requests for additional information or be summarized and/or included in the information is necessary for the proper copies of the form should be directed to performance of the functions of the request for OMB approval. All Kerry Dennis, at (202) 317–5751 or comments will become a matter of agency, including whether the Internal Revenue Service, Room 6529, information shall have practical utility; public record. Comments are invited on: 1111 Constitution Avenue NW, (b) the accuracy of the agency’s estimate (a) Whether the collection of Washington, DC 20224, or through the of the burden of the collection of information is necessary for the proper internet, at [email protected]. information; (c) ways to enhance the performance of the functions of the SUPPLEMENTARY INFORMATION: quality, utility, and clarity of the agency, including whether the Title: Changes in Accounting Periods. information to be collected; (d) ways to information shall have practical utility; OMB Number: 1545–1748. minimize the burden of the collection of (b) the accuracy of the agency’s estimate Regulation Numbers: T.D. 8996. information on respondents, including of the burden of the collection of Abstract: Section 1.441–2(b)(1) through the use of automated collection information; (c) ways to enhance the requires certain taxpayers to file techniques or other forms of information quality, utility, and clarity of the statements on their federal income tax technology; and (e) estimates of capital information to be collected; (d) ways to returns to notify the Commissioner of or start-up costs and costs of operation, minimize the burden of the collection of the taxpayers’ election to adopt a 52–53- maintenance, and purchase of services information on respondents, including week taxable year. Section 1.442–1(b)(4) to provide information. through the use of automated collection provides that certain taxpayers must techniques or other forms of information establish books and records that clearly Approved: October 31, 2019. technology; and (e) estimates of capital reflect income for the short period Philippe Thomas, or start-up costs and costs of operation, involved when changing their taxable Supervisor Tax Analyst. maintenance, and purchase of services year to a fiscal taxable year. Section [FR Doc. 2019–24213 Filed 11–5–19; 8:45 am] to provide information. 1.442–1(d) requires a newly married BILLING CODE 4830–01–P

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Reader Aids Federal Register Vol. 84, No. 215 Wednesday, November 6, 2019

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING NOVEMBER

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. 11...... 59452 Presidential Documents 3 CFR 16...... 59452 Proclamations: Executive orders and proclamations 741–6000 129...... 59452 The United States Government Manual 741–6000 9956...... 59693 9957...... 59697 26 CFR Other Services 9958...... 59699 1...... 59297 Electronic and on-line services (voice) 741–6020 9959...... 59701 Proposed Rules: Privacy Act Compilation 741–6050 9960...... 59703 9961...... 59705 1...... 59318 9962...... 59707 29 CFR ELECTRONIC RESEARCH Executive Orders: 13495 (Revoked by Proposed Rules: World Wide Web EO 13897)...... 59709 778...... 59590 Full text of the daily Federal Register, CFR and other publications 13896...... 58595 31 CFR 13897...... 59709 is located at: www.govinfo.gov. 1010...... 59302 Administrative Orders: Federal Register information and research tools, including Public Notices: Proposed Rules: Inspection List and electronic text are located at: Notice of October 31, 150...... 59320 www.federalregister.gov. 2019 ...... 59287 32 CFR E-mail Presidential Determinations: Ch. XII...... 59723 FEDREGTOC (Daily Federal Register Table of Contents Electronic No. 2020–01 of 233...... 59720 Mailing List) is an open e-mail service that provides subscribers October 18, 2019 ...... 59519 504...... 59723 with a digital form of the Federal Register Table of Contents. The No. 2020–02 of 33 CFR digital form of the Federal Register Table of Contents includes October 18, 2019 ...... 59521 HTML and PDF links to the full text of each document. 100...... 59525, 59526 7 CFR 165 ...... 59526, 59754, 59726 To join or leave, go to https://public.govdelivery.com/accounts/ Proposed Rules: USGPOOFR/subscriber/new, enter your email address, then 966...... 59289 Proposed Rules: 117...... 59741 follow the instructions to join, leave, or manage your 165...... 59602 subscription. 932...... 59736 PENS (Public Law Electronic Notification Service) is an e-mail 9 CFR 34 CFR service that notifies subscribers of recently enacted laws. 557 ...... 59678, 59682, 59685 600...... 58834 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 602...... 58834 and select Join or leave the list (or change settings); then follow 10 CFR 603...... 58834 the instructions. Proposed Rules: 654...... 58834 810...... 59315 668...... 58834 FEDREGTOC and PENS are mailing lists only. We cannot 674...... 58834 respond to specific inquiries. 12 CFR 40 CFR Reference questions. Send questions and comments about the 3...... 59230 Federal Register system to: [email protected] 50...... 59230 52...... 59527, 59728 63...... 58601 The Federal Register staff cannot interpret specific documents or 217...... 59032, 59230 180...... 58623 regulations. 225...... 59032 238...... 59032 282...... 58627 242...... 59032 Proposed Rules: FEDERAL REGISTER PAGES AND DATE, NOVEMBER 243...... 59194 51...... 59743 249...... 59230 52 ...... 58641, 59325, 59327, 58595–59288...... 1 252...... 59032 59331, 59743 59289–59524...... 4 324...... 59230 63...... 58936 59525–59710...... 5 329...... 59230 70...... 59743 59711–59916...... 6 381...... 59194 71...... 59743 170...... 58666 14 CFR 228...... 59744 39 ...... 59292, 59711, 59713, 282...... 58674 59716, 59718 721...... 59335 71...... 58599, 58600 97...... 59294, 59296 41 CFR Proposed Rules: Proposed Rules: 39 ...... 58634, 58636, 58638, 60–1...... 59746 59315, 59739 60–300...... 59746 60–741...... 59746 21 CFR Proposed Rules: 42 CFR 1...... 59452 600...... 59529

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43 CFR 45 CFR Proposed Rules: 50 CFR 1...... 59605 3000...... 59730 102...... 59549 73...... 59605, 59756 17...... 59570 1169...... 59313 648...... 59588, 59735 49 CFR 44 CFR 679...... 59588 614...... 59568 Proposed Rules: 64...... 59548 47 CFR Proposed Rules: 648...... 59349 1...... 59567 395...... 59761

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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 November 4, 2019 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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