Vol. 84 Thursday, No. 247 December 26, 2019
Pages 70881–71296
OFFICE OF THE FEDERAL REGISTER
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Contents Federal Register Vol. 84, No. 247
Thursday, December 26, 2019
Agriculture Department Commodity Futures Trading Commission See Food and Nutrition Service PROPOSED RULES See Rural Housing Service UA: Reg Flex Agenda, 71228–71229 PROPOSED RULES NOTICES UA: Reg Flex Agenda, 71100–71104 Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 70963–70964 Agency Information Collection Activities; Proposals, Meetings; Sunshine Act, 70963 Submissions, and Approvals, 70928–70929 Community Development Financial Institutions Fund Architectural and Transportation Barriers Compliance NOTICES Board Agency Information Collection Activities; Proposals, Submissions, and Approvals, 71077–71078 PROPOSED RULES UA: Reg Flex Agenda, 71188 Consumer Product Safety Commission Bureau of Consumer Financial Protection PROPOSED RULES PROPOSED RULES UA: Reg Flex Agenda, 71238–71241 UA: Reg Flex Agenda, 71232–71236 Corporation for National and Community Service Centers for Disease Control and Prevention RULES NOTICES Annual Civil Monetary Penalties Inflation Adjustment, Decision to Evaluate a Petition to Designate a Class of 70902–70903 Employees from the Reduction Pilot Plant in Huntington, WV, to be included in the Special Defense Department Exposure Cohort, 70974 PROPOSED RULES UA: Reg Flex Agenda, 71122–71123, 71214–71226 Centers for Medicare & Medicaid Services NOTICES Drug Enforcement Administration Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 70974–70975 Bulk Manufacturer of Controlled Substances Application: Medicare and Medicaid Programs: Bulk Manufacturers of Marihuana: Royal Emerald Application from Accreditation Association of Hospitals/ Pharmaceuticals Research and Development, 71001 Health Systems—Healthcare Facilities Accreditation Bulk Manufacturers of Marihuana: Agronomed Program for Continued CMS-Approval of its Critical Pharmaceuticals, 71001–71002 Access Hospital Accreditation Program, 70975–70976 Bulk Manufacturers of Marihuana: Stanley Brothers Bio Tec Inc., 71000 Civil Rights Commission Kinetochem LLC, 71000–71001 NOTICES Meetings: Education Department Tennessee Advisory Committee, 70931–70932 NOTICES Coast Guard Agency Information Collection Activities; Proposals, RULES Submissions, and Approvals: Safety Zone: EZ-Audit: Electronic Submission of Financial Statements Straits of Mackinac, MI, 70893–70895 and Compliance Audits, 70965–70966 Safety Zones: Study of District and School Uses of Federal Education Brandon Road Lock and Dam to Lake Michigan including Funds, 70964–70965 Des Plaines River, Chicago Sanitary and Ship Canal, National Advisory Committee on Institutional Quality and Chicago River, and Calumet-Saganashkee Channel, Integrity; Members, 70966 Chicago, IL, 70893 NOTICES Energy Department Application: See Energy Information Administration Recertification of Prince William Sound Regional PROPOSED RULES Citizens’ Advisory Council, 70983–70984 UA: Reg Flex Agenda, 71126–71128 NOTICES Commerce Department Meetings: See Foreign-Trade Zones Board State Energy Advisory Board, 70967 See International Trade Administration See National Oceanic and Atmospheric Administration Energy Information Administration See Patent and Trademark Office NOTICES PROPOSED RULES Agency Information Collection Activities; Proposals, UA: Reg Flex Agenda, 71106–71119 Submissions, and Approvals, 70967
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Environmental Protection Agency Food and Drug Administration RULES NOTICES Air Quality State Implementation Plans; Approvals and Agency Information Collection Activities; Proposals, Promulgations: Submissions, and Approvals: Tennessee; Infrastructure Requirements for the 2015 8- Biological Products: Reporting of Biological Product hour Ozone National Ambient Air Quality Standard, Deviations, 70979–70981 70895–70897 Guidance: Finding of Failure to Attain and Reclassification of Denver Requesting Food and Drug Administration Feedback on Area for the 2008 Ozone National Ambient Air Quality Combination Products, 70976–70979 Standard, 70897–70902 Meetings: PROPOSED RULES The Tobacco Products Scientific Advisory Committee, Air Quality State Implementation Plans; Approvals and 70979 Promulgations: Connecticut; Transport State Implementation Plan for the 2008 Ozone Standard., 70913–70916 Food and Nutrition Service UA: Reg Flex Agenda, 71190–71195 NOTICES NOTICES Agency Information Collection Activities; Proposals, Agency Information Collection Activities; Proposals, Submissions, and Approvals: Submissions, and Approvals: Child and Adult Care Food Program, 70930–70931 National Estuary Program, 70968 Foreign Assets Control Office Federal Accounting Standards Advisory Board NOTICES NOTICES Blocking or Unblocking of Persons and Properties, 71078– Exposure Draft of a Proposed Statement of Federal 71081 Financial Accounting Standards: Deferral of the Effective Date of SFFAS 54, Leases, Foreign-Trade Zones Board 70968–70969 NOTICES Approval of Subzone Expansion: Flemish Master Weavers; Sanford, ME, 70932 Federal Aviation Administration Approval of Subzone Status: NOTICES Commerce Warehouse Group, LLC; Rock Hill, SC, 70933 Agency Information Collection Activities; Proposals, Proposed Production Activity: Submissions, and Approvals: Oceaneering International, Inc.; Foreign-Trade Zone 65; Pilot Records Improvement Act of 1996/Pilot Record Panama City, FL, 70932–70933 Database, 71067–71068 Waters Technologies Corp.; Foreign-Trade Zone 27; Meetings: Boston, MA, 70932 National Parks Overflights Advisory Group, 71067
General Services Administration Federal Communications Commission PROPOSED RULES PROPOSED RULES UA: Reg Flex Agenda, 71198–71200, 71214–71226 UA: Reg Flex Agenda, 71244–71274 NOTICES Agency Information Collection Activities; Proposals, Health and Human Services Department Submissions, and Approvals, 70969–70971 See Centers for Disease Control and Prevention See Centers for Medicare & Medicaid Services See Food and Drug Administration Federal Reserve System See Indian Health Service RULES PROPOSED RULES Regulatory Capital Rule: UA: Reg Flex Agenda, 71130–71139 Capital Simplification for Qualifying Community Banking NOTICES Organizations, 70887 Agency Information Collection Activities; Proposals, PROPOSED RULES Submissions, and Approvals, 70981–70982 UA: Reg Flex Agenda, 71276–71278 NOTICES Agency Information Collection Activities; Proposals, Homeland Security Department Submissions, and Approvals, 70971–70972 See Coast Guard See U.S. Customs and Border Protection PROPOSED RULES Federal Trade Commission UA: Reg Flex Agenda, 71142–71149 NOTICES Agency Information Collection Activities; Proposals, Submissions, and Approvals, 70972–70974 Housing and Urban Development Department NOTICES Agency Information Collection Activities; Proposals, Fish and Wildlife Service Submissions, and Approvals: NOTICES Application for Resident Opportunity and Self Endangered and Threatened Species: Sufficiency Grant Forms, 70986 Recovery Permit Applications, 70990–70992 Project Based Vouchers Online Form, 70986–70990
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Indian Health Service Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Agency Information Collection Activities; Proposals, Firearms Transaction Record/Registro de Transaccion de Submissions, and Approvals: Armas de Fuego, 71002–71003 Indian Self-Determination and Education Assistance Act Contracts, 70982–70983 Labor Department PROPOSED RULES Interior Department UA: Reg Flex Agenda, 71156–71160 See Fish and Wildlife Service See Land Management Bureau Land Management Bureau See National Indian Gaming Commission NOTICES See National Park Service Meetings: PROPOSED RULES Las Cruces District Resource Advisory Council, New UA: Reg Flex Agenda, 71152–71154 Mexico, 70992
Internal Revenue Service Management and Budget Office NOTICES PROPOSED RULES Agency Information Collection Activities; Proposals, UA: Reg Flex Agenda, 71204 Submissions, and Approvals: Relief for Certain Spouses of Military Personnel, 71081– Maritime Administration 71082 NOTICES Agency Information Collection Activities; Proposals, International Trade Administration Submissions, and Approvals, 71069 NOTICES Agency Information Collection Activities; Proposals, Agency Information Collection Activities; Proposals, Submissions, and Approvals: Submissions, and Approvals: Merchant Marine Medals and Awards, 71068–71069 Self-Certification to the EU-U.S. and Swiss-U.S. Privacy Requested Administrative Waiver of the Coastwise Trade Shield Frameworks, 70942–70943 Laws: Antidumping or Countervailing Duty Investigations, Orders, Vessel ADAGIO (Sailboat), 71070–71071 or Reviews: Vessel C-WEED (Motor Vessel), 71069–71070 Carbon and Alloy Steel Cut-to-Length Plate from the Vessel GYPSY GIRL (Motor Vessel), 71071–71072 Republic of Korea, 70951–70953 Vessel LADY SUSAN (Sailing Catamaran), 71075–71076 Certain Cold-Rolled Steel Flat Products from the Republic Vessel LOKAHI (Sail Catamaran), 71072–71073 of Korea, 70934–70937 Vessel PALADIN (Motor Vessel), 71073–71074 Certain Corrosion-Resistant Steel Products from Taiwan, Vessel PERSUADER TOO (Sailboat), 71074–71075 70937–70941 Certain Corrosion-Resistant Steel Products from the National Aeronautics and Space Administration Republic of Korea, 70948–70951 PROPOSED RULES Certain Crystalline Silicon Photovoltaic Products from UA: Reg Flex Agenda, 71202, 71214–71226 Taiwan, 70943–70946 NOTICES Drawn Stainless Steel Sinks from the People’s Republic Agency Information Collection Activities; Proposals, of China, 70946–70948 Submissions, and Approvals, 71003–71004 Charter Renewal: Advisory Committee on Supply Chain Competitiveness, National Drug Control Policy Office 70941–70942 NOTICES Determinations in the Less-Than-Fair-Value Investigations: Agency Information Collection Activities; Proposals, Polyethylene Terephthalate Sheet from the Republic of Submissions, and Approvals: Korea and the Sultanate of Oman, 70941 Survey on Practices and Policies Related to the Treatment Meetings: of Opioid Use Disorders; Correction, 71005 Advisory Committee on Supply Chain Competitiveness, Survey on the Treatment of Opioid Use Disorders; 70933–70934 Correction, 71004–71005
International Trade Commission National Highway Traffic Safety Administration NOTICES PROPOSED RULES Investigations; Determinations, Modifications, and Rulings, Anthropomorphic Test Devices: etc.: HIII 5th Percentile Female Test Dummy; Incorporation by Certain Microfluidic Devices, 70999–71000 Reference, 70916–70927 Certain Movable Barrier Operator Systems and Component Thereof, 70998–70999 National Indian Gaming Commission Fourth Tier Cigarettes from Korea, 70997–70998 NOTICES Agency Information Collection Activities; Proposals, Justice Department Submissions, and Approvals, 70992–70996 See Drug Enforcement Administration NOTICES National Labor Relations Board Agency Information Collection Activities; Proposals, PROPOSED RULES Submissions, and Approvals, 71003 UA: Reg Flex Agenda, 71280
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National Oceanic and Atmospheric Administration Postal Regulatory Commission RULES NOTICES Coastal Migratory Pelagic Resources of the Gulf of Mexico New Postal Products, 71008–71009 and Atlantic Region: 2019–2020 Commercial Trip Limit Reduction for Spanish Railroad Retirement Board Mackerel in the Atlantic Southern Zone, 70904 PROPOSED RULES Fisheries off West Coast States: UA: Reg Flex Agenda, 71206 Pacific Coast Groundfish Fishery; Pacific Fishery Management Plan; Amendment 28; Correction, Regulatory Information Service Center 70904–70905 PROPOSED RULES NOTICES UA: Regulatory Plan, 71086–71097 Agency Information Collection Activities; Proposals, Submissions, and Approvals, 70954–70961 Rural Housing Service Agency Information Collection Activities; Proposals, RULES Submissions, and Approvals: Single Family Housing Guaranteed Loan Program, 70881– Chesapeake Bay Watershed Environmental Literacy 70887 Indicator Tool, 70956–70957 Endangered and Threatened Species: Securities and Exchange Commission Initiation of a 5-Year Review of Northwest Atlantic Ocean PROPOSED RULES and Seven Foreign Distinct Population Segments of UA: Reg Flex Agenda, 71286–71294 Loggerhead Sea Turtle, 70958–70959 NOTICES Meetings and Hearings: Filing: Pacific Fishery Management Council, 70954–70955 Program for Allocation of Regulatory Responsibilities, Meetings: 71009–71016 Fisheries of the Gulf of Mexico; Southeast Data, Order Approving Public Company Accounting Oversight Assessment, and Review, 70960 Board Budget and Annual Accounting Support Fee for Fisheries of the South Atlantic; Southeast Data, Calendar Year 2020, 71024–71025 Assessment, and Review, 70953–70954 Self–Regulatory Organizations; Proposed Rule Changes: South Atlantic Fishery Management Council, 70956 Cboe Exchange, Inc., 71021–71024 Public Hearings: Investors Exchange LLC, 71053–71057 South Atlantic Fishery Management Council, 70958 Miami International Securities Exchange LLC, 71037– 71039 National Park Service NYSE American, LLC, 71018–71021, 71053 NOTICES NYSE Arca, Inc., 71016–71018, 71039–71053, 71057– National Register of Historic Places: 71063 Pending Nominations and Related Actions, 70996–70997 NYSE National, Inc., 71025–71037
Nuclear Regulatory Commission Small Business Administration PROPOSED RULES PROPOSED RULES UA: Reg Flex Agenda, 71282–71284 UA: Reg Flex Agenda, 71208–71212 NOTICES NOTICES Agency Information Collection Activities; Proposals, Disaster Declaration: Submissions, and Approvals: Tennessee, 71063–71064 Notice of Enforcement Discretion for Operating Power State Department Reactors and Gaseous Diffusion Plants (NRC Enforcement Policy), 71006–71007 RULES International Traffic in Arms Regulations: Special Nuclear Material and Source Material Physical Creation of Definition of Activities That Are Not Exports, Inventory Summary Reports, and NUREG/BR–0096, Reexports, Retransfers, or Temporary Imports; Instructions and Guidance for Completing Physical Creation of Definition of Access Information; Inventory Summary Reports, 71005–71006 Revisions to Definitions of Export, Reexport, Meetings; Sunshine Act, 71007–71008 Retransfer, Temporary Import, and Release, 70887– 70893 Patent and Trademark Office NOTICES NOTICES Meetings: Agency Information Collection Activities; Proposals, U.S. Advisory Commission on Public Diplomacy, 71064 Submissions, and Approvals: Secretary of State’s Determination under the International Law School Clinic Certification Program, 70961–70963 Religious Freedom Act of 1998 and Frank R. Wolf International Religious Freedom Act of 2016, 71064– Personnel Management Office 71065 PROPOSED RULES Promotion and Internal Placement, 70906–70908 Surface Transportation Board PROPOSED RULES Pipeline and Hazardous Materials Safety Administration UA: Reg Flex Agenda, 71296 NOTICES NOTICES Meetings: Abandonment Exemption: Lithium Battery Safety Advisory Committee, 71076– Norfolk Southern Railway Co.; City of Fort Wayne, IN, 71077 71066
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Winchester and Western Railroad Co.; Cumberland Part X County, N.J., 71065–71066 Labor Department, 71156–71160 Lease and Operation Exemption: CCET, LLC d/b/a Cincinnati Eastern Railroad; Norfolk Part XI Southern Railway Co., 71065 Transportation Department, 71162–71179 Quarterly Rail Cost Adjustment Factor, 71066–71067 Part XII Transportation Department Treasury Department, 71182–71183 See Federal Aviation Administration See Maritime Administration Part XIII See National Highway Traffic Safety Administration Veterans Affairs Department, 71186 See Pipeline and Hazardous Materials Safety Administration Part XIV PROPOSED RULES Architectural and Transportation Barriers Compliance UA: Reg Flex Agenda, 71162–71179 Board, 71188
Treasury Department Part XV See Community Development Financial Institutions Fund Environmental Protection Agency, 71190–71195 See Foreign Assets Control Office See Internal Revenue Service Part XVI PROPOSED RULES General Services Administration, 71198–71200 UA: Reg Flex Agenda, 71182–71183 Part XVII U.S. Customs and Border Protection National Aeronautics and Space Administration, 71202 NOTICES Western Hemisphere Travel Initiative: Part XVIII Designation of an Approved Native American Tribal Card Management and Budget Office, 71204 Issued by the Swinomish Indian Tribal Community as an Acceptable Document to Denote Identity and Part XIX Citizenship for Entry in the United States at Land Railroad Retirement Board, 71206 and Sea Ports of Entry, 70984–70986 Part XX Veterans Affairs Department Small Business Administration, 71208–71212 PROPOSED RULES Specialty Education Loan Repayment Program, 70908– Part XXI 70913 Department of Defense, 71214–71226 UA: Reg Flex Agenda, 71186 NOTICES Part XXII Meetings: Commodities Futures Trading Commission, 71228–71229 Joint Biomedical Laboratory Research and Development and Clinical Science Research and Development Part XXIII Services Scientific Merit Review Board, 71082–71083 Bureau of Consumer Financial Protection, 71232–71236 Part XXIV Consumer Product Safety Commission, 71238–71241 Separate Parts In This Issue Part XXV Part II Federal Communications Commission, 71244–71274 Regulatory Information Service Center, 71086–71097 Part XXVI Part III Federal Reserve System, 71276–71278 Agriculture Department, 71100–71104 Part XXVII Part IV National Labor Relations Board, 71280 Commerce Department, 71106–71119
Part V Part XXVIII Defense Department, 71122–71123 Nuclear Regulatory Commission, 71282–71284
Part VI Part XXIX Energy Department, 71126–71128 Securities and Exchange Commission, 71286–71294
Part VII Part XXX Health and Human Services Department, 71130–71139 Surface Transportation Board, 71296
Part VIII Homeland Security Department, 71142–71149 Reader Aids Consult the Reader Aids section at the end of this issue for Part IX phone numbers, online resources, finding aids, and notice Interior Department, 71152–71154 of recently enacted public laws.
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CFR PARTS AFFECTED IN THIS ISSUE
A cumulative list of the parts affected this month can be found in the Reader Aids section at the end of this issue.
5 CFR Proposed Rules: 335...... 70906 7 CFR 3555...... 70881 12 CFR 206...... 70887 208...... 70887 211...... 70887 215...... 70887 217...... 70887 223...... 70887 225...... 70887 238...... 70887 251...... 70887 22 CFR 120...... 70887 33 CFR 165 (2 documents) ...... 70893 38 CFR Proposed Rules: 17...... 70908 40 CFR 52...... 70895 81...... 70897 Proposed Rules: 52...... 70913 45 CFR 1230...... 70902 2554...... 70902 49 CFR Proposed Rules: 572...... 70916 50 CFR 622...... 70904 660...... 70904
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Rules and Regulations Federal Register Vol. 84, No. 247
Thursday, December 26, 2019
This section of the FEDERAL REGISTER these objectives, this rule modifies the and Acquisition Factor (aka the VA Net contains regulatory documents having general loss claim and loss mitigation processes. Value Factor) found at https:// applicability and legal effect, most of which www.benefits.va.gov/homeloans/ A. Loss Claim Process are keyed to and codified in the Code of servicers_valeri.asp. Lenders will be Federal Regulations, which is published under The Agency is implementing two required to submit the complete loss 50 titles pursuant to 44 U.S.C. 1510. primary changes to the loss claim claim package within 60 days of The Code of Federal Regulations is sold by process in the areas of timing and foreclosure sale date, acquisition date, the Superintendent of Documents. valuation of property that has been or possession of the security property. acquired by a lender (referred to as Real The new process will eliminate the need Estate Owned (REO) property). The for REO property disposition plans. DEPARTMENT OF AGRICULTURE Agency will not change the loan Through the changes made by the guarantee limits under 7 CFR 3555.351. final rule to the loss claim process, the Rural Housing Service Regarding the timing of loss claims, Agency anticipates a more streamlined the Agency currently affords lenders approach to loss claim payment 7 CFR Part 3555 (defined in 7 CFR 3555.10 as entities processing. Therefore, the Agency will limit the amount of additional interest [Docket No. RHS–18–SFH–0020] making, holding, or servicing SFHGLP loans) the opportunity to submit loss (accrued between the settlement date RIN 0575–AD09 claims on REO property after and loss claim payment) included in the foreclosure; during a nine-month loss claim payment to 60 days of Single Family Housing Guaranteed marketing period; or if the property has additional interest during the loss claim Loan Program not sold during the nine-month period.1 marketing period (twelve-month for The final rule makes several other AGENCY: Rural Housing Service, USDA. tribal land), through the submission of changes to improve and clarify the loss ACTION: Final rule. an Estimated Net Recovery (ENR) loss claim process. claim. The current options create The Agency will revise 7 CFR SUMMARY: The Rural Housing Service uncertainty, as it may take many months 3555.354, which currently allows (RHS or Agency) published a proposed before a loss claim package is submitted lenders to submit a loss claim rule on August 23, 2018, proposing to and processed and impose significant electronically or in paper format. The implement changes to the single family administrative burden on lenders and change will require all lenders to utilize housing guaranteed loan program the Agency. To streamline the process, a web-based system to submit loss (SFHGLP) regulation to streamline the the Agency will eliminate the options of claims that will make it easier for both loss claim process for lenders who have the nine-month marketing period and lenders and the Agency. acquired title to property through The Agency will also add a definition ENR loss claims. Instead, all loss claims voluntary liquidation or foreclosure; for settlement date for deed-in-lieu will be submitted in a timely manner clarify that lenders must comply with actions for purposes of calculating loss (discussed further below) after lender applicable laws, including those within claims. The Agency will define the acquisition of title without waiting for a the purview of the Consumer Financial settlement date of the deed-in-lieu as potential sale to a third party during the Protection Bureau (CFPB); and better the date title is recorded. The current marketing period. In addition, the align loss mitigation policies with the version of the regulation does not elimination of the ENR loss claim mortgage industry. Through this action, address this issue. option will eliminate the need for RHS finalizes the rule largely as lenders to monitor, and the Agency to B. Loss Mitigation proposed with some revisions. collect, Future Recovery payments. Changes regarding loss mitigation DATES: Effective April 24, 2020. Therefore, the Agency is removing the procedures will continue the Agency’s FOR FURTHER INFORMATION CONTACT: Kate Future Recovery requirements at 7 CFR efforts to improve the overall Jensen, Finance and Loan Analyst, 3555.356. effectiveness of loss mitigation by Single Family Housing Guaranteed Loan Regarding the valuation of REO emphasizing payment reduction. Division, STOP 0784, Room 2250, property, the Agency currently requires Historically, borrowers who receive a USDA Rural Development, South lenders to obtain a liquidation value payment reduction of less than 10 Agriculture Building, 1400 appraisal to determine security property percent have re-defaulted at a rate Independence Avenue SW, Washington, value and calculate the loss claim greater than 60 percent. When at least a DC 20250–0784, telephone: (503) 894– amount. Under the final rule, the 10 percent payment reduction is 2382, email is [email protected]. Agency will replace the liquidation achieved, the re-default rate is reduced SUPPLEMENTARY INFORMATION: value appraisal with a market value by half. The changes will continue to appraisal in conjunction with a model I. Background Information increase homeownership success and to determine the security property value decrease foreclosures. The Agency The expansion of the SFHGLP in as the basis to calculate the loss claim recent years has led the Agency to amount. The Agency presently requires 1 In the unlikely event that it takes more than 60 investigate opportunities to streamline the submission of receipts for actual days to process a loss claim, the Agency may pay the program policies and procedures, property preservation and disposal up to 90 days of additional interest if provided for in the relevant Loan Note Guarantee (Form RD align the Agency with accepted industry costs. Property preservation and 3555–17). The Agency plans to amend the Loan practices, and balance Agency resources disposal costs will now be based on the Note Guarantee for consistency with the 60-day with program demand. To help achieve Veterans Administration Management limit in the final rule.
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expects a corresponding reduction in complete an interior appraisal if transparency to better model potential lender REO property which could result eviction action would be required. In outcomes. The Agency is providing an in community stability and decreased response to these comments, the Agency overview of the loss claim model expenses associated with foreclosure will amend the regulation in algorithm as follows: The Property Sale and property disposition. § 3555.353(b) to require the lender to Value Calculator (PSVC) uses a The Agency will also add a Mortgage submit a loss claim package, including statistical technique known as linear Recovery Advance (MRA) option that a market value appraisal, within 60 days regression. The PSVC is based on, and will not require a modification to the of the foreclosure sale date or the date like, the Federal Housing Agency’s terms of the promissory note. This the lender acquires title. If eviction (FHA) Loss Given Default (LGD) model, option will create an opportunity for action is required in order to obtain a which also uses linear regression. For a borrowers with a resolved hardship to market value appraisal, the lender must detailed description of FHA’s LGD cure the delinquency and retain their submit the loss claim package, model, see Section 5 of the already affordable payment. including the market value appraisal, Congressional Budget Office’s working The Agency will also amend 7 CFR within 60 days of the date the occupants paper, Modeling the Budgetary Costs of 3555.51(b)(1) to clarify that in addition clear the premises (also referred to in FHA’s Single-Family Mortgage to complying with Agency laws and this notice as a lender taking Insurance http://www.cbo.gov/sites/ guidance, lenders must comply with ‘‘possession’’ of the property). default/files/cbofiles/attachments/ other applicable federal, state, and local One respondent requested the Agency 45711-FHA.pdf. laws, including those that fall under the to define ‘‘cost effective’’ and Linear regression is a statistical purview of the Consumer Financial ‘‘significant amount’’ as used in method for estimating one unknown Protection Bureau (CFPB), such as the § 3555.302(b) for purposes of variable using other known variables. Real Estate Settlement Procedures Act determining when protective advances The result of linear regression analysis (RESPA) and the Truth in Lending Act require concurrence from the Agency is an equation of coefficients based on (TILA). and cover costs besides taxes and historical relationships between insurance. The respondent suggested II. Discussion of Relevant Public variables. Inputting known variables that if the cost of a protective advance into the equation generates an estimate Comments Received on the August 23, exceeds ten percent of the market value 2018, Proposed Rule of the unknown variable—the property of the property, Agency concurrence is sale value. The model coefficients use On August 23, 2018, RHS published required. This align with existing data on approximately 94,000 historical a proposed rule regarding the changes to published policy in the USDA SFHGLP claims from the program. The Agency SFHGLP loss claims and loss mitigation Handbook Chapters 17 and 18 regarding updates the model coefficients annually discussed above (83 FR 42618–42622). Pre-Foreclosure Sales (PFS) and Deed- using actual property sale values The Agency received comments from in-Lieu transactions. The Agency will acquired through a third-party data nine respondents including lenders, continue to provide additional guidance provider. The Agency adds historical State Housing Finance Agencies, to lenders as necessary. No change is data to the model every year and re- industry trade groups, and other made to the regulation. generates coefficients to ensure interested parties. Specific public One respondent requested the Agency historical relationships between comments are addressed below in order to allow for additional payment of variables represent the most recent data of appearance in the regulation. interest when USDA exceeds 60 days for available and that the model produces processing claims. At minimum, the accurate property value estimates. Loss Claims respondent recommends a review Nine respondents supported the process within USDA to quarterly or bi- The servicing system takes known Agency’s proposal to streamline the loss annually review cycle times and publish loan characteristic values based on the claim process for lenders who have a requirement in this regulation that REO date and multiplies them by the acquired title to properties through will allow some flexibility to reimburse coefficients. The products are then voluntary liquidation or foreclosure. interest beyond 60 days. The Agency summed to output the estimated Two respondents requested believes that it is well positioned property sale value. clarification when the rule would be through improvements in the process Table 1 (below) presents the variables enacted, and which loans will be created with this change to meet the 60- used in the model along with the directly affected by the changes. The day timeframe for processing loss variable type and a description. The new rule will affect all loans where claims. No change is made to the model uses two types of variables: lender acquisition or possession of the provision. However, in the unlikely Continuous and categorical. Continuous property takes place on or after the Final event that it takes more than 60 days to variables can have any numeric value. Rule effective date. process a loss claim, the Agency may Categorical variables have a value of one Six respondents requested further pay up to 90 days of additional interest if they fall within a certain range and a definition of ‘‘acquisition of title’’ along if provided for in the relevant Loan Note value of zero if they do not. If a loan has with the request to amend the regulation Guarantee (Form RD 3555–17). The a categorical variable with a value of requirement to include the vacancy Agency plans to amend the Loan Note zero, that means the coefficient is not status of the property. The proposed Guarantee for consistency with the 60- applicable to the loan and the model rule stated the lender should order an day limit in the final rule. does not adjust the estimated property appraisal within fifteen days of Three respondents believe the Agency sale value for that characteristic. The acquiring title to the property and did should publish the loss claim model model only adjusts the estimated not consider the potential inability to algorithm to allow lenders increased property sale value for certain states.
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TABLE 1—DESCRIPTION OF VARIABLES
Variable Type Description
Constant ...... NA ...... Applied to all loans. Original Loan Amount ...... Continuous ...... Original mortgage amount. Appraisal Amount ...... Continuous ...... Appraisal amount at the time a property becomes REO. Current Loan-to-Value Ratio (CLTV) ...... Continuous ...... The ratio of the UPB to the appraisal amount. Origination Year Indicators ...... Categorical ...... Indicates a loan originated between 2004 and 2009. States ...... Categorical ...... Indicates a loan from a given state. Loan Size Ratio (LSR) ...... Categorical ...... The ratio of the original loan amount to the average original loan amount in the region.
One respondent encouraged the not believe that there are industry General Lender Requirement Agency to publish the findings from the accepted alternatives to the VA Net Two respondents commented on the ‘‘Settle at Foreclosure Pilot Program,’’ to Value Factor. No change is made to this proposed general lender requirements to help lenders better understand potential provision. clarify that in addition to complying effects to their portfolio’s loss One respondent suggested that RHS with Agency laws and guidance, lenders assumptions on RHS properties which should continue to develop and support must comply with all other applicable have culminated in a foreclosure sale. alternative disposition strategies. Given federal, state, and local laws. The first The Agency has received positive the resource savings to RHS and the respondent requested the Agency feedback from pilot lenders concerning timeframe reduction in the proposed update the language in regulation reduction of loss claim documentation, rule, the respondent requests that RHS § 3555.51(b)(1) instead of § 3555.6. The the elimination of property disposition should not implement this rule at the Agency agrees to update § 3555.51(b)(1) plans, and collection of future recovery. cost of alternative disposition strategies. versus § 3555.6. Additionally, pilot lenders receive Instead, RHS should continue to The second respondent requested the payment of loss claim funds sooner as prioritize efforts to develop or enhance Agency to include the RESPA and TILA compared to the current system. This is obligations. The updated language in evidenced internally through a disposition options that do not result in lenders taking a property into inventory. § 3555.51(b) refers to all applicable reduction in loss claim processing time laws, and specifically mentions RESPA The adoption of this new loss claim for the Agency. The Agency believes and TILA. Lenders may refer to the regulation should not prohibit or further information regarding the pilot CFPB regulations implementing RESPA discourage lenders from offering is unnecessary at this time given the and TILA, including those at 12 CFR borrowers the full range of loss overview of the loss claim algorithm parts 1024 and 1026, for specific mitigation options. The Agency fully above and will provide further guidance requirements. It is redundant and as necessary. supports loss mitigation activity in lieu unnecessary for the Agency to repeat the One respondent suggested the of foreclosure and will not eliminate content of those regulations in 7 CFR regulation should address differences any requirements that lenders offer and part 3555. No change is made in this between estimated and actual expenses investigate loss mitigation alternatives provision. and that RHS should specify that actual prior to foreclosure as required in expenses are captured for claim filing § 3555.301(b). Loss Mitigation only when all necessary steps to make One respondent proposed that the Four respondents commented on the a property stable have occurred. The value of the property to determine loss proposed regulation language at 7 CFR proposed changes to the regulation do claim calculation be based on the 3555.303(b)(3)(v) regarding the option not require the servicing lender to use outstanding unpaid principal balance for a lender to require a trial plan before actual expenses since the new process (UPB) and percentage of loss coverage in a traditional servicing loan utilizes estimated property preservation the Loan Note Guarantee. The modification. One respondent requested and disposal expenses using the VA Net respondent contends the suggested clarification as to when a trial period Value Factor. No change is made to this valuation method will not establish a should be used to ensure equal provision. reliable property value. If existing UPBs treatment of all borrowers. The current Three respondents commented on the were utilized to establish value, there regulation only requires a trial period Agency’s use of the VA Net Value Factor would be no loss and any future claim when Special Servicing Options are to estimate holding and deposition payments would be reduced or utilized, and the updated regulation costs. All three respondents contended nonexistent. The Agency did not language provides flexibility to the the VA Net Value Factor consistently propose to change the percentage of lender/to determine whether a trial and significantly underestimates the period is warranted or required by coverage based on the original loan actual expenses and believes lenders lender or investor guidelines for other amount and will retain the loan will not be sufficiently compensated for retention options. The Agency does not guarantee limits as outlined in holding and property management believe it is necessary or helpful for the § 3555.351. No change is made to this costs. The VA Net Value Factor is a Agency to prescribe when trial periods provision. long-established model widely utilized may be required. No change is made to in the mortgage servicing industry for One respondent requested that a time this provision. loss claim servicing. The VA Net Value limit be imposed on post-payment Two of the four respondents Factor regularly updates the factor review or eliminate repayment under expressed concern that by not requiring taking into account the costs of post-payment reviews. This was not a trial plan prior to a traditional servicing single family properties. The addressed in the proposed rule and, servicing loan modification, the loans Agency has used the VA Net Value therefore, no further action will be will not meet the investor buyout Factor since 1999 with success and does taken. requirements. While the final rule will
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not require a trial period, the rule will extended term loan modifications not the Agency fully implement the FHA- neither prohibit the use of trial period exceed the market interest rate and Home Affordable Modification Program overlays based on loan lender and eliminated the reference to the interest (HAMP) waterfall. The second was a investor requirements. No change is rate stated in the LNG. The Agency will suggestion to include language in made to this provision. make a similar change in required notices and form documents to The fourth respondent requested that § 3555.303(b)(3)(i) regarding traditional clearly identify the loan status. The the Agency eliminate the requirement servicing loan modifications. third called for the implementation of for trial period plans to increase One respondent requested that RHS payment moratorium options for borrower access to loss mitigation incorporate an exclusion waiver from borrowers in default. These items are measures. As previously discussed, the loss mitigation options requiring a outside of the scope of this rulemaking regulation in 3555.303 will not require change in the interest rate, a write off of and not necessary at this time. No a trial plan for traditional servicing loan principal, and/or extension of the term change is made to this provision. modifications. It is the lender’s of the mortgage for Housing Finance One respondent stated the Agency responsibility to determine if a trial plan Agencies with loans funded through the should eliminate the debt-to-income cap is warranted and/or a trial plan is sale of Mortgage Revenue Bonds. This and clarify that lenders must waive late required by lender or investor authority is already provided to lenders fees in connection with a successful loss guidelines. The regulation does require in the Loss Mitigation Guide. No change mitigation. The Agency does not the use of trial plans for special is made to this provision. consider these suggestions as necessary servicing extended term loan One respondent recommended that at this time, and they are outside the modifications. No change is made to RHS should eliminate the requirement scope of the proposed rule. No change this provision. for agency approval of all loss is made to this provision. Two respondents proposed the MRA mitigation decisions and instead One respondent suggested RHS eligibility threshold be adjusted. Both establish a loss mitigation appeals should modernize its data collection commenters suggest RHS adjust the process for disputed cases. Instead of systems and its quality control process eligibility threshold to ‘‘31 percent or having RHS review each case, the to improve its evaluation of loss less.’’ This would align with the Agency must instead divert those mitigation options. These items were eligibility cut-off for Special Servicing resources to an appeal process by which not addressed in the proposed rule and measures making the MRA only an the borrower can address lenders are considered to be outside of the option for all customers ineligible for mistakes. The commenter believes the scope. No change is made in response Special Loan Servicing. The Agency Agency should implement appeal rights to this comment. agrees and will amend the regulation to pursuant to 42 U.S.C. 1480(g). The The loss mitigation changes will offer state ‘‘31 percent or less.’’ Agency is finalizing the elimination of borrowers faster and greater payment One of the two respondents also the need for Agency concurrence for all relief early in the loan delinquency. The requested RHS to provide clarity on loss mitigation plans. The suggestion to changes will continue to increase where the MRA eligibility threshold add appeal processes beyond what is homeownership success and decrease would fit in the servicing waterfall. already provided for § 3555.4 is foreclosures. The Agency expects a Details on the waterfall will be unnecessary and outside the scope of corresponding reduction in lender- addressed in the Loss Mitigation Guide the proposed rule. No change is made to owned properties resulting in greater (Attachment 18–A). No further change is this provision. community stability as well as made to this provision. One respondent suggested the Agency decreased expenses associated with One respondent proposed RHS should require lenders to provide foreclosure and property disposition. change the verbiage in section servicing plans to borrowers. They § 3555.304(d)(2) from ‘‘date of default’’ stated RHS should require the lender to Executive Order 12866, Classification to ‘‘date of initial default’’ to align with simultaneously provide the borrower This rule has been determined to be industry standards. The Agency agrees with copies of all servicing plans non-significant and therefore was not and will adopt the language ‘‘date of submitted to the Agency regarding the reviewed by the Office of Management initial default.’’ borrower’s loan. RESPA and Regulation and Budget (OMB) under Executive One respondent suggested that RHS X (12 CFR part 1024), administered by Order 12866. should amend § 3555.303 to permit the CFPB, govern mortgage servicing capitalization of protective advances in disclosure requirements. It is Congressional Review Act traditional servicing loan modifications. unnecessary for the Agency to duplicate Pursuant to the Congressional Review The respondent suggested RHS update or add to those requirements. No change Act (5 U.S.C. 801 et seq.), the Office of the regulation to explicitly permit is made in this provision. Information and Regulatory Affairs lenders to capitalize protective advances One respondent requested the Agency designated this rule as not a major rule, related to the maintenance and to clarify that unpaid principal balance as defined by 5 U.S.C. 804(2). preservation of mortgage properties. The is not counted twice in the modification Agency does not believe such a change calculation and RHS should make it Executive Order 12988, Civil Justice is necessary at this time, and the clear how the terms of modifications are Reform suggestion is outside the scope of the calculated to avoid confusion. The This final rule has been reviewed proposed rule. No change is made to Agency agrees and will clarify the under Executive Order 12988, Civil this provision. language in sections § 3555.303(b)(3)(ii) Justice Reform. Except where specified, One respondent requested for traditional servicing loan all State and local laws and regulations clarification that modified interest rates modifications and the new that are in direct conflict with this rule for loan modifications are not limited by § 3555.304(c)(1) for special servicing will be preempted. Federal funds carry the interest rate at the time the Loan extended term loan modifications. Federal requirements. No person is Note Guarantee (LNG) was issued. The One respondent proposed three required to apply for funding under the proposed rule provided in changes to the updated regulation that SFHGLP, but if they do apply and are § 3555.304(c)(1) that the modified are outside of the scope of the published selected for funding, they must comply interest rate for special servicing proposed rule. The first recommended with the requirements applicable to the
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Federal program funds. This final rule is Regulatory Flexibility Act to promote the use of the internet and not retroactive. It will not affect In compliance with the Regulatory other information technologies to agreements entered prior to the effective Flexibility Act (5 U.S.C. 601 et seq.) the provide increased opportunities for date of the rule. Before any judicial undersigned has determined and citizen access to Government action may be brought regarding the certified by signature of this document information and services, and for other provisions of this rule, the that this rule change will not have a purposes. administrative appeal provisions of 7 significant impact on a substantial Non-Discrimination Policy CFR part 11 must be exhausted. number of small entities. This rule does Unfunded Mandates Reform Act not impose any significant new In accordance with Federal civil requirements on Agency applicants and rights law and U.S. Department of Title II of the Unfunded Mandates borrowers, and the regulatory changes Agriculture (USDA) civil rights Reform Act of 1995 (UMRA), Public affect only Agency determination of regulations and policies, the USDA, its Law 104–4, establishes requirements for program benefits for guarantees of loans Agencies, offices, and employees, and Federal agencies to assess the effect of made to individuals. institutions participating in or their regulatory actions on State, local, administering USDA programs are and tribal governments and the private Executive Order 13175, Consultation prohibited from discriminating based on sector. Under section 202 of the UMRA, and Coordination With Indian Tribal race, color, national origin, religion, sex, the Agency generally must prepare a Governments gender identity (including gender written statement, including a cost- Executive Order 13175 imposes expression), sexual orientation, benefit analysis, for proposed and final requirements on RHS in the disability, age, marital status, family/ rules with ‘‘Federal mandates’’ that may development of regulatory policies that parental status, income derived from a result in expenditures to State, local, or have Tribal implications or preempt public assistance program, political tribal governments, in the aggregate, or tribal laws. RHS has determined that the beliefs, or reprisal or retaliation for prior to the private sector, of $100 million, or final rule does not have a substantial civil rights activity, in any program or more, in any one year. When such a direct effect on one or more Indian activity conducted or funded by USDA statement is needed for a rule, section Tribe(s) or on either the relationship or (not all bases apply to all programs). 205 of the UMRA generally requires the the distribution of powers and Remedies and complaint filing Agency to identify and consider a responsibilities between the Federal deadlines vary by program or incident. reasonable number of regulatory Government and Indian Tribes. Thus, Persons with disabilities who require alternatives and adopt the least costly, this final rule is not subject to the alternative means of communication for most cost-effective, or least burdensome requirements of Executive Order 13175. program information (e.g., Braille, large alternative that achieves the objectives If a Tribe determines that this rule has print, audiotape, American Sign of the rule. implications of which RHS is not aware Language, etc.) should contact the This final rule contains no Federal and would like to engage with RHS on responsible Agency or USDA’s TARGET mandates (under the regulatory this rule, please contact USDA’s Native Center at (202) 720–2600 (voice and provisions of Title II of the UMRA) for American Coordinator at (720) 544– TTY) or contact USDA through the State, local, and tribal governments or 2911 or [email protected]. Federal Relay Service at (800) 877–8339. the private sector. Therefore, this rule is Executive Order 12372, Additionally, program information may not subject to the requirements of Intergovernmental Consultation be made available in languages other sections 202 and 205 of the UMRA. than English. These loans are subject to the Environmental Impact Statement provisions of Executive Order 12372, To file a program discrimination complaint, complete the USDA Program This document has been reviewed in which require intergovernmental consultation with State and local Discrimination Complaint Form, AD– accordance with 7 CFR part 1970, 3027, found online at http:// subpart A, ‘‘Environmental Policies.’’ It officials. RHS conducts _ _ intergovernmental consultations for www.ascr.usda.gov/complaint filing is the determination of the Agency that cust.html and at any USDA office or this action does not constitute a major each SFHGLP loan in accordance with 2 CFR part 415, subpart C. write a letter addressed to USDA and Federal action significantly affecting the provide in the letter all of the quality of the human environment, and, Programs Affected information requested in the form. To in accordance with the National The program affected by this request a copy of the complaint form, Environmental Policy Act of 1969, regulation is listed in the Catalog of call (866) 632–9992. Submit your Public Law 91–190, neither an Federal Domestic Assistance under completed form or letter to USDA by: Environmental Assessment nor an Number 10.410, Very Low to Moderate (1) Mail: U.S. Department of Environmental Impact Statement is Income Housing Loans (Section 502 Agriculture, Office of the Assistant required. Rural Housing Loans). Secretary for Civil Rights, 1400 Independence Avenue SW, Washington, Executive Order 13132, Federalism Paperwork Reduction Act DC 20250–9410; The policies contained in this rule do The information collection and record (2) Fax: (202) 690–7442; or not have any substantial direct effect on keeping requirements contained in this States, on the relationship between the regulation have been approved by OMB (3) Email: [email protected]. national government and States, or on in accordance with the Paperwork USDA is an equal opportunity the distribution of power and Reduction Act of 1995 (44 U.S.C. provider, employer, and lender. responsibilities among the various Chapter 35). The assigned OMB control List of Subjects in 7 CFR Part 3555 levels of government. Nor does this rule number is 0570–0179. impose substantial direct compliance Home improvement, Loan Programs— costs on State and local governments. E-Government Act Compliance Housing and community development, Therefore, consultation with the States The Agency is committed to Eligible loan purpose, Construction, is not required. complying with the E-Government Act, Loan terms, Mortgages, Rural areas.
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Therefore, chapter XXXV, title 7 of § 3555.303 Traditional servicing options. date of initial default. The Agency may the Code of Federal Regulations is * * * * * change the maximum amount of amended as follows: (b) * * * mortgage recovery advance by (3) * * * publication in the Federal Register. PART 3555—GUARANTEED RURAL (i) Loan modifications must be a fixed (2) If the borrower’s total monthly HOUSING PROGRAM interest rate and cannot exceed the mortgage payment is less than 31 market interest rate at the time of percent of gross monthly income prior ■ 1. The authority citation for Part 3555 modification. to an extended term loan modification, continues to read as follows: (ii) Loan modifications may capitalize the mortgage recovery advance can be Authority: 5 U.S.C. 301; 42 U.S.C. 1471 et all or a portion of the arrearage and/or used to cure the borrower’s delinquency seq. reamortization of the balance due without changing the terms of the ■ 2. Amend § 3555.10 in the definition including foreclosure fees and costs, tax promissory note. of Settlement date to by revising the and insurance advances, and past due * * * * * introductory text and adding paragraph Agency annual fees imposed by the ■ 8. Amend § 3555.305 by revising the (5) to read as follows: lender. Late charges and lender fees may introductory text and paragraph (a)(1) to not be capitalized. § 3555.10 Definitions and abbreviations. read as follows: * * * * * * * * * * (v) Lenders may require that § 3555.305 Voluntary liquidation. Settlement date. The settlement date, borrowers complete a trial payment plan The lender must have exhausted the for the purpose of loss calculation, is: prior to making scheduled payments servicing options outlined in * * * * * amended by the traditional loan §§ 3555.302 through 3555.304 to cure (5) The date title is acquired upon servicing loan modification. the delinquency before considering recordation of a deed-in-lieu of * * * * * voluntary liquidation. The methods of foreclosure, with prior approval of the voluntary liquidation of the security lender. ■ 7. Amend § 3555.304 by: ■ a. Removing paragraph (a)(2); property outlined in this section may be * * * * * ■ used to protect the interests of the ■ b. Redesignating paragraphs (a)(3) and 3. Amend § 3555.51 by adding a new (4) as paragraphs (a)(2) and (3); Government. second sentence to paragraph (b)(1) to ■ c. Adding new paragraph(a)(4); and (a) * * * read as follows: ■ d. Revising paragraphs (c)(1) and (2) (1) The loan is at least 30 days delinquent or meets the imminent § 3555.51 Lender eligibility. and (d)(1) and (2). The addition and revisions read as default definition as outlined in * * * * * § 3555.303(a)(2); (b) * * * follows: * * * * * (1) * * * Lenders must also comply § 3555.304 Special servicing options. with all other applicable federal, state, ■ 9. Amend § 3555.306 by revising (a) * * * and local laws, rules, and requirements, paragraph (f) to read as follows: (4) If the borrower currently has a including those under the purview of mortgage payment to income ratio of 31 § 3555.306 Liquidation. the Consumer Financial Protection percent or less, special servicing options Bureau, such as the Real Estate * * * * * can be utilized to cure the delinquency (f) Lender acquisition of title. If at Settlement Procedures Act and the without modifying the note; otherwise, liquidation, the title to the property is Truth in Lending Act. * * * special servicing options shall be used conveyed to the lender, the lender will * * * * * in the order established in this section submit a loss claim package, including ■ 4. Amend § 3555.301 by revising to bring the borrower’s mortgage a market value appraisal, within 60 days paragraph (h) to read as follows: payment to income ratio as close as of the foreclosure sale date or the date § 3555.301 General servicing techniques. possible to, but not less than, 31 the lender acquires title. If eviction percent. action is required in order to obtain a * * * * * market value appraisal, the lender must (h) Formal servicing plan. The lender * * * * * must report a formal servicing plan to (c) * * * submit the loss claim package, the Agency utilizing a web-based (1) Loan modifications may capitalize including the market value appraisal, automated system when a borrower’s all or a portion of the arrearage and/or within 60 days of the date the occupants account is delinquent for 90 days or reamortization of the balance due clear the premises. The lender must more and a method other than including foreclosure fees and costs, tax submit the loss claim request, including foreclosure is recommended to solve the and insurance advances, and past due the market value appraisal, in delinquency. Agency annual fees imposed by the accordance with subpart H. ■ 5. Amend § 3555.302 by revising the lender. Late charges and lender fees may * * * * * last sentence in paragraph (b) to read as not be capitalized. ■ 10. Amend § 3555.352 by revising follows: (2) Loan modifications must be a fixed paragraphs (c) and (e) to read as follows: interest rate and cannot exceed the § 3555.302 Protective advances. current market interest rate at the time § 3555.352 Loss covered by the guarantee. * * * * * of modification. When reducing the * * * * * (b) * * * The lender must obtain interest rate, the maximum rate is (c) Additional interest. Additional prior Agency concurrence before issuing subject to paragraph (c)(3) of this interest on the unsatisfied principal protective advances under this section. accrued from the settlement date to the paragraph of a significant amount as * * * * * date the claim is paid, but not more than specified by the Agency. (d) * * * 60 days from the settlement date; ■ 6. Amend § 3555.303 by revising (1) The maximum amount of a * * * * * paragraphs (b)(3)(i), (ii), and (v) to read mortgage recovery advance is 30 percent (e) Liquidation costs. Reasonable and as follows: of the unpaid principal balance as of the customary liquidation costs, such as
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attorney fees, market value appraisals, market value appraisal with the loss b. Revising paragraphs (a)(1)(v), and foreclosure costs. Annual fees claim package. The Agency will use the (a)(1)(vii), and (c)(6)(i)(A) and (B); and advanced by the lender to the Agency market value appraisal, along with other c. Adding paragraphs (c)(6)(iii) and are ineligible for reimbursement when Agency required documentation, to (f).’’ calculating the loss claim payment. determine the property value for the Board of Governors of the Federal Reserve ■ 11. Amend § 3555.353 by revising basis of the loss claim. The Agency will System, December 18, 2019. paragraphs (a) introductory text and (b) apply an acquisition and management Ann Misback, to read as follows: resale factor to estimate holding and Secretary of the Board. disposition costs, based on the most [FR Doc. 2019–27717 Filed 12–23–19; 8:45 am] § 3555.353 Net recovery value. current VA Management and * * * * * Acquisition Factor found at https:// BILLING CODE 6210–01–P (a) For a property that has been sold. www.benefits.va.gov/HOMELOANS/ When a loss claim is filed on a property servicers_valeri.asp. DEPARTMENT OF STATE that was sold to a third party at the * * * * * foreclosure sale or through an approved 22 CFR Part 120 pre-foreclosure sale, net recovery value § 3555.356 [Removed and Reserved] is calculated as follows: ■ 13. Remove and reserve § 3555.356. [Public Notice: 10946] * * * * * Dated: November 25, 2019. RIN 1400–AE76 (b) For a property that has been Bruce W. Lammers, acquired. When a loss claim is filed on International Traffic in Arms a property acquired by the lender Administrator, Rural Housing Service. Regulations: Creation of Definition of through a foreclosure sale or a deed-in- [FR Doc. 2019–27504 Filed 12–23–19; 8:45 am] Activities That Are Not Exports, lieu of foreclosure, the net recovery BILLING CODE 3410–XV–P Reexports, Retransfers, or Temporary value is based on an estimated sales Imports; Creation of Definition of price calculated using a market value Access Information; Revisions to appraisal along with holding and FEDERAL RESERVE SYSTEM Definitions of Export, Reexport, disposition costs calculated using the Retransfer, Temporary Import, and acquisition and management factor (also 12 CFR Parts 206, 208, 211, 215, 217, Release known as the VA Net Value Factor) 223, 225, 238, and 251 AGENCY: published by the VA, and other factors [Regulation Q; Docket No. R–1638] Department of State. as determined by the Agency. The ACTION: Interim final rule; request for RIN 7100–AF 29 lender must submit a loss claim comment. package, including a market value Regulatory Capital Rule: Capital SUMMARY: The Department of State appraisal, within 60 days of the Simplification for Qualifying amends the International Traffic in foreclosure sale date or the date the Community Banking Organizations Arms Regulations (ITAR) to create a lender acquires title. If eviction action is definition of ‘‘activities that are not required in order to obtain a market AGENCY: Board of Governors of the exports, reexports, retransfers, or value appraisal, the lender must submit Federal Reserve System (Board). temporary imports’’ by combining the loss claim package, including the ACTION: Final rule; correction. existing text from the regulations with market value appraisal, within 60 days new text regarding secured unclassified of the date the occupants clear the SUMMARY: The Federal Register technical data. The activities included premises and in accordance with other document of November 13, 2019, in the new definition are: Launching requirements of this subpart. with any promulgating a final rule that provides items into space, providing technical loss claim request in accordance with for a simple measure of capital data to U.S. persons within the United subpart H. adequacy for certain community banking organization had two erroneous States or within a single country abroad, ■ 12. Amend § 3555.354 by revising the amendment instructions. This and moving a defense article between introductory text and paragraph (b) to document corrects these errors. the states, possessions, and territories of read as follows: DATES: This correction is effective on the United States. The definition also § 3555.354 Loss claim procedures. January 1, 2020. clarifies that the electronic transmission and storage of properly secured All lenders must use a web-based SUPPLEMENTARY INFORMATION: In FR Doc. automated system designated by the 2019–23472 appearing on page 61776 in unclassified technical data via foreign Agency to submit all loss claim the Federal Register of Wednesday, communications infrastructure does not requests. November 13, 2019, the following constitute an export. Additionally, the Department amends the ITAR to create * * * * * corrections are made: ■ a definition of ‘‘access information’’ and (b) REO. If at liquidation, the title to 1. On page 61796, in the center revise the definition of ‘‘release’’ to the property is conveyed to the lender, column, amendatory instruction 31 is address the provision of access the lender will submit a loss claim corrected to read as follows: information to an unauthorized foreign ‘‘31. Section 208.43 is amended by package, including a market value person. appraisal, within 60 days of the revising paragraphs (a), (b) introductory foreclosure sale date or the date the text, and (b)(1) to read as follows:’’ DATES: Effective date: This interim final rule is effective on March 25, 2020. lender acquires title. If eviction action is ■ 2. On page 61799, in the center Comments due date: Interested parties required in order to obtain a market column, amendatory instruction 46 is may submit comments by January 27, value appraisal, the lender must submit corrected to read as follows: the loss claim package within 60 days ‘‘46. Section 225.14 is amended by: 2020. of the date the occupants clear the a. Redesignating footnote 3 to ADDRESSES: Interested parties may premises. The lender must order a paragraph (a)(1)(ii) as footnote 1 to submit comments by one of the market value appraisal and include the paragraph (a)(1)(ii); following methods:
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• Email: DDTCPublicComments@ The Department subsequently reviewed ‘‘controlled event’’ to mean an export, state.gov with the subject line, the public comments on the 2016 reexport, retransfer, or temporary ‘‘Revisions to Definitions; Data interim final rule and published a final import, all of which require a DDTC Transmission and Storage’’ rule on September 8, 2016 (81 FR license or other approval. • Internet: At www.regulations.gov, 62004) (2016 final rule), which revised The first of five provisions in the new search for this notice using Docket the definition of ‘‘retransfer’’ and made § 120.54 states in paragraph (a)(1) that it DOS–2019–0040. other clarifying revisions. Not all of the is not a controlled event to launch items FOR FURTHER INFORMATION CONTACT: Ms. amendments proposed in the 2015 into space. This activity is already Sarah Heidema, Director, Office of proposed rule were adopted, and both excluded from the definition of an Defense Trade Controls Policy, the 2016 interim final rule and the 2016 export in ITAR § 120.17(a)(6) and by Department of State, telephone (202) final rule reserved the remaining statute, see 51 U.S.C. 50919(f). In an 663–1282; email amendments for consideration in effort to consolidate the different [email protected]. separate rulemakings. activities that do not qualify as exports ATTN: ITAR Amendment—Revisions to This interim final rulemaking under the ITAR, this provision has been Definitions; Data Transmission and addresses certain of the remaining moved to § 120.54(a)(1), and the Storage. amendments from the 2015 proposed language has been simplified. rule, and the Department continues to The second provision states in SUPPLEMENTARY INFORMATION: The reserve the remaining amendments for paragraph (a)(2) that it is not a Directorate of Defense Trade Controls consideration in separate rulemakings. controlled event to transmit or (DDTC), U.S. Department of State, Included in this interim final rule is the otherwise transfer technical data to a administers the International Traffic in creation of a definition for ‘‘activities U.S. person within the United States Arms Regulations (ITAR) (22 CFR parts that are not exports, reexports, from a person in the United States. In 120 through 130). The items subject to retransfers, or temporary imports’’ response to public comments, the the jurisdiction of the ITAR, i.e., defense under a new ITAR § 120.54 (§ 120.52 in updated version of paragraph (a)(2) articles and defense services, are the 2015 proposed rule). Among other provides that a transmission or other identified on the ITAR’s U.S. Munitions things, this provision provides that the transfer between U.S. persons who are List (USML) (22 CFR 121.1). With few properly secured (by end-to-end in the United States is unequivocally exceptions, items not subject to the encryption) electronic transmission or not a controlled event. However, any export control jurisdiction of the ITAR storage of unclassified technical data via release to a foreign person remains a are subject to the jurisdiction of the foreign communications infrastructure controlled event. Export Administration Regulations does not constitute an export, reexport, The third provision, which was not (EAR, 15 CFR parts 730 through 774, retransfer, or temporary import. included in the 2015 proposed rule but which includes the Commerce Control The Department recognizes the BIS is added here in response to public List (CCL) in Supplement No. 1 to part companion rule addressed these issues comments to that proposed rule, is 774), administered by the Bureau of with the creation of EAR § 734.18, and found in the new paragraph (a)(3). This Industry and Security (BIS), U.S. the Department has received repeated provision states that transmissions or Department of Commerce. Both the enquiries regarding when a similar rule other transfers of technical data between ITAR and the EAR create license would be issued regarding the ITAR. In and among only U.S. persons in the requirements for exports and reexports an effort to align the definition in the same foreign country are similarly not of controlled items. Items not subject to ITAR with the definition in the EAR, the reexports or retransfers so long as they the ITAR or to the exclusive licensing interim final rule described below is do not result in a release to a foreign jurisdiction of any other set of structured similarly to EAR § 734.18. person or transfer to a person prohibited regulations are subject to the EAR. The Department also recognizes that it from receiving the technical data On June 3, 2015, the Department of has received public comments regarding because that person is otherwise State published a proposed rule (80 FR these amendments to the ITAR. Where precluded from engaging in the 31525) (2015 proposed rule) and appropriate, those comments are regulated activity, for example a requested comments on an extensive addressed in the analysis below. In light debarred person. array of proposed amendments to the of the potential impact the amendments The fourth provision states in ITAR, including the revision of key in this rule may have on the regulated paragraph (a)(4) that it is not a definitions, the creation of several new community’s processes, and the controlled event to move a defense definitions, and the revision of related updated security strength standards article between the states, possessions, provisions. The proposed amendments described below, the Department and territories of the United States. One also attempted to harmonize these considered it appropriate to provide commenter requested that the definitions with the EAR to the extent another opportunity for the public to Department revise paragraph (a)(4) to appropriate. After reviewing the public submit comments and therefore list explicitly the Virgin Islands of the comments on the 2015 proposed rule, publishes this rule as an interim final United States, Guam, American Samoa, the Department published an interim rule with the opportunity for the public and the various United States Minor final rule on June 3, 2016 (81 FR 35611) to provide comment. Outlying Islands. The Department will (2016 interim final rule), which updated not make this change because the ITAR the definitions of ‘‘export’’ and 1. Definition of Activities That Are Not already defines the term ‘‘United States’’ ‘‘reexport or retransfer’’ and, in an effort Exports, Reexports, Retransfers, or in § 120.13, and that definition is to clarify and support the interpretation Temporary Imports applicable. of these definitions, also created The Department adds § 120.54 to The fifth provision states in paragraph definitions of ‘‘release’’ and describe those ‘‘activities that are not (a)(5) that it is not a controlled event to ‘‘retransfer.’’ BIS concurrently exports, reexports, retransfers, or send, take, or store unclassified published amendments (BIS companion temporary imports’’ and do not require technical data when it is effectively rule) to definitions, including ‘‘export,’’ authorization from the Department. For encrypted using end-to-end encryption. ‘‘reexport,’’ ‘‘release,’’ and ‘‘transfer (in- the purpose of this preamble, the Therefore, a controlled event does not country)’’ in the EAR (81 FR 35586). Department will use the term occur when technical data is encrypted
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prior to leaving the sender’s facilities of the intended recipient. For technical definition that would not be and remains encrypted until decrypted communications between individuals, applicable in this usage. by the intended authorized recipient or this can be accomplished by encrypting Several commenters requested that retrieved by the sender, as in the case the data on the sender’s computer prior the Department provide a safe harbor, of of remote storage. The controlled event to emailing or otherwise sending it to sorts, by only requiring that cloud occurs upon the release of the technical the intended recipient. For large customers obtain contractual assurances data. If the technical data is decrypted entities, the security boundary may be that the data would not be stored in a by someone other than the sender, a managed by IT staff, who will encrypt § 126.1 country or the Russian U.S. person in the United States, or a the data before it leaves the entity’s Federation. The Department disagrees person otherwise authorized to receive secure network and decrypt it on the with this comment. Such a provision the technical data, then the technical way into the network. However, in all would not be in the national security or data is not secured using end-to-end instances, the means of decryption must foreign policy interests of the United encryption for purposes of paragraph not be provided to any third party and States. The Department recognizes it can (a)(5) and the original transmission was the data must not have the be difficult to control the actions of a controlled event. cryptographic protection removed at third parties, including partners, service The encryption must be accomplished any point in transit. providers, and subcontractors, and will in a manner that is certified by the U.S. One commenter suggested that the review potential violations on a case-by- National Institute for Standards and Department define which modules case basis, subject to the totality of the Technology (NIST) as compliant with under FIPS 140–2 are compliant and facts and circumstances comprising the the Federal Information Processing which NIST publications are applicable, issue at hand. Standards Publication 140–2 (FIPS 140– in the rule. The Department disagrees One commenter requested that the 2), or must meet or exceed a 128-bit with this comment. Compliance with Department clarify that appropriately security strength. At the time of any of the four levels set out in FIPS encrypted transmissions may transit the publication of this rule, that criterion is 140–2 is sufficient for the purposes of Russian Federation or a § 126.1 country expressed in ‘‘Table 2: Comparable this section. Exporters are free to choose and still qualify for this provision. The strengths’’ of NIST Special Publication the level that best meets their needs. Department clarified this point by 800–57 Part 1, Revision 4. Additionally, Different NIST publications are relevant adding the word ‘‘intentionally,’’ to the technical data may not be to each standard, so the applicable differentiate those electronic intentionally sent to a person in or publications will depend on the transmissions that were intentionally stored in a § 126.1 country or the standard used. sent to Russia or a § 126.1 country, and Russian Federation, even in its One commenter suggested that the those that simply transited them in encrypted state. This will allow for Department provide one year from the route to another country. The transmissions and storage of encrypted issuance of a new NIST standard for commenter also provided an example of data in most foreign countries, so long implementation. The Department such a transmission where an email as the technical data remains disagrees with this comment. The NIST server is located in the Russian continuously encrypted while outside of standards will be final and applicable the United States or until decrypted by Federation or a § 126.1 country. when NIST makes them the standard. an authorized intended recipient. Transmission through these destinations In response to public comments One commenter requested that the is allowed, including temporary storage regarding the requirement of the 2015 Department allow a transition period so incident to internet transmissions, but proposed rule that the encryption be via that exporters can implement IT systems long-term storage of the information, a FIPS 140–2 compliant module, the compliant with paragraph (5). The such as is commonly done on email Department added language that allows Department disagrees with this servers, is prohibited in these encryption through means other than comment. Paragraph (5) creates a destinations. Prior to using this FIPS 140–2 compliant modules, so long mechanism for companies to send and provision, putative exporters should as it meets or exceeds a 128-bit security store technical data outside the United ensure that the intended recipient or strength. One commenter suggested that States without engaging in a controlled any intended remote storage provider the Department retain only FIPS 140–2 event. Until companies implement an IT does not store their information in the to encourage interoperability between system that is compliant with paragraph Russian Federation or a § 126.1 country. systems, but the overwhelming number (5), they may not take advantage of this One commenter requested that the of commenters requested other paragraph, but nothing in paragraph (5) Department provide that emails between encryption modules be allowed. The places any new requirements on authorized parties in the same country Department also clarified that exporters, therefore there is no need for also be included in the definition of intentional storage in the Russian a transition period. activities that are not exports, reexports, Federation or a § 126.1 country One commenter suggested that the or retransfers if they happen to transit constitutes a controlled event. However, Department revise paragraph (b) to say a third country, even if the technical incidental collection by a foreign ‘‘the means to access the data in data is not encrypted as described in intelligence service or transient storage unencrypted form is not ‘released’ to paragraph (5). The Department notes that is incidental to sending information any third party’’ rather than ‘‘the means that transmissions between U.S. persons via the internet does not. to access the data in unencrypted form in the United States are not exports Further, in response to public is not given to any third party,’’ as under paragraph (2), but that with comments, the Department revised ‘‘release’’ is a defined term. The respect to transmissions in foreign paragraph (b) to clarify the definition of Department disagrees with this countries, only those communications end-to-end encryption. The comment. The Department did revise that remain in one country between cryptographic protection must be this concept in paragraph (b) to require only U.S. persons are excluded under applied prior to the data being sent that ‘‘the means of decryption are not paragraph (3). If a company in a foreign outside of the originator’s security provided to any third party,’’ but the country is concerned that emails that boundary and remain undisturbed until Department chose not to use the word include technical data may transit third it arrives within the security boundary ‘‘released’’ because that word has a countries, it should encrypt those
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communications consistent with authorization. The Department notes One commenter suggested that the paragraph (5). that paragraph (a)(5) is not limited to Department include shipments to Several commenters requested that electronic transmissions and the military post offices in this section, the Department revise the local shipment or carriage of technical data in noting that the National Industrial definition of end-to-end encryption to a physical medium is not a controlled Security Program Operating Manual allow for information security event, so long as all of the conditions (NISPOM) treats transfers to military mechanisms that render the data into are met. post offices as domestic transfers. The clear text in route to the intended One commenter requested that the Department disagrees with this recipient, for processing via Department expand paragraph (a)(5) to comment. The export of a defense applications, such as anti-virus software cover tokenization, as well as article shipped to a military post office or spell-check. The commenters also encryption. Tokenization is a process via the U.S. Postal Service is note that multiple layers of encryption whereby individual elements of a accomplished by the U.S. military and may be applied and removed document, be they letters, words, therefore may be authorized without a throughout the transit of the data. The diagrams, or pictures, are replaced by a license via § 126.4 of the ITAR, so long Department disagrees with this representative token. As described by as the other terms and conditions of that comment. Use of paragraph (a)(5) the commenter, the tokens are assigned provision are met. requires that the technical data subject randomly and a key of the document is to the ITAR be continuously encrypted created. The document may not be 2. Revised Definitions of Export, at all times while outside of an returned to the original text from the Reexport, Retransfer, and Temporary authorized security boundary. The tokens without use of the specific key Import Department is aware that there are many for that document. This process is As stated above, the Department ways that this provision can be different from encryption, in that moves the language of § 120.17(a)(6), implemented; some of which would encryption uses an algorithm to encode which articulates that it is not an export allow an entity to run anti-virus or other the document, such that representative to launch items into space, to security scans prior to allowing the data characters are assigned according to a § 120.52(a)(1), and simplifies the onto its servers. As long as that initial mathematical formula that can, at least language. In its place, the Department encryption layer remains intact, the theoretically, be deciphered through adds a new § 120.17(a)(6) in order to addition or removal of subsequent analysis of the encrypted text. The include within the definition of export layers of encryption, which may or may Department will not add tokenization. the release through the use of access not meet the FIPS 140–2 standard, is not There is no NIST or other comparable information of previously encrypted relevant to the application of this standard that the Department can technical data as described in section. reference to set a minimum threshold § 120.50(a)(3) (to a foreign person, no One commenter requested that the for implementation of tokenization. matter where located) and (a)(4) Department include the electronic One commenter suggested that the (causing the technical data to be in an storage in the United States and transfer Department encourage other unencrypted form out of the United from the United States of non-U.S. jurisdictions to adopt a provision States). The Department added a origin technical data by non-U.S. similar to paragraph (a)(5) in their citation to § 120.54 to §§ 120.17(a), persons within the activities that are not export control systems. The Department 120.18, 120.19(a), and 120.51(a), which an export, reexport, or retransfer, even agrees, and has already engaged in define export, temporary import, when not encrypted. The Department discussions with allies regarding reexport, and retransfer, respectively, to disagrees with this comment. Non-U.S. paragraph (a)(5). exclude from those definitions activities origin technical data transiting or stored One commenter requested that the identified in § 120.54. In addition, the in the United States that is encrypted in Department add shipping to and within Department takes this opportunity to the manner described in paragraph the territory of an approved end-user as revise § 120.17(a) in order to mirror the (a)(5) (i.e., it remains encrypted at all an activity that is not an export, construction of the other definitions of times between originator and recipient, reexport, or retransfer. The Department controlled activities and lead with the including at any time while in the disagrees with this comment. A defined term of ‘‘export.’’ United States), does not require shipment to the territory of an approved authorization from the Department, end-user is an export or reexport that 3. Definition of Access Information unless it originates in or is sent to a requires authorization. Shipments The Department adds new § 120.55 to country listed in § 126.1 or the Russian within the territory of an authorized define ‘‘access information.’’ Access Federation. end-user will likewise require information allows access to encrypted One commenter stated that paragraph authorization if the shipment is to technical data in an unencrypted form, (a)(5) in this rule does not authorize the someone other than the authorized end- such as decryption keys, network access export of technical data in a physical user or for activities other than the codes, and passwords. An authorization medium and requested that the authorized end-use. is required to release technical data Department revise paragraph (a)(5) to One commenter requested that the through access information to the same allow the shipment or carriage of Department create a definition of ‘‘basic extent that an authorization is required technical data in a physical medium technical data’’ and include the sharing to export the technical data when it is that has been properly encrypted. The of such information in this section, unsecured by encryption. Department notes that the comment analogizing to the sharing of the owner’s Several commenters requested that mischaracterizes the activity. The manual for a car. The Department the Department adopt the knowledge movement or storage of controlled disagrees with this comment. The requirement that was included in the technical data in a properly encrypted export of technical data requires BIS companion rule and now appears in state outside of the United States is not authorization from the Department. If EAR § 734.19. The Department disagrees an export as defined in § 120.17(a)(1), the Department were to define some with this comment. As provided in the specific concern raised by the portion of technical data that does not §§ 120.50(b) and 120.54(b), an existing commenter, or a controlled event of any warrant control, the Department would authorization for the release of technical type, and does not require revise § 120.6 or § 120.10 to exclude it. data to the foreign person must be in
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place prior to the provision of access circumstances, the provision of access the Department published this rule as a information to the foreign person that information to a foreign person is a proposed rule (80 FR 31525) with a 60- will allow the transition of the violation of ITAR § 127.1(b)(1) for day provision for public comment, encrypted technical data to an failure to abide by a rule or regulation published an interim final rule (81 FR unencrypted state. contained in this subchapter. 35611) with a 30-day provision for Furthermore, causing or enabling a 4. Revised Definition of Release public comment and three-month foreign person to access, view, or delayed effective date for certain The Department adds two new possess unencrypted technical data may provisions thereof, and now as another subparagraphs to paragraph (a) and a constitute a separate violation of ITAR interim final rule with a 30-day new paragraph (b) to the definition of § 127.1(a), if the exporter (or reexporter provision for public comment and three- release in § 120.50 in order to clarify or retransferrer) in question has not month delayed effective date for the what constitutes a release of technical received prior authorization from the provisions identified herein. Those data, a controlled event requiring Department in the form of a license or publications were without prejudice to authorization from the Department, and other authorization (e.g., exemption). As the Department’s determination that the provision of access information that stated in ITAR § 120.54(b), in order for controlling the import and export of may result in the release of technical the sending, taking, or storing technical defense services is a foreign affairs data. Paragraph (a)(3) makes it a release data to meet the requirements of end-to- function. of technical data to use access end encryption and therefore to information to cause or enable a foreign constitute an activity that is not a Regulatory Flexibility Act person to access, view, or possess controlled event under ITAR technical data in unencrypted form. Since the Department is of the § 120.54(a)(5), the intended recipient opinion that this rulemaking is exempt Paragraph (a)(4) makes it a release of must be the originator, a U.S. person in technical data to use access information from the rulemaking provisions of 5 the United States, or otherwise U.S.C. 553, there is no requirement for in a foreign country to cause technical authorized to receive the technical data data to be in unencrypted form, an analysis under the Regulatory in an unencrypted form. Flexibility Act. including when such actions are taken The Department recognizes that the by U.S. persons abroad. Most U.S. 2015 proposed rule contained draft Unfunded Mandates Reform Act of 1995 persons will be authorized to release the language for a new § 127.1(b)(4) that technical data abroad to themselves or would have listed the types of This rulemaking does not involve a over their employer’s virtual private controlled events involving the secured mandate that will result in the network through the exemption at ITAR unclassified technical data described in expenditure by State, local, and tribal § 125.4(b)(9). this interim final rule’s § 120.54(a)(5). governments, in the aggregate, or by the The 2015 proposed rule proposed a The Department did not receive any private sector, of $100 million or more new paragraph (a)(5) to make it a release public comments on this proposed in any year and it will not significantly to provide access information to a amendment. Nevertheless, once the or uniquely affect small governments. foreign person that can cause or enable Department decided to establish a new Therefore, no actions were deemed access, viewing, or possession of definition for ‘‘access information’’ in necessary under the provisions of the technical data in unencrypted form. It § 120.55 that is distinct from the Unfunded Mandates Reform Act of also proposed a Note to paragraph (a) in definition of technical data in § 121.10, 1995. order to clarify the license requirement it seemed more appropriate to include regarding technical data secured by the Small Business Regulatory Enforcement descriptions of the relevant controlled access information when a release Fairness Act of 1996 occurs under the proposed paragraphs events under the definition of release in For purposes of the Small Business (a)(3), (a)(4), or (a)(5). § 120.50 because that provision was In a change from the 2015 proposed added to the ITAR in order to describe Regulatory Enforcement Fairness Act of rule, the Department now includes at more effectively the controlled 1996 (the ‘‘Act’’), a major rule is a rule paragraph (b) language derived from the disclosure of information. Moreover, that the Administrator of the OMB proposed paragraph (a)(5) and Note this construction is analogous to how Office of Information and Regulatory included in that draft. The new the EAR defines the term ‘‘access Affairs finds has resulted or is likely to paragraph (b) clarifies that the provision information’’ in EAR § 772.1 and uses result in: (1) An annual effect on the of access information to a foreign person that term in § 734.19 to describe economy of $100,000,000 or more; (2) a is not itself a controlled event; there is controlled events related to ‘‘activities major increase in costs or prices for no need for an application by the access that are not exports, reexports, or consumers, individual industries, information provider, or for the retransfers’’ under § 734.18. federal, state, or local government Department to issue an authorization, Finally, the Department adds and agencies, or geographic regions; or (3) for the provision of access information. reserves §§ 120.52 and 120.53. significant adverse effects on competition, employment, investment, However, in order for the Department to Regulatory Analysis and Notices effectively control the release of productivity, innovation, or on the technical data to a foreign person in Administrative Procedure Act ability of United States-based certain circumstances, paragraph (b) This rulemaking is exempt from enterprises to compete with foreign- requires an authorization for a release of section 553 (Rulemaking) and based enterprises in domestic and technical data to a foreign person before section 554 (Adjudications) of the foreign markets. providing the access information to that Administrative Procedure Act (APA) The Department does not believe this foreign person, if that access pursuant to 5 U.S.C. 553(a)(1) as a rulemaking is a major rule within the information can cause or enable access, military or foreign affairs function of the meaning of the Act. The means of viewing, or possession of the United States Government. Although solving the issue of data protection are unencrypted technical data. In the the Department is of the opinion that already both familiar to and extensively absence of an authorization for the this interim final rule is exempt from used by the affected public in protecting release of technical data in such the rulemaking provisions of the APA, sensitive information.
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Executive Orders 12372 and 13132 Paperwork Reduction Act § 120.19 Reexport. (a) Reexport, except as set forth in This rulemaking will not have This rulemaking does not impose any § 120.54, § 126.16, or § 126.17, means: substantial direct effects on the States, new reporting or recordkeeping on the relationship between the national requirements subject to the Paperwork * * * * * government and the States, or on the Reduction Act, 44 U.S.C. Chapter 35; ■ 5. Section 120.50 is amended as distribution of power and however, the Department seeks public follows: responsibilities among the various comment on any unforeseen potential ■ a. By removing the word ‘‘or’’ at the levels of government. Therefore, in for increased burden. end of paragraph (a)(1); ■ b. By removing the period and adding accordance with Executive Order 13132, List of Subjects in 22 CFR 120 it is determined that this rulemaking in its place a semi-colon at the end of does not have sufficient federalism Arms and munitions, Classified paragraph (a)(2); and implications to require consultations or information, Exports. ■ c. By adding paragraphs (a)(3) and (4) warrant the preparation of a federalism Accordingly, for the reasons set forth and (b). summary impact statement. The above, title 22, chapter I, subchapter M, The additions read as follows: regulations implementing Executive part 120 of the Code of Federal § 120.50 Release. Order 12372 regarding Regulations is amended as follows: intergovernmental consultation on (a) * * * Federal programs and activities do not PART 120—PURPOSE AND (3) The use of access information to apply to this rulemaking. DEFINITIONS cause or enable a foreign person, including yourself, to access, view, or Executive Orders 12866 and 13563 ■ 1. The authority citation for part 120 possess unencrypted technical data; or continues to read as follows: (4) The use of access information to Executive Orders 12866 and 13563 cause technical data outside of the direct agencies to assess costs and Authority: Secs. 2, 38, and 71, Pub. L. 90– 629, 90 Stat. 744 (22 U.S.C. 2752, 2778, United States to be in unencrypted benefits of available regulatory form. alternatives and, if regulation is 2797); 22 U.S.C. 2794; 22 U.S.C. 2651a; Pub. L. 105–261, 112 Stat. 1920; Pub. L. 111–266; (b) Authorization for a release of necessary, to select regulatory Section 1261, Pub. L. 112–239; E.O. 13637, technical data to a foreign person is approaches that maximize net benefits 78 FR 16129. required to provide access information (including potential economic, ■ 2. Section 120.17 is amended by to that foreign person, if that access environmental, public health and safety information can cause or enable access, effects, distributed impacts, and equity). revising paragraphs (a) introductory text and (a)(6) to read as follows: viewing, or possession of the The executive orders stress the unencrypted technical data. importance of quantifying both costs § 120.17 Export. ■ and benefits, of reducing costs, of 6. Section 120.51 is amended by harmonizing rules, and of promoting (a) Export, except as set forth in revising paragraph (a) introductory text flexibility. This rulemaking has been § 120.54, § 126.16, or § 126.17, means: to read as follows: designated a ‘‘significant regulatory * * * * * § 120.51 Retransfer. action,’’ although not economically (6) The release of previously encrypted technical data as described in (a) Retransfer, except as set forth in significant, under section 3(f) of § 120.54, § 126.16, or § 126.17, means: Executive Order 12866. Accordingly, § 120.50(a)(3) and (4) of this subchapter. the rulemaking has been reviewed by * * * * * * * * * * the Office of Management and Budget ■ 3. Section 120.18 is revised to read as § 120.52 [Reserved] (OMB). follows: ■ 7. Add reserved § 120.52. Executive Order 12988 § 120.18 Temporary import. § 120.53 [Reserved] The Department has reviewed the Temporary import, except as set forth ■ 8. Add reserved § 120.53. rulemaking in light of sections 3(a) and in § 120.54, means bringing into the ■ 3(b)(2) of Executive Order 12988 to United States from a foreign country any 9. Section 120.54 is added to read as eliminate ambiguity, minimize defense article that is to be returned to follows: litigation, establish clear legal the country from which it was shipped § 120.54 Activities that are not exports, standards, and reduce burden. or taken, or any defense article that is reexports, retransfers, or temporary in transit to another foreign destination. imports. Executive Order 13175 Temporary import includes withdrawal (a) The following activities are not The Department has determined that of a defense article from a customs exports, reexports, retransfers, or this rulemaking will not have tribal bonded warehouse or foreign trade zone temporary imports: implications, will not impose for the purpose of returning it to the (1) Launching a spacecraft, launch substantial direct compliance costs on country of origin or country from which vehicle, payload, or other item into Indian tribal governments, and will not it was shipped or for shipment to space. preempt tribal law. Accordingly, another foreign destination. Permanent (2) Transmitting or otherwise Executive Order 13175 does not apply imports are regulated by the Attorney transferring technical data to a U.S. to this rulemaking. General under the direction of the person in the United States from a Department of Justice’s Bureau of Executive Order 13771 person in the United States. Alcohol, Tobacco, Firearms, and (3) Transmitting or otherwise This final rule is not subject to the Explosives (see 27 CFR parts 447, 478, transferring within the same foreign requirements of Executive Order 13771 479, and 555). country technical data between or because it is issued with respect to a ■ 4. Section 120.19 is amended by among only U.S. persons, so long as the military or foreign affairs function of the revising paragraph (a) introductory text transmission or transfer does not result United States. to read as follows: in a release to a foreign person or
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transfer to a person prohibited from technical data subject to this subchapter Ship Canal, Chicago River, Calumet- receiving the technical data. in an unencrypted form. Examples Saganashkee Channel on all waters of (4) Shipping, moving, or transferring include decryption keys, network access the main branch of the Chicago River defense articles between or among the codes, and passwords. 600 feet west of the N Orleans Street United States as defined in § 120.13 of Bridge and 1000 feet east of the N Christopher A. Ford, this subchapter. Columbus Street bridge. During the (5) Sending, taking, or storing Assistant Secretary, International Security enforcement period, no vessel may and Nonproliferation, U.S. Department of technical data that is: State. transit this regulated area without (i) Unclassified; approval from the Captain of the Port [FR Doc. 2019–27438 Filed 12–23–19; 8:45 am] (ii) Secured using end-to-end Lake Michigan or a designated encryption; BILLING CODE 4710–25–P representative. Vessels and persons (iii) Secured using cryptographic granted permission to enter the safety modules (hardware or software) zone shall obey all lawful orders or compliant with the Federal Information DEPARTMENT OF HOMELAND directions of the Captain of the Port Processing Standards Publication 140–2 SECURITY Lake Michigan, or an on-scene (FIPS 140–2) or its successors, Coast Guard representative. supplemented by software This notice of enforcement is issued implementation, cryptographic key 33 CFR Part 165 under authority of 33 CFR 165.930 and management, and other procedures and 5 U.S.C. 552(a). In addition to this controls that are in accordance with [Docket No. USCG–2019–0942] notice in the Federal Register, the Coast guidance provided in current U.S. Guard will also provide notice through National Institute for Standards and Safety Zone, Brandon Road Lock and other means, which will include Technology (NIST) publications, or by Dam to Lake Michigan Including Des Broadcast Notice to Mariners, Local other cryptographic means that provide Plaines River, Chicago Sanitary and Notice to Mariners, distribution in security strength that is at least Ship Canal, Chicago River, and leaflet form, and on-scene oral notice. comparable to the minimum 128 bits of Calumet-Saganashkee Channel, The Captain of the Port Lake Michigan security strength achieved by the Chicago, IL or a designated on-scene representative Advanced Encryption Standard (AES– AGENCY: Coast Guard, DHS. may be contacted via Channel 16, VHF– 128); ACTION: Notice of enforcement of FM or at (414) 747–7182. (iv) Not intentionally sent to a person regulation. Dated: December 17, 2019. in or stored in a country proscribed in Thomas J. Stuhlreyer, § 126.1 of this subchapter or the Russian SUMMARY: The Coast Guard will enforce Federation; and a segment of the Safety Zone; Brandon Captain, U.S. Coast Guard, Captain of the Port, Lake Michigan. Road Lock and Dam to Lake Michigan Note to paragraph (a)(5)(iv): Data in-transit [FR Doc. 2019–27625 Filed 12–23–19; 8:45 am] via the internet is not deemed to be stored. including Des Plaines River, Chicago Sanitary and Ship Canal, Chicago River, BILLING CODE 9110–04–P (v) Not sent from a country proscribed Calumet-Saganashkee Channel on all in § 126.1 of this subchapter or the waters of the Main Branch of the DEPARTMENT OF HOMELAND Russian Federation. Chicago River 600 feet west of the N (b)(1) For purposes of this section, SECURITY Orleans Street Bridge and 1000 feet east end-to-end encryption is defined as: of the N Columbus Street Bridge. This (i) The provision of cryptographic Coast Guard action is necessary and intended to protection of data, such that the data is protect the safety of life and property on not in an unencrypted form, between an 33 CFR Part 165 navigable waters prior to, during, and originator (or the originator’s in-country immediately after firework displays. [Docket Number USCG–2019–0965] security boundary) and an intended During the enforcement periods listed recipient (or the recipient’s in-country RIN 1625–AA00 below, entry into, transiting, or security boundary); and anchoring within the safety zone is Safety Zone; Straits of Mackinac, MI (ii) The means of decryption are not prohibited unless authorized by the provided to any third party. AGENCY: Captain of the Port Lake Michigan or a Coast Guard, DHS. (2) The originator and the intended ACTION: Temporary final rule. recipient may be the same person. The designated representative. intended recipient must be the DATES: The regulation in 33 CFR SUMMARY: The Coast Guard is originator, a U.S. person in the United 165.930 will be enforced from 11:30 establishing a temporary safety zone in States, or a person otherwise authorized p.m. on December 31, 2019 through the Captain of the Port, Sault Sainte to receive the technical data, such as by 12:15 a.m. on January 1, 2020. Marie zone in Mackinac City, MI. This a license or other approval pursuant to FOR FURTHER INFORMATION CONTACT: If temporary safety zone is necessary to this subchapter. you have questions about this notice of protect the public and private (c) The ability to access technical data enforcement, call or email LT Tiziana C. contractors from potential hazards in encrypted form that satisfies the Garner, Waterways Management associated with remotely operated criteria set forth in paragraph (a)(5) of Division, Marine Safety Unit Chicago, underwater vehicle operations in the this section does not constitute the U.S. Coast Guard; telephone (630) 986– Straits of Mackinac. During the effective release or export of such technical data. 2155, email D09-DG-MSUChicago- dates of the rule, vessels will not be able ■ 9. Section 120.55 is added to read as [email protected]. to operate in certain U.S. navigable follows: SUPPLEMENTARY INFORMATION: The Coast waters in the Straits of Mackinac within Guard will enforce a segment of the 500 yards of the Tug Nancy Anne and § 120.55 Access Information. Safety Zone; Brandon Road Lock and Deck Barge MM–142 without Access information is information Dam to Lake Michigan including Des authorization from the Captain of the that allows access to encrypted Plaines River, Chicago Sanitary and Port.
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DATES: This rule is effective without days after publication in the Federal This regulatory action determination actual notice from December 26, 2019 Register. For the same reasons is based on the size and location of the through December 27, 2019. For the discussed in the preceding paragraph, safety zone. Vessel traffic will be able to purposes of enforcement, actual notice delaying the effective date of this rule safely transit around this safety zone will be used from December 19, 2019 would be impracticable and contrary to which would impact a small designated through December 26, 2019. public interest because immediate area of the Straits of Mackinac. ADDRESSES: To view documents action is needed to respond to the Moreover, the Coast Guard would issue mentioned in this preamble as being potential safety hazards associated with a Broadcast Notice to Mariners via available in the docket, go to https:// the ROV operations. VHF–FM marine channel 16 about the zone, and the rule would allow vessels www.regulations.gov, type USCG–2019– III. Legal Authority and Need for Rule 0965 in the ‘‘SEARCH’’ box and click to seek permission to enter the zone. The Coast Guard is issuing this rule ‘‘SEARCH.’’ Click on Open Docket B. Impact on Small Entities Folder on the line associated with this under authority in 46 U.S.C. 70034 rule. (previously 33 U.S.C. 1231). The The Regulatory Flexibility Act of 1980, 5 U.S.C. 601–612, as amended, FOR FURTHER INFORMATION CONTACT: If Captain of the Port Sault Sainte Marie you have questions about this rule, call (COTP) has determined that potential requires Federal agencies to consider or email LT Sean V. Murphy, Sector hazards associated with ROV operations the potential impact of regulations on small entities during rulemaking. The Sault Sainte Marie Waterways starting December 19, 2019, will be a term ‘‘small entities’’ comprises small Management Division, U.S. Coast Guard safety concern for anyone within a 500- businesses, not-for-profit organizations at telephone (906) 635–3223, and email yard radius of all U.S. navigable waters that are independently owned and [email protected]. of the Tug Nancy Anne and Deck Barge operated and are not dominant in their SUPPLEMENTARY INFORMATION: MM–142 conducting ROV operations. This rule is needed to protect personnel fields, and governmental jurisdictions I. Table of Abbreviations and vessels in the navigable waters with populations of less than 50,000. The Coast Guard certifies under 5 U.S.C. CFR Code of Federal Regulations within the safety zones while ROV DHS Department of Homeland Security operations is conducted. 605(b) that this rule will not have a significant economic impact on a FR Federal Register IV. Discussion of the Rule NPRM Notice of proposed rulemaking substantial number of small entities. § Section This rule establishes a safety zone While some owners or operators of U.S.C. United States Code from December 19, 2019 through vessels intending to transit the safety II. Background Information and December 27, 2019. The safety zones zone may be small entities, for the Regulatory History will cover all navigable waters within reasons stated in section V.A above, this 500 yards of the Tug Nancy Anne and rule will not have a significant The Coast Guard is issuing this Deck Barge MM–142. The duration of economic impact on any vessel owner temporary rule without prior notice and the zone is intended to protect or operator. opportunity to comment pursuant to personnel and vessels in these navigable Under section 213(a) of the Small authority under section 4(a) of the waters while vessels conduct ROV Business Regulatory Enforcement Administrative Procedure Act (APA) (5 operations. No vessel or person will be Fairness Act of 1996 (Pub. L. 104–121), U.S.C. 553(b)). This provision permitted to enter the safety zone we want to assist small entities in authorizes an agency to issue a rule without obtaining permission from the understanding this rule. If the rule without prior notice and opportunity to COTP or a designated representative. would affect your small business, comment when the agency for good organization, or governmental cause finds that those procedures are V. Regulatory Analyses jurisdiction and you have questions ‘‘impracticable, unnecessary, or contrary We developed this rule after concerning its provisions or options for to the public interest.’’ Pursuant to 5 considering numerous statutes and compliance, please call or email the U.S.C. 553(b)(B), the Coast Guard finds Executive orders related to rulemaking. person listed in the FOR FURTHER that good cause exists for not publishing Below we summarize our analyses INFORMATION CONTACT section. a notice of proposed rulemaking based on a number of these statutes and Small businesses may send comments (NPRM) with respect to this rule Executive orders, and we discuss First on the actions of Federal employees because doing so would be Amendment rights of protestors. who enforce, or otherwise determine impracticable and contrary to the public compliance with, Federal regulations to A. Regulatory Planning and Review interest. The final details of the specific the Small Business and Agriculture dates, vessel names, and safety zone Executive Orders 12866 and 13563 Regulatory Enforcement Ombudsman distances concerning the safety zone direct agencies to assess the costs and and the Regional Small Business were not finalized within a sufficient benefits of available regulatory Regulatory Fairness Boards. The time to allow for notice and a alternatives and, if regulation is Ombudsman evaluates these actions subsequent 30-day comment period necessary, to select regulatory annually and rates each agency’s before commencement of remotely approaches that maximize net benefits. responsiveness to small business. If you operated underwater vehicle (ROV) Executive Order 13771 directs agencies wish to comment on actions by operations. Delaying this rule to allow to control regulatory costs through a employees of the Coast Guard, call 1– for a notice and comment period would budgeting process. This rule has not 888–REG–FAIR (1–888–734–3247). The be impracticable and contrary to the been designated a ‘‘significant Coast Guard will not retaliate against public interest because it would inhibit regulatory action,’’ under Executive small entities that question or complain the Coast Guard’s ability to protect the Order 12866. Accordingly, this rule has about this rule or any policy or action public from the potential hazards not been reviewed by the Office of of the Coast Guard. associated with the ROV operations. Management and Budget (OMB), and Under 5 U.S.C. 553(d)(3), the Coast pursuant to OMB guidance it is exempt C. Collection of Information Guard finds that good cause exists for from the requirements of Executive This rule will not call for a new making this rule effective less than 30 Order 13771. collection of information under the
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Paperwork Reduction Act of 1995 (44 paragraph L60(a) in Table 3–1 of U.S. must obtain permission from the U.S.C. 3501–3520). Coast Guard Environmental Planning Captain of the Port, Sault Sainte Marie, Implementing Procedures 5090.1. A or his on-scene representative via VHF D. Federalism and Indian Tribal Record of Environmental Consideration Channel 16 or telephone at (906) 635– Governments supporting this determination is 3233. Vessel operators given permission A rule has implications for federalism available in the docket where indicated to enter or operate in the safety zone under Executive Order 13132, under ADDRESSES. must comply with all orders given to Federalism, if it has a substantial direct them by the Captain of the Port, Sault G. Protest Activities effect on the States, on the relationship Sainte Marie or his on-scene between the national government and The Coast Guard respects the First representative. the States, or on the distribution of Amendment rights of protesters. (d) Enforcement period. This section power and responsibilities among the Protesters are asked to call or email the will be enforced from December 19, various levels of government. We have person listed in the FOR FURTHER 2019 through December 27, 2019. analyzed this rule under that Order and INFORMATION CONTACT section to Dated: December 18, 2019. have determined that it is consistent coordinate protest activities so that your A.E. Florentino, with the fundamental federalism message can be received without principles and preemption requirements jeopardizing the safety or security of Commander, U.S. Coast Guard, Acting Captain of the Port Sault Sainte Marie. described in Executive Order 13132. people, places or vessels. Also, this rule does not have tribal [FR Doc. 2019–27706 Filed 12–23–19; 8:45 am] implications under Executive Order List of Subjects in 33 CFR Part 165 BILLING CODE 9110–04–P 13175, Consultation and Coordination Harbors, Marine safety, Navigation with Indian Tribal Governments, (water), Reporting and record keeping because it does not have a substantial requirements, Security measures, ENVIRONMENTAL PROTECTION direct effect on one or more Indian Waterways. AGENCY tribes, on the relationship between the For the reasons discussed in the 40 CFR Part 52 Federal Government and Indian tribes, preamble, the Coast Guard amends 33 or on the distribution of power and CFR part 165 as follows: [EPA–R04–OAR–2019–0203; FRL–10003– responsibilities between the Federal 55–Region 4] Government and Indian tribes. If you PART 165—REGULATED NAVIGATION believe this rule has implications for AREAS AND LIMITED ACCESS AREAS Air Quality Plans; Tennessee; federalism or Indian tribes, please call Infrastructure Requirements for the or email the person listed in the FOR ■ 1. The authority citation for part 165 2015 8-Hour Ozone National Ambient FURTHER INFORMATION CONTACT section continues to read as follows: Air Quality Standard above. Authority: 46 U.S.C. 70034, 70051; 33 CFR AGENCY: Environmental Protection 1.05–1, 6.04–1, 6.04–6, and 160.5; E. Unfunded Mandates Reform Act Department of Homeland Security Delegation Agency (EPA). The Unfunded Mandates Reform Act No. 0170.1. ACTION: Final rule. of 1995 (2 U.S.C. 1531–1538) requires ■ 2. Add § 165.T09–0965 to read as SUMMARY: The Environmental Protection Federal agencies to assess the effects of follows: Agency (EPA) is approving the State their discretionary regulatory actions. In Implementation Plan (SIP) submission, particular, the Act addresses actions § 165.T09–0965 Safety Zone; Tug Nancy provided by the State of Tennessee, that may result in the expenditure by a Anne and Deck Barge MM–142 operating in through the Tennessee Department of State, local, or tribal government, in the the Straits of Mackinac, MI. Environment and Conservation (TDEC), aggregate, or by the private sector of (a) Location. The following area is a through a letter dated September 13, $100,000,000 (adjusted for inflation) or safety zone: All navigable waters within 2018, for inclusion into the Tennessee more in any one year. Though this rule 500 yards of Tug Nancy Anne and Deck SIP. This action pertains to the will not result in such an expenditure, Barge MM–142 while conducting infrastructure requirements of the Clean we do discuss the effects of this rule remotely operated underwater vehicle Air Act (CAA or Act) for the 2015 8- elsewhere in this preamble. (ROV) operations in the Straits of Mackinac. hour ozone national ambient air quality F. Environment (b) Definitions. As used in this standard (NAAQS). Whenever EPA We have analyzed this rule under section, designated representative promulgates a new or revised NAAQS, Department of Homeland Security means a Coast Guard Patrol the CAA requires that each state adopt Directive 023–01 and Coast Guard Commander, including a Coast Guard and submit a SIP for the Environmental Planning Policy, coxswain, petty officer, or other officer implementation, maintenance, and COMDTINST 5090.1 (series), which operating a Coast Guard vessel and a enforcement of each NAAQS guide the Coast Guard in complying Federal, State, and local officer promulgated by EPA. TDEC certified with the National Environmental Policy designated by or assisting the Captain of that the Tennessee SIP contains Act of 1969 (42 U.S.C. 4321–4370f), and the Port Sault Sainte Marie (COTP) in provisions that ensure the 2015 8-hour have determined that this action is one the enforcement of the safety zone. ozone NAAQS is implemented, of a category of actions that does not (c) Regulations. (1) In accordance with enforced, and maintained in Tennessee. individually or cumulatively have a the general regulations in § 165.23, entry EPA has determined that portions of significant effect on the human into, transiting, or anchoring within the Tennessee’s SIP submission satisfy environment. This rule involves a safety safety zone described in paragraph (a) is certain required infrastructure elements zone that will prohibit entry within 500 prohibited unless authorized by the for the 2015 8-hour ozone NAAQS. yards of U.S. navigable waters of a Captain of the Port, Sault Sainte Marie DATES: This rule will be effective vessel and barge being used to conduct or his on-scene representative. January 27, 2020. ROV operations. It is categorically (2) Before a vessel operator may enter ADDRESSES: EPA has established a excluded from further review under or operate within the safety zone, they docket for this action under Docket
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Identification No. EPA–R04–OAR– This action is approving Tennessee’s that complies with the provisions of the 2019–0203. All documents in the docket September 13, 2018,2 revision submitted Act and applicable federal regulations. are listed on the www.regulations.gov to EPA through TDEC for the applicable See 42 U.S.C. 7410(k); 40 CFR 52.02(a). website. Although listed in the index, infrastructure SIP requirements of the Thus, in reviewing SIP submissions, some information is not publicly 2015 8-hour ozone NAAQS, with the EPA’s role is to approve state choices, available, i.e., Confidential Business exception of the interstate transport provided that they meet the criteria of Information or other information whose provisions of section 110(a)(2)(D)(i)(I) the CAA. Accordingly, this action disclosure is restricted by statute. pertaining to contribution to merely approves state law as meeting Certain other material, such as nonattainment or interference with federal requirements and does not copyrighted material, is not placed on maintenance in other states (prongs 1 impose additional requirements beyond the internet and will be publicly and 2), and the prevention of significant those imposed by state law. For that available only in hard copy form. deterioration (PSD) provisions related to reason, this action: Publicly available docket materials are major sources under sections • Is not a significant regulatory action available either electronically through 110(a)(2)(C), 110(a)(2)(D)(i)(II) prong 3, subject to review by the Office of www.regulations.gov or in hard copy at and 110(a)(2)(J). With respect to the Management and Budget under the Air Regulatory Management Section, interstate transport provisions of section Executive Orders 12866 (58 FR 51735, Air Planning and Implementation 110(a)(2)(D)(i)(I) and the PSD provisions October 4, 1993) and 13563 (76 FR 3821, Branch, Air and Radiation Division, related to major sources under sections January 21, 2011); U.S. Environmental Protection Agency, 110(a)(2)(C), 110(a)(2)(D)(i)(II), and • Is not an Executive Order 13771 (82 Region 4, 61 Forsyth Street SW, Atlanta, 110(a)(2)(J), EPA will address these in FR 9339, February 2, 2017) regulatory Georgia 30303–8960. EPA requests that separate rulemaking actions. action because SIP approvals are if at all possible, you contact the person In a notice of proposed rulemaking exempted under Executive Order 12866; listed in the FOR FURTHER INFORMATION (NPRM) published on October 9, 2019 • Does not impose an information CONTACT section to schedule your (84 FR 54080), EPA proposed to approve collection burden under the provisions inspection. The Regional Office’s Tennessee’s September 13, 2018, of the Paperwork Reduction Act (44 official hours of business are Monday revision submitted to EPA through U.S.C. 3501 et seq.); through Friday 8:30 a.m. to 4:30 p.m., TDEC for the applicable infrastructure • Is certified as not having a excluding Federal holidays. SIP requirements of the 2015 8-hour significant economic impact on a FOR FURTHER INFORMATION CONTACT: ozone NAAQS. The NPRM provides substantial number of small entities Sean Lakeman, Air Regulatory additional detail regarding the under the Regulatory Flexibility Act (5 Management Section, Air Planning and background and rationale for EPA’s U.S.C. 601 et seq.); Implementation Branch, Air and action. Comments on the NPRM were • Does not contain any unfunded Radiation Division, U.S. Environmental due on or before November 8, 2019. EPA mandate or significantly or uniquely Protection Agency, Region 4, 61 Forsyth received no comments on the NPRM. affect small governments, as described in the Unfunded Mandates Reform Act Street SW, Atlanta, 30303–8960. Mr. II. Final Action Lakeman can be reached via electronic of 1995 (Pub. L. 104–4); • mail at [email protected] or via With the exception of interstate Does not have Federalism telephone at (404) 562–9043. transport provisions of section implications as specified in Executive 110(a)(2)(D)(i)(I) and (II) (prongs 1 and SUPPLEMENTARY INFORMATION: Order 13132 (64 FR 43255, August 10, 2) pertaining to the contribution to 1999); I. Background nonattainment or interference with • Is not an economically significant On October 1, 2015 (published maintenance in other states and PSD regulatory action based on health or October 26, 2015, see 80 FR 65292), EPA provisions related to major sources safety risks subject to Executive Order promulgated a revised primary and under sections 110(a)(2)(C), 13045 (62 FR 19885, April 23, 1997); • secondary NAAQS for ozone revising 110(a)(2)(D)(i)(II) (prong 3) and Is not a significant regulatory action the 8-hour ozone NAAQS from 0.075 110(a)(2)(J), EPA is approving subject to Executive Order 13211 (66 FR parts per million (ppm) to a new more Tennessee’s September 13, 2018, 28355, May 22, 2001); • protective level of 0.070 ppm. Pursuant infrastructure submission for the 2015 Is not subject to requirements of to section 110(a)(1) of the CAA, states 8-hour ozone NAAQS for the above Section 12(d) of the National are required to submit SIP revisions described infrastructure SIP Technology Transfer and Advancement meeting the applicable requirements of requirements. EPA is approving Act of 1995 (15 U.S.C. 272 note) because section 110(a)(2) within three years after Tennessee’s infrastructure SIP application of those requirements would promulgation of a new or revised submission for the 2015 8-hour ozone be inconsistent with the CAA; and • NAAQS or within such shorter period NAAQS because the submission is Does not provide EPA with the as EPA may prescribe. Section 110(a)(2) consistent with section 110 of the CAA. discretionary authority to address, as requires states to address basic SIP III. Statutory and Executive Order appropriate, disproportionate human elements such as requirements for Reviews health or environmental effects, using monitoring, basic program practicable and legally permissible Under the CAA, the Administrator is requirements, and legal authority that methods, under Executive Order 12898 required to approve a SIP submission are designed to assure attainment and (59 FR 7629, February 16, 1994). maintenance of the NAAQS. This In addition, the SIP is not approved sections 110(a)(1) and (2) of the CAA through a to apply on any Indian reservation land particular type of SIP is commonly combination of state regulations and statutes, some referred to as an ‘‘infrastructure SIP.’’ of which have been incorporated into the federally- or in any other area where EPA or an States were required to submit such approved SIP. In addition, certain federally- Indian tribe has demonstrated that a approved, non-SIP regulations may also be tribe has jurisdiction. In those areas of SIPs for the 2015 8-hour ozone NAAQS appropriate for demonstrating compliance with 1 Indian country, the rule does not have to EPA no later than October 1, 2018. sections 110(a)(1) and (2). 2 The September 13, 2018, SIP submission tribal implications as specified by 1 In these infrastructure SIP submissions, states submitted by TDEC was received by EPA on Executive Order 13175 (65 FR 67249, generally certify evidence of compliance with September 17, 2018. November 9, 2000), nor will it impose
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substantial direct costs on tribal action must be filed in the United States Dated: December 10, 2019. governments or preempt tribal law. Court of Appeals for the appropriate Mary S. Walker, The Congressional Review Act, 5 circuit by February 24, 2020. Filing a Regional Administrator, Region 4. U.S.C. 801 et seq., as added by the Small petition for reconsideration by the 40 CFR part 52 is amended as follows: Business Regulatory Enforcement Administrator of this final rule does not Fairness Act of 1996, generally provides affect the finality of this action for the PART 52—APPROVAL AND that before a rule may take effect, the purposes of judicial review nor does it PROMULGATION OF agency promulgating the rule must extend the time within which a petition IMPLEMENTATION PLANS submit a rule report, which includes a for judicial review may be filed and copy of the rule, to each House of the shall not postpone the effectiveness of ■ 1. The authority citation for part 52 Congress and to the Comptroller General such rule or action. This action may not continues to read as follows: of the United States. EPA will submit a be challenged later in proceedings to report containing this action and other Authority: 42 U.S.C. 7401 et seq. enforce its requirements. See section required information to the U.S. Senate, 307(b)(2). Subpart RR—Tennessee the U.S. House of Representatives, and the Comptroller General of the United List of Subjects in 40 CFR Part 52 ■ 2. Section 52.2220(e) is amended by States prior to publication of the rule in adding an entry for ‘‘110(a)(1) and (2) the Federal Register. A major rule Environmental protection, Air Infrastructure Requirements for the 2015 cannot take effect until 60 days after it pollution control, Incorporation by 8-hour Ozone NAAQS’’ at the end of the is published in the Federal Register. reference, Intergovernmental relations, table to read as follows: This action is not a ‘‘major rule’’ as Nitrogen dioxide, Ozone, Particulate defined by 5 U.S.C. 804(2). matter, Reporting and recordkeeping § 52.2220 Identification of plan. Under section 307(b)(1) of the CAA, requirements, Volatile organic * * * * * petitions for judicial review of this compounds. (e) * * * EPA-APPROVED TENNESSEE NON-REGULATORY PROVISIONS
Applicable geo- State Name of non-regulatory SIP provi- graphic or non- effective EPA approval date Explanation sion attainment area date
110(a)(1) and (2) Infrastructure Re- Tennessee ...... 9/13/2018 12/26/2019 [Insert citation of pub- With the exception of the PSD permitting requirements quirements for the 2015 8-hour lication]. of 110(a)(2)(C) and (J), and 110(a)(2)(D)(i)(I) and (II) Ozone NAAQS. (prongs 1, 2 and 3).
[FR Doc. 2019–27542 Filed 12–23–19; 8:45 am] deadlines for submittal of SIP revisions FOR FURTHER INFORMATION CONTACT: BILLING CODE 6560–50–P required under the new classification Abby Fulton, Air and Radiation and implementation of related control Division, EPA, Region 8, Mailcode requirements. This final action is 8ARD–IO, 1595 Wynkoop Street, ENVIRONMENTAL PROTECTION necessary to fulfill the EPA’s statutory Denver, Colorado 80202–1129, (303) AGENCY obligation to determine whether the 312–6563, [email protected]. Denver Area attained the NAAQS by the SUPPLEMENTARY INFORMATION: 40 CFR Part 81 attainment date, and, within six months Throughout this document ‘‘we,’’ ‘‘us,’’ [EPA–R08–OAR–2019–0354; FRL–10003– of the attainment date, to publish a and ‘‘our’’ means the EPA. 43–Region 8] document in the Federal Register identifying each area that is determined I. Background Finding of Failure To Attain and as having failed to attain and its The background for this action is Reclassification of Denver Area for the reclassification. discussed in detail in our August 15, 2008 Ozone National Ambient Air DATES: This rule is effective on January 2019 proposal, in which we proposed to Quality Standard 27, 2020. determine that the Denver Area failed to AGENCY: Environmental Protection ADDRESSES: The EPA has established a attain the 2008 ozone NAAQS by the Agency (EPA). docket for this action under docket ID applicable attainment date.1 The ACTION: Final rule. no. EPA–R08–OAR–2019–0354. All proposed determination was based upon documents in the docket are listed on complete, quality-assured, and certified SUMMARY: The Environmental Protection the http://www.regulations.gov website. ozone monitoring data that showed that, Agency (EPA) is determining that the Although listed in the index, some at 0.079 parts per million (ppm), the 8- Denver-Boulder-Greeley-Ft. Collins- information is not publicly available, hour ozone design value for the area Loveland, Colorado nonattainment area e.g., CBI or other information whose exceeded 0.075 ppm for the period (Denver Area) failed to attain the 2008 disclosure is restricted by statute. 2015–2017.2 The EPA proposed that the ozone National Ambient Air Quality Certain other material, such as Standard (NAAQS) by the applicable copyrighted material, is not placed on 1 Proposed Rule and Notice of Public Hearing, attainment date for ‘‘Moderate’’ the internet and will be publicly Finding of Failure to Attain and Reclassification of Denver Area for the 2008 Ozone National Ambient nonattainment areas. The effect of available only in hard copy form. Air Quality Standard, 84 FR 41674 (Aug. 15, 2019). failing to attain by the attainment date Publicly available docket materials are 2 See id.; Proposed Rule, Determinations of is that the area will be reclassified by available through https:// Attainment by the Attainment Date, Extensions of operation of law to ‘‘Serious’’ upon the www.regulations.gov; you may contact the Attainment Date, and Reclassification of Several Areas Classified as Moderate for the 2008 Ozone FOR FURTHER effective date of this final the person identified in the National Ambient Air Quality Standards, 83 FR reclassification action. Along with the INFORMATION CONTACT section for 56781, 56784 (Nov. 14, 2018), Docket ID no. EPA– reclassification, the EPA is finalizing additional availability information. Continued
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Denver Area would be reclassified as a A. Determination of Failure To Attain invalidate the withdrawal of the Serious nonattainment area by operation and Reclassification attainment date extension request. of law on the effective date of a final Response: By letter dated June 4, In accordance with CAA section 10 action finding that the area failed to 181(b)(2), the EPA is finalizing its 2018, the Colorado Department of attain the 2008 ozone NAAQS by the proposed determination that the Denver Public Health and Environment applicable attainment date for Moderate Area failed to attain the 2008 ozone (CDPHE) requested an extension of the areas.3 For the Denver Area, we also NAAQS by the applicable attainment Denver Area Moderate attainment date proposed deadlines for submittal of SIP date of July 20, 2018.5 Therefore, on the and certified that the State of Colorado revisions and implementation of the effective date of this final action, the complied with all the requirements and related control requirements for the area will be reclassified by operation of commitments pertaining to the Denver Area Moderate ozone area SIP, in Serious nonattainment area consistent law from Moderate to Serious for the accordance with CAA section with due dates and implementation 2008 ozone NAAQS.6 Once reclassified 181(a)(5)(A). On November 14, 2018, the deadlines for Moderate areas across the to Serious, the Denver Area will be required to attain the standard ‘‘as EPA proposed in our national country that failed to attain by the July Determination of Attainment by the 20, 2018 attainment date.4 expeditiously as practicable’’ but no later than nine years after the initial Attainment date (DAAD) action to grant II. Final Action a 1-year extension of the attainment date designation as nonattainment, which in 11 this case would be no later than July 20, for the Denver Area. In a letter dated The EPA held a public hearing on the 2021. If the area attains the 2008 ozone March 26, 2019, Colorado Governor proposal at the Denver regional offices NAAQS before the Serious area Jared Polis informed the EPA that the on September 6, 2019 and accepted attainment date, Colorado may request State was withdrawing its June 4, 2018, written public comments through request for a one-year attainment date redesignation to attainment, provided 12 September 16, 2019. All comments the State can demonstrate that it has met extension for the 2008 ozone NAAQS. received during the public comment the criteria under CAA section We therefore stated in our final national period, as well as pertinent comments 107(d)(3)(E).7 DAAD action that we were not taking submitted in response to the EPA’s final action on the extension but would November 2018 proposal to grant the B. Summary of Major Comments and be addressing whether the Denver area State of Colorado’s request for a 1-year Responses attained the 2008 NAAQS by the July attainment date extension for the The EPA received about 460 20, 2018 attainment date and any comments on its proposal to determine associated reclassification in a separate Denver Area (which was part of a 13 national rulemaking concerning that the Denver Area failed to attain by action. We proceeded in this fashion because the EPA interprets CAA section Moderate areas) may be found in the the applicable attainment date and to 181(a)(5) to require a request from a electronic docket for this final action. reclassify the area to Serious state before the EPA may consider Key comments and the agency’s nonattainment. We also received and are considering in this action 14 granting a one-year attainment date responses are included in this section, extension.14 Accordingly, because the below. A Response to Comments pertinent comments on our previous proposal to grant the State’s since- Governor has withdrawn the State’s document including all significant request, the EPA is not taking final comments received on the EPA’s withdrawn request for an attainment 8 action to grant a one-year extension for proposal and the agency’s responses to date extension. All comments received are posted in the docket for this action, the Denver Area, and instead is those comments is in the docket for this determining that the Denver Area failed rulemaking. To access the full set of and responses to all significant comments are in the Response to to attain by the attainment date. comments received and the Response to Comments opposing reclassification: Comments document in the docket. Comments, please go to http:// Several commenters disagreed with the Below is a summary of the major www.regulations.gov and search for EPA’s proposal to reclassify the Denver adverse comments and our responses to Docket No. EPA–R08–OAR–2019–0354, Area from a Moderate to a Serious them. or contact the person listed in the FOR Comments concerning the withdrawn nonattainment area. The commenters FURTHER INFORMATION CONTACT section. extension request: Several commenters cited various reasons for their requested that the EPA reinstate the opposition. One asserted that but for HQ–OAR–2018–0226; and Air Quality System one-year attainment date extension to international emissions, Colorado (AQS, https://www.epa.gov/aqs) data, monitor ID give the Denver Area time to attain the would comply with the applicable 08–059–0011. A design value is a statistic that ozone NAAQS, while another asserted describes the air quality status of a given location NAAQS. Some expressed concern that (i.e., air quality monitor) with respect to the withdrawal of the one-year extension of 10 NAAQS and is used to determine compliance with the attainment date would not improve Letter from Garrison Kaufman, Director, Air the standard. The design value is the 3-year average Pollution Control Division, CDPHE to Doug of the annual fourth highest daily maximum 8-hour air quality as expeditiously as possible. Benevento, ‘‘Submittal of Exceptional Events average ozone concentrations. The design value is One commenter pointed to a lawsuit at Demonstration and Request to Extend 2008 Ozone calculated for each air quality monitor in an area, the Colorado Court of Appeals 9 and National Ambient Air Quality Standard Attainment and the area’s design value is the highest design stated that the Court could possibly Deadline for the Denver Metropolitan/North Front value among the individual monitoring sites in the Range Nonattainment Area’’ (June 4, 2018), docket area. See 40 CFR part 50, appendix D—Reference ID no. EPA–R08–OAR–2019–0354–0002. Measurement Principle and Calibration Procedure 5 See 42 U.S.C. 7511(b)(2); 84 FR 41674. 11 84 FR at 56784. for the Measurement of Ozone in the Atmosphere 6 The revised classification will appear in the 12 Letter from Governor Jared Polis to Doug (Chemiluminescence Method). Federal Register at 40 CFR 81.306. Benevento, Regional Administrator, EPA Region 8, 3 See CAA section 181(b)(2)(A), 42 U.S.C. 7 42 U.S.C. 7407(d)(3)(E). Redesignation guidance ‘‘Withdrawal of Colorado’s Request to Extend the 7511(b)(2)(A). and more information about the Clean Data Policy 2008 Ozone National Ambient Air Quality Standard 4 See Final Rule, Determinations of Attainment by are available at https://www.epa.gov/ozone- Attainment Date for the Denver Metropolitan/North the Attainment Date, Extensions of the Attainment pollution/redesignation-and-clean-data-policy-cdp. Front Range Nonattainment Areas’’ (March 26, Date, and Reclassification of Several Areas 8 83 FR 56781; these comments are available at 2019), docket ID no. EPA–R08–OAR–2019–0354– Classified as Moderate for the 2008 Ozone National docket ID no. EPA–R08–OAR–2019–0354–0011. 0012. Ambient Air Quality Standards, 84 FR 44238 (Aug. 9 See Defend Colorado comment letter, docket ID 13 84 FR at 44242. 23, 2019). no. EPA–R08–OAR–2019–0354–0334. 14 See id.
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that the State’s decision not to pursue a text of CAA section 179B(b) limits the those two days of data qualified the CAA section 179B international option to make the section 179B(b) Denver Area for the 1-year extension of emissions demonstration was demonstration to the state with the attainment date, the area’s design ‘‘misguided.’’ Another commenter jurisdiction over the relevant ozone value as of the attainment date exceeds alleged that the Denver Area cannot nonattainment area. There is no statute the NAAQS whether or not the attain the standard by July 20, 2021, and or rule requiring the state to submit a exceptional events days are excluded. that reclassification would force 179B(b) demonstration. As noted by The EPA will review any exceptional businesses to adopt new control some of the commenters, the CAA is event demonstrations that may be strategies ‘‘with no scientific evidence based on a cooperative federalism provided by Colorado in the future, as that such strategies will achieve any structure, and in that structure, potentially relevant to future actions, reduction in ozone.’’ One comment Congress reserved for each state the but we have received no other focused on data, claiming that the discretion, based on its expertise and demonstrations that relate to this action. CDPHE annual air quality data is judgment, whether to seek relief under As noted above, CAA section ‘‘incomplete and materially flawed’’ CAA section 179B(b). The EPA has no 181(b)(2)(A) requires the EPA because it does not account for authority to require the state to make a Administrator to determine whether an international emissions and exceptional different decision, nor may any party area attained the 2008 ozone 8-hour events, and that the ‘‘based on’’ make such a demonstration on behalf of NAAQS based on the area’s design language of section 181(b)(2) gives the the state. The EPA has not received a value as of the July 20, 2018 attainment EPA the discretion to consider factors section 179B(b) demonstration from date, which in this case was 0.079 ppm, other than the air quality data submitted Colorado. based on data from calendar years 2015– by the state. The commenter asked the As to exceptional events, an 2017. EPA to reopen the public comment acceptable demonstration must meet Finally, the EPA disagrees with the period so that it can ‘‘more fully requirements of the Exceptional Events assertion that section 181(b)(2) affords evaluate the impact of international Rule, promulgated at 40 CFR 50.14. the agency the discretion to consider emissions and exceptional events on Under this rule, demonstrating that an other factors besides an area’s air quality ozone concentrations in Colorado.’’ event meets these requirements begins design value in determining whether an Also, the commenter urged the EPA to with a state identifying monitoring data area attained by its attainment date. But propose a new rule finding that the that were affected by an exceptional even if the commenters’ interpretations Denver Area attained the 2008 ozone event and resulted in exceedances or were correct, for the reasons explained NAAQS. violations of any NAAQS for purposes above and in the Response to Response: Detailed responses to the of a regulatory determination. Once a Comments, it would be reasonable in above comments are in the Response to state identifies such data, it may choose this case not to exercise that discretion, Comments document in the docket for to notify the Regional EPA office of its and to consider only the design value. this action. A summary of those intent to submit an exceptional event Comment: Several commenters urged responses follows. The EPA has a demonstration.17 If the state chooses to the EPA not to finalize reclassification mandatory duty under CAA section submit a demonstration, it flags the of the Denver Area to Serious because 181(b)(2) to determine whether the associated data and creates an initial it will result in ‘‘immediate and long- Denver area attained by its July 20, 2018 event description in the EPA’s Air term damage’’ to the State’s economy attainment date based on the area’s Quality System. The state and the EPA and have ‘‘immeasurable economic design value as of the attainment date. communicate about any potential issues impacts on the business community’’ The area’s 2015–2017 design value of or deadlines that may be pertinent to the and elsewhere. Several commenters 0.079 parts per million is based on submission, and once the demonstration claimed that reclassification would certified, quality-assured air quality is finalized, the state must provide result in the loss of federal highway monitoring data. None of the air quality notice and opportunity for public funds. Response: The CAA does not allow considerations raised by commenters comment. After these steps have been the EPA to consider economic impacts permits the EPA to make a different completed, the state submits the in assessing whether an area has determination of attainment for the demonstration to the Regional EPA attained the NAAQS by the applicable Denver area. office for analyses and potential date. Instead, CAA section 181(b)(2) With respect to the influence of concurrence. requires the EPA to make the international emissions on a As some commenters note, the EPA determination of attainment based nonattainment area, CAA section previously reviewed two exceptional event demonstrations submitted as a solely on the design value, which is 179B(b) 15 specifies that ‘‘any state’’ that part of Colorado’s now-withdrawn derived entirely from monitored air establishes to the satisfaction of the request for an attainment date quality data. Here, we find that the Administrator that an ozone extension.18 These demonstrations were Denver Area did not attain the 2008 nonattainment area in such state would considered in calculating the design Ozone NAAQS by the Moderate have attained the ozone NAAQS ‘‘but value for the Denver Area that this attainment date, based on the area’s for emissions emanating from outside action is based on. That is, the 0.079 2015–2017 design value of 0.079 ppm— the United States’’ is not subject to CAA ppm design value for the Denver Area which unequivocally exceeds the requirements for reclassification upon excludes the two days covered by the standard of 0.075 ppm.19 As required by failure to attain.16 The clear statutory previously submitted exceptional event CAA section 181(b)(2)(A), the demonstrations. While the exclusion of 15 42 U.S.C. 7509a(b). Section 179B(a) is not determination that the Denver Area relevant to this action, because it concerns the failed to attain by the attainment date approvability of attainment demonstrations, and General Preamble for the Implementation of Title I results in a reclassification to Serious by does not apply to reclassifications. Accordingly, our of the Clean Air Act Amendments of 1990, 57 FR operation of law. discussion focuses on section 179B(b). 13498, 13569 (Apr. 16, 1992). As to loss of highway funds, the mere 16 The text of that section contains an erroneous 17 40 CFR 50.14(a). reference to section 18l(a)(2) instead of 181(b)(2); 18 See Letter from Garrison Kaufman (June 4, reclassification of an area does not our response to the comment would be the same 2018), docket ID no. EPA–R08–OAR–2019–0354– regardless of the cross-referenced section. See 0002. 19 See 83 FR 56784.
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automatically trigger highway sanctions 2008 ozone NAAQS.20 August 3, 2020, Serious Area obligations, and given or increased offset requirements under is also the deadline for areas classified section 182(i)’s focus on consistency, we section 179(b)(1). Sanctions would only Moderate and higher for the 2015 ozone [find] that aligning Colorado’s deadline be a possibility if the EPA finds that the NAAQS to submit RACT SIP with the national deadlines is State has failed to submit a plan under revisions.21 appropriate and necessary for achieving section 110, disapproves a submission, Comments on August 3, 2020 ‘consistency among the submissions’ of or finds that any requirement of an deadlines: Some commenters opposed all reclassified areas across the country approved plan is not being properly the deadline for SIP submissions and and supports achieving timely implemented, and would only be implementation of RACT measures tied attainment in the Denver Area.’’ 23 required if the State fails to remedy the to attainment because they asserted that With regard to the requests for a deficiency within 18 months. deadline would not provide a period of 18 months or longer for reasonable amount of time to evaluate submitting SIP revisions, the governor’s Comment: Several commenters were control options, conduct rulemaking, letter withdrawing the extension request concerned about the need for businesses and give affected sources sufficient time committed to ‘‘moving aggressively to obtain major source permits because to implement control requirements. forward and without delay in our efforts the major source threshold drops with a Several commenters said that it would to reduce ground level ozone Serious classification, and about the not be achievable for Colorado to concentrations in the Denver Metro/ potential of an increased backlog at develop and submit a SIP by the August North Front Range nonattainment area.’’ CDPHE for issuing permits. 3, 2020 deadline, especially because of We will work with Colorado’s air Response: We acknowledge Colorado’s legislative process. These planning agencies as they develop commenters’ concerns regarding commenters preferred a period of 18 additional attainment plans. resource needs for permitting new major months or more, or at least the same Furthermore, Colorado has known that sources under a Serious reclassification. amount of time as other reclassified revised implementation plans would be However, as previously discussed, CAA areas, for Serious Area SIP submission due soon after reclassification, in order section 181(b)(2) sets forth the due dates and implementation deadline to provide for expeditious attainment of requirements for the EPA to make an for RACT measures tied to attainment. the 2008 ozone NAAQS, and has had attainment determination and Several comments suggested that an the opportunity to make progress on subsequent reclassification due to extended deadline for SIP submittal plan development activities before failure to attain, and does not afford the could result in more significant issuance of this final action. Colorado agency any discretion to refrain from emission reduction measures than a was aware of proposed Serious SIP due reclassification because of commenters’ shortened deadline. On the other hand, dates since the November 14, 2018 concerns about permitting. The EPA other comments supported the August proposed DAAD, which is evident from recognizes the challenges posed by a 2, 2020 deadline based on the need to the comment letter submitted by CDPHE Serious classification, though, and is ‘‘rapidly address the pollution in connection with that proceeding.24 committed to working closely with problem,’’ and one commenter claimed And previously, when the Denver Area Colorado to help them with planning that the EPA’s ‘‘history of repeated was reclassified from Marginal to requirements associated with this delay in implementing the 2008 NAAQS Moderate nonattainment,25 the State classification. further justifies EPA’s proposal to adopt only had seven months from the the same SIP submission due dates and effective date of reclassification to C. Comments Concerning Serious Area implementation deadlines that were submit Moderate and RACT SIPs. The SIP Revision Submission Deadlines and finalized in EPA’s August 2019 national Colorado Air Quality Control Reasonably Available Control rulemaking.’’ Commission has adopted new and Technology (RACT) Implementation Response: CAA section 182(i) gives revised rules in 2019 to prepare for the Deadlines the Administrator the authority to adjust development and submission of a SIP submission due dates as necessary Serious SIP. Some of these include The EPA received comments on the or appropriate to assure consistency adoption of Regulation Number 21 to proposed Serious area deadlines for among SIP submissions.22 In establish VOC content limits for submitting SIP and RACT revisions, and interpreting ‘‘consistency among the consumer products and architectural on the deadlines for implementation of required submissions,’’ the EPA is not and industrial maintenance coatings RACT. After full consideration of those only considering submissions for manufactured and/or sold in Colorado, comments, and pursuant to CAA section multiple ozone NAAQS that are revisions to Regulation Number 7 to 182(i), the EPA is finalizing the currently being implemented, but also minimize emissions from the oil and gas following SIP submission due dates and consistency among the various similarly sector, and adoption of certain RACT for RACT implementation deadlines for situated nonattainment areas that are major sources with VOC and/or NOx Colorado. The due date for Serious area being reclassified. As stated in section II emissions equal to or greater than 50 SIP revisions, including RACT measures of the proposal’s preamble, ‘‘given the tons per year (tpy). Nonetheless, the tied to attainment for the Denver Area, State’s commitment to addressing its EPA recognizes the challenges posed by will be August 3, 2020. That is also the these due dates and deadlines and is implementation deadline for RACT 20 See 84 FR 44238. committed to working closely with measures tied to attainment. For SIP 21 See Final Rule, Implementation of the 2015 revisions for RACT measures not tied to National Ambient Air Quality Standards for Ozone: 23 84 FR at 41676. attainment, the EPA is finalizing a due Nonattainment Area State Implementation Plan 24 Comment submitted by Garry Kaufman, date of March 23, 2021 and an Requirements, 83 FR 62998, 63007 (Dec. 6, 2018) Director, Air Pollution Control Division, CDPHE (setting RACT submission deadlines at ‘‘no later implementation deadline of July 20, and Mike Silverstein, Executive Director, Regional than 24 months after the effective date of Air Quality Council, docket ID no. EPA–R08–OAR– 2021. All of these deadlines are nonattainment designation’’); Final Rule, 2019–0354–0011. consistent with deadlines finalized in Additional Air Quality Designations for the 2015 25 Final Rule, Determinations of Attainment by the August 2019 national rulemaking Ozone National Ambient Air Quality Standards, 83 the Attainment Date, Extensions of Attainment FR 25776 (June 4, 2018) (designating areas effective that reclassified several other areas Date, and Reclassification of Several Areas for the August 3, 2018). 2008 Ozone National Ambient Air Quality classified as Moderate to Serious for the 22 42 U.S.C. 7511a(i). Standards, 81 FR 26697 (May 4, 2017).
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states to help them as they prepare SIP do so. As noted in the August 23, 2019 by the CAA. Instead, this rulemaking revisions in a timely manner. rulemaking, we believe that a slightly only makes factual determinations, and Comment on deadline for longer timeframe for measures that are does not directly regulate any entities. implementing RACT measures not tied not directly tied to the area’s attainment to attainment: One commenter stated can be appropriate, especially where an E. Unfunded Mandates Reform Act that adopting and enforcing RACT by area is simultaneously implementing (UMRA) July 20, 2021 is a significant regulatory two ozone standards, such that This action does not contain any burden, and that the legislative additional controls will help the area unfunded mandate as described in framework in Colorado ‘‘makes it attain both standards more unworkable for Colorado to meet the expeditiously. UMRA, 2 U.S.C. 1531–1538, and does proposed deadlines for RACT revisions not significantly or uniquely affect small and the proposed deadlines are III. Statutory and Executive Order governments. This action imposes no therefore arbitrary and capricious.’’ Reviews enforceable duty on any state, local or CDPHE’s comment on the November 14, A. Executive Order 12866: Regulatory tribal governments or the private sector. 2018 proposal recommended aligning Planning and Review and Executive F. Executive Order 13132: Federalism the Serious SIP submittals, including Order 13563: Improving Regulation and RACT, with the Moderate area SIP Regulatory Review This action does not have federalism 26 submittal for the 2015 ozone standard. This action is not a significant implications. It will not have substantial Alternatively, the State asked for a regulatory action and was therefore not direct effects on the states, tribes, or the period of 18 months to two years from submitted to the Office of Management relationship between the national the effective date of reclassification to and Budget (OMB) for review. government and the states and tribes, or submit a Serious RACT SIP. Several on the distribution of power and B. Executive Order 13771: Reducing commenters on this action supported responsibilities among the various Regulations and Controlling Regulatory the time frames that CDPHE levels of government. recommended. Costs CDPHE preferred a RACT This action is not an Executive Order G. Executive Order 13175: Consultation implementation deadline of January 1, 13771 regulatory action because this and Coordination With Indian Tribal 2024, as proposed in the national notice, action is not significant under Executive Governments to allow more time for Colorado to Order 12866. identify, adopt, and implement This action does not apply on any measures for ozone precursor C. Paperwork Reduction Act (PRA) Indian reservation land or in any other reductions. One commenter agreed with This rule does not impose any new area where EPA or an Indian tribe has this deadline and claimed that it would information collection burden under the demonstrated that a tribe has be ‘‘unlikely that Colorado [could] PRA not already approved by the Office jurisdiction. In those areas of Indian consider any measures not already in of Management and Budget.27 This country, the rule does not have tribal place for sources over 100 tpy’’ with an action does not contain any information implications and will not impose implementation date of August 3, 2020. collection activities and serves only to substantial direct costs on tribal Other commenters supported the make final: (1) A determination that the governments or preempt tribal law. proposal to adopt the same SIP Denver Area Moderate ozone submission due dates and nonattainment area failed to attain the H. Executive Order 13045: Protection of implementation deadlines that were 2008 NAAQS by the July 20, 2018 Children From Environmental Health finalized in the EPA’s August 2019 where such area will be reclassified to and Safety Risks national rulemaking, citing to the need Serious nonattainment for the 2008 for national consistency under Section The EPA interprets Executive Order ozone standards by operation of law 13045 as applying only to those 182(i). upon the effective date of the final regulatory actions that concern Response: As previously discussed, reclassification action; and (2) environmental health or safety risks that the EPA has concluded that it is establishment of adjusted due dates for the EPA has reason to believe may appropriate under CAA section 182(i) to SIP revisions, including RACT SIP disproportionately affect children, per align the submission and revisions, and RACT implementation implementation deadlines for RACT not deadlines. the definition of ‘‘covered regulatory needed for attainment with other areas action’’ in section 2–202 of the recently reclassified to Serious for the D. Regulatory Flexibility Act (RFA) Executive Order. This action is not 2008 ozone NAAQS. The deadlines that I certify that this action will not have subject to Executive Order 13045 the State has requested are well beyond a significant economic impact on a because it does not concern an the Serious area attainment date, and it substantial number of small entities environmental health risk or safety risk. is self-evident that an implementation under the RFA. This action will not I. Executive Order 13211: Actions That deadline beyond the attainment date impose any requirements on small Significantly Affect Energy Supply, cannot serve timely attainment. Also, entities. The determination of failure to the deadlines being finalized today best attain the 2008 ozone NAAQS (and Distribution, or Use support the State’s expressed resulting reclassification) does not in This action is not subject to Executive commitment to reducing ground level and of itself create any new Order 13211, because it is not a ozone concentrations in the Denver requirements beyond what is mandated significant regulatory action under Area. The approach being finalized sets Executive Order 12866. a later deadline for RACT 27 On April 30, 2018, the OMB approved the implementation than for submission, EPA’s request for renewal of the previously J. National Technology Transfer which allows some time to implement approved information collection request (ICR). The renewed request expires on April 30, 2021, three Advancement Act (NTTAA) RACT measures where it is possible to years after the approval date (see OMB Control Number 2060–0695 and ICR Reference Number This rulemaking does not involve 26 83 FR 56781. 201801–2060–003 for EPA ICR No. 2347.03). technical standards.
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K. Executive Order 12898: Federal appropriate circuit by February 24, Agency amends 40 CFR part 81 as Actions To Address Environmental 2020. Filing a petition for follows: Justice in Minority Populations and reconsideration by the Administrator of Low-Income Populations this final rule does not affect the finality PART 81—DESIGNATION OF AREAS FOR AIR QUALITY PLANNING This action does not provide EPA of this action for the purposes of judicial with the discretionary authority to review nor does it extend the time PURPOSES within which a petition for judicial address, as appropriate, review may be filed, and shall not ■ disproportionate human health or 1. The authority citation for part 81 postpone the effectiveness of such rule environmental effects, using practicable continues to read as follows: or action. This action may not be and legally permissible methods. challenged later in proceedings to Authority: 42 U.S.C. 7401, et seq. L. Congressional Review Act (CRA) enforce its requirements. (See section Subpart C—Section 107 Attainment 307(b)(2).) This rule is exempt from the CRA Status Designations because it is a rule of particular List of Subjects in 40 CFR Part 81 applicability. The rule makes factual Environmental protection, Air ■ 2. In § 81.306, the table ‘‘Colorado— determinations for specific entities and pollution control, Carbon monoxide, 2008 8-Hour Ozone NAAQS (Primary does not directly regulate any entities. Designations and classifications, and secondary)’’ is amended by revising The determination of failure to attain Greenhouse gases, Intergovernmental the ‘‘Date’’ and ‘‘Type’’ entries under the 2008 ozone NAAQS (and resulting relations, Lead, Nitrogen dioxide, ‘‘Classification’’ for ‘‘Denver-Boulder- reclassification) does not in itself create Ozone, Particulate matter, Reporting Greeley-Ft. Collins-Loveland, CO:2’’ to any new requirements beyond what is and recordkeeping requirements, Sulfur read as follows: mandated by the CAA. oxides, Volatile organic compounds. § 81.306 Colorado. M. Judicial Review Dated: December 16, 2019. * * * * * Under section 307(b)(1) of the Clean Gregory Sopkin, Air Act, petitions for judicial review of Regional Administrator, Region 8. this action must be filed in the United For the reasons stated in the States Court of Appeals for the preamble, the Environmental Protection
COLORADO—2008 8-HOUR OZONE NAAQS [Primary and secondary]
Designation Classification
Designated Area Date 1 Type Date 1 Type
Denver-Boulder-Greeley-Ft. Collins-Loveland, CO: 2 ...... Nonattainment ...... 1/27/2020. Serious.
*******
* * * * * Effective date: This rule is effective comment, your email address will be [FR Doc. 2019–27485 Filed 12–23–19; 8:45 am] January 15, 2020. automatically captured and included as BILLING CODE 6560–50–P Comment due date: Technical part of the comment that is placed in the comments may be submitted until public docket and made available on the January 27, 2020. internet. Please note that responses to ADDRESSES: CORPORATION FOR NATIONAL AND You may submit comments, this public comment request containing COMMUNITY SERVICE identified by the title of the information any routine notice about the collection activity, by any of the confidentiality of the communication 45 CFR Parts 1230 and 2554 following methods: will be treated as public comments that (1) By mail sent to: Corporation for may be made available to the public RIN 3045–AA73 National and Community Service; notwithstanding the inclusion of the Attention Stephanie Soper; Office of routine notice. Annual Civil Monetary Penalties General Counsel; 250 E Street SW, Inflation Adjustment Washington, DC 20525. FOR FURTHER INFORMATION CONTACT: (2) By hand delivery or by courier to Stephanie Soper, Law Office Manager, AGENCY: Corporation for National and the CNCS mailroom at the address Office of General Counsel, at 202–606– Community Service. above between 9:00 a.m. and 4:00 p.m. 6747 or email to [email protected]. ACTION: Interim final rule. Eastern Time, Monday through Friday, SUPPLEMENTARY INFORMATION: SUMMARY: The Corporation for National except federal holidays. (3) Electronically through and Community Service (CNCS) is I. Background www.regulations.gov. updating its regulations to reflect Comments submitted in response to The Corporation for National and required annual inflation-related this Notice will be made available to the Community Service (CNCS) is a federal increases to the civil monetary penalties public through www.regulations.gov. agency that engages millions of in its regulations, pursuant to the For this reason, please do not include in Americans in service through its Federal Civil Penalties Inflation your comments information of a AmeriCorps, Senior Corps, and Adjustment Act Improvements Act of confidential nature, such as sensitive Volunteer Generation Fund programs to 2015. personal information or proprietary further its mission to improve lives, DATES: information. If you send an email strengthen communities, and foster
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civic engagement through service and III. Summary of Final Rule List of Subjects volunteering. For more information, 45 CFR Part 1230 visit NationalService.gov. This final rule adjusts the civil The Federal Civil Penalties Inflation monetary penalty amounts related to Government contracts, Grant Adjustment Act Improvements Act of Restrictions on Lobbying (45 CFR programs, Loan programs, Lobbying, 2015 (Sec. 701 of Pub. L. 114–74) (the 1230.400) and the Program Fraud Civil Penalties, Reporting and recordkeeping ‘‘Act’’), which is intended to improve Remedies Act of 1986 (45 CFR 2554.1). requirements. the effectiveness of civil monetary The range of civil monetary penalties penalties and to maintain the deterrent related to Restrictions on Lobbying 45 CFR Part 2554 effect of such penalties, requires increase from ‘‘$20,134 to $201,340’’ to Claims, Fraud, Organization and agencies to adjust the civil monetary ‘‘$20,489 to $204,892.’’ The civil functions (Government agencies), penalties for inflation annually. monetary penalties for the Program Penalties. Fraud Civil Remedies Act of 1986 II. Method of Calculation For the reasons discussed in the increase from ‘‘up to $11,463’’ to ‘‘up to preamble, under the authority of 42 CNCS has two civil monetary $11,665.’’ penalties in its regulations. A civil U.S.C. 12651c(c), the Corporation for monetary penalty under the Act is a IV. Regulatory Procedures National and Community Service amends chapters XII and XXV, title 45 penalty, fine, or other sanction that is A. Determination of Good Cause for for a specific monetary amount as of the Code of Federal Regulations as Publication Without Notice and follows: provided by Federal law or has a Comment maximum amount provided for by PART 1230—NEW RESTRICTIONS ON federal law and is assessed or enforced CNCS finds, under 5 U.S.C. LOBBYING by an agency pursuant to federal law 553(b)(3)(B), that there is good cause to and is assessed or enforced pursuant to except this rule from the public notice ■ 1. The authority citation for part 1230 an administrative proceeding or a civil and comment provisions of the continues to read as follows: action in the federal courts. (See 28 Administrative Procedure Act, 5 U.S.C. Authority: Section 319, Pub. L. 101–121 U.S.C. 2461 note). 553(b). Because CNCS is implementing The inflation adjustment for each (31 U.S.C. 1352); Pub. L. 93–113; 42 U.S.C. a final rule pursuant to the Federal Civil 4951, et seq.; 42 U.S.C. 5060. applicable civil monetary penalty is Penalties Inflation Adjustment Act determined using the percent increase Improvements Act of 2015, which § 1230.400 [Amended] in the Consumer Price Index for all requires CNCS to update its regulations Urban Consumers (CPI–U) for the month ■ 2. Amend § 1230.400 by: based on a prescribed formula, CNCS of October of the year in which the ■ a. In paragraphs (a), (b), and (e), has no discretion in the nature or amount of each civil money penalty was removing ‘‘$20,134’’ and adding, in its amount of the change to the civil most recently established or modified. place, ‘‘$20,489’’ each place it appears. monetary penalties. Therefore, notice In the December 16, 2019, OMB Memo ■ b. In paragraphs (a), (b), and (e), for the Heads of Executive Agencies and and comment for these proscribed updates is impracticable and removing ‘‘$201,340’’ and adding, in its Departments, M–20–05, Implementation place, ‘‘$204,892’’ each place it appears. of Penalty Inflation Adjustments for unnecessary. As an interim final rule, 2020, Pursuant to the Federal Civil no further regulatory action is required Appendix A to Part 1230 [Amended] Penalties Inflation Adjustment Act for the issuance of this legally binding Improvements Act of 2015, OMB rule. If you would like to provide ■ 3. Amend appendix A to part 1230 by: published the multiplier for the technical comments, however, they may ■ a. Removing ‘‘$20,134’’ and adding, in required annual adjustment. The cost- be submitted until January 27, 2020. its place, ‘‘$20,489’’ each place it of-living adjustment multiplier for 2020, appears. B. Review Under Procedural Statutes based on the CPI–U for the month of ■ and Executive Orders b. Removing ‘‘$201,340’’ and adding, October 2019, not seasonally adjusted, in its place, ‘‘$204,892’’ each place it is 1.01764. CNCS has determined that making appears. CNCS identified two civil penalties in technical changes to the amount of civil its regulations: (1) The penalty monetary penalties in its regulations PART 2554—PROGRAM FRAUD CIVIL associated with Restrictions on does not trigger any requirements under REMEDIES ACT REGULATIONS Lobbying (45 CFR 1230.400) and (2) the procedural statutes and Executive penalty associated with the Program ■ Orders that govern rulemaking 4. The authority citation for part 2554 Fraud Civil Remedies Act (45 CFR continues to read as follows: procedures. 2554.1). Authority: Pub. L. 99–509, Secs. 6101– The civil monetary penalties related V. Effective Date 6104, 100 Stat. 1874 (31 U.S.C. 3801–3812); to Restrictions on Lobbying (Section 42 U.S.C. 12651c-12651d. 319, Pub. L. 101–121; 31 U.S.C. 1352) This rule is effective January 15, 2020. range from $20,134 to $201,340. Using The adjusted civil penalty amounts § 2554.1 [Amended] apply to civil penalties assessed on or the 2020 multiplier, the new range of ■ 5. Amend § 2554.1 by removing after January 15, 2020, when the possible civil monetary penalties is from ‘‘$11,463’’ in paragraph (b) and adding, violation occurred after November 2, $20,489 to $204,892. in its place, ‘‘$11,665.’’ The Program Fraud Civil Remedies 2015. If the violation occurred prior to Act of 1986 (Pub. L. 99–509) civil November 2, 2015, or a penalty was Dated: December 18, 2019. monetary penalty has an upper limit of assessed prior to August 1, 2016, the Timothy Noelker, $11,463. Using the 2020 multiplier, the pre-adjustment civil penalty amounts in General Counsel. new upper limit of the civil monetary effect prior to August 1, 2106, will [FR Doc. 2019–27669 Filed 12–23–19; 8:45 am] penalty is $11,665. apply. BILLING CODE 6050–28–P
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DEPARTMENT OF COMMERCE South Carolina (which is a line comment pursuant to 5 U.S.C. 553(b)(B) extending in a direction of 135°34′55″ as such procedures are unnecessary and National Oceanic and Atmospheric from true north beginning at 33°51′07.9″ contrary to the public interest. Such Administration N lat. and 78°32′32.6″ W long. to the procedures are unnecessary because the intersection point with the outward rules implementing the commercial 50 CFR Part 622 boundary of the EEZ) to the border of quotas and trip limits have already been Miami-Dade and Monroe Counties, subject to notice and comment, and all [Docket No. 140819687–5583–02; RTID ° ′ ″ 0648–XS020] Florida (at 25 20 24 N lat.). that remains is to notify the public of The southern zone commercial quota the trip limit reduction. Coastal Migratory Pelagic Resources for Atlantic Spanish mackerel is Prior notice and opportunity for of the Gulf of Mexico and Atlantic 2,667,330 lb (1,209,881 kg). Seasonally public comment is contrary to the Region; 2019–2020 Commercial Trip variable trip limits are based on an public interest, because any delay in the Limit Reduction for Spanish Mackerel adjusted commercial quota of 2,417,330 trip limit reduction of the commercial in the Atlantic Southern Zone lb (1,096,482 kg). The adjusted harvest could result in the commercial commercial quota is calculated to allow quota being exceeded. There is a need AGENCY: National Marine Fisheries continued harvest in the southern zone to immediately implement this action to Service (NMFS), National Oceanic and at a set rate for the remainder of the protect the Atlantic Spanish mackerel Atmospheric Administration (NOAA), current fishing year, through February resource, because the capacity of the Commerce. 29, 2020, in accordance with 50 CFR fishing fleet allows for rapid harvest of ACTION: Temporary rule; trip limit 622.385(b)(2). the commercial quota. Prior notice and reduction. As specified at 50 CFR opportunity for public comment would 622.385(b)(1)(ii)(B), after 75 percent of require additional time and could SUMMARY: NMFS reduces the the adjusted commercial quota of potentially result in a harvest well in commercial trip limit of Atlantic Atlantic Spanish mackerel is reached or excess of the established commercial migratory group Spanish mackerel in is projected to be reached, Atlantic quota. the southern zone of the Atlantic Spanish mackerel in or from the EEZ in For the aforementioned reasons, the exclusive economic zone (EEZ) to 1,500 the southern zone may not be possessed AA also finds good cause to waive the lb (680 kg) in round or gutted weight per on board or landed from a vessel that 30-day delay in effectiveness of this day. This commercial trip limit has been issued a Federal permit for action under 5 U.S.C. 553(d)(3). reduction is necessary to maximize the Atlantic Spanish mackerel in amounts Authority: 16 U.S.C. 1801 et seq. socioeconomic benefits of the fishery. exceeding 1,500 lb (680 kg) per day. Dated: December 18, 2019. DATES: This temporary rule is effective NMFS has determined that 75 percent from 6 a.m. eastern time on December of the adjusted commercial quota for Jennifer M. Wallace, 24, 2019, until 12:01 a.m. eastern time Atlantic Spanish mackerel has been Acting Director, Office of Sustainable on March 1, 2020. reached. Accordingly, the commercial Fisheries, National Marine Fisheries Service. [FR Doc. 2019–27723 Filed 12–19–19; 4:15 pm] FOR FURTHER INFORMATION CONTACT: trip limit of 1,500 lb (680 kg) per day Mary Vara, NMFS Southeast Regional applies to Atlantic Spanish mackerel BILLING CODE 3510–22–P Office, telephone: 727–824–5305, or harvested in or from the EEZ in the email: [email protected]. southern zone effective from 6 a.m. eastern time on December 24, 2019, DEPARTMENT OF COMMERCE SUPPLEMENTARY INFORMATION: The until 12:01 a.m. eastern time on March fishery for coastal migratory pelagic fish 1, 2020, unless changed by subsequent National Oceanic and Atmospheric in the Atlantic includes king mackerel, notification in the Federal Register. Administration Spanish mackerel, and cobia on the east coast of Florida, and is managed under Classification 50 CFR Part 660 the Fishery Management Plan for the The Regional Administrator for the [Docket No. 191106–0077] Coastal Migratory Pelagic Resources of NMFS Southeast Region has determined the Gulf of Mexico and Atlantic Region this temporary rule is necessary for the RIN 0648–BI89 (FMP). The FMP was prepared by the conservation and management of Gulf of Mexico and South Atlantic Magnuson-Stevens Act Provisions; Atlantic Spanish mackerel and is Fisheries Off West Coast States; Fishery Management Councils and is consistent with the Magnuson-Stevens implemented by NMFS under the Pacific Coast Groundfish Fishery; Act and other applicable laws. Pacific Fishery Management Plan; authority of the Magnuson-Stevens This action is taken under 50 CFR Amendment 28; Correction Fishery Conservation and Management 622.385(b)(1)(ii)(B) and is exempt from Act (Magnuson-Stevens Act) by review under Executive Order 12866. AGENCY: National Marine Fisheries regulations at 50 CFR part 622. All These measures are exempt from the Service (NMFS), National Oceanic and weights described for the Atlantic procedures of the Regulatory Flexibility Atmospheric Administration (NOAA), migratory group of Spanish mackerel Act, because the temporary rule is Commerce. (Atlantic Spanish mackerel) apply as issued without opportunity for prior ACTION: Final rule; correction either round or gutted weight. notice and opportunity for comment. For management purposes, the This action responds to the best SUMMARY: NMFS published a final rule commercial sector of Atlantic Spanish scientific information available. The that implemented Amendment 28 to the mackerel is divided into northern and Assistant Administrator for NOAA Pacific Coast Groundfish Fishery southern zones. The southern zone Fisheries (AA) finds that the need to Management Plan in the Federal consists of Federal waters off South immediately reduce the trip limit for the Register on November 19, 2019 (84 FR Carolina, Georgia, and the east coast of commercial sector for Atlantic Spanish 63966). The final rule changed Florida. The southern zone boundaries mackerel constitutes good cause to boundaries of closed areas that affect for Atlantic Spanish mackerel extend waive the requirements to provide prior commercial vessels fishing under the from the border of North Carolina and notice and the opportunity for public Pacific Coast Groundfish Fishery
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Management Plan with bottom Federal Register Correction § 660.79 [Corrected] contacting gear in Federal waters off of Effective January 1, 2020, in rule (f) * * * Washington, Oregon, and California. document 2019–24684 at 84 FR 63966 (22) 40°32.68′ N lat., 125°05.63′ W in the issue of November 19, 2019: DATES: Effective January 1, 2020. long.; ■ 1. On page 63977, in the second FOR FURTHER INFORMATION CONTACT: column, in amendatory instruction 12, Authority: 16 U.S.C. 1801 et seq., 16 Gretchen Hanshew, West Coast Region, paragraph (e)(5) is corrected to read as U.S.C. 773 et seq., and 16 U.S.C. 7001 et seq. NMFS, 7600 Sand Point Way NE, follows: Dated: December 18, 2019. Seattle, WA 98115, phone: 206–526– Samuel D. Rauch III, 6147, or email: Gretchen.Hanshew@ § 660.78 [Corrected] noaa.gov. (e) * * * Deputy Assistant Administrator for (5) 46°00.83′ N lat., 124°36.78′ W Regulatory Programs, National Marine SUPPLEMENTARY INFORMATION: long.; Fisheries Service. ■ 2. On page 63979, in the third column, [FR Doc. 2019–27657 Filed 12–23–19; 8:45 am] in amendatory instruction 14, paragraph BILLING CODE 3510–22–P (f)(22) is corrected to read as follows:
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Proposed Rules Federal Register Vol. 84, No. 247
Thursday, December 26, 2019
This section of the FEDERAL REGISTER including any personal information Federal workforce as the proposed rules contains notices to the public of the proposed provided. Please ensure your comments seeks to encourage individuals who issuance of rules and regulations. The are submitted within the specified open have gained additional skills and purpose of these notices is to give interested comment period. Comments received experiences to reenter the Federal persons an opportunity to participate in the after the close of the comment period workforce at grade levels equal to the rule making prior to the adoption of the final rules. will be marked ‘‘late,’’ and OPM is not grade levels they actually qualify for, required to consider them in not for grade levels they previously formulating a final decision. Before qualified for. Any restriction on the OFFICE OF PERSONNEL acting on this proposal, OPM will promotion potential of the position may MANAGEMENT consider all comments we receive on or be a disincentive to attracting needed before the closing date for comments. talent with the desired skills and/or 5 CFR Part 335 Changes to this proposal may be made experience. In order to qualify for this in light of the comments we receive. RIN 3206–AN77 type of reinstatement the individual FOR FURTHER INFORMATION CONTACT: must meet the following criteria: Promotion and Internal Placement Michelle Glynn, Telephone: 202–606– (1) Been voluntarily separated from 1571, Fax: 202–606–2329, TDD: 202– his or her most recent career or career- AGENCY: Office of Personnel 418–3134, or email: michelle.glynn@ conditional appointment for at least 1 Management. opm.gov. year, and ACTION: Proposed rule with request for SUPPLEMENTARY INFORMATION: (2) Received a rating of record for his comments. or her most recent career or career- Summary of the Proposed Changes conditional position of at least Fully SUMMARY: The Office of Personnel The U.S. Office of Personnel Successful (or equivalent). Management (OPM) is proposing Management (OPM) is exercising its OPM is proposing that individuals regulations to give agencies the authority under 5 U.S.C. 3301 and 3302 who voluntarily separate must wait 1 discretion to reinstate certain former in proposing to revise part 335, title 5, year to be eligible for a higher-graded Federal employees without competition Code of Federal Regulations (CFR), to position under this authority in order to to positions at any grade level for which change the criteria for how an agency provide consistency with the general the individual is qualified. Agencies may reinstate certain former Federal qualification requirements for will have greater flexibility in recruiting employees to a position in the advancement to a higher grade. OPM’s back to Government service former competitive service. Under current government-wide qualification Federal employees who have developed rules, an agency may reinstate an standards require that competitive enhanced or higher-level skill-sets than individual, without competition, only to service employees have 1 year of they had when they left government. a position at a grade level that is no specialized experience before being Individuals seeking to rejoin the Federal higher than the grade level of a position promoted to the next highest grade workforce may do so more easily and at the individual held on a permanent level. The proposed 1-year requirement grade levels commensurate with the basis in the competitive service. will prevent situations in which skills and experience they actually Reinstatement to a higher-graded employees seeking a promotion quit and possess (and be compensated at such position, or to a position with greater get reinstated to a higher-graded grade levels). promotion potential, requires position (in essence a promotion) prior DATES: Comments must be received on competition under 5 CFR part 335 to meeting the specialized experience or before February 24, 2020. Promotion and Internal Placement. requirement. Thus, the proposed rules ADDRESSES: You may submit comments, Oftentimes, when an individual benefit both Federal agencies and identified by the docket number or leaves Federal service, he or she former Federal employees seeking Regulation Identifier Number (RIN) for acquires skills and/or experience that reemployment with the government at a this proposed rulemaking, by any of the may qualify the individual for a position level commensurate with each following methods: at a higher grade level than the one the individual’s actual skill and/or • Federal eRulemaking Portal: http:// individual held prior to leaving experience level, while preserving a www.regulations.gov. Follow the government. The proposed rules place measure of fairness with respect to instructions for sending comments. these reinstatement actions under current employees. • Email: [email protected]. Include discretionary actions at 5 CFR OPM is proposing that individuals the docket number or RIN in the subject 335.103(c)(3). The proposed rules allow who did not receive a rating of record line of the message. an agency to reinstate a former career or for his or her most recent career or Instructions: All submissions must career-conditional employee without career-conditional position of at least include the agency name and docket competition, and regardless of the Fully Successful (or equivalent) are not number or RIN for this rulemaking. promotion potential, to a position at a eligible for reinstatement without Please arrange and identify your grade level higher than that previously competition under this rule because if comments on the regulatory text by held by that individual to provide the individual was not performing to subpart and section number; if your greater flexibility to agencies when they expectations at the time s/he left Federal comments relate to the supplementary need to reinstate a former Federal service, that rationale for liberalizing the information, please refer to the heading employee. The proposed changes will rules for re-entry would not be present, and page number. All comments benefit both agencies as well as and we would want agencies to put the received will be posted without change, individuals seeking to reenter the candidate through a more rigorous
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process to accurately evaluate current alternatives and, if regulation is requirement of 5 U.S.C. 801 does not capabilities before hiring the individual necessary, to select regulatory apply. again. An individual whose most recent approaches that maximize net benefits Paperwork Reduction Act evaluation was less than Fully (including potential economic, Successful would have been headed for environmental, public health and safety This rule does not impose any new potential demotion or termination if s/ effects, distributive impacts, and reporting or record-keeping he had remained. equity). Executive Order 13563 requirements subject to the Paperwork For individuals who resigned and did emphasizes the importance of Reduction Act. not wait 1 year or more before applying quantifying both costs and benefits, of for reinstatement, or for individuals reducing costs, of harmonizing rules, List of Subjects in 5 CFR Part 335 who did not receive a rating of record and of promoting flexibility. This rule Government employees. for his or her most recent career or has been designated a ‘‘significant career-conditional position of at least regulatory action,’’ under Executive Office of Personnel Management Fully Successful (or equivalent), the Order 12866 and has been reviewed by Alexys Stanley, proposed rule will require competition OMB. Regulatory Affairs Analyst. for higher graded positions, or positions with greater promotion potential. Executive Order 13771, Reducing Accordingly, OPM proposed to amend However, the individuals remain Regulation and Controlling Regulatory 5 CFR part 335 as follows: eligible for reinstatement without Costs * * * * * competition for positions with no higher This proposed rule is not expected to grade or with no more promotion be subject to the requirements of E.O. PART 335—PROMOTION AND potential than a position previously 13771 (82 FR 9339, February 3, 2017) INTERNAL PLACEMENT held by the individual on a permanent because this proposed rule is expected basis in the competitive service. to be related to agency organization, ■ 1. The authority citation for part 335 The specific proposed changes are as management, or personnel. continues to read as follows: follows: E.O. 13132, Federalism Authority: 5 U.S.C. 2301, 2302, 3301, OPM is proposing to modify current 3302, 3330; E.O. 10577, E.O. 11478, 3 CFR § 335.103(c)(1)(vi), by requiring This regulation will not have 1966–1970, Comp., page 803, unless competition under this part for an substantial direct effects on the States, otherwise noted, E.O. 13087; and E.O. 13152, individual seeking reinstatement, on the relationship between the 3 CFR 19554–58 Comp., p.218; 5 U.S.C. within 1 calendar year from the date of National Government and the States, or 3304(f), and Pub. L. 106–117. his or her separation, to a position at a on distribution of power and Subpart A—General Provisions higher grade level or promotion responsibilities among the various levels of government. Therefore, in potential than previously held, or for an ■ 2. In § 335.103, revise paragraph accordance with Executive Order 13132, individual who did not receive a rating (c)(1)(vi) and add paragraph (c)(3)(viii) it is determined that this rule does not of record of Fully Successful (or to read as follows: equivalent). have sufficient federalism implications New paragraph § 335.103(c)(3)(viii) to warrant preparation of a Federalism § 335.103 Agency promotion programs. creates as a discretionary action that is Assessment. * * * * * not subject to competitive procedures E.O. 12988, Civil Justice Reform (c) * * * reinstatement to a position at a higher grade level or promotion potential than This regulation meets the applicable (1) * * * previously held provided the individual standard set forth in section 3(a) and (vi) Reinstatement to a permanent or resigned 1 year or more prior to the date (b)(2) of Executive Order 12988. temporary position at a higher grade or he or she applies for reinstatement, and Unfunded Mandates Reform Act of with more promotion potential than a that the individual received a rating of 1995 position previously held on a record for his or her most recent career permanent basis in the competitive or career-conditional position of at least This rule will not result in the service if the individual did not wait 1 Fully Successful (or equivalent). expenditure by state, local, and tribal year or more after separating from OPM is proposing these changes governments, in the aggregate, or by the Federal employment before applying for under Civil Service Rules II and VII, private sector, of $100 million or more reinstatement, or did not receive a rating codified at 5 CFR parts 2 and 7, to in any year and it will not significantly of record for his or her most recent establish and administer a system that or uniquely affect small governments. career or career-conditional position of provides for career appointments for Therefore, no actions were deemed at least Fully Successful (or equivalent). necessary under the provisions of the former employees eligible for career * * * * * appointment upon reinstatement. Unfunded Mandates Reform Act of 1995. (viii) Reinstatement in accordance Regulatory Flexibility Act with 5 CFR part 315 to any position in Congressional Review Act I certify that this regulation will not the competitive service for which the have a significant impact on a This action pertains to agency individual is qualified at a higher grade substantial number of small entities management, personnel and level or with more promotion potential because it applies only to Federal organization and does not substantially than a career or career-conditional agencies and employees. affect the rights or obligations of position previously held by the nonagency parties and, accordingly, is individual; provided,—the individual E.O. 13563 and E.O. 12866, Regulatory not a ‘‘rule’’ as that term is used by the has been voluntarily separated for at Review Congressional Review Act (Subtitle E of least 1 year before being reinstated, and Executive Orders 13563 and 12866 the Small Business Regulatory the individual must have received a direct agencies to assess all costs and Enforcement Fairness Act of 1996 rating of record for his or her most benefits of available regulatory (SBREFA)). Therefore, the reporting recent career or career-conditional
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position of at least Fully Successful (or SUPPLEMENTARY INFORMATION: On June 6, We propose to define the term SELRP equivalent). 2018, section 303 of Public Law 115– to mean the Specialty Education Loan * * * * * 182, the John S. McCain III, Daniel K. Repayment Program established in [FR Doc. 2019–27715 Filed 12–23–19; 8:45 am] Akaka, and Samuel R. Johnson VA §§ 17.525 through 17.530. BILLING CODE 6325–39–P Maintaining Internal Systems and To define the term State, we would Strengthening Integrated Outside refer to 38 U.S.C. 101(20), or a political Networks Act of 2018, or the VA subdivision of such a State. We propose DEPARTMENT OF VETERANS MISSION Act of 2018, amended title 38 to provide this definition to inform the AFFAIRS of the United States Code (U.S.C.) by potential participant where the period establishing new sections 7691 through of obligated service would be 38 CFR Part 17 7697 and created a new student loan performed. repayment program known as the We would also define the term ‘‘VA’’ RIN 2900–AQ63 Specialty Education Loan Repayment to mean the Department of Veterans Affairs. Specialty Education Loan Repayment Program (SELRP). The SELRP would Program serve as an incentive for physicians 17.527 Eligibility starting or currently in residency Proposed § 17.527 would establish the AGENCY: Department of Veterans Affairs. programs in medical specialties for eligibility criteria for participants of the ACTION: Proposed rule. which VA has determined that SELRP. Proposed paragraph (a) would recruitment and retention of qualified state that to be eligible to participate in SUMMARY: The Department of Veterans personnel is difficult to work for VA at the SELRP, an individual will be Affairs (VA) proposes to amend its VA facilities that need more physicians eligible for appointment under 38 U.S.C. regulations that govern scholarship with that medical specialty after the 7401 to work as a physician in a programs to certain health care individual completes their residency medical specialty for which VA professionals. This rulemaking would program. VA would determine the implement the mandates of the VA determines that recruitment or retention anticipated needs for medical of qualified personnel is difficult. We MISSION Act of 2018 by establishing a specialties during a period of two to six Specialty Education Loan Repayment would add that in determining staffing years in the future. In taking this needs, VA will consider the anticipated Program, which would assist VA in proactive approach, VA would meeting the staffing needs of VA needs of VA for a period of two to six commence recruitment for physicians in years in the future, and utilize staffing physicians in medical specialties for these specialties before the projected which VA has determined that shortage occupation, vacancy data, and need to help ensure adequate health national health care workforce and other recruitment or retention of qualified care coverage for VA beneficiaries. This personnel is difficult. relevant data in such determinations. proposed rule would establish the VA will publish these vacancies in a DATES: Comments must be received on requirements for the SELRP in proposed notice in the Federal Register on a or before February 24, 2020. 38 CFR 17.525 through 17.531. yearly basis until vacancies are filled. ADDRESSES: Written comments may be 17.525 Purpose Although sections 7691 to 7697 do not submitted through http:// provide for how VA would publish the www.Regulations.gov; by mail or hand- Proposed § 17.525 would establish the vacancies or the frequency of such delivery to: Director, Office of purpose of the SELRP. We would state publications, we believe that adding Regulation Policy and Management that the SELRP is an incentive program these requirements via regulation would (00REG), Department of Veterans for certain individuals to meet VA’s provide for transparency in VA’s needs. Affairs, 810 Vermont Ave. NW, Room need for physicians in medical See Public Law 115–182, Title III, 1064, Washington, DC 20420; or by fax specialties for which VA determines § 303(f). The individual must also owe to (202) 273–9026. (This is not a toll-free that recruitment and retention of any amount of principal or interest for telephone number.) Comments should qualified personnel is difficult. We an educational loan where the proceeds indicate that they are submitted in would also state that assistance under were used by or on behalf of the response to ‘‘RIN 2900–AQ63— the SELRP may be in addition to other individual to pay costs relating to a Specialty Education Loan Repayment assistance available to individuals course of medical education or training Program.’’ Copies of comments received under the Educational Assistance that leads to employment as a will be available for public inspection in Program under 38 U.S.C. 7601. This physician. Lastly, the individual must the Office of Regulation Policy and section would be in alignment with 38 have graduated from an accredited Management, Room 1063B, between the U.S.C. 7691 and 7692. medical or osteopathic school and hours of 8 a.m. and 4:30 p.m., Monday 17.526 Definitions matched to an accredited residency through Friday (except holidays). Please program in a medical specialty call (202) 461–4902 for an appointment. Proposed § 17.526 would be the designated by VA; or [is] a physician in (This is not a toll-free telephone definitions section applicable to training with more than 2 years number.) In addition, during the §§ 17.525 through 17.530. The term remaining in such training. These comment period, comments may be educational loan is defined in § 17.641 requirements are stated in 38 U.S.C. viewed online through the Federal for the Program for the Repayment of 7693. Docket Management System (FDMS) at Educational Loans for Certain VA Proposed paragraph (b) would http://www.Regulations.gov. Psychiatrists (PREL). We would use this provide for instances where an FOR FURTHER INFORMATION CONTACT: definition, with minimal edits by individual applies for the SELRP before Whitney Henderson, Manager, eliminating references to the PREL, to there is a posting of a residency match Education Loan Repayment Services, state that the term applies to the SELRP, for the individual’s medical specialty. 810 Vermont Avenue NW, Washington, to maintain consistency in application See section 303(e) of the VA MISSION DC 20420, [email protected], of similar VA scholarship programs and Act of 2018. We would state that an (501) 918–3256. (This is not a toll-free to ease the implementation of such applicant may apply for the SELRP number.) programs by VA personnel. before receiving a residency match
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during the applicant’s senior year of of reference from the Program Director payment provision in § 17.645(b) for the medical or osteopathic school. We of the core program in which the SELRP in proposed paragraph would add that Once the applicant is applicant is training, which indicates § 17.529(b) with one minor edit. We matched with a residency specialty that the applicant is in good to excellent would change the term depending on stated in § 17.525 and upon selection of standing, or, for individuals who have the acceptance of conditions to the SELRP, VA must offer the applicant yet to initiate training, a letter of depending on the terms of the participation in the SELRP no later than reference from a facility member or agreement to maintain consistency in 28 days after the applicant is matched dean. Proposed paragraphs terminology in the SELRP. with the residency; and VA has § 17.528(b)(2) and (b)(3) would restate Proposed paragraph § 17.529(c) would published the residency in a Notice in § 17.643(b)(2) and (b)(3) with minor provide for a waiver of the maximum the Federal Register. Such notices are edits to apply to the SELRP. We would amount of repayment of the applicant’s published on a yearly basis until state that references include one or more educational loans under certain vacancies are filled. Although section letters of reference from faculty circumstances. We would state that a 7691 does not provide for how VA members under which the applicant waiver may be available if VA would publish the residencies or the trained; and one letter of reference from determines that there is a shortage of frequency of such publications, we a peer colleague who is familiar with qualified employees due to either the believe that adding these requirements the practice and character of the location of where the participant will via regulation would provide for applicant. serve the period of obligated service or transparency in VA’s needs. Proposed paragraph § 17.528(c) would due to the requirements of the position Proposed paragraph (c) would state state what constitutes as a personal (medical specialty) that the participant the order of preference for VA to select statement for purposes of the SELRP. will hold in VA. Proposed § 17.529(c) participants to the SELRP. This order of We would restate § 17.643(c). We would would include the caveat that the preference would reflect medically edit current § 17.643(c)(1)(ii) by waiver may not exceed the actual underserved locations where VA has requesting that the applicant provide amount of the principal and the interest identified a shortage of physicians. We their interest in working at a particular on the participant’s loans payable to or would state that VA would give medical specialty and underserved area. for that participant. This proposed preference to eligible participants who This would facilitate placement of the paragraph (c) would be in alignment are, or will be, participating in individual in an underserved location with 38 U.S.C. 7694(c)(2). residency programs in health care that holds interest to the applicant and 17.530 Agreement and Obligated facilities that are: Located in rural areas; for which VA has a vacancy in the Service Operated by Indian tribes, tribal medical specialty. We would not restate organizations, or the Indian Health current § 17.643(c)(2)(i) because the Proposed § 17.530 would contain the Services; or Are affiliated with applicant may participate in any requirements in the agreement that an underserved health care facilities of VA. program under 38 U.S.C. 7601. We applicant must sign and the terms of VA would also give preference to would also make one minor edit in from obligated services that are required as eligible individuals who are veterans. current § 17.643(c)(2)(ii) in proposed participants of the SELRP. As a Proposed paragraph (c) would be in paragraph (c)(2)(i) to state that the condition of participating in the SELRP, alignment with 38 U.S.C. 7693(b). covered loan must be specific to and participant must agree, in writing, education that was required, used, and to the conditions stated in proposed 17.528 Application qualified the applicant for appointment paragraph (a). These conditions are a Section 303 of the VA MISSION Act as a physician. restatement of 38 U.S.C. 7696(a). We of 2018 did not establish an application would state that a participant must procedure for the SELRP. To maintain 17.529 Award Procedures obtain a license to practice medicine in consistency in the application process Proposed § 17.529 would state the a State; Successfully complete post- of similar VA scholarship programs and award procedures for the SELRP. graduate training leading to eligibility to ease the implementation such Proposed paragraph § 17.529(a) would for board certification in a medical programs by VA personnel, we would state the repayment amount for the specialty; Serve as a full-time clinical mirror proposed § 17.528 to current educational loan. We would state in practice employee of VA for 12 months § 17.643, Application for the Program paragraph (a)(1) that VA may pay no for every $40,000.00 that the participant for Repayment of Educational Loans for more than $40,000 in educational loan receives payment for the SELRP, Certain VA Psychiatrists (PREL.) repayment for each year of obligated however, the participant must serve for Consistent with § 17.643(a), proposed service for a period not to exceed four a period of no fewer than 24 months; paragraph § 17.528(a) would state that a years for a total payment of $160,000.00. and Except as provided in paragraph (b) complete application for the SELRP The yearly amount may depend on the of this section, begin obligated service consists of a completed application total amount of the educational loan of as a full-time VA employee no later than form, letters of reference, and personal the individual. We would add in 60 days after completing residency in statement. proposed paragraph (a)(2) that an the medical specialty described in Proposed paragraph § 17.528(b) would educational loan repayment may not § 17.527(a)(1). state what documents qualify as letters exceed the actual amount of principal Section 303 of the VA MISSION Act of reference. These documents would be and interest on an educational loan or of 2018 did not provide a provision for those stated in § 17.643(a), however, we loans. Proposed paragraph (a) would be when the participant’s obligated service would not include as a reference a letter in alignment with 38 U.S.C. 7694. would begin. We believe that from the Program Director for the Section 303 of the VA MISSION Act establishing such provision via specialty in which the applicant is of 2018 did not contain a provision for regulation would be helpful to the training, as stated in § 17.643(b)(1), the payment of the SELRP. To maintain applicant in knowing the expectations because an applicant for the SELRP consistency in the application processes of the SELRP up front. We would mirror cannot apply during their fellowship. for similar VA scholarship programs proposed paragraph § 17.530(b)(1) to We would state in proposed paragraph and to ease the implementation of such § 17.646(a) by stating that a participant’s (b)(1) that a reference includes one letter programs by VA, we would mirror the obligated service will begin on the date
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on which the participant begins full- months, but only served 12 months and Room 1064, Washington, DC 20420; fax time, permanent employment with VA agreed to receive an amount of $80,000 to (202) 273–9026; or through in the field of medicine in a location for 24 months of obligated service, the www.Regulations.gov. Comments determined by VA. Obligated service total amount owed would be calculated should indicate that they are submitted must be full-time, permanent as follows: A = 80,000 × ((24 ¥ 12) ÷ in response to ‘‘RIN 2900–AQ63— employment and does not include any 24)), total amount owed the Federal Specialty Education Loan Repayment period of temporary or contractual Government would be $40,000. Program.’’ employment. OMB is required to make a decision Effect of Rulemaking Proposed paragraph (b)(2) would concerning the collections of restate 38 U.S.C. 7695 with minor edits. The Code of Federal Regulations, as information contained in this proposed We would state that participants of the proposed to be revised by this proposed rule between 30 and 60 days after SELRP may select from a list of VA rulemaking, would represent the publication of this document in the medical facilities provided by VA to exclusive legal authority on this subject. Federal Register. Therefore, a comment serve the period of obligated service. In No contrary rules or procedures would to OMB is best assured of having its full alignment with similar scholarship be authorized. All VA guidance would effect if OMB receives it within 30 days programs, we would add that VA be read to conform with this proposed of publication. This does not affect the reserves the right to make final rulemaking if possible or, if not deadline for the public to comment on decisions on the location and position possible, such guidance would be the proposed rule. of the obligated service. See 38 CFR superseded by this rulemaking. VA considers comments by the public 17.646(c). VA believes that is necessary Paperwork Reduction Act on proposed collections of information to reserve the right to make final in— decisions on the location to achieve the The Paperwork Reduction Act of 1995 • Evaluating whether the proposed intent of the VA Mission Act of 2018. (44 U.S.C. 3507(d)) requires that VA collections of information are necessary VA must be able to have control over consider the impact of paperwork and for the proper performance of the where it places the individuals to other information collection burdens functions of VA, including whether the ensure VA beneficiaries’ health care imposed on the public. According to the information will have practical utility; needs are met in locations that are 1995 amendments to the Paperwork • Evaluating the accuracy of VA’s within close proximity of the Reduction Act (5 CFR 1320.8(b)(2)(vi)), estimate of the burden of the proposed beneficiaries’ residence. an agency may not collect or sponsor collections of information, including the Proposed § 17.530(c) would restate 38 the collection of information, nor may it validity of the methodology and U.S.C. 7696(b) with minor edits for impose an information collection assumptions used; clarity. We would state that if a requirement unless it displays a • Enhancing the quality, usefulness, participant receives an accredited currently valid Office of Management and clarity of the information to be fellowship in a medical specialty other and Budget (OMB) control number. This collected; and than the medical specialty described in proposed rule includes provisions • Minimizing the burden of the § 17.527(a)(1), the participant may constituting new collections of collections of information on those who request, in writing, a delayed information under the Paperwork are to respond, including through the commencement of the period of Reduction Act of 1995 that require use of appropriate automated, obligated service until after the approval by the OMB. Accordingly, electronic, mechanical, or other participant completes the fellowship. under 44 U.S.C. 3507(d), VA has technological collection techniques or However, the period of obligated service submitted a copy of this rulemaking other forms of information technology, will begin no later than 60 days after action to OMB for review. e.g., permitting electronic submission of completion of such fellowship in the OMB assigns control numbers to responses. medical specialty described in collections of information it approves. The collections of information § 17.527(a)(1). VA may not conduct or sponsor, and a contained in § 17.528 are described person is not required to respond to, a immediately following this paragraph, 17.531 Failure To Comply With Terms collection of information unless it and Conditions of Agreement under their respective titles. For the displays a currently valid OMB control new proposed collection of information Proposed § 17.531 would state the number. Proposed § 17.528 contains a below, VA used general wage data from consequences for failure to comply with collection of information under the the Bureau of Labor Statistics (BLS) to the terms and conditions of the SELRP. Paperwork Reduction Act of 1995. If estimate the respondents’ costs This proposed section would mirror 38 OMB does not approve the collection of associated with completing the U.S.C. 7696(c) with no edits. We would information as requested, VA will information collection. According to the state that a participant of the SELRP immediately remove the provision latest available BLS data, the mean who fails to satisfy the period of containing a collection of information or hourly wage of full-time wage and obligated service will owe the United take such other action as is directed by salary workers was $101.63 based on the States government an amount OMB. BLS wage code—‘‘29–1069 All × determined by the formula A = B ((T Comments on the collection of Occupations.’’ This information was ¥ ÷ S) T)), where: ‘‘A’’ is the amount information contained in this proposed taken from the following website: the participant owes the United States rule should be submitted to the Office https://www.bls.gov/oes/current/oes_ government; ‘‘B’’ is the sum of all of Management and Budget, Attention: nat.htm (March 2019). payments to or for the participant under Desk Officer for the Department of Title: Specialty Education Loan the SELRP; ‘‘T’’ is the number of months Veterans Affairs, Office of Information Repayment Program. in the period of obligated service of the and Regulatory Affairs, Washington, DC OMB Control No.: 2900–xxxx (new). participant; ‘‘S’’ is the number of whole 20503, with copies sent by mail or hand CFR provision: 38 CFR 17. 528. months of such period of obligated delivery to the Director, Office of Summary of collection of information: service served by the participant. For Regulation Policy and Management The information required determines example, if a participant agrees to a (00REG), Department of Veterans the eligibility or suitability of an period of obligated service of 24 Affairs, 810 Vermont Avenue NW, applicant desiring to participate in the
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SELRP under the provisions of 38 U.S.C. Regulation and Regulatory Review) approved this document on November 7691 through 7697. The purpose of the emphasizes the importance of 5, 2019, for publication. SELRP would be to repay educational quantifying both costs and benefits, Consuela Benjamin, loans to individuals who pursued a reducing costs, harmonizing rules, and program of study leading to a degree in Regulation Development Coordinator, Office promoting flexibility. of Regulation Policy & Management, Office medicine and who are seeking The Office of Management and Budget of the Secretary, Department of Veterans employment in VA. VA considers this has designated this rule is not a Affairs. program as a hiring incentive to meet the staffing needs for physicians in significant regulatory action under For the reasons set forth in the medical specialties for which VA Executive Order 12866. VA’s impact preamble, we propose to amend 38 CFR determines that recruitment and analysis can be found as a supporting part 17 as follows: document at http:// retention of qualified personnel is PART 17—MEDICAL difficult. www.regulations.gov, usually within 48 Description of the need for hours after the rulemaking document is ■ 1. The authority citation for part 17 is information and proposed use of published. Additionally, a copy of the amended to read as follows: rulemaking and its impact analysis are information: The information is needed Authority: 38 U.S.C. 501, and as noted in to apply for the SELRP. VA will use this available on VA’s website at http:// specific sections. information to select qualified www.va.gov/orpm by following the link * * * * * candidates to participate in this for VA Regulations Published from FY Sections 17.525 through 17.531 are also program. 2004 through FYTD. issued under 38 U.S.C. 7691 through 7697. Description of likely respondents: This proposed rule is not expected to * * * * * Potential participants of the SELRP. ■ 2. Adding an undesignated center Estimated number of respondents per be an E.O. 13771 regulatory action heading immediately following § 17.511 month/year: 200 per year. because this proposed rule is not and new §§ 17.525 through 17.531 to Estimated frequency of responses per significant under E.O. 12866. read as follows. month/year: 1 time per year. Unfunded Mandates Estimated average burden per Specialty Education Loan Repayment response: 90 minutes. The Unfunded Mandates Reform Act Program Estimated total annual reporting and of 1995 requires, at 2 U.S.C. 1532, that 17.525 Purpose. recordkeeping burden: 80 hours. agencies prepare an assessment of 17.526 Definitions. Estimated cost to respondents per anticipated costs and benefits before 17.527 Eligibility. year: VA estimates the total cost to all 17.528 Application. issuing any rule that may result in the 17.529 Award procedures. respondents to be $8,130 per year. expenditure by State, local, and tribal Legally, respondents may not pay a 17.530 Agreement and obligated service. governments, in the aggregate, or by the 17.531 Failure to comply with terms and person or business for assistance in private sector, of $100 million or more conditions of agreement. completing the information collection. (adjusted annually for inflation) in any Therefore, there are no expected § 17.525 Purpose. one year. This proposed rule would overhead costs for completing the The purpose of §§ 17.525 through information collection. have no such effect on State, local, and 17.531 is to establish the Specialty tribal governments, or on the private Regulatory Flexibility Act Education Loan Repayment Program sector. (SELRP). The SELRP an incentive The Secretary hereby certifies that Catalog of Federal Domestic Assistance program for certain individuals to meet this proposed rule would not have a VA’s need for physicians in medical significant economic impact on a There are no Catalog of Federal specialties for which VA determines substantial number of small entities as Domestic Assistance numbers and titles that recruitment and retention of they are defined in the Regulatory for this rule. qualified personnel is difficult. Flexibility Act, 5 U.S.C. 601–612. The Assistance under the SELRP may be in provisions associated with this List of Subjects in 38 CFR Part 17 addition to other assistance available to rulemaking are not processed by any Administrative practice and individuals under the Educational other entities outside of VA. Therefore, procedure, Health care, Health facilities, Assistance Program under 38 U.S.C. pursuant to 5 U.S.C. 605(b), this 7601. rulemaking would be exempt from the Health professions, Health records, initial and final regulatory flexibility Medical and dental schools, § 17.526 Definitions. analysis requirements of 5 U.S.C. 603 Scholarships and fellowships, Veterans. The following definitions apply to and 604. Signing Authority §§ 17.525 through 17.530. Educational loan means a loan, Executive Orders 12866, 13563 and The Secretary of Veterans Affairs, or government or commercial, made for 13771 designee, approved this document and educational purposes by institutions Executive Orders 12866 and 13563 authorized the undersigned to sign and that are subject to examination and direct agencies to assess the costs and submit the document to the Office of the supervision in their capacity as lending benefits of available regulatory Federal Register for publication institutions by an agency of the United alternatives and, when regulation is electronically as an official document of States or of the state in which the lender necessary, to select regulatory the Department of Veterans Affairs. has its principal place of business. approaches that maximize net benefits Loans must be for the actual costs paid Pamela Powers, Chief of Staff, (including potential economic, for tuition, and other reasonable Department of Veterans Affairs, environmental, public health and safety educational expenses such as living effects, and other advantages; expenses, fees, books, supplies, distributive impacts; and equity). educational equipment and materials, Executive Order 13563 (Improving and laboratory expenses. Loans must be
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obtained from a government entity, a (2) Owes any amount of principal or (c) Personal statement. The personal private financial institution, a school, or interest for an educational loan where statement must include the following any other authorized entity stated in the proceeds were used by or on behalf documentation: this definition. The following loans do of the individual to pay costs relating to (1) A cover letter that provides the not qualify for the SELRP: a course of medical education or following information: (1) Loans obtained from family training that leads to employment as a (i) Why the applicant is interested in members, relatives, or friends; physician and; VA employment; (2) Loans made prior to, or after, the (3) Is: (ii) The applicant’s interest in individual’s qualifying education; (i) Recently graduated from an working at a particular medical (3) Any portion of a consolidated loan accredited medical or osteopathic specialty and underserved area; that is not specifically identified with school and matched to an accredited (iii) Likely career goals, including the education and purposes for which residency program in a medical career goals in VA; and the SELRP may be authorized, such as specialty designated by VA; or (iv) A brief summary of past home or auto loans merged with (ii) A physician in training with more employment or training and educational loans; than 2 years remaining in such training. accomplishments, including any (4) Loans for which an individual (b) Applicants without a residency particular clinical areas of interest (e.g., incurred a service obligation for match. An applicant may apply for the substance abuse). repayment or agreed to service for future SELRP before receiving a residency (2) The following information must be cancellation; match during the applicant’s senior year provided on a VA form or online (5) Credit card debt; of medical or osteopathic school. Once collection system and is subject to VA (6) Parent Plus Loans; the applicant is matched with a verification: (7) Loans that have been paid in full; residency specialty stated in § 17.525 (i) A summary of the applicant’s (8) Loans that are in default, and upon selection of the SELRP, VA educational debt, which includes the delinquent, not in a current payment must offer the applicant participation in total debt amount and when the debt status, or have been assumed by a the SELRP no later than 28 days after was acquired. The health professional collection agency; (1) The applicant is matched with the debt covered the loan must be specific (9) Loans not obtained from a bank, residency; and to education that was required, used, credit union, savings and loan (2) VA has published the residency in and qualified the applicant for association, not-for-profit organization, a Notice in the Federal Register. Such appointment as a physician. insurance company, school, and other notices are published on a yearly basis (ii) The name of the lending agency financial or credit institution which is until vacancies are filled. that provided the educational loan. subject to examination and supervision (c) Preferences. VA will give (3) A full curriculum vitae. in its capacity as a lending institution preference to eligible participants who: (The Office of Management and by an agency of the United States or of (1) Are, or will be, participating in Budget has approved the information the state in which the lender has its residency programs in health care collection requirements in this section principal place of business; facilities that are: under control number XXXX–XXXX.) (10) Loans for which supporting (i) Located in rural areas; § 17.529 Award procedures. documentation is not available; (ii) Operated by Indian tribes, tribal (11) Loans that have been organizations, or the Indian Health (a) Repayment amount. (1) VA may consolidated with loans of other Services; or pay no more than $40,000 in individuals, such as spouses, children, (iii) Are affiliated with underserved educational loan repayment for each friends, or other family member; or health care facilities of VA. year of obligated service for a period not (12) Home equity loans or other non- (2) Veterans. to exceed four years for a total payment educational loans. of $160,000.00. SELRP means the Specialty Education § 17.528 Application. (2) An educational loan repayment Loan Repayment Program established in (a) General. A complete application may not exceed the actual amount of §§ 17.525 through 17.530. for the SELRP consists of a completed principal and interest on an educational State means a State as defined in 38 application form, letters of reference, loan or loans. U.S.C. 101(20), or a political subdivision and personal statement. (b) Payment. VA will pay the of such a State. (b) References. The applicant must participant, or the lending institution on VA means the Department of Veterans provide the following letters of behalf of the participant, directly for the Affairs. reference and sign a release of principal and interest on the information form for VA to contact such participant’s educational loans. § 17.527 Eligibility. references. The letters of reference Payments will be made monthly or (a) General. An individual must meet should include the following: annually for each applicable service the following requirements to be eligible (1) One letter of reference from the period, depending on the terms of the to participate in the SELRP. Program Director of the core program in agreement. Participants must provide (1) Will be eligible for appointment which the applicant is training, which VA documentation that shows the under 38 U.S.C. 7401 to work as a indicates that the applicant is in good to amounts that were credited or posted by physician in a medical specialty for excellent standing, or, for individuals the lending institution to a participant’s which VA determines that recruitment who have yet to initiate training, a letter educational loan during an obligated or retention of qualified personnel is of reference from a faculty member or service period. VA will issue payments difficult. In determining staffing needs, dean; after the participant commences the VA will consider the anticipated needs (2) One or more letters of reference period of obligated service. Payments of VA for a period of two to six years from faculty members under which the are exempt from Federal taxation. in the future. VA will publish these applicant trained; and (c) Waiver of maximum amount of vacancies in a notice in the Federal (3) One letter of reference from a peer payment. VA may waive the limitations Register on a yearly basis until colleague who is familiar with the under paragraph (a)(1) of this section to vacancies are filled. practice and character of the applicant. participants of the SELRP if VA
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determines that there is a shortage of § 17.531 Failure to comply with terms and restricted by statute. Multimedia qualified employees due to either the conditions of agreement. submissions (audio, video, etc.) must be location of where the participant will A participant of the SELRP who fails accompanied by a written comment. serve the period of obligated service or to satisfy the period of obligated service The written comment is considered the the requirements of the position that the will owe the United States government official comment and should include participant will hold in VA. However, an amount determined by the formula A discussion of all points you wish to the waiver may not exceed the actual = B × ((T¥S) ÷ T)), where: make. The EPA will generally not amount of the principal and the interest (a) ‘‘A’’ is the amount the participant consider comments or comment on the participant’s loans payable to or owes the United States government. contents located outside of the primary for that participant. (b) ‘‘B’’ is the sum of all payments to submission (i.e., on the web, cloud, or or for the participant under the SELRP. other file sharing system). For § 17.530 Agreement and obligated service. (c) ‘‘T’’ is the number of months in the additional submission methods, please (a) General. In addition to any period of obligated service of the contact the person identified in the FOR requirements under section 5379(c) of participant. FURTHER INFORMATION CONTACT section. title 5, a participant in the SELRP must (d) ‘‘S’’ is the number of whole For the full EPA public comment policy, agree, in writing, to the following: months of such period of obligated information about CBI or multimedia (1) Obtain a license to practice service served by the participant. submissions, and general guidance on medicine in a State; [FR Doc. 2019–27511 Filed 12–23–19; 8:45 am] making effective comments, please visit (2) Successfully complete post- BILLING CODE 8320–01–P http://www.epa.gov/dockets/ graduate training leading to eligibility commenting-epa-dockets. Publicly for board certification in a medical available docket materials are available specialty; ENVIRONMENTAL PROTECTION at https://www.regulations.gov or at the (3) Serve as a full-time clinical AGENCY U.S. Environmental Protection Agency, practice employee of VA for 12 months EPA Region 1 Regional Office, Air and for every $40,000.00 that the participant 40 CFR Part 52 Radiation Division, 5 Post Office receives payment through the SELRP, Square—Suite 100, Boston, MA. EPA however, the participant must serve for [EPA–R01–OAR–2019–0513; FRL–10003– requests that if at all possible, you 57–Region 1] a period of no fewer than 24 months; contact the contact listed in the FOR and Air Plan Approval; Connecticut; FURTHER INFORMATION CONTACT section to (4) Except as provided in paragraph Transport State Implementation Plan schedule your inspection. The Regional (b) of this section, begin obligated for the 2008 Ozone Standard Office’s official hours of business are service as a full-time VA employee no Monday through Friday, 8:30 a.m. to later than 60 days after completing AGENCY: Environmental Protection 4:30 p.m., excluding legal holidays. residency in the medical specialty Agency (EPA). FOR FURTHER INFORMATION CONTACT: described in § 17.527(a)(1). ACTION: Proposed rule. Alison C. Simcox, Air Quality Branch, (b) Obligated service. (1) General U.S. Environmental Protection Agency, provision. A participant’s obligated SUMMARY: The Environmental Protection EPA Region 1, 5 Post Office Square— service will begin on the date on which Agency (EPA) is proposing to approve a Suite 100, (Mail code 05–2), Boston, MA the participant begins full-time, State Implementation Plan (SIP) 02109–3912, tel. (617) 918–1684, email permanent employment with VA in the revision submitted by the State of [email protected]. qualifying field of medicine in a Connecticut that addresses the interstate SUPPLEMENTARY INFORMATION: location determined by VA. Obligated transport of air pollution requirements Throughout this document whenever service must be full-time, permanent of the Clean Air Act for the 2008 ozone ‘‘we,’’ ‘‘us,’’ or ‘‘our’’ is used, we mean employment and does not include any national ambient air quality standards EPA. period of temporary or contractual (NAAQS) (i.e., ozone transport SIP). The Table of Contents employment. intended effect of this action is to (2) Location and position of obligated propose approval of the transport SIP as I. Background service. VA will provide SELRP a revision to the Connecticut SIP. This II. EPA’s Evaluation of Connecticut’s participants a list of qualifying medical action is being taken in accordance with Submittal the Clean Air Act. III. Proposed Action facility locations. A participant may IV. Statutory and Executive Order Reviews select a service location from that list. DATES: Written comments must be However, VA reserves the right to make received on or before January 27, 2020. I. Background final decisions on the location and ADDRESSES: Submit your comments, On June 15, 2015, the Connecticut position of the obligated service. identified by Docket ID No. EPA–R01– Department of Energy and (c) Exception to commencement of OAR–2019–0513 at https:// Environmental Protection (CT DEEP) obligated service. If a participant www.regulations.gov, or via email to submitted a revision to its State receives an accredited fellowship in a [email protected]. For comments Implementation Plan (SIP) consisting of medical specialty other than the submitted at Regulations.gov, follow the an interstate transport SIP for the 2008 specialty described in § 17.27(a)(1), the online instructions for submitting ozone NAAQS. This interstate transport participant may request, in writing, a comments. Once submitted, comments SIP, which we are herein proposing to delayed commencement of the period of cannot be edited or removed from approve, was submitted to address the obligated service until after the Regulations.gov. For either manner of infrastructure requirements of section participant completes the fellowship. submission, the EPA may publish any 110(a)(2)(D)(i)(I) of the Clean Air Act However, the period of obligated service comment received to its public docket. (CAA or Act). will begin no later than 60 days after Do not submit electronically any On March 12, 2008, EPA revised the completion of such fellowship in the information you consider to be level of the primary ozone standard medical specialty described in Confidential Business Information (CBI) from 0.08 ppm to 0.075 ppm, based on § 17.527(a)(1). or other information whose disclosure is a three-year average of the annual
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fourth-highest daily maximum 8-hour role with respect to eastern states 3 by several previous rulemakings,6 EPA, average. See 73 FR 16436. Section finalizing an update to the 2011 Cross- working in partnership with states, 110(a)(1) of the CAA requires states to State Air Pollution Rule (2011 CSAPR) established a four-step interstate- submit SIPs to address a new or revised ozone-season program that addresses transport framework to address the NAAQS within three years after good neighbor obligations for the 2008 requirements of the ‘‘good neighbor’’ promulgation of a standard, or within a 8-hour ozone NAAQS (CSAPR Update).4 provision for the ozone NAAQS.7 The shorter period as EPA may prescribe. The CSAPR Update established four steps are: Step 1—identify Section 110(a)(2) lists the elements that statewide nitrogen oxides (NOX) budgets downwind receptors that are expected new SIPs must address, as applicable, for certain affected electricity generating to have problems attaining or including section 110(a)(2)(D)(i), which units (EGUs) in 22 eastern states for the maintaining the NAAQS; step 2— pertains to interstate transport of certain May through September ozone season to determine which upwind states emissions. reduce the interstate transport of ozone contribute enough to these identified Section 110(a)(2)(D)(i) identifies four pollution in the eastern United States, downwind air quality problems to elements related to the evaluation of and, thereby, help downwind states and warrant further review and analysis; impacts of interstate transport of air communities meet and maintain the step 3—identify the emissions pollutants; in this rulemaking, we are 2008 8-hour ozone NAAQS. See 81 FR reductions necessary to prevent an addressing the first two elements; EPA 74506. The rule also determined that identified upwind state from addressed all other infrastructure SIP emissions from 14 states (including contributing significantly to those elements under section 110(a)(2) for Connecticut) would not significantly downwind air quality problems; and Connecticut for the 2008 8-hour ozone contribute to nonattainment or interfere 1 step 4—adopt permanent and NAAQS in separate rulemakings. with maintenance of the 2008 ozone enforceable measures needed to achieve Specifically, the portions that we are NAAQS in downwind states. those emissions reductions. proposing to approve pertain to section Accordingly, EPA determined that it did To apply the first and second steps of 110(a)(2)(D)(i)(I): (1) Significant not need to require further emission the four-step interstate-transport contribution to nonattainment of the reductions from sources in those states framework to the 2008 ozone NAAQS, ozone NAAQS in any other state to address the good neighbor provision EPA evaluated modeling projections for (commonly called ‘‘prong 1’’); and (2) as to the 2008 ozone NAAQS. Id. air-quality monitoring sites in 2017 and interference with maintenance of the A recent ruling by the United States considered current (at the time) ozone ozone NAAQS (commonly called Court of Appeals for the District of monitoring data at these sites to identify ‘‘prong 2’’) by any other state. These two Columbia Circuit in Wisconsin v. EPA, receptors 8 anticipated to have problems provisions (or ‘‘prongs’’) are commonly 938 F.3d 303 (D.C. Cir. 2019) upheld attaining or maintaining the 2008 ozone referred to as the ‘‘good neighbor’’ certain aspects of the CSAPR Update NAAQS. Next, EPA used air-quality provisions of the CAA. The first and remanded others to EPA but did not modeling to assess contributions from provision requires that a state’s SIP for vacate the rule. Our proposed approval upwind states to these downwind a new or revised NAAQS contain of Connecticut’s Transport SIP relies in receptors and evaluated the adequate measures to prohibit any part on EPA’s finding in the CSAPR contributions relative to a screening source or other type of emissions Update that emissions from Connecticut threshold of one percent (1%) of the activity in the state from emitting do not significantly contribute to 2008 NAAQS (i.e., 0.75 parts per billion pollutants in amounts that will nonattainment or interfere with (ppb)). States with contributions that ‘‘contribute significantly’’ to maintenance of the 2008 ozone NAAQS equaled or exceeded the 1% threshold nonattainment of the NAAQS in another in any downwind state. See 84 FR at were identified as warranting further state. The second provision requires that 40346–47 (citing 81 FR at 74506). No analysis for ‘‘significant contribution to a state’s SIP prohibit any source or other party challenged that aspect of the nonattainment’’ or ‘‘interference with type of emissions activity in the state CSAPR Update and nothing in the maintenance’’ of the NAAQS. In the from emitting pollutants in amounts court’s opinion overturned that finding CSAPR Update, EPA found that that will ‘‘interfere with maintenance’’ or called it into doubt. Consequently, Connecticut did not contribute at or of the applicable NAAQS in any other Wisconsin does not impact EPA’s above the 1% threshold to any state. reliance on the finding in the CSAPR downwind nonattainment or EPA’s Analysis Related to Update to support approval of maintenance receptor. See 81 FR 74506. 110(a)(2)(D)(i)(I) for the 2008 8-Hour Connecticut’s Transport SIP for the 2008 Therefore, EPA did not issue FIP Ozone NAAQS ozone NAAQS. requirements for sources in Connecticut EPA developed technical information The CSAPR Update used the same framework that was used by EPA in and related analyses to assist states with 6 5 NOX SIP Call. 63 FR 57356 (October 27, 1998); meeting section 110(a)(2)(D)(i)(I) developing 2011 CSAPR. Through Clean Air Interstate Rule (CAIR). 70 FR 25162 (May requirements for the 2008 8-hour ozone 12, 2005); Cross-State Air Pollution Rule (CSAPR). NAAQS through SIPs and, as 3 For purposes of the CSAPR Update, ‘‘eastern’’ 75 FR 48208 (August 8, 2011); and CSAPR Update. states refer to all contiguous states fully east of the 81 FR 74504 (October 26, 2016). appropriate, to provide backstop federal Rocky Mountains (thus not including the mountain 7 The four-step interstate framework has also been implementation plans (FIPs) in the states of Montana, Wyoming, Colorado, or New used to address requirements of the good neighbor event that states failed to submit Mexico). provision for some previous particulate matter (PM) approvable SIPs.2 On October 26, 2016, 4 See Federal Implementation Plans: Interstate NAAQS. EPA took steps to develop this backstop Transport of Fine Particulate Matter and Ozone and 8 Within the CSAPR framework, the term Correction of SIP Approvals, Final Rule (2011 ‘‘receptor’’ indicates a monitoring site. Under CSAPR), 76 FR 48208 (August 8, 2011); Cross-State CSAPR Update, nonattainment receptors are 1 See 80 FR 54471 (September 10, 2015); 81 FR Air Pollution Rule Update for the 2008 Ozone downwind monitoring sites that are projected to 35636 (June 3, 2016). NAAQS (CSAPR Update), 81 FR 74504 (October 26, have an average design value that exceed the 2 The EPA issued a Notice of Data Availability on 2016). NAAQS and that have a current monitored design August 4, 2015, requesting comment on the 5 Key elements of the four-step interstate value above the NAAQS, while maintenance modeling platform and air quality modeling results transport framework have been upheld by the receptors are downwind monitoring sites that are that were used for the proposed Cross-State Air Supreme Court in EPA v. EME Homer City projected to have maximum design values that Pollution Rule (CSAPR) Update. See 80 FR 46271. Generation, L.P., 572 U.S. 489 (2014). exceed the NAAQS.
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10 as part of CSAPR Update. See id. at their analysis, total NOX emissions are relevant matters. These comments will 74553. projected to decline 18% between 2017 be considered before taking final action. and 2025. CT DEEP also expects Interested parties may participate in the II. EPA’s Evaluation of Connecticut’s additional NO emission reductions in Federal rulemaking procedure by Submittal X the post-2017 period because their submitting written comments to this On December 28, 2012, CT DEEP analysis did not include the state’s proposed rule by following the submitted most of its infrastructure SIP recent revisions to its low emission instructions listed in the ADDRESSES for the 2008 ozone NAAQS to EPA. On vehicle (LEV) regulations, EPA’s Tier 3 section of this Federal Register. June 3, 2016, EPA fully approved most, vehicle and fuel standards, and updates IV. Statutory and Executive Order and conditionally approved some to its NO X RACT regulations. These Reviews portions, of that submittal. See 81 FR additional NOX reductions expected to 35636. However, that submittal did not occur in future years (described below) Under the Clean Air Act, the include the ‘‘good neighbor’’ provisions further help to ensure that the state will Administrator is required to approve a of section 110(a)(2)(D)(i)(I). On June 15, not significantly contribute to SIP submission that complies with the 2015, Connecticut submitted a SIP nonattainment or interfere with provisions of the Act and applicable revision to address this unmet SIP maintenance of the 2008 ozone NAAQS Federal regulations. 42 U.S.C. 7410(k); obligation for the 2008 ozone NAAQS. in other states. 40 CFR 52.02(a). Thus, in reviewing SIP In today’s action, we are proposing to CT DEEP identified regulations that submissions, EPA’s role is to approve approve that submittal. have been approved into the state choices, provided that they meet In its June 2015 submittal, Connecticut SIP to provide for the the criteria of the Clean Air Act. Connecticut examined the results of control of nitrogen oxides (NOX) and Accordingly, this proposed action EPA’s transport modeling for 2017 and volatile organic compounds (VOCs), the merely approves state law as meeting ambient monitoring data at key primary precursors to the formation of Federal requirements and does not downwind sites to demonstrate that the ground level ozone. Reasonably impose additional requirements beyond state meets its good neighbor available control technology (RACT) has those imposed by state law. For that requirements for the 2008 ozone reason, this proposed action: been required for major sources of NOX • NAAQS. CT DEEP referenced modeling in Connecticut since 1996, with Is not a significant regulatory action results for EPA’s 2011 CSAPR, which multiple updates since. On July 31, subject to review by the Office of showed that emissions from 2017, EPA approved Connecticut’s Management and Budget under Connecticut were projected to have a Regulations of State Agencies (RCSA) Executive Orders 12866 (58 FR 51735, maximum impact in 2018 of 0.41 ppb at sections 22a–174–22e, Control of October 4, 1993) and 13563 (76 FR 3821, the monitor in Suffolk County, NY, with January 21, 2011); nitrogen oxides emissions, –22f, High • impacts at all other monitors of concern daily NO emitting units at non-major Is not expected to be an Executive being 0.08 ppb or less, well below the X Order 13771 regulatory action because sources of NOX, and –38, Municipal 1% screening threshold of 0.75 ppb for Waste Combustors. See 82 FR 35454. this action is not significant under the 2008 NAAQS. Executive Order 12866; In addition to these programs, CT EPA’s August 2016 CSAPR Update • Does not impose an information DEEP noted that it implements Modeling TSD also projected the largest collection burden under the provisions regulations modeled after California’s contributions of emissions from of the Paperwork Reduction Act (44 LEV program, has established a Connecticut to nonattainment and U.S.C. 3501 et seq.); stringent new motor vehicle control maintenance receptors at well below the • Is certified as not having a program, and implements a statewide threshold of 1% of the NAAQS. significant economic impact on a vehicle emission inspection and Specifically, this modeling indicated substantial number of small entities maintenance program and state and that Connecticut’s largest impact on any under the Regulatory Flexibility Act (5 federal incentive programs for diesel projected downwind nonattainment U.S.C. 601 et seq.); vehicle retrofits and replacements. receptor in 2017 was 0.00 ppb and the • Does not contain any unfunded Connecticut also implements a variety largest impact on any projected mandate or significantly or uniquely of energy efficiency strategies, including downwind maintenance-only site was affect small governments, as described its Comprehensive Energy Strategy20. 0.46 ppb.9 As a result, in the CSAPR in the Unfunded Mandates Reform Act In light of the EPA’s determination Update, EPA ‘‘determined that of 1995 (Pub. L. 104–4); made in the CSAPR Update finding that • emissions from [Connecticut] do not Does not have Federalism emissions from Connecticut will not significantly contribute to implications as specified in Executive significantly contribute to nonattainment or interfere with Order 13132 (64 FR 43255, August 10, nonattainment or interfere with maintenance of the 2008 ozone NAAQS 1999); maintenance of the 2008 ozone NAAQS • in downwind states’’ and that EPA Is not an economically significant in downwind states, we propose that ‘‘need not require further emission regulatory action based on health or Connecticut has met its CAA Section reductions from sources in safety risks subject to Executive Order 110(a)(2)(D)(i)(I) ‘‘good neighbor’’ SIP [Connecticut] to address the good 13045 (62 FR 19885, April 23, 1997); obligation for the 2008 ozone NAAQS. • neighbor provision as to the 2008 ozone Is not a significant regulatory action subject to Executive Order 13211 (66 FR NAAQS.’’ 81 FR at 74506. III. Proposed Action Connecticut examined the results of 28355, May 22, 2001); EPA is proposing to approve • EPA’s transport modeling for 2017 and Is not subject to requirements of Connecticut’s June 15, 2015, SIP CT DEEP projected state-emissions Section 12(d) of the National submission as meeting the CAA trends to demonstrate that the state Technology Transfer and Advancement requirements of prongs 1 and 2 under meets its good-neighbor requirements section 110(a)(2)(D)(i)(I) for the 2008 8- 10 However, the EPA notes that it is not, in this for the 2008 ozone NAAQS. Based on hour ozone NAAQS. EPA is soliciting action, reopening for public comment or otherwise reconsidering the analytic analysis conducted for or 9 See CSAPR Update Modeling TSD at Table 4– public comments on the issues the determinations made in the final CSAPR Update 2. discussed in this notice or on other rulemaking action.
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Act of 1995 (15 U.S.C. 272 note) because sufficiently low level of variation under FOR FURTHER INFORMATION application of those requirements would between jackets fabricated by different CONTACT. In addition, you should be inconsistent with the Clean Air Act; manufacturers. The spine box revisions submit two copies, from which you and would eliminate a source of signal noise have deleted the claimed confidential • Does not provide EPA with the caused by fasteners within the box that business information, to the Docket at discretionary authority to address, as may become loose. This rulemaking the address given above. When you send appropriate, disproportionate human responds to a petition for rulemaking a comment containing information health or environmental effects, using from the Alliance of Automobile claimed to be confidential business practicable and legally permissible Manufacturers. information, you should include a cover methods, under Executive Order 12898 DATES: You should submit your letter setting forth the information (59 FR 7629, February 16, 1994). comments early enough to be received specified in our confidential business In addition, the SIP is not approved not later than February 24, 2020. information regulation (49 CFR part to apply on any Indian reservation land Proposed effective date: 45 days 512). or in any other area where EPA or an following date of publication of a final Indian tribe has demonstrated that a FOR FURTHER INFORMATION CONTACT: rule. tribe has jurisdiction. In those areas of For technical issues, you may contact Indian country, the rule does not have ADDRESSES: You may submit comments Mr. Peter G. Martin, Office of tribal implications and will not impose to the docket number identified in the Crashworthiness Standards (telephone: substantial direct costs on tribal heading of this document by any of the 202–366–5668). For legal issues, you following methods: may contact Mr. John Piazza, Office of governments or preempt tribal law as • specified by Executive Order 13175 (65 Federal eRulemaking Portal: Go to Chief Counsel (telephone: 202–366– FR 67249, November 9, 2000). http://www.regulations.gov. Follow the 2992) (fax: 202–366–3820). Address: online instructions for submitting National Highway Traffic Safety List of Subjects in 40 CFR Part 52 comments. Administration, U.S. Department of Environmental protection, Air • Mail: Docket Management Facility, Transportation, 1200 New Jersey pollution control, Carbon monoxide, M–30, U.S. Department of Avenue SE, West Building, Washington, Incorporation by reference, Transportation, West Building, Ground DC 20590. Floor, Rm. W12–140, 1200 New Jersey Intergovernmental relations, Lead, SUPPLEMENTARY INFORMATION: Nitrogen dioxide, Ozone, Particulate Avenue SE, Washington, DC 20590. • matter, Reporting and recordkeeping Hand Delivery or Courier: West Table of Contents requirements, Sulfur oxides, Volatile Building, Ground Floor, Room W12– I. Executive Summary organic compounds. 140, 1200 New Jersey Avenue SE, II. Chest Jacket between 9 a.m. and 5 p.m. Eastern Time, Dated: December 18, 2019. a. Background Monday through Friday, except Federal b. Existing Jackets do not Meet the Current Dennis Deziel, holidays. Part 572 Specifications Regional Administrator, EPA Region 1. • You may also call the Docket at c. Development of the SAE J2921 Jacket [FR Doc. 2019–27765 Filed 12–23–19; 8:45 am] 202–366–9826. Specifications (SAE Jacket) BILLING CODE 6560–50–P Regardless of how you submit your d. NHTSA Enforcement Policy To Address comments, please mention the docket Chest Jacket Issues number of this document. e. Proposed Modifications To Adopt the SAE Jacket DEPARTMENT OF TRANSPORTATION Instructions: For detailed instructions f. Other Issues on submitting comments and additional 1. Mandrel National Highway Traffic Safety information on the rulemaking process, 2. Dummy Refurbishment and Tuning of Administration see the Public Participation heading of Ribs the Supplementary Information section III. Spine Box 49 CFR Part 572 of this document. Note: All comments a. Background b. Proposed Modifications [Docket No. NHTSA–2019–0023] received, including any personal information provided, will be posted IV. Testing of the SAE Jacket and Spine Box RIN 2127–AM13 without change to http:// a. Chest Jacket 1. NHTSA Evaluation www.regulations.gov. Anthropomorphic Test Devices, HIII 2. Industry Evaluation Privacy Act: Anyone is able to search b. Spine Box 5th Percentile Female Test Dummy; the electronic form of all comments Incorporation by Reference V. Lead Time received in any of our dockets by the VI. Housekeeping Amendments AGENCY: National Highway Traffic name of the individual submitting the VII. Regulatory Analyses and Notices Safety Administration (NHTSA), comment (or signing the comment, if VIII. Public Participation submitted on behalf of an association, Department of Transportation (DOT). I. Executive Summary ACTION: Notice of proposed rulemaking business, labor union, etc.). You may (NPRM). review DOT’s complete Privacy Act This document proposes changes to Statement in the Federal Register the Hybrid III 5th percentile adult SUMMARY: This document proposes to published on April 11, 2000 (65 FR female (HIII–5F) anthropomorphic test revise the chest jacket and spine box 19477–78). device (crash test dummy). The HIII–5F specifications for the Hybrid III 5th Confidential Business Information: If is used in frontal compliance crash tests Percentile Female Test Dummy (HIII– you wish to submit any information and air bag static deployment tests, 5F) set forth in Part 572, under a claim of confidentiality, you certification to which is required for Anthropomorphic Test Devices. The should submit three copies of your certain vehicles by Federal Motor proposed jacket revisions would resolve complete submission, including the Vehicle Safety Standard (FMVSS) No. discrepancies between the jacket information you claim to be confidential 208, ‘‘Occupant crash protection.’’ The specifications in Subpart O and jackets business information, to the Chief dummy is described in 49 CFR part 572 available in the field, and ensure a Counsel, NHTSA, at the address given Subpart O.
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Among other things, Subpart O concludes that the proposed jacket the spine box fix are available, as are incorporates by reference several specification would assure uniformity newly-manufactured replacement spine documents that specify the physical in the form, fit, and function of the HIII– boxes that incorporate the fix. make-up of the dummy. This document 5F. A benefit of this is that the agency Petition for Rulemaking proposes changes to the chest jacket and would no longer have to maintain chest spine box specifications to address jackets of different designs and take In 2014, the Alliance of Automobile issues with the fit and availability of the steps to match the compliance test Manufacturers (Alliance) petitioned jacket and a noise artifact from the spine jacket with that specified by the vehicle NHTSA to incorporate the new SAE box. Neither change is intended to manufacturers, thereby providing more jacket into Part 572 per SAE Information impose new requirements on vehicle objective test results. We also tentatively Report J2921 and revise the spine box as manufacturers. conclude that dummies fitted with chest described in SAE Information Report jackets that satisfy the proposed J2915.2 NHTSA subsequently sent a Chest Jacket specifications would perform letter to the Alliance asking for The chest jacket is a sleeveless foam- equivalently to dummies fitted with the clarification on several points. The filled vinyl zippered jacket that FTSS or Denton jackets that were Alliance responded to NHTSA’s request represents human flesh, including previously used. We seek comment on with a supplemental letter dated May female breasts. The chest jacket may all of these tentative conclusions. 11, 2015.3 The contents of this response need to be replaced because it can are discussed in more detail in Spine Box shrink or otherwise fall out of subsequent sections of this notice. specification or wear out with age. Since The spine box is the dummy’s steel NHTSA has granted this petition and the introduction of the HIII–5F into Part backbone. It is located in the dummy’s today’s NPRM commences rulemaking 572 in 2000, none of the jackets that thorax, which consists of six bands that on the issues presented by the petition. simulate human ribs. Since the mid- were manufactured met the jacket II. Chest Jacket specifications specified in Part 572. 2000s, industry and NHTSA have been Since around 2006, NHTSA, in its own aware of a signal noise artifact in the a. Background compliance tests, has used the brand of signals from the accelerometers in the Today’s NPRM proposes changes to dummy and jacket (either First thorax during sled and crash tests the Hybrid III 5th percentile small Technology Safety Systems (FTSS) or originating in the spine box. The source female (HIII–5F) test dummy. The HIII– Denton ATD (Denton)) used by the of the noise is fasteners that become 5F was added to Part 572 in 2000.4 The vehicle manufacturer to certify the loose during normal use. In 2011 SAE HIII–5F is used in frontal compliance vehicle. However, these FTSS and published an information report for a crash tests and air bag static deployment Denton jackets are no longer being spine box modification (SAE J2915 tests, certification to which is required manufactured; manufacturers (or test AUG2011, HIII5F Spine Box Update to for certain vehicles by FMVSS No. 208, laboratories) and NHTSA have, or will Eliminate Noise). ‘‘Occupant crash protection.’’ The We propose to adopt the SAE soon, run out of these jackets. In 2013, dummy is described in 49 CFR part 572 modification, details of which are SAE 1 published an information report Subpart O. This subpart contains specified within engineering drawings for the HIII–5F chest jacket, SAE J2921 regulatory text describing the provided in the J2915 information JAN2013, H–III5F Chest Jacket qualification procedures and report. The proposed revisions would Harmonization, describing a new jacket requirements for the dummy. Subpart O add plates to the side of the spine box, compatible with FTSS and Denton also incorporates several other with bolts countersunk into the plate to dummies. documents by reference. Those remove any play from the assembly. The This NPRM proposes to adopt the documents describe the physical make- modification does not affect or change jacket specifications described in J2921, up of the dummy, and include a parts the dummy’s performance in any way as well as a few additional list, a set of engineering drawings, and (other than eliminate the potential for specifications. We believe that chest a document entitled, ‘‘Procedures for noise). The improved spine box jackets that have been and are being Assembly, Disassembly, and addresses a shortcoming in the ATD’s manufactured to the SAE J2921 design Inspection’’ (PADI). These documents design that had to be addressed by end would also conform to the proposed can be found in Docket NHTSA–2000– users disassembling the dummy, re- specifications but seek comment on 6940 (available at www.regulations.gov). torqueing the relevant fasteners by hand whether this is accurate. NHTSA also The HIII–5F chest jacket is a before each test, and re-qualifying the believes that additional specifications sleeveless foam-filled vinyl zippered dummy as needed. The improved spine are necessary to ensure a sufficient level jacket that represents human flesh, box increases the quality of data and of uniformity between jackets produced including female breasts. The chest reduces maintenance and testing time. by different manufacturers when other jacket is zipped onto the dummy and manufacturers enter the market, and to Lead Time covers the entire thorax, including the prevent the variances in jacket designs NHTSA proposes a 45-day effective shoulder assembly. It is currently that were problematic in the past from date following date of publication of a specified in the parts and drawings reoccurring. final rule to make available ATDs with document in drawings 880105–355–E, We recognize that when the proposed the new chest jacket and spine box for 880105–356, 880105–423, and 880105– jacket is used on an existing dummy, use in agency testing. Manufacturers the dummy may require some amount of 2 wishing to test with the proposed jacket Letter from Scott Schmidt, Alliance, to NHTSA re-tuning or refurbishment to pass the (Feb. 21, 2014). The Alliance consisted of: BMW and spine box should have no difficulty Part 572 Subpart O qualifications tests, Group; Chrysler Group LLC, Ford Motor Company; obtaining the necessary parts. We General Motors Company; Jaguar Land Rover; but this is commonplace when worn believe that the chest jackets that are Mazda; Mercedes-Benz USA; Mitsubishi Motors; parts are replaced. NHTSA tentatively Porsche; Toyota; Volkswagen Group of America and currently being manufactured to meet Volvo Cars. 1 The Society of Automotive Engineers (now SAE the SAE J2921 specifications would also 3 Letter from Scott Schmidt, Alliance, to NHTSA International). SAE is an organization that develops meet the proposed specifications. We (May 11, 2015). technical standards based on best practices. also believe that the parts to implement 4 65 FR 10968 (Mar. 1, 2000).
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424, with a call-out to it in drawing dummy and jacket to Part 572 in 2000, dimensional differences between the 880105–300. the engineering drawings for the jacket FTSS and Denton jackets ‘‘influences This NPRM proposes changes to the came from SAE. However, the jacket belt placement and affects contact with chest jacket specifications to address specifications did not match the actual airbag modules during out-of-position known issues with the shape and jacket that FTSS was making. During the testing . . . these differences confound availability of the jacket. dummy development period, FTSS the interpretation of chest response and made a manufacturing decision to lower adversely affect the validity of the test b. Existing Jackets Do Not Meet the the breasts to change the lay of the instrument.’’ 17 The Alliance in a 2006 Current Part 572 Specifications shoulder belt.10 FTSS later informed letter to NHTSA similarly reported The chest jacket, along with the HIII– NHTSA that it had also increased the research by vehicle manufacturers 5F, was developed under the auspices of jacket depth by 1⁄2 inch to improve fit.11 demonstrating that ‘‘significant SAE.5 At the time Subpart O was These changes were not reflected in the variations in chest jacket dimensions created in 2000, jackets were being specifications that were ultimately between the Denton and FTSS ATD[s] produced by FTSS. Soon thereafter, incorporated by reference in Part 572 in . . . may produce different test results Applied Safety Technologies 2000 (8801054–355–E, Rev. D). With when evaluated in the NHTSA–1 & Corporation, which later became respect to the Denton jacket, NHTSA–2 Out-of-Position Driver Denton, began to manufacture HIII–5F discrepancies between it and the Part FMVSS 208 Tests.’’ 18 dummies and jackets. 572 specifications arose after Subpart O c. Development of the SAE J2921 Jacket The jackets FTSS and Denton was established, when Denton began Specifications (SAE Jacket) produced did not conform to all aspects producing dummies and jackets using of the Part 572 specifications; in their own molding processes. The These differences between the FTSS addition, jackets produced by each Denton jacket more closely matched the and Denton jackets led SAE, in 2006, to manufacturer also differed from each Subpart O drawing than FTSS’s, but did establish a task force to develop a other. Both Transport Canada and the not conform wholly to it. harmonized jacket (for ease of reference, Alliance found dimensional differences In 2003, FTSS submitted a petition for referred to in this document as the ‘‘SAE between the two brands of jackets. In rulemaking to revise the jacket jacket’’). The main goal of the task force particular, the breast location differed, dimensions to correspond to the was to develop a jacket design such that and the Denton jacket was longer.6 dimensions of the jackets then being both FTSS and Denton could produce a Transport Canada’s research also found produced by FTSS.12 NHTSA denied single, interchangeable jacket that neither jacket matched the Part 572 this petition.13 The agency stated that compatible with both companies’ specifications, though the Denton jacket while dummies with the FTSS and versions of the HIII–5F. The task force dimensions were generally closer.7 For Denton jackets performed somewhat also developed a device (referred to as example, the breasts on the FTSS jacket differently than dummies with jackets a mandrel) to check jacket fit as the were lower than in the codified that conformed with the Part 572 jacket ages (it is known that the jacket specifications.8 Both Transport Canada specifications, the dimensional shrinks over time). In 2010, FTSS and Denton merged to and the Alliance concluded that the differences did not have a significant form Humanetics. Humanetics codified jacket specifications did not effect on dummy performance as long as continued the jacket harmonization contain sufficient information about the the seat belt was properly positioned.14 work of its predecessor companies. shape and placement of the breasts to However, studies of the jacket by However, the merger meant that assure uniformity in the production of Transport Canada and the Alliance in Humanetics was the only dummy jackets between jacket manufacturers.9 the mid-2000s found that FTSS and manufacturer involved with drafting the The differences between the FTSS Denton dummies performed differently SAE information report. Therefore, what and Denton jackets, and between those in the types of testing specified in began as an effort to specify the design jackets and the Part 572 specifications, FMVSS No. 208.15 FMVSS No. 208 of a ‘‘harmonized’’ jacket that could be are the result of a variety of factors. For specifies a variety of different dynamic produced by any manufacturer became one, the Subpart O jacket drawing, (crash) and static (out-of-position) an effort for Humanetics to simply which consists of two sheets, contains requirements using the HIII–5F.16 design and produce a jacket that could errors and ambiguities. The dimensions Transport Canada’s research found that fit existing Denton and FTSS dummies for the breast locations are not the FTSS and Denton dummies as well as newly manufactured consistent between the two sheets, and performed differently with respect to chest deflection in both full-scale rigid Humanetics dummies. the overall shape is not consistent, During jacket development, barrier crash tests and in out-of-position either. These inconsistences and Humanetics (under the auspices of SAE) testing. It concluded that the ambiguities contributed to dimensional refined the jacket design to account for differences between the FTSS and various issues. NHTSA testing of early 10 71 FR 45427 (Aug. 9, 2006) (notice of denial of Denton jackets. iterations of the jacket showed that an In addition, design choices by FTSS petition for rulemaking). 11 HIII–5F dummy fitted with it did not and Denton also contributed to the Letter from FTSS to NHTSA (Aug. 28, 2006) (responding to NHTSA’s notice of denial). pass the Part 572 Subpart O torso discrepancies. When NHTSA added the 12 Letter from FTSS to NHTSA (dated December flexion qualification test. (The results of 30, 2003). this testing are discussed below in 5 The Society of Automotive Engineers (now SAE 13 71 FR 45427 (Aug. 9, 2006). Section IV.) Humanetics addressed this International). SAE is an organization that develops 14 Id. See also letter from FTSS to NHTSA (Aug. technical standards based on best practices. 28, 2006). issue by tapering the thickness of the 6 Letter from the Alliance to NHTSA (Jan. 31, 15 Tylko et al. (Nov. 2006), supra, p. 390; letter 2006) (Alliance letter), p. 8; Suzanne Tylko et al., from the Alliance (Jan. 31, 2006), supra, p. 8. See 17 Tylko et al. 2006, The Effect of Breast 2006, The Effect of Breast Anthropometry on the also Tylko et al., 2006, A Comparison of Hybrid III Anthropometry on the Hybrid III 5th Female Chest Hybrid III 5th Female Chest Response, Stapp Car 5th Female Dummy Chest Responses in Controlled Response, Stapp Car Crash Journal, Vol. 50 (Nov. Crash Journal, Vol. 50 (Nov. 2006), p. 390. Sled Trials, SAE Technical Paper Series, 2006–01– 2006), supra, p. 393. 7 Tylko et al. 2006, supra, p. 392. 0455. 18 Alliance letter to NHTSA (Jan. 31, 2006), supra, 8 Id. at p. 392. 16 See, e.g., S15 (rigid barrier test requirements); pp. 1, 9. In 2005 the Alliance presented these issues 9 Id., Alliance letter, p. 6. S25 (out-of-position requirements). to NHTSA and documented them in a 2006 letter.
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jacket around the lower circumference NHTSA did not agree to these requests, variation between jackets produced by where it interacts with the pelvis flesh. and instead required manufacturers to different manufacturers. We note that SAE published an information report identify an FTSS or Denton jacket for the jacket drawing contained within for the jacket in 2013 (SAE J2921 NHTSA to use in its compliance testing. SAE J2921 JAN2013 has less specificity JAN2013 supra). The SAE jacket is However, because chest jackets shrink than the current Subpart O drawing, intended to be compatible with all or otherwise fall out of specification or 880105–355–E, Rev. D. In the final existing dummy brands (although, as wear out with age, NHTSA’s stock of J2921 report, there are no dimensions, explained later in this preamble, a FTSS and Denton jackets is running out, reference or otherwise, defining the dummy might need some tuning or and NHTSA has only a limited supply. breast size or the arm hole size and refurbishing to meet Subpart O The Alliance has informed NHTSA that location. Also, the taper shown in J2921 qualification requirements with the its members are facing the same issue. (added after the 2011 draft to mitigate jacket). The J2921 jacket is currently Thus, the issues of jacket availability binding in the torso flexion test) is offered for sale by Humanetics and and which jacket designs are acceptable pictorial only, with no dimensions. The JASTI–USA, Inc., the U.S. affiliate of for use in compliance tests have become SAE report also does not indicate JASTI Co., LLC, a manufacturer of more urgent. whether the specifications are for the dummies and test equipment Today’s proposal is intended to jacket on its own or as fitted on a headquartered in Japan. resolve these issues by commencing dummy. The agency is concerned that amending the Part 572 specifications for this overall lack of specificity could d. NHTSA Enforcement Policy To the jacket to include the specifications result in the production of jackets of Address Chest Jacket Issues set out in J2921. The proposal also vastly different shapes, but still meeting Since the introduction of the HIII–5F includes a few specifications we the drawing specifications of J2921. As in 2000, the available jackets brands developed that are intended to ensure was the case with the old FTSS and (principally from FTSS and Denton) did that jackets produced by different Denton jackets and the current Part 572 not match each other, and neither manufacturers perform equivalently on specifications, this lack of specificity exactly matched the Part 572 all dummy brands. We believe that new could lead to differences in performance specifications. Such differences can lead jackets currently produced by between dummies, which this proposal to different compliance test results with Humanetics meet both the specifications intends to resolve. different jackets. in J2921 and the additional We also tentatively conclude that the In 2006, the Alliance requested that specifications. proposed jacket specifications would encompass existing jackets that have NHTSA, in its compliance testing e. Proposed Modifications To Adopt the been built to the SAE J2921 program, use the same dummy brand SAE Jacket (Denton or FTSS) the vehicle specifications; the proposed manufacturer used in its certification of We propose to amend the chest jacket specifications were developed in light of a particular make/model. NHTSA specifications in Subpart O. The such existing jackets. However, we adopted this requested practice by proposed changes reflect the J2921 believe that the older FTSS or Denton maintaining qualified dummies (and jacket design in which the breast jackets would not conform to the jackets) from both FTSS and Denton and contours are blended more gradually proposed specifications (for example, has tracked which brand was used in into the torso, compared to the current the circumference at the different the certification of vehicles the agency Subpart O design where the breast section levels). tests. contours are more sharply defined. NHTSA proposes to amend the Recent events render this approach We propose to adopt the Subpart O regulatory text to incorporate obsolete and necessitate further action specifications in SAE J2921 (Figures 4– by reference new versions of the by NHTSA. After the merger of FTSS 6, which are engineering drawings of drawing package, parts list and PADI. and Denton, Humanetics indicated that the SAE jacket design). However, we These changes are described in more it would maintain production of the also propose adding additional detail in a separate document being FTSS and Denton brand versions of the specifications for the jacket’s contour placed in the docket for this jackets so that they could be used as that are not contained in SAE J2921. rulemaking.21 That document also spare parts on the existing FTSS and Our proposed additional specifications includes the engineering drawings Denton dummies.19 However, in 2015 for the jacket’s contour adds breadth, identified above. Humanetics discontinued production of depth, and circumference dimensions at To summarize the changes to the new the original FTSS and Denton chest different section levels of the jacket on drawing package, the drawings in which jacket designs. According to its product the main assembly drawing of the the chest jacket is currently specified catalog, Humanetics now sells only the dummy (880105–000, Rev. J, Sheet 5). (880105–355–E, 880105–356, 880105– SAE jacket, identified as part number Dimensions are specified for a jacket 423, and 880105–424) would be 880105–355–H.20 This is the part worn on a dummy, i.e., measurements replaced with: number of the engineering drawing of would be recorded on the jacket as worn • 880105–355–H, Rev B, Chest Flesh the jacket that appears in SAE J2921. on a dummy positioned on the same Assembly, Sheet 1 Over the past few years, NHTSA has flat-back bench as what is currently • 880105–355–H, Rev B, Chest Flesh received requests from several vehicle shown on 800105–000, Rev. J, Sheet 5. Assembly, Sheet 2 manufacturers for NHTSA to conduct its The additional dimensional • 880105–356–H, Rev C, Sternum Pad compliance tests using the SAE jacket. specifications are intended to define the The Chest Flesh Assembly (880105– outer shape of the thorax and to 355–H, Sheets 1 and 2) and the Sternum 19 The Brand Harmonization of the Hybrid III 5th preclude belt routing discrepancies. The Small Female Crash Test Dummy 880105–000, The information includes additional views 21 Engineering Change Proposal, Revision K, ATD Harmonization Task Group, Humanetics of the chest jacket at various cross Hybrid III 5th Percentile Female Test Dummy, Part Innovative Solutions, Inc., July 2012. sections. 572, Subpart O, Changes to: Parts List, Engineering 20 Hybrid-III 5th Small Female Dummy, 880105– Drawing Package, Procedure for the Assembly, 000–H Brand Harmonized Parts Catalog, We tentatively believe these Disassembly, and Inspection (PADI), Subpart O Humanetics Innovative Solutions, Inc., August additional specifications are necessary Regulatory Text, National Highway Traffic Safety 2018. to ensure a sufficiently low level of Administration, November 2019.
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Pad (880105–356–H) are derived from dimensions added by NHTSA) are being Part 572 thorax assembly qualification the reprints of drawings contained in met by SAE jackets already in the field. requirements. In its supplemental SAE J2921 (Jan 2013). We would also We will also examine all measurement submission, the Alliance describes a revise drawing 800105–000, Complete data provided to us. For the final rule, procedure for tuning the ribs by shaving Assembly, 5th Female, Rev J, Sheet 5 to we may adjust the dimensions and off damping material. The amount of add jacket dimensions at various cross tolerances to assure that jackets in the tuning varies depending on the dummy sections, and revise the call-out to the field achieve an acceptable degree of brand and the specific jacket. jacket in drawing 880105–300 to conformity while still assuring a high In its own testing, rather than shaving reference the new drawing. We would level of uniformity. damping material, NHTSA simply also make some corresponding changes replaced the ribs (along with other to the PADI. f. Other Issues parts) when the agency retrofitted the NHTSA tentatively concludes that the 1. Mandrel J2921 jacket to one of its older dummies. proposed jacket specification will assure SAE J2921 describes a mandrel to Nonetheless, under certain conditions, uniformity in the form, fit, and function shaving the damping material remains of the HIII–5F. Based on testing the assess the fit of the jacket (because jackets tend to shrink over time, the an option if end-users so desire. Shaving agency conducted with the SAE chest off damping material acts to lower the jacket (see section IV below, Testing of mandrel was developed to assess jacket fit as it ages). There are reference marks force generated in the torso impact the SAE jacket and spine box), NHTSA qualification test. Because there is no tentatively concludes that dummies on the back, bottom, and top of the mandrel that serve as indicators that the easy way for end-users to add damping fitted with jackets built to the proposed material, ribs must be replaced if the specifications would pass the Subpart O jacket has shrunk to the point where a replacement is recommended. force is too low. A replacement rib must qualification tests and would not result have an ample thickness of damping in different compliance test outcomes. Use of the mandrel, if implemented in Subpart O, would constitute a new material in order to be shaved. This applies to both newly The need to refurbish or tune existing qualification requirement with a new manufactured dummies as well as older, dummies to obtain passing qualification test procedure. However, J2921 does not existing dummies fitted with the new results is not out of the ordinary. To put provide a test protocol or an objective fit jacket. When a new jacket is fitted to an this in perspective, whenever a dummy criterion. Also, while J2921 depicts a existing (old) dummy (made by either of any type is assembled (not just a HIII– drawing of the mandrel, it does not FTSS and Denton), we believe there will 5F) it must usually be adjusted to some provide details or dimensions on the be no significant change in performance degree in order to conform to all Part in static out-of-position air bag shape of the mandrel. In its supplemental submission to 572 qualification requirements. After deployment tests and in full scale repeated use in full scale vehicle tests, vehicle crash tests, assuming the NHTSA, the Alliance clarified that it was not requesting that the agency a part may need to be replaced if it has Subpart O qualification requirements become worn or damaged. When a new are met. (Although, as discussed in the specify use of the mandrel; instead, the mandrel is an optional inspection part is introduced (such as the jacket of section below, when an existing FTSS the HIII–5F), replacement of other parts or Denton dummy is fitted with a new device for test labs and is not intended for inclusion in Subpart O. NHTSA has is sometimes needed so that the dummy jacket, the dummy may need to be re- can pass all qualification requirements. tuned or refurbished in order to conform considered the need for the mandrel and to all Subpart O qualification has tentatively decided not to III. Spine Box incorporate the mandrel or the fit check requirements. Such retuning or a. Background refurbishing is expected when fitting a procedure outlined in J2921. We seek new part to an existing dummy comment on this. The spine box of the HIII–5F is the generally.) dummy’s steel backbone. It is located in 2. Dummy Refurbishment and Tuning of the dummy’s thorax, which consists of We seek comment on the proposed Ribs specifications, including the proposed six bands that simulate human ribs. The additional specifications. We seek When a new jacket is introduced, a bands are made of spring steel, and a information and data on whether dummy on which it is installed may thick layer of graphite is bonded to each existing jackets built to SAE J2921 on need some amount of refurbishment or band to provide damping when the existing dummies will meet the tuning in order to pass the Subpart O bands are deflected, thus giving them proposed specifications. NHTSA also qualification tests. humanlike properties. On the posterior seeks comment on what (if any) The degree to which the dummy aspect of the thorax, the bands are additional information, such as needs refurbishment may vary. affixed to the spine box. The spine box tolerance specifications, is needed to Refurbishment refers to replacing is currently specified in the parts and fully specify the jacket in order to damaged parts with new parts. Some drawings document in drawings ensure that jackets produced by individual dummies require more new 880105–1000, and SA572–S28 with call- different manufacturers perform parts than others to pass the outs in 880105–300 and the PADI (pg. equivalently. We also seek comment on qualification tests with the SAE jacket. 21). the proposed approach of specifying In its testing, NHTSA replaced parts In the mid-2000s, the SAE Task Force dimensions for the jacket as fitted on a such as the upper leg flesh, the thorax began an effort—in parallel with its dummy, including whether additional bib, and the molded pelvis. NHTSA efforts on the chest jacket—to find and Subpart O qualification tests are found that FTSS dummies required eliminate a source of signal noise that necessary. more frequent refurbishment than sometimes emanated from the HIII–5F We will continue to collect Denton dummies. In addition, spine box. Alliance members measurement data on newly purchased Information Report SAE J2921 states determined that the noise was caused by jackets to check whether the dimensions that when a new jacket is fitted to an loosening of six socket head cap screws and tolerances specified herein older dummy, the thickness of rib attaching the spine box to the lower (including those derived from J2921 damping material may need to be re- spine. Due to a design shortcoming, drawings and the new section tuned for the dummy to conform to the repeated crash testing loosened the
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screws so that they rattled against the and testing time. The modification does The study found that the two brands inner walls of the through holes. This not affect or change the dummy’s of preliminary SAE jackets were led to artifacts in the signals of the performance in any way (other than identical in appearance (with some accelerometers in the thorax during sled eliminate the potential for noise).23 slight variations) and compared well to and crash tests. The problem affected a draft version of the SAE drawings. FTSS and Denton units alike. Testing IV. Testing of the SAE Jacket and Spine Box Qualification tests prescribed in laboratories have been addressing this Subpart O, including those most likely NHTSA and others tested the SAE problem by disassembling the dummy to be influenced by the jacket (the and inspecting and tightening the jacket and spine box to assess ATD thorax impact test and the quasi-static screws routinely. performance with the new components. torso flexion test) were also carried out. As a long-term solution, SAE NHTSA’s evaluation of the jacket and All of those Subpart O qualification developed an alteration to improve the spine box was presented at the 2011 requirements were met for all dummy spine box. Specifically, it recommended ESV Conference and in a 2011 paper. configurations with one exception: adding plates to the side of the spine The agency conducted several types of When either an FTSS dummy or a box, with bolts countersunk into the tests using HIII–5F dummies retrofitted Denton dummy was fitted with the SAE plate to remove any play from the with jackets built to the then-most assembly. The alteration prevents the current version of the SAE jacket, the dummy did not meet the pull screws from loosening and eliminates specifications being developed (SAE force requirement for the torso flexion the signal noise. NHTSA and others J2921 was still in draft status); one test. During the flexion test, the jacket tested the new spine box fix as it was jacket was made by FTSS, and one was tended to bind at the waist when the being developed. (This research is made by Denton). Industry also dummies were pitched forward into the discussed below.) In 2011 SAE evaluated the jacket and spine box. The 45-degree test position. The added published an information report for the results of this research are briefly resistance due to the binding caused the spine box modification (SAE J2915 summarized below. pull force to exceed the specified limit AUG2011, supra). of 390 N. The study concluded that a. Chest Jacket further work on the jacket was needed b. Proposed Modifications 1. NHTSA Evaluation to address the torso flexion test results. We propose to change the spine box The SAE jacket was subsequently specifications to permanently fix the In 2011 NHTSA published a study redesigned to address this. that evaluated preliminary versions of signal noise problem. The new versions NHTSA also conducted sled tests the SAE jacket produced by FTSS and of the drawing package, parts list and similar in severity to a frontal rigid Denton.24 It compared the dimensions PADI proposed for incorporation by barrier crash test (35 mph, peak of the jackets and evaluated the reference include the SAE J2915 acceleration of 28 Gs) and static, low- performance of dummies fitted with the specifications for the improved spine risk out-of-position air bag deployments. jackets in sled tests, out-of-position box. The proposed revisions would add NHTSA found that dummies fitted with tests, and some of the Subpart O plates to the side of the spine box, with the jackets built to the SAE design qualification tests. It found that bolts countersunk into the plate to under development performed dummies fitted with jackets built to the remove any play from the assembly. We essentially the same as dummies fitted SAE design under development propose to replace the current spine box with pre-existing FTSS and Denton performed essentially the same as drawings with the following: jackets with respect to dummy injury dummies fitted with pre-existing FTSS • 880105–1045, Rev C, Hybrid III 5th metrics and other responses, including and Denton (non-SAE) jackets with Female Thoracic Spine Upgrade, those most likely to be affected by the respect to dummy injury metrics and Sheets 1–3. chest jacket (chest deflection and other responses (with one exception). • 880105–1047, HIII–5F Plate, Thoracic acceleration). Spine Upgrade • SID–070–6, Rev B, DOT–SID, 23 We note that the current Subpart O ATD can When SAE finalized the jacket design be a valid test dummy without installing the new Modified 5/16–18x5/8’’ SHCS and issued SAE J2921 in 2013, NHTSA spine box, i.e., users can address the signal noise purchased new jackets (from All three drawings are derived from problem by disassembling the dummy and Humanetics and JASTI–USA) to ensure the reprints of drawings contained inspecting and tightening the screws by hand on a they would fit properly on the agency’s within SAE J2915 (Jan 2011). We routine basis. However, NHTSA believes that these efforts must be taken regularly to ensure that the existing FTSS and Denton HIII–5F discuss the changes in detail in the ATD’s thoracic data are not affected by the spine dummies, and that ‘‘passing’’ results document docketed for this NPRM, box signal noise, and that test evaluators should could be obtained in the torso flexion supra.22 carefully review test data for signs of artifacts in the and thorax impact qualification tests. In The modification would increase the signals of the thorax accelerometers. As an alternative to checking bolt tightness on existing all instances, the agency was able to quality of data and reduce maintenance units or replacing the entire spine box, end-users, demonstrate passing results for both at their discretion, may opt to modify (rather than 22 Engineering Change Proposal, Revision K, replace) their dummy’s spine box as prescribed by these qualification tests (some dummy Hybrid III 5th Percentile Female Test Dummy, Part SAE J2915. However, NHTSA’s proposal does not refurbishment was needed to pass the 572, Subpart O, Changes to: Parts List, Engineering include specifications for the modification. test, but as noted above, refurbishment Drawing Package, Procedure for the Assembly, 24 McFadden J.D., Striklin J.L. (2011), Evaluation of an ATD when a new part is fitted is Disassembly, and Inspection (PADI), Subpart O of the Hybrid III 5th female modified chest jacket Regulatory Text, National Highway Traffic Safety and spine box, Paper No. 11–0334, 2011 ESV a common operating procedure). See Administration, November 2019. Conference. Table 2.
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TABLE 2—NHTSA TORSO FLEXION TESTS, 2013–14
Return Max force angle @45 deg Rotation Dummy mfg Dummy Jacket Trial Test site Initial angle difference, during 10 rate Test date serial No. (deg) final—init. sec (deg/sec) (deg) (N)
[1 to 20] [¥8 to +8] [320 to 390] [0.5 to 1.5]
FTSS refurb ...... F416 HIS DM9396 1 VRTC 15.4 3.6 331 1.03 5/28/2013 2 VRTC 15.3 3.8 325 0.98 5/28/2013 3 VRTC 16.4 2.7 352 0.96 5/28/2013 FTSS refurb ...... F416 HIS DM9432 1 VRTC 15.3 3.8 324 0.97 5/28/2013 2 VRTC 16.1 3.1 345 0.95 5/28/2013 3 VRTC 15.8 3.4 346 0.98 5/28/2013 FTSS refurb ...... F416 JASTI 129 1 VRTC 14.7 4.5 363 0.97 5/28/2013 2 VRTC 15.2 4.2 355 0.94 5/28/2013 3 VRTC 15.5 4.1 355 0.99 5/29/2013 FTSS refurb ...... F515 JASTI 129 1 TRC 16.3 2.8 326 0.94 5/6/2014 2 TRC 16.4 3.0 324 0.96 5/6/2014 3 TRC 16.4 3.6 343 0.91 5/6/2014 FTSS refurb ...... F515 HIS DM9369 1 TRC 15.6 4.1 389 0.91 5/6/2014 2 TRC 15.8 4.1 352 0.92 5/7/2014 3 TRC 15.9 3.9 337 0.88 5/7/2014 Denton refurb ...... D137 HIS DM9432 1 TRC 13.7 3.5 374 1.04 7/15/2014 2 TRC 14.1 3.5 377 1.02 7/15/2014 3 TRC 14.0 3.6 367 1.01 7/15/2014 Denton refurb ...... D137 JASTI 129 1 TRC 12.7 5.1 360 0.87 7/16/2014 2 TRC 13.3 4.5 359 0.94 7/17/2014 3 TRC 14.2 3.9 353 0.96 7/18/2014 Note: Jackets reflect the design described in the final version of SAE J2921 (2013).
In summary, these tests demonstrated within the biofidelity corridors that that it was able to pass the torso flexion that old dummies (FTSS and Denton served as design targets for the original test. Both SAE J2921 and the Alliance’s versions) that were fitted with the SAE dummy design. The plots demonstrate supplemental submission indicate that jacket would pass the Subpart O that the SAE jacket has not affected when a new SAE jacket is fitted to an qualification requirements. Once an dummy response. older dummy, some refurbishment of older dummy was retrofitted with a new The Alliance submitted information the dummy may be needed in order for J2921 jacket, all parts on the dummy in its supplemental letter demonstrating it and the new jacket to perform conformed dimensionally to the that the SAE jacket can pass the Subpart properly. proposed Subpart O engineering O thorax impact tests. However, we note b. Spine Box drawings. that both the Alliance and SAE J2921 NHTSA did not perform re-tests of the indicate that the thickness of rib NHTSA’s 2011 study showed that the sled and out-of-position test series damping material may need to be spine modification had completely performed for the 2011 study with the adjusted for the dummy to conform to eliminated the noise emanating from the final version of the SAE jacket. The final the Part 572 qualification requirement chest without affecting the response of revision only reduced the length of the for the thorax assembly when a new the dummy in any other way. The study sternal pad and tapered the lower SAE jacket is placed on an old dummy. found that the spine boxes portion of the jacket. These changes The Alliance, in its supplemental manufactured by different affect the dummy response in extreme submission, clarified how and why this manufacturers were identical, thorax flexion as seen in the torso adjustment is made. Due to high batch- suggesting that the spine box alterations flexion qualification test. Because this to-batch variability of the rib damping are sufficiently specified. The study also condition was not manifested in either material, the dynamic performance of concluded that the spine box was the sled or out-of-position test series, the rib is specified and not the durable. NHTSA believes the effects of the taper thickness. New ribs are shipped with Testing undertaken for the SAE task and shorter sternal pad would have the expectation that some tuning force and reported in SAE J2915 also been negligible. Nonetheless, NHTSA (shaving down some rib damping showed that the new spine box had believes that the revisions to the jacket material) is required to bring the equivalent performance to the existing design were necessary; when extreme dummy into acceptable performance spine box and did not loosen over flexion does occur, the torso response corridors depending upon the chest repeated testing. must be preserved. jacket used. The interchangeability varies with the brand and dummy V. Lead Time 2. Industry Evaluation condition, so adjustments may be NHTSA proposes to make the changes The Alliance’s supplement to its necessary when switching jackets. effective 45 days after publication of a rulemaking petition and SAE J2921 also The testing also indicated that the final rule. This means that Subpart O— indicate that the SAE jacket performs final version of the SAE jacket could the specifications for the chest jacket equivalently to the Denton and FTSS pass the Subpart O torso flexion test. and spine box—will be changed on that jackets. Testing by both SAE and Alliance date. FMVSS No. 208 specifies that The SAE report shows that the SAE members found, as did NHTSA, that the NHTSA is to use the Subpart O dummy jacket has not affected thorax first iteration of the SAE jacket (made in in its compliance tests. Thus, starting on biofidelity. It shows that the force vs. 2011) registered high pull forces in the the effective date of the final rule, under deflection plots for the 6.7 m/s thorax torso flexion test. Testing of the final FMVSS No. 208 the HIII 5th percentile impact tests with the SAE jackets were version of the jacket showed, however, adult female dummy would be used
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with the new SAE jacket and spine box 1. NHTSA proposes to amend the title and availability of the jacket and a noise in NHTSA’s tests.25 of Subpart O to add the word ‘‘adult’’ artifact from the spine box. Neither NHTSA believes the 45-day lead time between ‘‘5th percentile’’ and ‘‘female’’ change would impose new requirements would be sufficient because we do not for clarity. on vehicle manufacturers. believe that testing under FMVSS No. 2. The agency proposes to remove the With respect to benefits, the dummy 208 would be significantly affected by words ‘‘Alpha Version’’ from the title of would not change in any way other than the final rule. Vehicle manufacturers Subpart O. During adoption of some of to improve its usability and objectivity. already use the SAE jacket on the ATD. the subparts of Part 572 NHTSA had This rulemaking benefits the public by Moreover, because none of the dummy decided that referring to the alpha, beta, specifying a more objective test tool, jackets that are currently in use etc., ‘‘versions’’ of the test dummies which lessens the burden of dummy correspond to the existing Subpart O would better distinguish a current end-users in performing tests and specifications, there should be no issue version of an ATD from a previous with taking an existing dummy out of version. The agency later decided this interpreting test results. It also benefits conformity with the implementation of naming convention was not helpful and vehicle manufacturers by providing this rule. We also believe that jackets has not followed it. Accordingly, we certainty about which test jacket and built to SAE J2921 that are currently would like to remove ‘‘Alpha Version’’ spine box NHTSA will use in used in the field would conform to the from the title of Subpart O since the compliance tests with the HIII 5th proposed specifications. The improved naming convention is no longer used. percentile adult female ATD, and spine box is not expected to affect 3. This NPRM proposes to revise assurance about the continued dummy performance because the Subpart O’s references to SAE J211 parts availability of the jacket. This revision only acts to remove the 1 and 2 and to SAE J1733 to refer to the rulemaking benefits NHTSA as the unwanted artifact of loose bolts rattling. most up-to-date versions of the agency would no longer have to Manufacturers wishing to test with standards. SAE J211 is revised with maintain test jackets of different designs the proposed jacket and spine box improved diagrams for defining the and take steps to match the compliance should have no difficulty obtaining the dummy coordinate system, and test jacket with that specified by the necessary parts. NHTSA asked the corrections to minor mistakes in print. vehicle manufacturers. Specifying the Alliance to assess the cost and New information and recommendations new test jacket and spine box ensures availability of obtaining the parts for data system grounding, sensor cable the long-term availability of a test jacket associated with the proposed changes. shielding, and minimizing the effects of for compliance tests. In its supplemental letter, the Alliance transducer resonance are included. The costs associated with this indicated that all parts associated with Clarifications on data processing are the proposed jacket and spine box rulemaking are limited to those also included. J1733 is revised with associated with acquiring new dummy changes are available, and there should improved diagrams for defining the not be any difficulties meeting parts. We tentatively conclude that the dummy coordinate system (for the HIII– proposed changes would not necessitate anticipated demand. 5F, the system itself is unchanged). We also tentatively conclude that a the purchasing of any parts that would shortened lead time is desirable because VII. Regulatory Analyses and Notices not have been purchased in the normal the proposed changes are beneficial for course of business in the absence of the Executive Order 12866, Executive Order testing laboratories. We believe that the proposed changes. 13563, and DOT Order 2100.6 proposed jacket and spine box changes We do not believe the proposed chest would likely lead to diminished We have considered the potential jacket changes would impose any laboratory technician workload. A impact of this proposed rule under additional costs compared to what common jacket design would eliminate Executive Orders 12866 and 13563, and would have been expended if we did the need to deal with multiple jacket DOT Order 2100.6, and have not adopt the proposed changes. versions. The new spine box would also determined that it is nonsignificant. Because a chest jacket eventually wears This rulemaking document was not lighten laboratory workload by out, it must be replaced. Dummy reviewed by the Office of Management eliminating the need to re-torque the refurbishments and part replacements bolts between tests. With respect to and Budget (OMB) under E.O. 12866. are a routine part of ATD testing. The levels of effort and technician training We have considered the qualitative agency understands that industry has needed to modify and maintain the new costs and benefits of this NPRM under essentially run out of its supply of the jacket and spine box, the Alliance the principles of E.O. 12866. older FTSS and Denton jackets. We indicated in its supplemental letter that As stated in 49 CFR 572.3, both modifications are well within the Application, Part 572 does not in itself further understand that industry has technical competency of existing impose duties or liabilities on any been replacing worn-out FTSS and laboratory technicians. It also stated that person. It only serves to describe the test Denton jackets with new jackets built to the introduction of the new parts will tools that measure the performance of the SAE J2921 specifications. While the not create any significant increases in occupant protection systems. Thus, this FTSS and Denton jackets are not the workload necessary to maintain the Part 572 proposed rule itself does not consistent with the proposed dummies. impose any requirements on anyone. specifications, we believe that chest Businesses are affected only if they jackets built to the SAE J2921 VI. Housekeeping Amendments choose to manufacture or test with the specifications would meet the proposed The agency proposes the following dummy. Because the economic impacts specifications. Because industry and housekeeping and other amendments to of this rule are minimal, no further testing labs need to replace the chest Subpart O. regulatory evaluation is necessary. jacket in the regular course of This NPRM proposes changes to the business—regardless of whether the 25 In its February 21, 2014 petition, the Alliance specifications of the HIII–5F chest jacket proposed changes are adopted—and the recommended that compliance with the new and spine box. For entities testing with only available replacement chest jackets specifications should be optional for a period of five conform to the proposed specifications, years. NHTSA seeks comment on whether this is the dummy, the proposed revisions are still necessary or appropriate. intended to resolve issues with the fit we believe the proposed chest jacket
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specifications would not impose any The proposed revisions are intended is no requirement that individuals additional costs on industry.26 to resolve issues with the fit and submit a petition for reconsideration or The revised spine box, which is not availability of the jacket and a noise pursue other administrative proceeding typically replaced during routine artifact from the spine box. Neither before they may file suit in court. maintenance, costs about $600. End change would impose new requirements Regulatory Flexibility Act users do not have to purchase a revised on vehicle manufacturers. NHTSA does spine box. They can compensate for the not believe the proposal would lead to Pursuant to the Regulatory Flexibility design shortcoming of the current spine any reduction in harmonization. Act (5 U.S.C. 601 et seq., as amended by box by disassembling the dummy and the Small Business Regulatory Executive Order 13132 (Federalism) re-torqueing the relevant fasteners by Enforcement Fairness Act (SBREFA) of hand before each test. Executive Order 13132 requires 1996), whenever an agency is required agencies to develop an accountable to publish a proposed or final rule, it Executive Order 13771 process to ensure ‘‘meaningful and must prepare and make available for Executive Order 13771, titled timely input by State and local officials public comment a regulatory flexibility ‘‘Reducing Regulation and Controlling in the development of regulatory analysis that describes the effect of the Regulatory Costs,’’ directs that, unless policies that have federalism rule on small entities (i.e., small prohibited by law, whenever an implications.’’ ‘‘Policies that have businesses, small organizations, and executive department or Agency federalism implications’’ is defined in small governmental jurisdictions), publicly proposes for notice and the Executive Order to include unless the head of the agency certifies comment or otherwise promulgates a regulations that have ‘‘substantial direct the rule will not have a significant new regulation, it shall identify at least effects on the States, on the relationship economic impact on a substantial two existing regulations to be repealed. between the national government and number of small entities. The Small In addition, any new incremental costs the States, or on the distribution of Business Administration’s regulations at associated with new regulations shall, to power and responsibilities among the 13 CFR part 121 define a small business, the extent permitted by law, be offset by various levels of government.’’ in part, as a business entity ‘‘which the elimination of existing costs. Only NHTSA has analyzed this proposed operates primarily within the United those rules deemed significant under amendment in accordance with the States.’’ (13 CFR 121.105(a)). section 3(f) of Executive Order 12866, principles and criteria set forth in E.O. NHTSA has considered the effects of ‘‘Regulatory Planning and Review,’’ are 13132. The agency has determined that this rulemaking under the Regulatory subject to these requirements. As this proposal does not have sufficient Flexibility Act. I hereby certify that this discussed above, this rule is not a federalism implications to warrant rulemaking action would not have a significant rule under Executive Order consultation and the preparation of a significant economic impact on a 12866 and, accordingly, is not subject to federalism assessment. substantial number of small entities. the offset requirements of 13771. This action would not have a significant National Environmental Policy Act economic impact on a substantial Executive Order 13609: Promoting NHTSA has analyzed this proposal for number of small entities because the International Regulatory Cooperation the purposes of the National revisions to the test dummy would not The policy statement in section 1 of Environmental Policy Act and impose any requirements on anyone. Executive Order 13609 provides, in part: determined that it will not have any NHTSA would use the revised ATD in agency testing but would not require The regulatory approaches taken by foreign significant impact on the quality of the governments may differ from those taken by human environment. anyone to manufacture the dummy or to U.S. regulatory agencies to address similar test motor vehicles or motor vehicle Executive Order 12988 (Civil Justice equipment with it. Further, small issues. In some cases, the differences Reform) between the regulatory approaches of U.S. vehicle manufacturers that choose to agencies and those of their foreign With respect to the review of the test with the 5th percentile adult female counterparts might not be necessary and promulgation of a new regulation, dummy would not be significantly might impair the ability of American section 3(b) of Executive Order 12988, impacted by this rulemaking. The businesses to export and compete ‘‘Civil Justice Reform’’ (61 FR 4729, proposal would simply replace the chest internationally. In meeting shared challenges February 7, 1996) requires that involving health, safety, labor, security, jacket and spine box now used with the environmental, and other issues, Executive agencies make every test dummy with more up-to-date international regulatory cooperation can reasonable effort to ensure that the equipment. Since chest jackets must identify approaches that are at least as regulation: (1) Clearly specifies the periodically be replaced on the test protective as those that are or would be preemptive effect; (2) clearly specifies dummy because they wear out, this adopted in the absence of such cooperation. the effect on existing Federal law or amendment would not significantly International regulatory cooperation can also regulation; (3) provides a clear legal affect end users of the ATD (they will reduce, eliminate, or prevent unnecessary standard for affected conduct, while continue to do what they already do). differences in regulatory requirements. promoting simplification and burden Similarly, the change to the new spine reduction; (4) clearly specifies the 26 For the case of the HIII–5F, a new jacket costs box would not significantly affect small about $850. If a new jacket is installed on an retroactive effect, if any; (5) adequately vehicle manufacturers. It entails a existing dummy, additional refurbishments or defines key terms; and (6) addresses simple one-time replacement where the tuning of that dummy may be needed in order for other important issues affecting clarity old part would be switched out with the it to pass the Subpart O qualification tests. and general draftsmanship under any new. Depending on the condition and age of the dummy, guidelines issued by the Attorney several other parts may need to be replaced at a cost Incorporation by Reference of up to $10,000. However, dummy refurbishments General. This document is consistent and part replacements are an inherent part of with that requirement. Under regulations issued by the Office testing and many of the additional parts are often Pursuant to this Order, NHTSA notes of the Federal Register (1 CFR 51.5(a)), replaced on a regular schedule. In other words, some of the parts would eventually be replaced, and as follows. The issue of preemption is an agency, as part of a proposed rule the costs of the replacement parts can be amortized discussed above in connection with E.O. that includes material incorporated by over a number of tests. 13132. NHTSA notes further that there reference, must summarize material that
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is proposed to be incorporated by extent the NPRM has a few Plain Language reference and must discuss the ways the specifications beyond SAE J2921, we Executive Order 12866 and E.O. material proposed to be incorporated by explain our belief that they are 13563 require each agency to write all reference is reasonably available to necessary to ensure a sufficient level of rules in plain language. Application of interested parties or how the agency uniformity between jackets produced by the principles of plain language worked to make materials available to different manufacturers going forward, includes consideration of the following interested parties. and to prevent discrepancies in jacket questions: This proposed rule would incorporate designs from reoccurring in the future. • Have we organized the material to by reference updated versions of a parts In addition, the following voluntary suit the public’s needs? list, drawings, and a manual into 49 consensus standards have been used in • Are the requirements in the rule CFR part 572, subpart O. This material developing this NPRM: clearly stated? is published by NHTSA (with • SAE Recommended Practice J211/ • Does the rule contain technical permission from SAE International). _ 1 201403 (March 2014), ‘‘Electronic language or jargon that isn’t clear? The contents of the documents are Instrumentation;’’ • Would a different format (grouping summarized in Sections II.e and III.b, • SAE Recommended Practice J211/ and order of sections, use of headings, above, and a draft of the documents that 2_201406 (June 2014), ‘‘Photographic paragraphing) make the rule easier to would be incorporated by reference has Instrumentation’’; and understand? been placed in the docket for this • SAE J1733_201811 (November • Would more (but shorter) sections rulemaking for interested parties to 2018), ‘‘Sign Convention for Vehicle be better? Crash Testing.’’ review. • Could we improve clarity by adding This proposed rule would also Paperwork Reduction Act tables, lists, or diagrams? incorporate updated versions of SAE • What else could we do to make the Recommended Practice J211/1 parts 1 Under the Paperwork Reduction Act rule easier to understand? and 2 and SAE J1733. Older versions of of 1995 (PRA) (44 U.S.C. 3501, et seq.), If you have any responses to these these documents are already Federal agencies must obtain approval questions, please include them in your incorporated by reference into Subpart from the Office of Management and comments on this proposal. O. The changes in the updated versions Budget (OMB) for each collection of are summarized in Section VI, above. information they conduct, sponsor, or Regulation Identifier Number (RIN) require through regulations. This The version currently incorporated by The Department of Transportation rulemaking would not establish any reference is available in SAE assigns a regulation identifier number 27 new information collection International’s online reading room. (RIN) to each regulatory action listed in requirements. The updated version is available for the Unified Agenda of Federal review at NHTSA and is available for Unfunded Mandates Reform Act Regulations. The Regulatory Information purchase from SAE International. The Unfunded Mandates Reform Act Service Center publishes the Unified National Technology Transfer and of 1995 (Pub. L. 104–4) (UMRA) Agenda in April and October of each Advancement Act requires agencies to prepare a written year. You may use the RIN contained in Under the National Technology assessment of the costs, benefits, and the heading at the beginning of this Transfer and Advancement Act of 1995 other effects of proposed or final rules document to find this action in the (NTTAA) (Public Law 104–113), ‘‘all that include a Federal mandate likely to Unified Agenda. Federal agencies and departments shall result in the expenditures by States, Privacy Act use technical standards that are local or tribal governments, in the Anyone is able to search the developed or adopted by voluntary aggregate, or by the private sector, of electronic form of all comments consensus standards bodies, using such more than $100 million annually received into any of our dockets by the technical standards as a means to carry (adjusted annually for inflation with name of the individual submitting the out policy objectives or activities base year of 1995). Adjusting this comment (or signing the comment, if determined by the agencies and amount by the implicit gross domestic submitted on behalf of an association, departments.’’ Voluntary consensus product price deflator for 2013 results in business, labor union, etc.). You may standards are technical standards (e.g., $142 million (109.929/75.324 = 1.42). review DOT’s complete Privacy Act materials specifications, test methods, The assessment may be included in Statement in the Federal Register sampling procedures, and business conjunction with other assessments, as published on April 11, 2000 (65 FR practices) that are developed or adopted it is here. 19477–78). by voluntary consensus standards This proposed rule would not impose bodies, such as SAE. The NTTAA any unfunded mandates under the VIII. Public Participation directs this Agency to provide Congress, UMRA. This proposed rule does not through OMB, explanations when the meet the definition of a Federal mandate How do I prepare and submit Agency decides not to use available and because it does not impose requirements comments? applicable voluntary consensus on anyone. It amends 49 CFR part 572 • To ensure that your comments are standards. by adding specifications for a new test correctly filed in the Docket, please SAE has published information jacket and spine box for the 5th include the Docket Number found in the reports on the HIII 5th percentile adult percentile adult female dummy that heading of this document in your female’s chest jacket and spine box NHTSA uses in agency compliance comments. which today’s proposal incorporates in tests. This NPRM would affect only • Your comments must not be more full. The foregoing sections of this those businesses that choose to than 15 pages long.28 NHTSA document discuss in detail SAE’s work manufacture or test with the dummy. established this limit to encourage you in these areas: SAE J2921 (Chest Jacket) This proposed rule is not likely to result to write your primary comments in a and SAE J2915 (Spine Box). To the in expenditures by State, local or tribal concise fashion. However, you may governments of more than $100 million 27 https://www.sae.org/standards/reading-room. annually. 28 49 CFR 553.21.
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attach necessary additional documents How do I submit confidential business PART 572—ANTHROPOMORPHIC to your comments, and there is no limit information? TEST DEVICES on the length of the attachments. If you wish to submit any information • If you are submitting comments ■ 1. The authority citation for Part 572 under a claim of confidentiality, you continues to read as follows: electronically as a PDF (Adobe) file, should submit three copies of your NHTSA asks that the documents be complete submission, including the Authority: 49 U.S.C. 322, 30111, 30115, submitted using the Optical Character information you claim to be confidential 30117 and 30166; delegation of authority at 49 CFR 1.95. Recognition (OCR) process, thus business information, to the Chief allowing NHTSA to search and copy Counsel, NHTSA, at the address given ■ 2. Revise the heading of Subpart O to certain portions of your submissions. above under FOR FURTHER INFORMATION read as follows: • Please note that pursuant to the CONTACT. In addition, you should Subpart O—Hybrid III 5th Percentile Data Quality Act, in order for submit a copy, from which you have Adult Female Test Dummy substantive data to be relied on and deleted the claimed confidential used by NHTSA, it must meet the business information, to the docket at ■ 3. Revise § 572.130 to read as follows: information quality standards set forth the address given above under § 572.130 Incorporation by reference. in the OMB and DOT Data Quality Act ADDRESSES. When you send a comment guidelines. Accordingly, NHTSA containing information claimed to be (a) Certain material is incorporated by encourages you to consult the confidential business information, you reference (IBR) into this part with the guidelines in preparing your comments. should include a cover letter setting approval of the Director of the Federal DOT’s guidelines may be accessed at forth the information specified in our Register under 5 U.S.C. 552(a) and 1 https://www.transportation.gov/ confidential business information CFR part 51. To enforce any edition regulations/dot-information- regulation. (49 CFR part 512) other than that specified in this section, dissemination-quality-guidelines. NHTSA must publish a document in the Will the agency consider late Federal Register and the material must Tips for Preparing Your Comments comments? be available to the public. All approved When submitting comments, please We will consider all comments material is available for inspection at remember to: received before the close of business on the Department of Transportation, • Identify the rulemaking by docket the comment closing date indicated Docket Operations, Room W12–140, number and other identifying above under DATES. To the extent 1200 New Jersey Avenue SE, information (subject heading, Federal possible, we will also consider Washington DC 20590, telephone 202– Register date and page number). comments that the docket receives after 366–9826, and is available from the sources listed in the following • Explain why you agree or disagree, that date. If the docket receives a paragraphs. It is also available for suggest alternatives, and substitute comment too late for us to consider in inspection at the National Archives and language for your requested changes. developing a final rule (assuming that • one is issued), we will consider that Records Administration (NARA). For Describe any assumptions you make information on the availability of this and provide any technical information comment as an informal suggestion for future rulemaking action. material at NARA, email fedreg.legal@ and/or data that you used. nara.gov or go to http:// • If you estimate potential costs or How can I read the comments submitted www.archives.gov/federal-register/cfr/ burdens, explain how you arrived at by other people? ibr-locations.html. your estimate in sufficient detail to You may read the comments received (b) NHTSA Technical Information allow for it to be reproduced. by the docket at the address given above Services, 1200 New Jersey Ave. SE, • Provide specific examples to under ADDRESSES. The hours of the Washington, DC 20590, telephone 202– illustrate your concerns, and suggest docket are indicated above in the same 366–5965. alternatives. location. You may also see the (1) A parts/drawing list entitled: • Explain your views as clearly as comments on the internet. To read the ‘‘Hybrid III 5th Percentile Adult Female possible, avoiding the use of profanity comments on the internet, go to http:// Crash Test Dummy Parts List, ([date to or personal threats. www.regulations.gov. Follow the online be determined]),’’ IBR approved for § 572.131. • To ensure that your comments are instructions for accessing the dockets. (2) A drawings and specification considered by the agency, make sure to Please note that even after the package entitled ‘‘Parts List and submit them by the comment period comment closing date, we will continue Drawings, Part 572 Subpart O Hybrid III deadline identified in the DATES section to file relevant information in the docket Fifth Percentile Adult Female Crash above. as it becomes available. Further, some Test Dummy (HIII–5F) Revision K ([date For additional guidance on submitting people may submit late comments. to be determined]),’’ IBR approved for effective comments, visit: https:// Accordingly, we recommend that you _ _ § 572.131, and consisting of: www.regulations.gov/docs/Tips For periodically check the Docket for new (i) Drawing No. 880105–100X, Head _ _ Submitting Effective Comments.pdf. material. You can arrange with the Assembly, IBR approved for §§ 572.131, docket to be notified when others file 572.132, 572.133, 572.134, 572.135, and How can I be sure that my comments comments in the docket. See were received? 572.137; www.regulations.gov for more (ii) Drawing No. 880105–250, Neck If you wish Docket Management to information. Assembly, IBR approved for §§ 572.131, notify you upon its receipt of your List of Subjects in 49 CFR Part 572 572.133, 572.134, 572.135, and 572.137; comments, enclose a self-addressed, (iii) Drawing No. 880105–300, Upper stamped postcard in the envelope Motor vehicle safety, Incorporation by Torso Assembly, IBR approved for containing your comments. Upon reference. §§ 572.131, 572.134, 572.135, and receiving your comments, Docket In consideration of the foregoing, 572.137; Management will return the postcard by NHTSA proposes to amend 49 CFR part (iv) Drawing No. 880105–450, Lower mail. 572 as follows: Torso Assembly, IBR approved for
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§§ 572.131, 572.134, 572.135, and Test—Part 1, Electronic (m) The outputs of acceleration and 572.137; Instrumentation,’’ (March 2014), IBR force-sensing devices installed in the (v) Drawing No. 880105–560–1, approved for § 572.137; dummy and in the test apparatus Complete Leg Assembly—left, IBR (2) SAE Recommended Practice J211/ specified by this part shall be recorded approved for §§ 572.131, 572.135, 2_201406, ‘‘Instrumentation for Impact in individual data channels that 572.136, and 572.137; Tests—Part 2, Photographic conform to SAE Recommended Practice (vi) Drawing No. 880105–560–2, Instrumentation,’’ (June 2014), IBR J211/1_201403, ‘‘Instrumentation for Complete Leg Assembly—right, IBR approved for § 572.137; and Impact Test—Part 1, Electronic _ approved for §§ 572.131, 572.135, (3) SAE J1733 201811, ‘‘Sign Instrumentation,’’ and SAE 572.136, and 572.137; Convention for Vehicle Crash Testing,’’ Recommended Practice J211/2_201406, (vii) Drawing No. 880105–728–1, (November 2018), IBR approved for ‘‘Instrumentation for Impact Tests—Part Complete Arm Assembly—left, IBR § 572.137. 2, Photographic Instrumentation’’ approved for §§ 572.131, 572.134, and ■ 4. Amend § 572.131 by revising (incorporated by reference, see 572.135 as part of the complete dummy paragraph (a)(2) introductory text to § 572.130), except as noted, with assembly; read as follows: (viii) Drawing No. 880105–728–2, channel classes as follows: Complete Arm Assembly—right, IBR § 572.131 General description. * * * * * approved for §§ 572.131, 572.134, and (a) * * * (n) Coordinate signs for 572.135 as part of the complete dummy (2) Parts List and Drawings, Part 572 instrumentation polarity shall conform assembly. Subpart O Hybrid III Fifth Percentile to SAE J1733_201811, ‘‘Sign Convention (3) A procedures manual entitled Adult Female Crash Test Dummy (HIII for Vehicle Crash Testing,’’ ‘‘Procedures for Assembly, Disassembly, 5F), Revision K ([date to be (incorporated by reference, see and Inspection (PADI) Subpart O Hybrid determined]) (all incorporated by § 572.130). III Fifth Percentile Adult Female Crash reference, see § 572.130). * * * * * Test Dummy (HIII–5F) Revision K ([date * * * * * to be determined]),’’ IBR approved for ■ 5. Amend § 572.137 by revsing Issued in Washington, DC, under authority § 572.132. paragraph (m) introductory text, and delegated in 49 CFR 1.95 and 501.4. (c) SAE International, 400 paragraph (n) to read as follows: James Clayton Owens, Commonwealth Drive, Warrendale, PA 15096, call 1–877–606–7323. § 572.137 Test conditions and Acting Administrator. (1) SAE Recommended Practice J211/ instrumentation. [FR Doc. 2019–27210 Filed 12–23–19; 8:45 am] 1_201403, ‘‘Instrumentation for Impact * * * * * BILLING CODE 4910–59–P
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Notices Federal Register Vol. 84, No. 247
Thursday, December 26, 2019
This section of the FEDERAL REGISTER potential persons who are to respond to DEPARTMENT OF AGRICULTURE contains documents other than rules or the collection of information that such proposed rules that are applicable to the persons are not required to respond to Submission for OMB Review; public. Notices of hearings and investigations, the collection of information unless it Comment Request committee meetings, agency decisions and displays a currently valid OMB control rulings, delegations of authority, filing of December 19, 2019. petitions and applications and agency number. statements of organization and functions are Rural Business Cooperative Service The Department of Agriculture has examples of documents appearing in this submitted the following information section. Title: Rural Cooperative Development collection requirement(s) to Office of Grants—7 CFR 4284–F. Management and Budget (OMB) for OMB Control Number: 0570–0006. review and clearance under the DEPARTMENT OF AGRICULTURE Paperwork Reduction Act of 1995, Summary of Collection: Section 310B Submission for OMB Review; of the Consolidated Farm and Rural Public Law 104–13. Comments are Comment Request Development Act (as amended) (Pub. L. requested regarding: Whether the 107–171) authorizes the Rural collection of information is necessary December 19, 2019. Cooperative Development Grants for the proper performance of the The Department of Agriculture has (RCDG) program. The program is functions of the agency, including submitted the following information administered through State Rural whether the information will have collection requirement(s) to OMB for Development Offices on behalf of the practical utility; the accuracy of the review and clearance under the Rural Business Cooperative Service agency’s estimate of burden including Paperwork Reduction Act of 1995, (RBS). The primary objective of the the validity of the methodology and Public Law 104–13. Comments are program is to improve the economic assumptions used; ways to enhance the requested regarding: Whether the condition of rural areas through quality, utility and clarity of the collection of information is necessary cooperative development. Grant funds information to be collected; ways to for the proper performance of the are awarded on a competitive basis non- functions of the agency, including minimize the burden of the collection of profit corporations or institutions of whether the information will have information on those who are to higher education, based on specific practical utility; the accuracy of the respond, including through the use of selection criteria. agency’s estimate of burden including appropriate automated, electronic, the validity of the methodology and Need and Use of the Information: mechanical, or other technological assumptions used; ways to enhance the Information is collected by RBS and collection techniques or other forms of quality, utility and clarity of the Rural Development State and Area information technology. information to be collected; and ways to office staff, as delegated, from Comments regarding this information minimize the burden of the collection of applicants and grantees. RBS will use collection received by January 27, 2020 information on those who are to the information collected to evaluate the will be considered. Written comments respond, including through the use of applicant’s ability to carry out the should be addressed to: Desk Officer for purposes of the program. Grantees are appropriate automated, electronic, Agriculture, Office of Information and mechanical, or other technological required to submit financial status and Regulatory Affairs, Office of collection techniques or other forms of performance reports to confirm funds Management and Budget (OMB), New information technology. are being expended as approved and Comments regarding this information requests for advance or reimbursement Executive Office Building, 725 17th collection received by January 27, 2020 to request payment. If this information Street NW, Washington, DC 20502. will be considered. Written comments were not collected, RBS cannot be Commenters are encouraged to submit should be addressed to: Desk Officer for assured that the applicants meet the their comments to OMB via email to: _ Agriculture, Office of Information and statutory requirements for eligibility, OIRA [email protected] or Regulatory Affairs, Office of that it is awarding funds to qualified fax (202) 395–5806 and to Departmental Management and Budget (OMB), New applicants, and that grantees are Clearance Office, USDA, OCIO, Mail Executive Office Building, 725 17th providing services in accordance with Stop 7602, Washington, DC 20250– Street NW, Washington, DC 20502. the approved grant agreement. 7602. Copies of the submission(s) may Commenters are encouraged to submit Description of Respondents: Not for be obtained by calling (202) 720–8958. their comments to OMB via email to: profit institutions. An agency may not conduct or [email protected] or Number of Respondents: 55. sponsor a collection of information fax (202) 395–5806 and to Departmental unless the collection of information Frequency of Responses: Record Clearance Office, USDA, OCIO, Mail displays a currently valid OMB control Stop 7602, Washington, DC 20250– keeping; Reporting: On occasion. number and the agency informs 7602. Copies of the submission(s) may Total Burden Hours: 7,264. potential persons who are to respond to be obtained by calling (202) 720–8958. An agency may not conduct or Ruth Brown, the collection of information that such sponsor a collection of information Departmental Information Collection persons are not required to respond to unless the collection of information Clearance Officer. the collection of information unless it displays a currently valid OMB control [FR Doc. 2019–27778 Filed 12–23–19; 8:45 am] displays a currently valid OMB control number and the agency informs BILLING CODE 3410–XY–P number.
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30-Day Federal Register Notice Total Burden Hours: 1,046. displays a currently valid OMB control number. Rural Utility Service Ruth Brown, Title: Rural Energy Savings Program. Departmental Information Collection Rural Housing Service Clearance Officer. OMB Control Number: 0572–0151. Title: Multi-Family Housing Summary of Collection: The Rural [FR Doc. 2019–27775 Filed 12–23–19; 8:45 am] Preservation and Revitalization Utilities Service (RUS), a Rural BILLING CODE 3410–15–P Restructuring Demonstration Program Development agency of the U.S. (MPR). Department of Agriculture, provides OMB Control Number: 0575–0190. Rural Energy Saving Program (RESP) DEPARTMENT OF AGRICULTURE Summary of Collection: The loans to eligible entities that agree to, in Submission for OMB Review; Agriculture, Rural Development, Food turn, make loans to qualified consumers Comment Request and Drug Administration, and Related for energy efficiency measures, Agencies Appropriations Act, 2006 including cost effective energy and December 19, 2019. (Pub. L. 109–97) provides funding for, renewable energy systems. Since its The Department of Agriculture has and authorizes the Rural Housing inception in 2016, the RESP has submitted the following information Service (RHS) to conduct a evolved. New and clarifying authorities collection requirement(s) to OMB for demonstration program for the have been added to the program review and clearance under the preservation and revitalization of the including changes made by the Paperwork Reduction Act of 1995, Section 515 Multi-Family Housing Agriculture Improvement Act of 2018 Public Law 104–13. Comments are portfolio. Section 515 of the Housing (Pub L. 115–334) which reauthorized requested regarding: Whether the Act of 1949 provides Rural the implementation of the RESP. Title collection of information is necessary Development the authority to make VI, subtitle C, Section 6303 of the for the proper performance of the loans for low-income Multi-Family Agriculture Improvement Act of 2018 functions of the agency, including Housing and related facilities. introduced several amendments to whether the information will have Section 6407 of the Farm Security and practical utility; the accuracy of the The Consolidated Appropriations Act, Rural Investment Act of 2002 (7 U.S.C. agency’s estimate of burden including 2016, (Pub. L. 114–113) authorized 8107a). the validity of the methodology and USDA to conduct A demonstration Need and Use of the Information: The assumptions used; ways to enhance the program for the preservation and application process consists of two quality, utility and clarity of the revitalization of the Sections 514, 515, steps. Step 1: An applicant seeking information to be collected; and ways to and 516 multi-family rental housing financing must submit a Letter of Intent minimize the burden of the collection of properties to restructure existing USDA/ to apply in an electronic Portable information on those who are to Multi-Family Housing (MFH) loans to Document Format (pdf). The Letter of respond, including through the use of ensure the project has sufficient Intent contains the tax identification appropriate automated, electronic, resources to provide safe and affordable number, legal name and organization mechanical, or other technological housing for low-income residents and status; verification of rural status collection techniques or other forms of farm laborers. (counties to be served and populations); information technology. Need and Use of the Information: financial status; point of contact; Comments regarding this information RHS will collect information from the description of program; implementation collection received by January 27, 2020 proposer to evaluate the strengths and plan; and a list of eligible energy will be considered. Written comments weaknesses to which the proposal efficiency measures to be implements. should be addressed to: Desk Officer for concept possesses or lacks to select the Step 2: RESP application—after review Agriculture, Office of Information and most feasible proposals that will of the letter of intent, RUS notifies the Regulatory Affairs, Office of enhances the Agency’s chances in eligible entity if it is invited to submit Management and Budget (OMB), New accomplishing the demonstration the loan application. Required Executive Office Building, 725—17th objective. The information will be application information is used to Street NW, Washington, DC 20502. utilized to sustain and modify RHS’ determine a borrower’s ability to meet Commenters are encouraged to submit current policies pertaining to financial obligations, includes analyses their comments to OMB via email to: revitalization and preservation of and document review of the applicant’s [email protected] or affordable rental housing in rural areas. historical, current, and projected costs, fax (202) 395–5806 and to Departmental Description of Respondents: revenues, cash flows, assets, and other Clearance Office, USDA, OCIO, Mail Individuals or Households; Not-for- factors that may be relevant on a case by Stop 7602, Washington, DC 20250– profit institutions; State, Local, or Tribal case basis. The collection of information 7602. Copies of the submission(s) may Government. is essential to the mission of the agency be obtained by calling (202) 720–8958. Number of Respondents: 1,500. and the RESP, and is necessary so that An agency may not conduct or Frequency of Responses: RUS can establish applicant and project sponsor a collection of information Recordkeeping; Reporting: Annually. eligibility. unless the collection of information Total Burden Hours: 25,293. Description of Respondents: displays a currently valid OMB control Businesses or other for-profit; Not-for- number and the agency informs Ruth Brown, profit institutions. potential persons who are to respond to Departmental Information Collection Number of Respondents: 17. the collection of information that such Clearance Officer. Frequency of Responses: Reporting: persons are not required to respond to [FR Doc. 2019–27773 Filed 12–23–19; 8:45 am] On occasion. the collection of information unless it BILLING CODE 3410–XV–P
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DEPARTMENT OF AGRICULTURE be collected; and (d) ways to minimize Reporting and recordkeeping burden the burden of the collection of had to be adjusted because of decreases Food and Nutrition Service information on those who are to in the number of sponsoring respond, including use of appropriate organizations and facilities, and an Agency Information Collection automated, electronic, mechanical, or increase in the number of enrolled Activities: Proposed Collection; other technological collection participants who are required to submit Comment Request—Information techniques or other forms of information information. In order to ensure that the Collection for the Child and Adult Care technology. ICR adequately represents the reporting Food Program Title: 7 CFR part 226, Child and Adult burden associated with operating AGENCY: Food and Nutrition Service, Care Food Program (CACFP). CACFP, FNS included the requirement USDA. Form Number: None. that State agencies must comply with policy, instructions, guidance, and ACTION: Notice. OMB Number: 0584–0055. Expiration Date: February 29, 2020. handbooks issued by USDA. Similarly, SUMMARY: In accordance with the Type of Request: Revision of a FNS also adjusted the burden hours Paperwork Reduction Act of 1995, this currently approved collection. associated with reviewing materials to notice invites the general public and Abstract: Section 17 of the Richard B. comply with all regulations issued by other public agencies to comment on Russell National School Lunch Act USDA for institutions. In the past, this proposed information collection. (NSLA), as amended, (42 U.S.C. 1766), reviewing policy, instructions, This collection is a revision of a authorizes the CACFP to provide cash guidance, and handbooks were burden currently approved information reimbursement and commodity implied with implementing CACFP, collection. assistance, on a per meal basis, for food however, it was not included in the service to children in nonresidential burden table. Adding the hours it would DATES: Written comments must be take to review materials is important received on or before February 24, 2020. child care centers and family day care homes, and to eligible adults in because it allows USDA to capture the ADDRESSES: Comments may be sent to nonresidential adult day care centers. burden of operating CACFP. FNS also Andrea Farmer, Community Meals The USDA, through FNS, has separated out burden associated with Branch, Policy and Program established application, monitoring, and the serious deficiency process for new, Development Division, Child Nutrition renewing, and participating institutions. reporting requirements to manage the Programs, Food and Nutrition Service, Finally, in this revision, FNS included CACFP effectively. The purpose of this U.S. Department of Agriculture, 1320 the reporting burden for State agencies submission to OMB is to obtain Braddock Place, Alexandria, VA 22314. and institutions associated with approval to continue the discussed Comments may also be submitted via submitting documents of corrective information collection. States and fax to the attention of Andrea Farmer at action and other records related to service institutions participating in the 703–305–6294 or via email to operating the program such as CACFP will submit to FNS account and [email protected]. Comments administrative budget, notice of record information reflecting their will also be accepted through the proposed suspension, and notice of efforts to comply with statutory and Federal eRulemaking Portal. Go to corrective actions. regulatory Program requirements. http://www.regulations.gov, and follow In this renewal, FNS added public Examples of data collected and reported the online instructions for submitting disclosure burden associated with with this collection include, but are not comments electronically. requirements regarding public limited to: Applications and supporting All responses to this notice will be notification about the CACFP, which documents; records of enrollment; summarized and included in the request have been a part of the CACFP records supporting the free and reduced for Office of Management and Budget regulations but were not included in the price eligibility determinations; daily approval. All comments will be a matter burden estimates for the currently records indicating numbers of program of public record. approved information collection. FNS participants in attendance and the also included public disclosure burden FOR FURTHER INFORMATION CONTACT: number of meals served by type and Requests for additional information or for State agencies per policy guidance, category; and receipts, invoices and which allows State agencies to issue copies of this information collection other records of CACFP costs and should be directed to Andrea Farmer, media releases on behalf of the documentation of non-profit operation institutions. Public disclosure burden Community Meals Branch, Policy and of food service. Program Development Division, Child hours for State agencies were not This is a revision of a currently captured in the past. However, through Nutrition Programs, Food and Nutrition approved information collection (ICR). Service, U.S. Department of Agriculture, feedback from State agencies, FNS Section 17 of the National School Lunch adjusted the burden hours because FNS 1320 Braddock Place, Alexandria, VA Act, as amended (42 U.S.C. 1766), 22314. learned that many State agencies issue authorizes the Child and Adult Care a public notice on behalf of their SUPPLEMENTARY INFORMATION: Comments Program (CACFP). Under this Program, institutions. are invited on: (a) Whether the proposed the Secretary of Agriculture is The current OMB inventory for this collection of information is necessary authorized to provide cash collection includes reporting and for the proper performance of the reimbursement and commodity recordkeeping burden that consists of functions of the agency, including assistance, on a per meal basis, for food 2,481,136 hours. As explained above, whether the information shall have service to children in nonresidential due to a combination of decreased practical utility; (b) the accuracy of the child care centers and family or group respondents and additional public agency’s estimate of the burden of the day care homes, and to eligible adults in disclosure and reporting requirements, proposed collection of information, nonresidential adult day care centers. program burden increased from including the validity of the This renewal revises reporting and 2,481,136 hours to 3,703,593 hours. The methodology and assumptions that were recordkeeping burden and adds public recordkeeping burden decreased from used; (c) ways to enhance the quality, disclosure burden not captured in the 610,724 hours to 568,460 hours. In utility, and clarity of the information to previous ICR. contrast, the reporting burden increased
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from 1,870,412 hours to 3,132,359 facilities (includes 96,778 family day Estimated Total Annual Burden on hours, and the public disclosure burden care homes and 68,939 sponsored center Respondents: 3,703,593.386 hrs. increased form zero hours to 2,773 facilities), and (4) 3,240,194 households. Current OMB Inventory: hours. The average burden per response Estimated Number of Respondents: 2,481,135.751 hrs. and the annual burden hours for 3,443,062. reporting and recordkeeping are Estimated Number of Responses per Difference (Burden Revisions explained below and summarized in the Respondent: 4.081. Requested): 1,222,457.64 hrs. charts that follow. Estimated Total Annual Responses: Refer to Table 1 below for estimated Affected Public: Respondent groups 14,049,884.920. total annual burden for each type of identified include: (1) 56 State agencies, Estimated Time per Response: 0.264 respondent. (2) 26,002 institutions, (3) 165,717 hrs.
TABLE 1—PUBLIC DISCLOSURE BURDEN
Estimated Estimated Responses Total annual avg. number of Estimated Respondent number of annually per responses hours per total hours respondents respondent response
Reporting Burden: State agencies/Local/Tribal Gov- ernments ...... 56 568.161 31,817.000 0.134 4,248.562 Institution ...... 26,002 30.393 790,266.000 1.854 1,465,046.812 Businesses (Facility) ...... 165,717 12.000 1,988,604.000 0.396 787,485.000 Household ...... 3,240,194 3.256 10,549,145.920 0.083 875,579.111
Total Estimated Reporting Bur- den ...... 3,431,969 3.893 13,359,832.920 0.234 3,132,359.486 Recordkeeping Burden: State agencies/Local/Tribal Gov- ernments ...... 56 27.000 1,512.000 1.370 2,072.000 Institutions ...... 22,130 8.147 180,296.000 0.384 69,237.650 Businesses (Facility)...... 165,717 3.000 497,151.000 1.000 497,151.000
Total Estimated Record- keeping Burden...... 187,903 3.613 678,959.000 0.837 568,460.650 Public Disclosure Burden: State agencies/Local/Tribal Gov- ernments ...... 28 1.000 28.000 0.250 7.000 Institution ...... 11,065 1.000 11,065.000 0.250 2,766.250
Total Estimated Public Disclo- sure Burden ...... 11,093 1.000 11,093.000 0.250 2,773.250
Total of Reporting, Recordkeeping, and Public Disclosure: Total ...... 3,443,062 4.081 14,049,884.920 0.264 3,703,593.386
Dated: December 16, 2019. January 10, 2020, at 12:30 p.m. Central impairments may also follow the Pamilyn Miller, Time, to continue discussion of its proceedings by first calling the Federal Administrator, Food and Nutrition Service. report on legal financial obligations. Relay Service at 1–800–877–8339 and [FR Doc. 2019–27764 Filed 12–23–19; 8:45 am] Public Call Information: Dial: 800– providing the Service with the 367–2403; Conference ID: 3970860. BILLING CODE 3410–30–P conference call number and conference FOR FURTHER INFORMATION CONTACT: ID number. David Mussatt (Supervisory Chief, Members of the public are entitled to Regional Programs Unit) at dmussatt@ COMMISSION ON CIVIL RIGHTS usccr.gov or (312) 353–8311. make comments during the open period at the end of the meeting. Members of SUPPLEMENTARY INFORMATION: This Notice of Public Meeting of the the public may also submit written Tennessee Advisory Committee meeting is available to the public through the following toll-free call-in comments; the comments must be received in the Regional Programs Unit AGENCY: U.S. Commission on Civil number: 800–367–2403, conference ID Rights. number: 3970860. Any interested within 30 days following the meeting. Written comments may be mailed to the ACTION: Notice of meeting. member of the public may call this number and listen to the meeting. Midwestern Regional Office, U.S. SUMMARY: Notice is hereby given, Callers can expect to incur charges for Commission on Civil Rights, John C. pursuant to the provisions of the rules calls they initiate over wireless lines, Kluczynski Federal Building, 230 S. and regulations of the U.S. Commission and the Commission will not refund any Dearborn St., Suite 2120, Chicago, IL on Civil Rights and the Federal incurred charges. Callers will incur no 60604. They may be faxed to the Advisory Committee Act, that the charge for calls they initiate over land- Commission at (312) 353–8324, or Tennessee Advisory Committee will line connections to the toll-free emailed to [email protected]. Persons hold a public meeting on Friday, telephone number. Persons with hearing who desire additional information may
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contact the Regional Programs Unit at and further subject to FTZ 186’s 2,000- decisions require subject merchandise (312) 353–8311. acre activation limit. to be admitted to FTZs in privileged Records and documents discussed Dated: December 13, 2019. foreign status (19 CFR 146.41). during the meeting will be available for Elizabeth Whiteman, Public comment is invited from public viewing prior to and after the interested parties. Submissions shall be Acting Executive Secretary. meetings at https:// addressed to the FTZ Board’s Executive www.facadatabase.gov/FACA/ [FR Doc. 2019–27795 Filed 12–23–19; 8:45 am] Secretary and sent to: [email protected]. The FACAPublicView BILLING CODE 3510–DS–P closing period for their receipt is CommitteeDetails?id=a February 4, 2020. 10t0000001gzm9AAA. Please click on A copy of the notification will be DEPARTMENT OF COMMERCE the ‘‘Committee Meetings’’ tab. Records available for public inspection in the generated from these meetings may also Foreign-Trade Zones Board ‘‘Reading Room’’ section of the FTZ be inspected and reproduced at the Board’s website, which is accessible via Regional Programs Unit, as they become [B–76–2019] www.trade.gov/ftz. available, both before and after the For further information, contact Diane meetings. Persons interested in the work Foreign-Trade Zone (FTZ) 27—Boston, Finver at [email protected] or of this Committee are directed to the Massachusetts; Notification of (202) 482–1367. Commission’s website, https:// Proposed Production Activity; Waters Technologies Corporation Dated: December 13, 2019. www.usccr.gov, or may contact the Elizabeth Whiteman, Regional Programs Unit at the above (Chromatography Tubing Assemblies); Acting Executive Secretary. email or street address. Milford, Massachusetts [FR Doc. 2019–27797 Filed 12–23–19; 8:45 am] Waters Technologies Corporation Agenda BILLING CODE 3510–DS–P (Waters) submitted a notification of I. Opening Remarks proposed production activity to the FTZ II. Discussion of Legal Financial Board for its facility in Milford, DEPARTMENT OF COMMERCE Obligations Report Massachusetts. The notification III. Public Comments conforming to the requirements of the Foreign-Trade Zones Board IV. Adjournment regulations of the FTZ Board (15 CFR Dated: December 19, 2019. 400.22) was received on December 13, [B–77–2019] David Mussatt, 2019. Foreign-Trade Zone (FTZ) 65—Panama Supervisory Chief, Regional Programs Unit. The applicant indicates that it will be City, Florida; Notification of Proposed [FR Doc. 2019–27830 Filed 12–23–19; 8:45 am] submitting a separate application for Production Activity; Oceaneering BILLING CODE P FTZ designation at the company’s International, Inc.; (Sub-Sea facility under FTZ 27. The facility is Distribution Parts and Systems); used for the production of Panama City, Florida DEPARTMENT OF COMMERCE chromatography tubing assemblies. Pursuant to 15 CFR 400.14(b), FTZ Oceaneering International, Inc. Foreign-Trade Zones Board activity would be limited to the specific (Oceaneering Intl.) submitted a foreign-status component and the notification of proposed production [S–215–2019] specific finished product described in activity to the FTZ Board for its facility Approval of Subzone Expansion; the submitted notification (as described in Panama City, Florida. The Flemish Master Weavers; Sanford, below) and subsequently authorized by notification conforming to the Maine the FTZ Board. requirements of the regulations of the Production under FTZ procedures FTZ Board (15 CFR 400.22) was On October 18, 2019, the Executive could exempt Waters from customs duty received on December 11, 2019. Secretary of the Foreign-Trade Zones payments on the foreign-status The Oceaneering Intl. facility is (FTZ) Board docketed an application component used in export production. located within FTZ 65. The facility will submitted by the City of Waterville, On its domestic sales, for the foreign- be used for the production and repair of grantee of FTZ 186, requesting an status component noted below, Waters sub-sea distribution parts and systems. expansion of Subzone 186A subject to would be able to choose the duty rate Pursuant to 15 CFR 400.14(b), FTZ the existing activation limit of FTZ 186 during customs entry procedures that activity would be limited to the specific on behalf of Flemish Master Weavers, in applies to chromatography tubing foreign-status materials and components Sanford, Maine. assemblies (duty-free). Waters would be and specific finished products described The application was processed in able to avoid duty on the foreign-status in the submitted notification (as accordance with the FTZ Act and component which becomes scrap/waste. described below) and subsequently Regulations, including notice in the Customs duties also could possibly be authorized by the FTZ Board. Federal Register inviting public deferred or reduced on foreign-status Production under FTZ procedures comment (84 FR 57391–57392, October production equipment. could exempt Oceaneering Intl. from 25, 2019). The FTZ staff examiner The component/material sourced customs duty payments on the foreign- reviewed the application and from abroad is stainless steel seamless status components used in export determined that it meets the criteria for tubing (duty-free). The request indicates production. On its domestic sales, for approval. Pursuant to the authority that stainless steel seamless tubing is the foreign-status materials/components delegated to the FTZ Board Executive subject to special duties under Section noted below, Oceaneering Intl. would be Secretary (15 CFR 400.36(f)), the 232 of the Trade Expansion Act of 1962 able to choose the duty rates during application to expand Subzone 186A (Section 232) and Section 301 of the customs entry procedures that apply to: was approved on December 13, 2019, Trade Act of 1974 (Section 301), Hydraulic hoses; extruded stainless subject to the FTZ Act and the Board’s depending on the country of origin. The steel tubes; electrical cable caps; regulations, including Section 400.13, applicable Section 232 and Section 301 electrical cables; subsea umbilicals;
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umbilical termination assemblies; and, For further information, contact Supply Chain Competitiveness subsea umbilicals containing fiber optic Juanita Chen at [email protected] (Committee). cables (duty rate ranges from duty-free or 202–482–1378. DATES: The meetings will be held on to 5.3%). Oceaneering Intl. would be Dated: December 18, 2019. January 15, 2020, from 12:00 p.m. to able to avoid duty on foreign-status Andrew McGilvray, 3:00 p.m., and January 16, 2020, from components which become scrap/waste. Executive Secretary. 9:00 a.m. to 4:00 p.m., Eastern Daylight Customs duties also could possibly be Time (EDT). deferred or reduced on foreign-status [FR Doc. 2019–27798 Filed 12–23–19; 8:45 am] production equipment. BILLING CODE 3510–DS–P ADDRESSES: The meetings will be held at The components and materials the U.S. Department of Commerce, 1401 sourced from abroad include: Hydraulic Constitution Avenue NW, Research fluids; lubricating oils (synthetic; DEPARTMENT OF COMMERCE Library (Room 1894), Washington, DC 20230. petroleum; resin); ethylene glycol Foreign-Trade Zones Board mixes; paints; caulking sealants; FOR FURTHER INFORMATION CONTACT: propylene resins; nylon pellets; [S–223–2019] Richard Boll, Office of Supply Chain, elastomeric resin stiffeners; elastomeric Approval of Subzone Status; Professional & Business Services resin covers; polyurethane resin cable (OSCPBS), International Trade connectors; plastic components (cable Commerce Warehouse Group, LLC; Rock Hill, South Carolina Administration. Phone: (202) 482–1135 and hose tubing; sleeves; fittings; or email: [email protected]. cylindrical strips; umbilical protection On October 30, 2019, the Executive SUPPLEMENTARY INFORMATION: shrouds; seals; sleeves to protect Secretary of the Foreign-Trade Zones Background: The Committee was bending damage); tape components (FTZ) Board docketed an application established under the discretionary (electrical plastic; duct; fiberglass; submitted by the South Carolina State authority of the Secretary of Commerce electrical steel; galvanized steel); bungee Ports Authority, grantee of FTZ 38, and in accordance with the Federal cords; hydraulic hoses; rubber o-rings; requesting subzone status subject to the Advisory Committee Act (5 U.S.C. rubber straps; strong synthetic plastic existing activation limit of FTZ 38, on App.). It provides advice to the polymers; stainless steel components behalf of Commerce Warehouse Group, Secretary of Commerce on the necessary (seamless super-duplex tubing; flanges; LLC, in Rock Hill, South Carolina. elements of a comprehensive policy fasteners; hex bolts); steel components The application was processed in (pipe fittings; hex bolts; bolts approach to supply chain accordance with the FTZ Act and competitiveness and on regulatory assemblies; studs; locknuts; lugnuts; hex Regulations, including notice in the nuts; washers; hangers); soft copper policies and programs and investment Federal Register inviting public priorities that affect the competitiveness cables; nickel alloy strips; titanium comment (84 FR 59615, November 5, banding; lifting components (roller of U.S. supply chains. For more 2019). The FTZ staff examiner reviewed information about the Committee visit: assemblies; roller packers; assemblies; the application and determined that it apparatuses); electronic systems; valve http://trade.gov/td/services/oscpb/ meets the criteria for approval. Pursuant supplychain/acscc/. remote control units; electrical to the authority delegated to the FTZ apparatus harnesses; underwater Matters to Be Considered: Committee Board Executive Secretary (15 CFR members are expected to continue to electrical connectors; electric 400.36(f)), the application to establish components (cables; test plugs; test plug discuss the major competitiveness- Subzone 38Q was approved on related topics raised at the previous pins; test receptacles); electrical copper December 18, 2019, subject to the FTZ wires; cable end test plugs; cable end Committee meetings, including trade Act and the Board’s regulations, and competitiveness; freight movement test receptacles; umbilical termination including Section 400.13, and further assemblies; fiber optic cables; syntactic and policy; trade innovation; regulatory subject to FTZ 38’s 2,000-acre activation issues; finance and infrastructure; and foam buoyancy modules; and, pressure limit. transmitters (duty rate ranges from duty workforce development. The free to 7.0% or $0.84/BBL). The request Dated: December 18, 2019. Committee’s subcommittees will report indicates that certain materials/ Andrew McGilvray, on the status of their work regarding components may be subject to special Executive Secretary. these topics. The agenda may change to duties under Section 232 of the Trade [FR Doc. 2019–27796 Filed 12–23–19; 8:45 am] accommodate other Committee Expansion Act of 1962 (Section 232) or BILLING CODE 3510–DS–P business. The Office of Supply Chain, Section 301 of the Trade Act of 1974 Professional & Business Services will (Section 301), depending on the country post the final detailed agendas on its of origin. The applicable Section 232 DEPARTMENT OF COMMERCE website, http://trade.gov/td/services/ and Section 301 decisions require oscpb/supplychain/acscc/, at least one subject merchandise to be admitted to International Trade Administration week prior to the meeting. FTZs in privileged foreign status (19 The meetings will be open to the Advisory Committee on Supply Chain CFR 146.41). public and press on a first-come, first- Public comment is invited from Competitiveness: Notice of Public served basis. Space is limited. The interested parties. Submissions shall be Meetings public meetings are physically addressed to the Board’s Executive AGENCY: International Trade accessible to people with disabilities. Secretary and sent to: [email protected]. The Administration, U.S. Department of Individuals requiring accommodations, closing period for their receipt is Commerce. such as sign language interpretation or February 4, 2020. ACTION: Notice of open meetings. other ancillary aids, are asked to notify A copy of the notification will be Richard Boll, at (202) 482–1135 or available for public inspection in the SUMMARY: This notice sets forth the [email protected], at least five (5) ‘‘Reading Room’’ section of the Board’s schedule and proposed topics of business days before the meeting. website, which is accessible via discussion for upcoming public Interested parties may submit written www.trade.gov/ftz. meetings of the Advisory Committee on comments to the Committee at any time
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before and after the meeting. Parties Determinations 1 of circumvention of shipments of merchandise under wishing to submit written comments for the CRS Orders.2 A summary of the consideration entered on or after the consideration by the Committee in events that occurred since Commerce date of the initiation of these inquiries. advance of this meeting must send them published the Preliminary Importers and exporters of CRS to the Office of Supply Chain, Determinations, as well as a full produced in Vietnam using HRS Professional & Business Services, 1401 discussion of the issues raised by parties manufactured in Vietnam or third Constitution Ave. NW, Room 11014, for these final determinations, may be countries, and who qualify to Washington, DC 20230, or email to found in the Issues and Decision participate in the certification process, 3 [email protected]. Memorandum. The Issues and Decision must certify that the HRS processed into For consideration during the Memorandum is a public document and CRS in Vietnam did not originate in meetings, and to ensure transmission to is on file electronically via Enforcement Korea, as provided for in the the Committee prior to the meetings, and Compliance’s Antidumping and comments must be received no later Countervailing Duty Centralized certifications attached to this Federal than 5:00 p.m. EST on January 6, 2020. Electronic Service System (ACCESS). Register notice. Otherwise, their Comments received after January 6, ACCESS is available to registered users merchandise may be subject to 2020, will be distributed to the at http://access.trade.gov, and it is antidumping and countervailing duties. Committee, but may not be considered available to all parties in the Central Methodology at the meetings. The minutes of the Records Unit, Room B8024 of the main meetings will be posted on the Commerce building. In addition, a Commerce is conducting these anti- Committee website within 60 days of complete version of the Issues and circumvention inquiries in accordance the meeting. Decision Memorandum can be accessed with section 781(b) of the Tariff Act of Dated: December 19, 2019. directly at http://enforcement.trade.gov/ 1930, as amended (the Act). Because Maureen Smith, frn/. The signed and electronic versions Vietnam is a non-market economy Director, Office of Supply Chain. of the Issues and Decision country within the meaning of section Memorandum are identical in content. [FR Doc. 2019–27793 Filed 12–23–19; 8:45 am] 771(18) of the Act, Commerce calculated BILLING CODE 3510–DR–P Scope of the Orders the value of certain processing and merchandise using factors of production The products covered by these orders are certain cold-rolled (cold-reduced), and market economy values, as DEPARTMENT OF COMMERCE flat-rolled steel products, whether or not discussed in section 773(c) of the Act.4 See Preliminary Decision International Trade Administration annealed, painted, varnished, or coated with plastics or other non-metallic Memorandum for a full description of [A–580–881, C–580–882] substances. For a complete description the methodology. We have continued to of the scope of the orders, see the Issues apply this methodology for our final Certain Cold-Rolled Steel Flat Products and Decision Memorandum. determination. From the Republic of Korea: Affirmative Final Determinations of Scope of the Anti-Circumvention Analysis of Comments Received Circumvention of the Antidumping Inquiries Duty and Countervailing Duty Orders All issues raised in the case and These anti-circumvention inquiries rebuttal briefs by parties in these AGENCY: Enforcement and Compliance, cover CRS produced in Vietnam using inquiries are addressed in the Issues and International Trade Administration, HRS substrate manufactured in Korea Decision Memorandum. A list of the and subsequently exported from Department of Commerce. issues raised is attached to this notice as Vietnam to the United States SUMMARY: The Department of Commerce Appendix I. (Commerce) determines that imports of (merchandise under consideration). certain cold-rolled steel flat products These final rulings apply to all Final Affirmative Determinations of (CRS), produced in the Socialist Circumvention 1 Republic of Vietnam (Vietnam) using Certain Cold-Rolled Steel Flat Products from the Republic of Korea: Affirmative Preliminary We determine that exports to the carbon hot-rolled steel (HRS) Determination of Anti-Circumvention Inquiries on United States of CRS produced in manufactured in the Republic of Korea the Antidumping Duty and Countervailing Duty Vietnam from HRS substrate (Korea), are circumventing the Orders, 84 FR 32875 (July 10, 2019) (Preliminary antidumping duty (AD) and Determinations), and accompanying Preliminary manufactured in Korea are Decision Memorandum (Preliminary Decision circumventing the CRS Orders. We countervailing duty (CVD) orders on Memorandum). CRS from Korea. 2 See Certain Cold-Rolled Steel Flat Products from therefore find it appropriate to determine that this merchandise falls DATES: Applicable December 26, 2019. Brazil, India, the Republic of Korea, and the United Kingdom: Amended Final Affirmative Antidumping within the CRS Orders, and to instruct FOR FURTHER INFORMATION CONTACT: Determinations for Brazil and the United Kingdom U.S. Customs and Border Protection Tyler Weinhold or Fred Baker, AD/CVD and Antidumping Duty Orders, 81 FR 64432 (CBP) to continue to suspend Operations, Office VI, Enforcement and (September 20, 2016); see also Certain Cold-Rolled Compliance, International Trade Steel Flat Products from Brazil, India, and the liquidation of any entries of CRS from Republic of Korea: Amended Final Affirmative Administration, U.S. Department of Vietnam produced using HRS substrate Countervailing Duty Determination and manufactured in Korea. Commerce, 1401 Constitution Avenue Countervailing Duty Order (the Republic of Korea) and Countervailing Duty Orders (Brazil and India), NW, Washington, DC 20230; telephone: 4 See, e.g., Certain Oil Country Tubular Goods 81 FR 64436 (September 20, 2016) (collectively, (202) 482–1121 or (202) 482–2924, from the Socialist Republic of Vietnam: Preliminary CRS Orders). Results of Antidumping Duty Administrative respectively. 3 See Memorandum, ‘‘Issues and Decision Review, 81 FR 71071 (October 14, 2016) and SUPPLEMENTARY INFORMATION: Memorandum for Anti-Circumvention Inquiries on the Antidumping Duty and Countervailing Duty accompanying Preliminary Decision Memorandum Background Orders on Certain Cold-Rolled Steel Flat Products at 3, unchanged in Certain Oil Country Tubular from the Republic of Korea,’’ dated concurrently Goods from the Socialist Republic of Vietnam: Final On July 10, 2019, Commerce with, and hereby adopted by, this notice (Issues and Results of Antidumping Duty Administrative published the Preliminary Decision Memorandum). Review; 2014–2015, 82 FR 18611 (April 20, 2017).
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Continuation of Suspension of CRS produced in Vietnam from HRS administrative protective order (APO) of Liquidation substrate that is not of Korean-origin is their responsibility concerning the not subject to these inquiries. Therefore, destruction of proprietary information As stated above, Commerce has made cash deposits are not required for such disclosed under APO in accordance an affirmative determination of merchandise. However, CRS produced with 19 CFR 351.305(a)(3). Timely circumvention of the CRS Orders by in Vietnam from HRS from China is written notification of return/ exports to the United States of CRS subject to the AD/CVD orders on CRS destruction of APO materials or produced in Vietnam using Korean- from China. If an importer imports CRS conversion to judicial protective order is origin HRS substrate. This from Vietnam and claims that the CRS hereby requested. Failure to comply circumvention finding applies to CRS was produced from non-Korean HRS with the regulations and the terms of an produced by any Vietnamese company substrate, in order not to be subject to APO is a sanctionable violation. using Korean-origin HRS substrate. In cash deposit requirements, the importer accordance with 19 CFR 351.225(l)(3), and exporter are required to meet the Notification to Interested Parties Commerce will direct CBP to continue certification and documentation These determinations are issued and to suspend liquidation and to require a requirements described in Appendix II. published in accordance with section cash deposit of estimated duties on Exporters of CRS produced in Vietnam 781(b) of the Act and 19 CFR 351.225(f). unliquidated entries of CRS produced in from non-Korean origin HRS substrate Dated: December 13, 2019. Vietnam using Korean-origin HRS must prepare and maintain an Exporter Jeffrey I. Kessler, substrate that were entered, or Certification and documentation Assistant Secretary for Enforcement and withdrawn from warehouse, for supporting the Exporter Certification Compliance. consumption on or after August 2, 2018, (see Appendix IV). In addition, the date of initiation of these anti- importers of such CRS must prepare and Appendix I 5 circumvention inquiries. maintain an Importer Certification (see List of Topics Discussed in the Issues and The suspension of liquidation and Appendix III) as well as documentation Decision Memorandum cash deposit instructions will remain in supporting the Importer Certification. In I. Summary effect until further notice. In order to addition to the Importer Certification, II. Background prevent evasion, and because the AD the importer must also maintain a copy III. Scope of the Orders and CVD rates established in the CRS of the Exporter Certification (see IV. Scope of the Anti-Circumvention China Circumvention Final are higher Appendix IV) and relevant supporting Inquiries V. Changes Since the Preliminary than the rates established for CRS from documentation from its exporter of CRS produced from non-Korean-origin HRS Determination Korea, Commerce will instruct CBP to VI. Statutory Framework suspend liquidation and collect cash substrate. For these final determinations, we VII. Statutory Analysis deposits in the following manner.6 In VIII. Discussion of the Issues determine that the following companies the situation where no certification Comment 1: Whether Companies That Did are not eligible for the certification regarding the origin of the substrate is Not Receive Commerce’s Quantity and process: 190 Steel Pipe Co. Ltd., Central maintained for an entry, and AD/CVD Value (Q&V) Questionnaire Should Be Vietnam Metal Corp., Hoa Phat Steel orders from two countries (China or Permitted to Participate in the Pipe Co., POSCO E&C, POSCO SS Vina, Certification Process. Korea) potentially apply to that entry, POSCO VST, VSC—POSCO Steel Comment 2: Whether Commerce Abused Commerce intends to instruct CBP to Corporation, Prima Commodities Co., Its Discretion in Rejecting the Q&V suspend the entry and collect cash Southern Steel Sheet Co., Ltd., Tan Questionnaire Responses of Certain deposits at the AD rate established for Thanh Quyen Steel Co., Thai Nguyen Companies the China-wide entity (199.76 percent) Comment 3: Whether Commerce Should Iron and Steel Corp., Thong Nhat Flat and the China CVD all-others rate Not Apply AFA to SSSC Steel, Van Loi Co. Ltd., Vietnam (256.44 percent), pursuant to the CRS Comment 4: Whether Commerce Lacks Germany Steel JSC, Vietnam Steel Corp., China Circumvention Final. In the Statutory Authority to Apply AFA Vietnam Steel Pipe, Vina Kyoei Steel situation where a certification is Where Respondents Did Not Deprive Ltd., Vinda Iron & Steel Co. Ltd., and Commerce of Information Regarding Its maintained for the AD/CVD orders on VNSTEEL—Phu My Flat Steel Co. Ability to Trace Inputs. CRS from China (stating that the Accordingly, importers of CRS from Comment 5: Whether Commerce’s Use of merchandise was not produced from Vietnam that is produced and/or AFA Impermissibly Departs Without HRS from China), but no other exported by these ineligible companies Explanation from Its Decision in the certification is maintained, Commerce China Anti-Circumvention Inquiry are similarly ineligible for the intends to instruct CBP to suspend the Comment 6: Whether Precluding Certain certification process with regard to entry and collect cash deposits at the Importers and Exporters from those imports. Additionally, exporters AD and CVD all-others rates (i.e., 20.33 Participating in the Certification Process are not eligible to certify shipments of percent and 3.89 percent, respectively) is Inappropriate and Unfairly Punishes merchandise produced by the above- Importers applicable to the AD/CVD orders on listed companies. Accordingly, Hoa Comment 7: Whether Commerce Should CRS from Korea.7 Phat Group Joint Stock Company and Allow Additional Time for Completing Hoa Phat Steel Sheet are not eligible to Certifications for Pre-Preliminary 5 See Certain Cold-Rolled Steel Flat Products from Determination Entries the Republic of Korea: Initiation of Anti- certify shipments of CRS produced by 8 Comment 8: Whether a Country-Wide Circumvention Inquiries on the Antidumping Duty Hoa Phat Steel Pipe Co. Determination is Justified and Countervailing Duty Orders, 83 FR 37790 Notification Regarding Administrative Comment 9: Whether Commerce’s (August 2, 2018). Interpretation of Section 781(b) of the 6 Protective Orders See Certain Cold-Rolled Steel Flat Products from Act Applies to the CRS Production the People’s Republic of China: Affirmative Final This notice will serve as the only Determination of Circumvention of the Process in Vietnam and Expands the Antidumping Duty and Countervailing Duty Orders, reminder to all parties subject to Scope of the Orders 83 FR 23891 (May 23, 2018) (CRS China Comment 10: Whether Commerce Should Circumvention Final). 8 See Issues and Decision Memorandum at Amend the Exporter Certification 7 See CRS Orders. Comment 11. Language to Prevent Funneling
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Comment 11: Whether to Apply AFA to entries from August 2, 2018 through the date importer and exporter are required to Certain Vietnamese Producers That Are of Federal Register publication of the final maintain the certifications and supporting Affiliated with Those That Are Deemed determinations until 30 days after documentation for the later of (1) a period of Non-Responsive publication of these determinations. five years from the date of entry or (2) a Comment 12: Whether Commerce Should Accordingly, where appropriate, the period of three years after the conclusion of Preclude Companies that Failed to relevant bullet in the certification should be any litigation in United States courts Cooperate in Both the CRS from China edited to reflect that the certification was regarding such entries. and CRS from Korea Inquiries from completed within the time frame specified In the situation where no certification is Participating in the Certification Regime above. For example, the bullet in the maintained for an entry, and AD/CVD orders Comment 13: Whether to Apply the importer certification that reads: ‘‘This from two countries (China or Korea) Highest of the Petition Rate or certification was completed at or prior to the potentially apply to that entry, Commerce Investigation Calculated Rate as the Cash time of Entry,’’ could be edited as follows: intends to instruct CBP to suspend the entry Deposit Rate for Non-Responsive ‘‘The imports referenced herein entered and collect cash deposits at the CRS China Companies before July 19, 2019. This certification was Circumvention Final rates (i.e., the AD rate Comment 14: Whether POSCO Vietnam’s completed on mm/dd/yyyy, within 30 days established for the China-wide entity (199.76 History Demonstrates that It Cannot Be of the Federal Register notice publication of percent) and the CVD rate established for Viewed as Circumventing the final determinations of circumvention.’’ China all-others rate (256.44 percent)).9 In Comment 15: Whether POSCO Vietnam’s Similarly, the bullet in the exporter the situation where a certification is Operations Confirm that the Process of certification that reads, ‘‘This certification maintained for the AD/CVD orders on CRS Assembly or Completion Is Not Minor or was completed at or prior to the time of from China (stating that the merchandise was Insignificant shipment,’’ could be edited as follows: ‘‘The not produced from HRS from China), but no Comment 16: Analysis of Patterns of Trade shipments/products referenced herein other certification is provided, then Comment 17: Whether the Value Added in shipped before July 19, 2019. This Commerce intends to instruct CBP to Vietnam Is Significant certification was completed on mm/dd/yyyy, suspend the entry and collect cash deposits Comment 18: Whether Commerce Should within 30 days of the Federal Register notice at the AD and CVD all-others rates (i.e., 20.33 Rely on AFA to Value POSCO Vietnam’s publication of the final determinations of percent and 3.89 percent, respectively) Scrap Offset circumvention.’’ For such entries/shipments, applicable to the AD/CVD orders on CRS Comment 19: Whether Commerce Should importers and exporters each have the option from Korea.10 Account for POSCO Vietnam’s Failure to to complete a blanket certification covering Disclose Corporate Affiliations in Its multiple entries/shipments, individual Appendix III Final Determination certifications for each entry/shipment, or a Importer Certification IX. Recommendation combination thereof. For shipments and/or entries on or after I hereby certify that: Appendix II the date of publication of this notice in the • My name is {INSERT COMPANY } Certification Requirements Federal Register, for which certifications are OFFICIAL’S NAME HERE and I am an official of {INSERT NAME OF IMPORTING If an importer imports certain cold-rolled required, importers should complete the required certification at or prior to the date COMPANY}; steel flat products (CRS) from the Socialist • I have direct personal knowledge of the Republic of Vietnam (Vietnam) and claims of Entry and exporters should complete the required certification and provide it to the facts regarding the importation into the that the CRS was not produced from hot- Customs territory of the United States of the rolled steel substrate (substrate) importer at or prior to the date of shipment. For shipments and/or entries made on or cold-rolled steel flat products produced in manufactured in Korea, the importer is Vietnam that entered under entry number(s) required to complete and maintain the after 10 days after the date of publication of {INSERT ENTRY NUMBER(S)} and are importer certification attached hereto as these final determinations, parties should use covered by this certification. ‘‘Direct personal Appendix III and all supporting the exporter and importer certifications knowledge’’ refers to facts the certifying party documentation. Where the importer uses a contained below that incorporate additional is expected to have in its own records. For broker to facilitate the entry process, it information that was not in the preliminary example, the importer should have ‘‘direct should obtain the entry number from the determinations certifications. Specifically, personal knowledge’’ of the importation of broker. Agents of the importer, such as the exporter certification now requires the product (e.g., the name of the exporter) brokers, however, are not permitted to make identification of the producer of the in its records; this certification on behalf of the importer. merchandise being exported to the United • I have personal knowledge of the facts The exporter is required to complete and States, and also notes that CVD deposits may maintain the exporter certification, attached be required in addition to AD deposits as a regarding the production of the imported as Appendix IV, and is further required to result of the failure to maintain the required products covered by this certification. provide the importer a copy of that certification or the inability to substantiate ‘‘Personal knowledge’’ includes facts certification and all supporting the claims made in the certification. obtained from another party, (e.g., documentation. Similarly, the importer certification also correspondence received by the importer (or As discussed in the Issues and Decisions notes that CVD deposits may be required in exporter) from the producer regarding the Memorandum, for these final determinations, addition to AD deposits as a result of the source of the input used to produce the failure to maintain the required certification imported products); we are extending the period for completing • certifications for shipments and/or entries or the inability to substantiate the claims These cold-rolled steel flat products during the August 2, 2018 through July 18, made in the certification. The importer and produced in Vietnam do not contain hot- 2019 period established in the Preliminary Vietnamese exporter are also required to rolled steel substrate produced in Korea: • { Determinations. Accordingly, for shipments maintain sufficient documentation I understand that INSERT NAME OF } and/or entries on or after August 2, 2018 supporting their certifications. The importer IMPORTING COMPANY is required to through July 18, 2019 for which certifications will not be required to submit the maintain a copy of this certification and are required, importers and exporters should certifications or supporting documentation to sufficient documentation supporting this complete the required certification within 30 U.S. Customs and Border Protection (CBP) as certification (i.e., documents maintained in days of the publication of these final part of the entry process at this time. the normal course of business, or documents determinations notice in the Federal However, the importer and the exporter will obtained by the certifying party, for example, Register. be required to present the certifications and mill certificates, productions records, For companies that were not eligible to supporting documentation, to Commerce invoices, etc.) for the later of (1) a period of certify pursuant to the Preliminary and/or CBP, as applicable, upon request by five years from the date of entry or (2) a Determinations, but are now eligible the respective agency. Additionally, the period of three years after the conclusion of pursuant to the final determinations, we are claims made in the certifications and any also extending the period for completion of supporting documentation are subject to 9 See CRS China Circumvention Final. their certifications for shipments and/or verification by Commerce and/or CBP. The 10 See CRS Orders.
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any litigation in the United States courts {ADDRESS OF PRODUCING COMPANY}; DEPARTMENT OF COMMERCE regarding such entries; for each additional company, repeat: {NAME • I understand that {INSERT NAME OF OF PRODUCING COMPANY}, located at International Trade Administration } IMPORTING COMPANY is required to {ADDRESS OF PRODUCING COMPANY}. [A–583–856] provide this certification and supporting • These cold-rolled steel flat products records, upon request, to U.S. Customs and produced in Vietnam do not contain hot- Border Protection (CBP) and/or the Certain Corrosion-Resistant Steel rolled steel substrate produced in Korea: Products From Taiwan: Affirmative Department of Commerce (Commerce); • { • I understand that {INSERT NAME OF I understand that INSERT NAME OF Final Determination of Circumvention } IMPORTING COMPANY} is required to EXPORTING COMPANY is required to Inquiry on the Antidumping Duty Order maintain a copy of the exporter’s certification maintain a copy of this certification and for the later of (1) a period of five years from sufficient documentation supporting this AGENCY: Enforcement and Compliance, the date of entry or (2) a period of three years certification (i.e., documents maintained in International Trade Administration, after the conclusion of any litigation in the normal course of business, or documents Department of Commerce. United States courts regarding such entries; obtained by the certifying party, for example, • { SUMMARY: The Department of Commerce I understand that INSERT NAME OF mill certificates, productions records, (Commerce) determines that imports of IMPORTING COMPANY} is required to invoices, etc.) for the later of (1) a period of certain corrosion-resistant steel maintain and provide a copy of the exporter’s five years from the date of entry or (2) a certification and supporting records, upon products (CORE), completed in the period of three years after the conclusion of request, to CBP and/or Commerce; Socialist Republic of Vietnam (Vietnam) • I understand that the claims made any litigation in the United States courts using carbon hot-rolled steel (HRS) and/ herein, and the substantiating regarding such entries; or cold-rolled steel (CRS) flat products • { documentation, are subject to verification by I understand that INSERT NAME OF } manufactured in Taiwan, are CBP and/or Commerce; EXPORTING COMPANY must provide this circumventing the antidumping duty • I understand that failure to maintain the Exporter Certification to the U.S. importer by (AD) order on CORE from Taiwan. required certification and/or failure to the time of shipment; substantiate the claims made herein will • I understand that {INSERT NAME OF DATES: Applicable December 26, 2019. result in: EXPORTING COMPANY} is required to FOR FURTHER INFORMATION CONTACT: Æ Suspension of liquidation of all provide a copy of this certification and Shanah Lee or Peter Zukowski, AD/CVD unliquidated entries (and entries for which supporting records, upon request, to U.S. Operations, Office III, Enforcement and liquidation has not become final) for which Customs and Border Protection (CBP) and/or Compliance, International Trade these requirements were not met and Æ the Department of Commerce (Commerce); Administration, U.S. Department of the requirement that the importer post • applicable antidumping/countervailing duty I understand that the claims made Commerce, 1401 Constitution Avenue (AD and/or CVD) cash deposits equal to the herein, and the substantiating documentation NW, Washington, DC 20230; telephone: rates as determined by Commerce; are subject to verification by CBP and/or (202) 482–6386 and (202) 482–0189, • I understand that agents of the importer, Commerce; respectively. • such as brokers, are not permitted to make I understand that failure to maintain the SUPPLEMENTARY INFORMATION: this certification; required certification and/or failure to • This certification was completed at or substantiate the claims made herein will Background prior to the time of Entry; and result in: • On July 11, 2019, Commerce I am aware that U.S. law (including, but Æ Suspension of all unliquidated entries not limited to, 18 U.S.C. 1001) imposes published the Preliminary (and entries for which liquidation has not criminal sanctions on individuals who Determination 1 of circumvention of the become final) for which these requirements knowingly and willfully make materially Taiwan CORE Order.2 A summary of false statements to the U.S. government. were not met and events that occurred since Commerce Æ the requirement that the importer post Signature published the Preliminary lllllllllllllllllllll applicable antidumping/countervailing duty Determination, as well as a full Name of Company Official (AD and/or CVD) cash deposits equal to the discussion of the issues raised by parties lllllllllllllllllllll rates as determined by Commerce; • for this final determination, may be Title This certification was completed at or found in the IDM.3 The IDM is a public lllllllllllllllllllll prior to the time of shipment; and document and is on file electronically Date • I am aware that U.S. law (including, but via Enforcement and Compliance’s not limited to, 18 U.S.C. 1001) imposes Appendix IV Antidumping and Countervailing Duty criminal sanctions on individuals who Centralized Electronic Service System Exporter Certification knowingly and willfully make materially false statements to the U.S. government. (ACCESS). ACCESS is available to I hereby certify that: registered users at https:// • My name is {INSERT COMPANY Signature OFFICIAL’S NAME HERE} and I am an lllllllllllllllllllll { 1 See Certain Corrosion-Resistant Steel Products official of INSERT NAME OF EXPORTING Name of Company Official COMPANY}; from Taiwan: Affirmative Preliminary lllllllllllllllllllll Determination of Anti-Circumvention Inquiry on the • I have direct personal knowledge of the Title Antidumping Duty Order, 84 FR 32864 (July 10, facts regarding the production and lllllllllllllllllllll 2019) (Preliminary Determination) and exportation of the cold-rolled steel flat accompanying Preliminary Decision Memorandum. products that were sold to the United States Date 2 See Certain Corrosion-Resistant Steel Products under invoice number(s) INSERT INVOICE [FR Doc. 2019–27816 Filed 12–23–19; 8:45 am] from India, Italy, the People’s Republic of China, the Republic of Korea and Taiwan: Amended Final NUMBER(S). ‘‘Direct personal knowledge’’ BILLING CODE 3510–DS–P refers to facts the certifying party is expected Affirmative Antidumping Determination for India to have in its own books and records. For and Taiwan, and Antidumping Duty Orders, 81 FR 48390 (July 25, 2016) (Taiwan CORE Order). example, an exporter should have ‘‘direct 3 personal knowledge’’ of the producer’s See Memorandum, ‘‘Issues and Decision Memorandum for Anti-Circumvention Inquiry on identity and location. • { } the Antidumping Duty Order on Certain Corrosion- The MERCHANDISE covered by this Resistant Steel Products from Taiwan,’’ dated certification was produced by {NAME OF concurrently with, and hereby adopted by, this PRODUCING COMPANY}, located at notice (IDM).
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access.trade.gov, and it is available to and market economy values, as and countervailing duty (CVD) rates all parties in the Central Records Unit, discussed in section 773(c) of the Act. established in China CORE Room B8024 of the main Commerce See Preliminary Decision Memorandum Circumvention Determination 5 are building. In addition, a complete for a full description of the higher than the rates established for version of the IDM can be accessed methodology. We have continued to CORE from Korea and Taiwan, and the directly at http://enforcement.trade.gov/ apply this methodology for our final rates established for CORE from Korea frn/. The signed and the electronic determination. are higher than the AD rate established versions of the IDM are identical in Analysis of Comments Received for CORE from Taiwan, Commerce will content. instruct CBP to suspend liquidation and All issues raised in the case and Scope of the Order collect cash deposits in the following rebuttal briefs by parties in this inquiry manner. In the situation where no The products covered by this order are addressed in the Issues and Decision certification regarding the origin of the are certain flat-rolled steel products, Memorandum. A list of the issues raised substrate is maintained for an entry, and either clad, plated, or coated with is attached to this notice as Appendix I. AD/CVD orders from three countries Based on our analysis of the corrosion-resistant metals such as zinc, (China, Korea, or Taiwan) potentially comments received and our findings at aluminum, or zinc-, aluminum-, nickel- apply to that entry, Commerce will verification, we made certain changes to or iron-based alloys, whether or not instruct CBP to suspend the entry and the value of further processing corrugated or painted, varnished, collect cash deposits at the AD rate calculation, value of input purchases laminated, or coated with plastics or established for the China-wide entity from Taiwan, and pattern of trade other non-metallic substances in (199.43 percent) and the CVD rate addition to the metallic coating. For a analysis since the Preliminary Determination. These changes are established for the China all-others rate complete description of the scope of the (39.05 percent) pursuant to the China order, see the IDM. discussed in the IDM. See the ‘‘Changes 6 since the Preliminary Determination’’ Core Circumvention Determination. In Scope of the Anti-Circumvention section. the situation where a certification is Inquiry maintained for the AD/CVD orders on Final Affirmative Determination of CORE from China (stating that the This anti-circumvention inquiry Circumvention merchandise was not produced from covers CORE completed in Vietnam HRS and/or CRS from China), but no from HRS and/or CRS substrate We determine that exports to the other certification is maintained, manufactured in Taiwan and United States of CORE produced in Commerce intends to instruct CBP to subsequently exported from Vietnam to Vietnam from HRS or CRS substrate suspend the entry and collect cash the United States (merchandise under manufactured in Taiwan are deposits at the AD and CVD all-others consideration). This final ruling applies circumventing the Taiwan CORE Order. to all shipments of merchandise under We therefore find it appropriate to rates (i.e., 8.31 percent and 1.19 percent, determine that this merchandise falls respectively) applicable to the AD/CVD consideration entered on or after the 7 date of the initiation of this inquiry. within the Taiwan CORE Order, and to orders on CORE from Korea. In the Importers and exporters of CORE instruct U.S. Customs and Border situation where a certification is produced in Vietnam using: (1) HRS Protection (CBP) to continue to suspend maintained for the AD order on CORE manufactured in Vietnam or third liquidation of any entries of CORE from from China (stating that the countries, (2) CRS manufactured in Vietnam produced using HRS or CRS merchandise was not produced from Vietnam using HRS produced in substrate manufactured in Taiwan. HRS and/or CRS from China), and for the AD order on CORE from Korea Vietnam or third countries, or (3) CRS Continuation of Suspension of (stating that the merchandise was not manufactured in third countries, must Liquidation certify that the HRS and/or CRS produced from HRS and/or CRS from As stated above, Commerce has made processed into CORE in Vietnam did not Korea), but no other certification is an affirmative determination of originate in Taiwan, as provided for in maintained, Commerce intends to circumvention of the Taiwan CORE the certifications attached to the Federal instruct CBP to suspend the entry and Order by exports to the United States of Register notice. Otherwise, their collect cash deposits at the AD all- CORE produced in Vietnam using merchandise may be subject to Taiwan-origin HRS or CRS substrate. antidumping duties. 5 See Certain Corrosion-Resistant Steel Products This circumvention finding applies to from the People’s Republic of China: Affirmative Methodology CORE produced by any Vietnamese Final Determination of Circumvention of the company using Taiwan-origin HRS or Antidumping Duty and Countervailing Duty Orders, Commerce is conducting this anti- 83 FR 23895 (May 23, 2018) (China CORE circumvention inquiry in accordance CRS substrate. In accordance with 19 Circumvention Determination). with section 781(b) of the Tariff Act of CFR 351.225(1)(3), Commerce will 6 Id. 1930, as amended (the Act). Because direct CBP to continue to suspend 7 See Certain Corrosion-Resistant Steel Flat Products from India, Italy, the People’s Republic of Vietnam is a non-market economy, liquidation and to require a cash deposit of estimated duties on unliquidated China, the Republic of Korea, and Taiwan: within the meaning of section 771(18) of Amended Final Affirmative Antidumping Duty the Act,4 Commerce calculated the entries of CORE produced in Vietnam Determination for India and Taiwan, and value of certain processing and using Taiwan-origin HRS or CRS Antidumping Duty Orders, 81 FR 48390 (July 25, 2016). The ‘‘all-others rate’’ was subsequently merchandise using factors of production substrate that were entered, or withdrawn from warehouse, for amended as the result to litigation. See Certain Corrosion-Resistant Steel Products from the 4 See, e.g., Certain Oil Country Tubular Goods consumption on or after August 2, 2018, Republic of Korea: Notice of Court Decision Not in from the Socialist Republic of Vietnam: Preliminary the date of initiation of this anti- Harmony with Final Determination of Investigation Results of Antidumping Duty Administrative circumvention inquiry. and Notice of Amended Final Results, 83 FR 39054 Review, 81 FR 24797 (October 14, 2016) unchanged The suspension of liquidation and (August 8, 2018); see also Certain Corrosion- in Certain Oil Country Tubular Goods from the Resistant Steel Products from India, Italy, Republic Socialist Republic of Vietnam: Final Results cash deposit instructions will remain in of Korea, and the People’s Republic of China: Antidumping Administrative Review; 2014–2015, effect until further notice. In order to Countervailing Duty Order, 81 FR 48387 (July 25, 82 FR 18611 (April 20, 2017). prevent evasion, and because the AD 2016) (collectively, Korea CORE Orders).
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others rate (i.e., 3.66 percent) applicable Notification Regarding Administrative Comment 9: Whether Commerce Should to the AD order on CORE from Taiwan. Protective Orders Amend the Exporter Certification Language to Prevent Funneling CORE produced in Vietnam from HRS This notice will serve as the only Comment 10: Whether to Apply AFA to or CRS substrate that is not of Taiwan- reminder to all parties subject to Certain Vietnamese Producers that are origin is not subject to this inquiry. administrative protective order (APO) of Affiliated with Those that are Deemed Non-Responsive Therefore, cash deposits are not their responsibility concerning the required for such merchandise. Comment 11: Whether Commerce Should destruction of proprietary information Preclude Companies that Failed to However, CORE produced in Vietnam disclosed under APO in accordance Cooperate in Both the CORE from China from HRS and/or CRS from China is with 19 CFR 351.305(a)(3). Timely and CORE from Taiwan Inquiries from subject to the AD/CVD orders on CORE written notification of return/ Participating in the Certification Regime from China, and CORE produced in destruction of APO materials or Comment 12: Whether to Apply the Vietnam from HRS and/or CRS from conversion to judicial protective order is Highest of the Petition Rate or Korea is subject to the AD order on hereby requested. Failure to comply Investigation Calculated Rate as the Cash CORE from Korea. If an importer Deposit Rate for Non-Responsive with the regulations and the terms of an Companies imports CORE from Vietnam and claims APO is a sanctionable violation. Comment 13: Whether CSVC’s that the CORE was produced from non- Notification to Interested Parties Manufacturing Operations in Vietnam Taiwanese HRS or CRS substrate, in Constitute Circumvention Under the order not to be subject to cash deposit This determination is issued and Statutory Criteria Established in Section requirements, the importer and exporter published in accordance with section 781(b)(2) of the Act are required to meet the certification Comment 14: Whether Nam Kim Should 781(b) of the Act and 19 CFR 351.225(f). Be Eligible for Certification and documentation requirements Dated: December 13, 2019. IX. Recommendation described in Appendix II. Exporters of Jeffrey I. Kessler, CORE produced in Vietnam from non- Appendix II Assistant Secretary for Enforcement and Taiwan-origin HRS or CRS substrate Compliance . Certification Requirements must prepare and maintain an Exporter If an importer imports certain corrosion- Certification and documentation Appendix I resistant steel products (CORE) from the supporting the Exporter Certification List of Topics Discussed in the Issues and Socialist Republic of Vietnam (Vietnam) and (see Appendix IV). In addition, Decision Memorandum claims that the CORE was not produced from importers of such CORE must prepare hot-rolled steel and/or cold-rolled steel I. Summary substrate (substrate) manufactured in and maintain an Importer Certification II. Background (see Appendix III) as well as Taiwan, the importer is required to complete III. Scope of the Order and maintain the importer certification documentation supporting the Importer IV. Scope of the Anti-Circumvention Inquiry attached hereto as Appendix III and all Certification. In addition to the Importer V. Changes Since the Preliminary supporting documentation. Where the Certification, the importer must also Determination importer uses a broker to facilitate the entry maintain a copy of the Exporter VI. Statutory Framework process, it should obtain the entry number VII. Statutory Analysis from the broker. Agents of the importer, such Certification (see Appendix IV) and VIII. Discussion of the Issues relevant supporting documentation from as brokers, however, are not permitted to Comment 1: Whether Companies That Did make this certification on behalf of the its exporter of CORE produced from Not Receive Commerce’s Quantity and importer. non-Taiwan-origin HRS or CRS Value (Q&V) Questionnaire Should Be The exporter is required to complete and substrate. Permitted to Participate in the maintain the exporter certification, attached Certification Process as Appendix IV, and is further required to For this final determination, we Comment 2: Whether Commerce Abused determine that the following companies provide the importer a copy of that Its Discretion in Rejecting the Q&V certification and all supporting are not eligible for the certification Questionnaire Responses of Certain documentation. process: 190 Steel Pipe Co. Ltd.; Chinh Companies As discussed in the Issues and Decisions Dai Steel Limited; Hoa Phat Steel Pipe; Comment 3: Whether Commerce Lacks Memorandum, for this final determination, Perstima Viet Nam; Prima Commodities Statutory Authority to Apply AFA we are extending the period for completing Co.; Thong Nhat Flat Steel; Trung Where Respondents Did Not Deprive certifications for shipments and/or entries Nguyen Steel Co.; Vietnam Germany Commerce of Information Regarding Its during the August 2, 2018 through July 18, Ability To Trace Inputs Steel JSC; Vietnam Steel Corp.; Thai 2019 period established in the Preliminary Comment 4: Whether Commerce’s Use of Determination. Accordingly, for shipments Nguyen Iron and Steel Corp.; Vina AFA Impermissibly Departs Without and/or entries on or after August 2, 2018 Kyoei Steel Ltd.; and Vietnam Steel Explanation from Its Decision in the through July 18, 2019 for which certifications Pipe. Accordingly, importers of CORE China Anti-Circumvention Inquiry are required, importers and exporters should from Vietnam produced and/or exported Comment 5: Whether Precluding Certain complete the required certification within 30 by these ineligible companies are Importers and Exporters from days of the publication of this final similarly ineligible for the certification Participating in the Certification Process determination notice in the Federal Register. is Inappropriate and Unfairly Punishes process with regard to those imports. For companies that were not eligible to Importers certify pursuant to the Preliminary Additionally, exporters are not eligible Comment 6: Whether Commerce Should Determination, but are now eligible pursuant to certify shipments of merchandise Allow Additional Time for Completing to the final determination, we are also produced by the above-listed Certification for Pre-Preliminary extending the period for completion of their companies. Accordingly, Hoa Phat Determination Entries certifications for shipments and/or entries Group Joint Stock Company and Hoa Comment 7: Whether a Country-Wide from August 2, 2018 through the date of Phat Steel Sheet are not eligible to Determination is Justified Federal Register publication of the final determination until 30 days after publication certify shipments of CORE produced by Comment 8: Whether Commerce’s Interpretation of Section 781(b) of the of this determination. 8 Hoa Phat Steel Pipe. Act Applies to the CORE Production Accordingly, where appropriate, the Process in Vietnam and Expands the relevant bullet in the certification should be 8 See IDM at Comment 9. Scope of the Taiwan CORE Order edited to reflect that the certification was
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completed within the time frame specified (39.05 percent)).9 In the situation where a provide this certification and supporting above. For example, the bullet in the certification is maintained for the AD/CVD records, upon request, to U.S. Customs and importer certification that reads: ‘‘This orders on CORE from China (stating that the Border Protection (CBP) and/or the certification was completed at or prior to the merchandise was not produced from HRS Department of Commerce (Commerce); time of Entry,’’ could be edited as follows: and/or CRS from China), but no other • I understand that {INSERT NAME OF ‘‘The imports referenced herein entered certification is maintained, then Commerce IMPORTING COMPANY} is required to before July 19, 2019. This certification was intends to instruct CBP to suspend the entry maintain a copy of the exporter’s certification completed on mm/dd/yyyy, within 30 days and collect cash deposits at the AD and CVD for the later of (1) a period of five years from of the Federal Register notice publication of all-others rates (i.e., 8.31 percent and 1.19 the date of entry or (2) a period of three years the final determination of circumvention.’’ percent, respectively) applicable to the AD/ after the conclusion of any litigation in Similarly, the bullet in the exporter CVD orders on CORE from Korea. In the United States courts regarding such entries; • { certification that reads, ‘‘This certification situation where a certification is maintained I understand that INSERT NAME OF for the AD order on CORE from China } was completed at or prior to the time of IMPORTING COMPANY is required to (stating that the merchandise was not shipment,’’ could be edited as follows: ‘‘The maintain and provide a copy of the exporter’s produced from HRS and/or CRS from China), shipments/products referenced herein certification and supporting records, upon and for the AD order on CORE from Korea shipped before July 19, 2019. This request, to CBP and/or Commerce; (stating that the merchandise was not • I understand that the claims made certification was completed on mm/dd/yyyy, produced from HRS and/or CRS from Korea), within 30 days of the Federal Register notice herein, and the substantiating but no other certification is maintained, documentation, are subject to verification by publication of the final determination of Commerce intends to instruct CBP to circumvention.’’ For such entries/shipments, CBP and/or Commerce; suspend the entry and collect cash deposits • I understand that failure to maintain the importers and exporters each have the option at the AD all-others rate (i.e., 3.66 percent) required certification and/or failure to to complete a blanket certification covering applicable to the AD order on CORE from substantiate the claims made herein will multiple entries/shipments, individual Taiwan. result in: certifications for each entry/shipment, or a Æ Suspension of liquidation of all combination thereof. Appendix III unliquidated entries (and entries for which For shipments and/or entries on or after Importer Certification liquidation has not become final) for which the date of publication of this notice in the I hereby certify that: these requirements were not met and Federal Register, for which certifications are • { Æ the requirement that the importer post required, importers should complete the My name is INSERT COMPANY OFFICIAL’S NAME HERE} and I am an applicable antidumping duty (AD) cash required certification at or prior to the date official of {INSERT NAME OF IMPORTING deposits equal to the rates as determined by of Entry and exporters should complete the COMPANY}; Commerce; required certification and provide it to the • I have direct personal knowledge of the • I understand that agents of the importer, importer at or prior to the date of shipment. facts regarding the importation into the such as brokers, are not permitted to make For shipments and/or entries made on or Customs territory of the United States of the this certification; after 10 days after the date of publication of corrosion-resistant steel products produced • This certification was completed at or this final determination, exporters should use in Vietnam that entered under entry prior to the time of Entry; and the certification contained below that number(s) {INSERT ENTRY NUMBER(S)} • I am aware that U.S. law (including, but incorporates additional information that was and are covered by this certification. ‘‘Direct not limited to, 18 U.S.C. 1001) imposes not in the preliminary determination personal knowledge’’ refers to facts the criminal sanctions on individuals who certification. Specifically, the certification certifying party is expected to have in its own knowingly and willfully make materially now requires identification of the producer of records. For example, the importer should false statements to the U.S. government. the merchandise being exported to the have ‘‘direct personal knowledge’’ of the Signature United States. The importer and Vietnamese importation of the product (e.g., the name of lllllllllllllllllllll exporter are also required to maintain the exporter) in its records; Name of Company Official sufficient documentation supporting their • I have personal knowledge of the facts lllllllllllllllllllll certifications. The importer will not be regarding the production of the imported Title required to submit the certifications or products covered by this certification. lllllllllllllllllllll supporting documentation to U.S. Customs ‘‘Personal knowledge’’ includes facts Date and Border Protection (CBP) as part of the obtained from another party, (e.g., entry process at this time. However, the correspondence received by the importer (or Appendix IV exporter) from the producer regarding the importer and the exporter will be required to Exporter Certification present the certifications and supporting source of the input used to produce the documentation, to Commerce and/or CBP, as imported products); I hereby certify that: • These corrosion-resistant steel products • My name is {INSERT COMPANY applicable, upon request by the respective } agency. Additionally, the claims made in the produced in Vietnam do not contain hot- OFFICIAL’S NAME HERE and I am an official of {INSERT NAME OF EXPORTING certifications and any supporting rolled steel and/or cold-rolled steel substrate COMPANY}; documentation are subject to verification by produced in Taiwan: • { • I have direct personal knowledge of the Commerce and/or CBP. The importer and I understand that INSERT NAME OF } facts regarding the production and exporter are required to maintain the IMPORTING COMPANY is required to maintain a copy of this certification and exportation of the corrosion-resistant steel certifications and supporting documentation sufficient documentation supporting this products that were sold to the United States for the later of (1) a period of five years from certification (i.e., documents maintained in under invoice number(s) INSERT INVOICE the date of entry or (2) a period of three years the normal course of business, or documents NUMBER(S). ‘‘Direct personal knowledge’’ after the conclusion of any litigation in obtained by the certifying party, for example, refers to facts the certifying party is expected United States courts regarding such entries. mill certificates, productions records, to have in its own books and records. For In the situation where no certification is invoices, etc.) for the later of (1) a period of example, an exporter should have ‘‘direct maintained for an entry, and AD/CVD orders five years from the date of entry or (2) a personal knowledge’’ of the producer’s from three countries (China, Korea, or period of three years after the conclusion of identity and location. Taiwan) potentially apply to that entry, any litigation in the United States courts • The {MERCHANDISE} covered this Commerce intends to instruct CBP to regarding such entries; certification was produced by {NAME OF suspend the entry and collect cash deposits • I understand that {INSERT NAME OF PRODUCING COMPANY}, located at at the CORE China Circumvention Final rates IMPORTING COMPANY} is required to {ADDRESS OF PRODUCING COMPANY}; (i.e., the AD rate established for the China- for each additional company, repeat: {NAME wide entity (199.43 percent) and the CVD 9 See CORE China Circumvention Final, 83 FR at OF PRODUCING COMPANY}, located at rate established for China all-others rate 23896. {ADDRESS OF PRODUCING COMPANY}.
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• These corrosion-resistant steel products FOR FURTHER INFORMATION CONTACT: provide Commerce with adequate time produced in Vietnam do not contain hot- Laurel LaCivita at (202) 482–4243 or to solicit additional information from rolled steel and/or cold-rolled steel substrate Katherine Sliney at (202) 482–2437 the respondents, to review produced in Taiwan: (Republic of Korea (Korea)); Matthew supplemental questionnaire responses, • I understand that {INSERT NAME OF EXPORTING COMPANY} is required to Renkey at (202) 482–2312 or Javier and to consider petitioners’ particular 5 maintain a copy of this certification and Barrientos at (202) 482–2243 (Sultanate market situation allegation. sufficient documentation supporting this of Oman (Oman)), AD/CVD Operations, For the reasons stated above and certification (i.e., documents maintained in Enforcement and Compliance, because there are no compelling reasons the normal course of business, or documents International Trade Administration, to deny the request, Commerce, in obtained by the certifying party, for example, U.S. Department of Commerce, 1401 accordance with section 733(c)(1)(A) of mill certificates, productions records, Constitution Avenue NW, Washington, the Act, is postponing the deadline for invoices, etc.) for the later of (1) a period of DC 20230. the preliminary determinations by 50 five years from the date of entry or (2) a days (i.e., 190 days after the date on period of three years after the conclusion of SUPPLEMENTARY INFORMATION: which these investigations were any litigation in the United States courts Background regarding such entries; initiated). As a result, Commerce will • I understand that {INSERT NAME OF On August 19, 2019, the Department issue its preliminary determinations no EXPORTING COMPANY} must provide this of Commerce (Commerce) initiated less- later than February 25, 2020. In Exporter Certification to the U.S. importer by than-fair-value (LTFV) investigations of accordance with section 735(a)(1) of the the time of shipment; imports of polyethylene terephthalate Act and 19 CFR 351.210(b)(1), the • I understand that {INSERT NAME OF sheet from Korea and Oman.1 Currently, deadline for the final determinations of } EXPORTING COMPANY is required to the preliminary determinations are due these investigations will continue to be provide a copy of this certification and no later than January 6, 2020. 75 days after the date of the preliminary supporting records, upon request, to U.S. Customs and Border Protection (CBP) and/or Postponement of Preliminary determinations, unless postponed at a the Department of Commerce (Commerce); Determinations later date. • I understand that the claims made Section 733(b)(1)(A) of the Tariff Act Notification to Interested Parties herein, and the substantiating documentation are subject to verification by CBP and/or of 1930, as amended (the Act), requires This notice is issued and published Commerce; Commerce to issue the preliminary pursuant to section 733(c)(2) of the Act • I understand that failure to maintain the determination in an LTFV investigation and 19 CFR 351.205(f)(1). required certification and/or failure to within 140 days after the date on which Dated: December 17, 2019. substantiate the claims made herein will Commerce initiated the investigation. result in: However, section 733(c)(1) of the Act Jeffrey I. Kessler, Æ Suspension of all unliquidated entries permits Commerce to postpone the Assistant Secretary for Enforcement and (and entries for which liquidation has not preliminary determination until no later Compliance. become final) for which these requirements than 190 days after the date on which [FR Doc. 2019–27694 Filed 12–23–19; 8:45 am] were not met and Commerce initiated the investigation if: BILLING CODE 3510–DS–P Æ the requirement that the importer post applicable antidumping duty (AD) cash (A) the petitioner makes a timely request for a postponement; or (B) deposits equal to the rates as determined by DEPARTMENT OF COMMERCE Commerce; Commerce concludes that the parties • concerned are cooperating, that the This certification was completed at or International Trade Administration prior to the time of shipment; investigation is extraordinarily • I am aware that U.S. law (including, but complicated, and that additional time is Advisory Committee on Supply Chain not limited to, 18 U.S.C. 1001) imposes necessary to make a preliminary Competitiveness Charter Renewal criminal sanctions on individuals who determination. Under 19 CFR knowingly and willfully make materially 351.205(e), the petitioner must submit a AGENCY: International Trade false statements to the U.S. government. request for postponement 25 days or Administration, U.S. Department of Signature lllllllllllllllllllll more before the scheduled date of the Commerce. Name of Company Official preliminary determination and must ACTION: Notice. lllllllllllllllllllll state the reasons for the request. Title Commerce will grant the request unless SUMMARY: The Chief Financial Officer and Assistant Secretary for [FR Doc. 2019–27815 Filed 12–23–19; 8:45 am] it finds compelling reasons to deny the request.2 Administration, with the concurrence of BILLING CODE 3510–DS–P On December 3, 2019, the petitioners 3 the General Services Administration, submitted a timely request that renewed the Charter for the Advisory Committee on Supply Chain DEPARTMENT OF COMMERCE Commerce postpone the preliminary determinations in these LTFV Competitiveness on November 14, 2019. International Trade Administration investigations.4 The petitioners stated DATES: The Charter for the Advisory that a postponement is necessary to Committee on Supply Chain [A–523–813, A–580–903] Competitiveness was renewed on 1 Polyethylene Terephthalate Sheet See Polyethylene Terephthalate Sheet from the November 14, 2019. Republic of Korea, Mexico, and the Sultanate of FOR FURTHER INFORMATION CONTACT: From the Republic of Korea and the Oman: Initiation of Less-Than-Fair-Value Sultanate of Oman: Postponement of Investigations, 84 FR 44854 (August 27, 2019). Richard Boll, Supply Chain Team, Preliminary Determinations in the 2 See 19 CFR 351.205(e). Room 11014, U.S. Department of Less-Than-Fair-Value Investigations 3 The petitioners are Advanced Extrusion Inc., Ex- Commerce, 1401 Constitution Avenue Tech Plastics, Inc., and Multi-Plastics Extrusions, NW, Washington, DC 20230; phone AGENCY: Enforcement and Compliance, Inc. (collectively, the petitioners). 202–482–1135; email: richard.boll@ International Trade Administration, 4 See Petitioners’ Letter, ‘‘Polyethylene Terephthalate Sheet from Oman and Korea— trade.gov. Department of Commerce. Petitioners’ Request to Postpone Preliminary DATES: Applicable December 26, 2019. Determinations,’’ dated December 3, 2019. 5 Id.
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SUPPLEMENTARY INFORMATION: The Chief FOR FURTHER INFORMATION CONTACT: effort to reduce paperwork and Financial Officer and Assistant Richard Boll, Supply Chain Team, respondent burden, invites the general Secretary for Administration, with the Room 11014, U.S. Department of public and other Federal agencies to concurrence of the General Services Commerce, 1401 Constitution Avenue take this opportunity to comment on Administration, renewed the Charter for NW, Washington, DC 20230; phone proposed and/or continuing information the Advisory Committee on Supply 202–482–1135; email: richard.boll@ collections, as required by the Chain Competitiveness on November trade.gov. Paperwork Reduction Act of 1995. 14, 2019. This Notice is published in SUPPLEMENTARY INFORMATION: The Chief DATES: Written comments must be accordance with the Federal Advisory Financial Officer and Assistant submitted on or before February 24, Committee Act (FACA) (Title 5, United Secretary for Administration, with the 2020. States Code, Appendix 2, § 9). It has concurrence of the General Services ADDRESSES: Direct all written comments been determined that the Committee is Administration, renewed the Charter for to Towanda Carey, ITA Paperwork necessary and in the public interest. The the Advisory Committee on Supply Clearance Officer, Department of Committee was established pursuant to Chain Competitiveness on November Commerce, OCFAO, 14th and Commerce’s authority under 15 U.S.C. 14, 2019. This Notice is published in Constitution Avenue NW, Washington, 1512, established under the Federal accordance with the Federal Advisory DC 20230 (or via the internet at Advisory Committee Act (FACA), as Committee Act (FACA) (Title 5, United [email protected]). Comments amended, 5 U.S.C. app., and with the States Code, Appendix 2, § 9). It has will generally be posted without change. concurrence of the General Services been determined that the Committee is Administration. The Committee necessary and in the public interest. The Please do not include information of a provides advice to the Secretary on the Committee was established pursuant to confidential nature, such as sensitive necessary elements of a comprehensive Commerce’s authority under 15 U.S.C. personal information or proprietary policy approach to supply chain 1512, established under the Federal information. All Personally Identifiable competitiveness designed to support Advisory Committee Act (FACA), as Information (for example, name and U.S. export growth and national amended, 5 U.S.C. app., and with the address) voluntarily submitted may be economic competitiveness, encourage concurrence of the General Services publicly accessible. innovation, facilitate the movement of Administration. The Committee FOR FURTHER INFORMATION CONTACT: goods, and improve the competitiveness provides advice to the Secretary on the Requests for additional information or of U.S. supply chains for goods and necessary elements of a comprehensive copies of the information collection services in the domestic and global policy approach to supply chain instrument and instructions should be economy; and to provide advice to the competitiveness designed to support directed to David Ritchie, Department of Secretary on regulatory policies and U.S. export growth and national Commerce, International Trade programs and investment priorities that economic competitiveness, encourage Administration, via email at affect the competitiveness of U.S. innovation, facilitate the movement of [email protected], or tel. 202– supply chains. The total number of goods, and improve the competitiveness 482–1512. members that may serve on the of U.S. supply chains for goods and SUPPLEMENTARY INFORMATION: Committee is a maximum of 45. services in the domestic and global I. Abstract Dated: December 18, 2019. economy; and to provide advice to the Maureen Smith, Secretary on regulatory policies and The United States, the European programs and investment priorities that Director, Office of Supply Chain and Union (EU), and Switzerland share the Professional & Business Services. affect the competitiveness of U.S. goal of enhancing privacy protection for supply chains. The total number of [FR Doc. 2019–27792 Filed 12–23–19; 8:45 am] their citizens but take different members that may serve on the approaches to doing so. Given those BILLING CODE 3510–DR–P Committee is a maximum of 45. differences, the Department of Dated: December 18, 2019. Commerce (DOC) developed the EU- DEPARTMENT OF COMMERCE Maureen Smith, U.S. and Swiss-U.S. Privacy Shield Director, Office of Supply Chain and Frameworks (Privacy Shield) in International Trade Administration Professional & Business Services. consultation with the European [FR Doc. 2019–27818 Filed 12–23–19; 8:45 am] Commission, the Swiss Administration, Advisory Committee on Supply Chain industry, and other stakeholders. BILLING CODE 3510–DR–P Competitiveness Charter Renewal Privacy Shield provides U.S. organizations a reliable mechanism for AGENCY: International Trade DEPARTMENT OF COMMERCE personal data transfers to the United Administration, U.S. Department of States from the EU and Switzerland, Commerce. International Trade Administration while ensuring data protection that is ACTION: Notice. consistent with EU and Swiss law. Renewal of Information Collection; The European Commission and Swiss SUMMARY: The Chief Financial Officer Comment Request; Information Administration deemed the EU-U.S. and Assistant Secretary for Collection for Self-Certification to the Privacy Shield Framework and Swiss- Administration, with the concurrence of EU-U.S. and Swiss-U.S. Privacy Shield U.S. Privacy Shield Framework the General Services Administration, Frameworks adequate to enable data transfers under renewed the Charter for the Advisory AGENCY: International Trade EU and Swiss law, respectively, on July Committee on Supply Chain 12, 2016 and on January 12, 2017. The Competitiveness on November 14, 2019. Administration, Department of Commerce. DOC began accepting self-certification DATES: The Charter for the Advisory ACTION: Notice. submissions for the EU-U.S. Privacy Committee on Supply Chain Shield on August 1, 2016, and for the Competitiveness was renewed on SUMMARY: The Department of Swiss-U.S. Privacy Shield on April 12, November 14, 2019. Commerce, as part of its continuing 2017. More information on the Privacy
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Shield is available at: https:// ongoing basis, including through they also will become a matter of public www.privacyshield.gov/welcome. sending detailed questionnaires to record. The DOC issued the Privacy Shield participating organizations. Such Sheleen Dumas, Principles under its statutory authority compliance reviews take place when: (a) to foster, promote, and develop The DOC receives specific non-frivolous Department PRA Clearance Officer, Office of the Chief Information Officer, Commerce international commerce (15 U.S.C. complaints about an organization’s 1512). The International Trade Department. compliance with the Principles, (b) an [FR Doc. 2019–27736 Filed 12–23–19; 8:45 am] Administration (ITA) administers and organization does not respond BILLING CODE 3510–DS–P supervises the Privacy Shield, including satisfactorily to DOC inquiries for maintaining and making publicly information relating to the Privacy available an authoritative list of U.S. Shield, or (c) there is credible evidence DEPARTMENT OF COMMERCE organizations that have self-certified to that an organization does not comply the DOC. U.S. organizations submit with its commitments under the Privacy International Trade Administration information to ITA to self-certify their Shield. compliance with Privacy Shield. [A–583–853] U.S. organizations considering self- II. Method of Collection certifying to the Privacy Shield should Certain Crystalline Silicon Photovoltaic review the Privacy Shield Framework. The Privacy Shield self-certification is Products From Taiwan: Preliminary In summary, to participate, an submitted electronically by Results of Antidumping Duty organization must (a) be subject to the organizations through the DOC’s Privacy Administrative Review and Preliminary investigatory and enforcement powers Shield website (https:// Determination of No Shipments; 2018– of the Federal Trade Commission, the www.privacyshield.gov/). The Privacy 2019 Department of Transportation, or Shield questionnaires and the AGENCY: Enforcement and Compliance, another statutory body that will corresponding responses provided by International Trade Administration, effectively ensure compliance with the organizations are conveyed Department of Commerce. Principles; (b) publicly declare its electronically via email or through the SUMMARY: The Department of Commerce commitment to comply with the DOC’s Privacy Shield website. Principles; (c) publicly disclose its (Commerce) preliminarily determines privacy policies in line with the III. Data that producers/exporters subject to this Principles; and (d) fully implement review made sales of subject OMB Control Number: 0625–0276. them. merchandise below normal value in the Self-certification is voluntary; Form Number(s): None. United States during the period of review (POR) February 1, 2018 through however, an organization’s failure to Type of Review: Regular submission. comply with the Principles after its self- January 31, 2019. We invite interested Affected Public: Primarily businesses certification is enforceable under parties to comment on these preliminary Section 5 of the Federal Trade or other for-profit organizations. results. Commission Act prohibiting unfair and Estimated Number of Respondents: DATES: Applicable December 26, 2019. deceptive acts in or affecting commerce 5,100. FOR FURTHER INFORMATION CONTACT: (15 U.S.C. 45(a)) or other laws or Estimated Time per Response: 40 Thomas Martin or Maisha Cryor, AD/ regulations prohibiting such acts. minutes. CVD Operations, Office IV, Enforcement To rely on the Privacy Shield for and Compliance, International Trade transfers of personal data from the EU Estimated Total Annual Burden Administration, Department of and/or Switzerland, an organization Hours: 3,412. Commerce, 1401 Constitution Avenue must self-certify its adherence to the Estimated Total Annual Cost to NW, Washington, DC 20230; (202) 482– Principles to the DOC, be placed on the Public: $7,173,250. 3936 or (202) 482–5831, respectively. Privacy Shield List, and remain on the SUPPLEMENTARY INFORMATION: Privacy Shield List. To self-certify for IV. Request for Comments Background the Privacy Shield, an organization must Comments are invited on: (a) Whether provide to the DOC the information the proposed collection of information Commerce is conducting an specified in the Privacy Shield is necessary for the proper performance administrative review of the Principles via the self-certification form. of the functions of the agency, including antidumping duty (AD) order on certain ITA has committed to follow up with whether the information shall have crystalline silicon photovoltaic products organizations that have been removed 1 practical utility; (b) the accuracy of the (solar products) from Taiwan, covering from the Privacy Shield List. ITA sends 2 agency’s estimate of the burden 36 respondents. For a complete questionnaires to organizations that fail (including hours and cost) of the to complete the annual certification or 1 See Initiation of Antidumping and proposed collection of information; (c) that have withdrawn from the Privacy Countervailing Duty Administrative Reviews, 84 FR ways to enhance the quality, utility, and Shield to verify whether they will 18777 (May 2, 2019) (Initiation Notice). clarity of the information to be 2 The Initiation Notice listed 40 companies in this return, delete, or continue to apply the collected; and (d) ways to minimize the administrative review, however: (1) Commerce Principles to the personal information burden of the collection of information collapsed Sino-American Silicon Products Inc. and that they received while they Solartech Energy Corp. in the 2014–2016 on respondents, including through the participated in the Privacy Shield. If administrative review of the order (see Certain use of automated collection techniques Crystalline Silicon Photovoltaic Products from personal information will be retained, Taiwan: Final Results of Antidumping Duty ITA asks organizations to verify who or other forms of information technology. Administrative Review; 2014–2016, 82 FR 31555 within the organization will serve as an (July 7, 2017)); (2) Commerce listed ‘‘EEPV CORP.’’ ongoing point of contact for Privacy Comments submitted in response to and ‘‘EEPV Corp.’’ which refer to the same this notice will be summarized and/or company; (3) Canadian Solar International, Ltd. and Shield-related questions. Canadian Solar International Limited refer to the In addition, ITA has committed to included in the request for OMB same company; and (4) Canadian Solar Solution conduct compliance reviews on an approval of this information collection; Continued
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description of the events that followed written description of the scope is accordance with section 772 of the Act. the initiation of this review, see the dispositive. Normal value is calculated in Preliminary Decision Memorandum.3 A accordance with section 773 of the Act. Preliminary Determination of No list of topics included in the Shipments For a full description of the Preliminary Decision Memorandum is methodology underlying our included as an appendix to this notice. Seven of the companies under review properly filed a statement that they conclusions, see the Preliminary On October 30, 2019, we extended the Decision Memorandum. The preliminary results of this review to no made no shipments of subject Preliminary Decision Memorandum is a later than December 5, 2019.4 On merchandise to the United States during public document and is on file December 5, 2019, we extended the the POR.7 Based on their certifications electronically via Enforcement and preliminary results of this review to no and our analysis of U.S. Customs and Compliance’s Antidumping and later than December 17, 2019.5 Border Protection (CBP) information, we preliminarily determine that these seven Countervailing Duty Centralized Scope of the Order 6 companies had no reviewable Electronic Service System (ACCESS). The merchandise covered by this transactions during the POR. Consistent ACCESS is available to registered users order is crystalline silicon photovoltaic with our practice, we are not at https://access.trade.gov and is cells, and modules, laminates and/or preliminarily rescinding the review available to all parties in the Central panels consisting of crystalline silicon with respect to these seven companies. Records Unit, Room B8024 of the main photovoltaic cells, whether or not Rather, we will complete the review for Commerce building. In addition, the partially or fully assembled into other these companies and issue appropriate complete Preliminary Decision products, including building integrated instructions to CBP based on the final Memorandum can be accessed directly materials. Merchandise covered by this results of this review.8 For additional on the internet at http:// order is currently classified in the information regarding this enforcement.trade.gov/frn/index.html. Harmonized Tariff Schedule of the determination, see the Preliminary The signed Preliminary Decision United States (HTSUS) under Decision Memorandum. Memorandum and the electronic subheadings 8501.61.0000, version of the Preliminary Decision 8507.20.8030, 8507.20.8040, Methodology Memorandum are identical in content. 8507.20.8060, 8507.20.8090, Commerce is conducting this review Preliminary Results of the Review 8541.40.6020, 8541.40.6030 and in accordance with section 751(a)(1) and 8501.31.8000. These HTSUS (2) of Tariff Act of 1930, as amended We preliminarily determine the subheadings are provided for (the Act). Export price and constructed following weighted-average dumping convenience and customs purposes; the export price were calculated in margins exist for the POR:
Estimated weighted-average Exporter/producer dumping margin (percent)
Sino-American Silicon Products Inc., Solartech Energy Corp. and Sunshine PV Corporation 9 ...... 2.57 Baoding Jiasheng Photovoltaic Technology Co. Ltd ...... 2.57 Baoding Tianwei Yingli New Energy Resources Co., Ltd ...... 2.57 Beijing Tianneng Yingli New Energy Resources Co. Ltd ...... 2.57 Boviet Solar Technology Co., Ltd ...... 2.57 Canadian Solar Solutions Inc ...... 2.57 EEPV Corp ...... 2.57 E–TON Solar Tech. Co., Ltd ...... 2.57 Gintech Energy Corporation ...... 2.57 Hainan Yingli New Energy Resources Co., Ltd ...... 2.57 Hengshui Yingli New Energy Resources Co., Ltd ...... 2.57 Inventec Energy Corporation ...... 2.57 Inventec Solar Energy Corporation ...... 2.57 KOOTATU Tech. Corp ...... 2.57 Kyocera Mexicana S.A. de C.V ...... 2.57 Lixian Yingli New Energy Resources Co., Ltd ...... 2.57 Lof Solar Corp ...... 2.57 Mega Sunergy Co., Ltd ...... 2.57
Inc. is an erroneous spelling of Canadian Solar Duty Administrative Review,’’ dated October 30, Photovoltaic Products from Taiwan: Response to Solutions Inc. Regarding Canadian Solar 2019. May 20, 2019 Questionnaire,’’ dated June 17, 2019. International Limited and Canadian Solar Solutions 5 See Memorandum, ‘‘Certain Crystalline Silicon 8 See Non-Market Economy Antidumping Inc., see Canadian Solar et al.’s Letter, ‘‘Crystalline Photovoltaic Products from Taiwan: Extension of Proceedings: Assessment of Antidumping Duties, 76 Silicon Photovoltaic Products from Taiwan, Case Time Limit for Preliminary Results of Antidumping FR 65694, 65694–95 (October 24, 2011) and the No. A–583–853: No Shipment Letter.’’ dated May Duty Administrative Review,’’ dated December 5, ‘‘Assessment Rates’’ section, infra; see also Certain 31, 2019 (Canadian Solar No Shipments Letter) at 2019. Frozen Warmwater Shrimp from Thailand; n.1. 6 For the full text of the scope of the order, see Preliminary Results of Antidumping Duty 3 See Memorandum, ‘‘Decision Memorandum for the Preliminary Decision Memorandum. Administrative Review, Partial Rescission of the Preliminary Results of Antidumping Duty 7 See certifications of no shipments filed by AU Review, Preliminary Determination of No Administrative Review: Certain Crystalline Silicon Optronics Corporation, Canadian Solar Inc., Shipments; 2012–2013, 79 FR 15951, 15952 (March Photovoltaic Products from Taiwan, 2018–2019,’’ Canadian Solar International Limited, Canadian 24, 2014), unchanged in Certain Frozen Warmwater dated concurrently with, and hereby adopted by, Solar Manufacturing (Changshu), Inc., Canadian Shrimp from Thailand: Final Results of this notice (Preliminary Decision Memorandum). Solar Manufacturing (Luoyang), Inc. and Vina Solar Antidumping Duty Administrative Review, Final 4 See Memorandum, ‘‘Certain Crystalline Silicon Technology Co., Ltd., dated May 31, 2019. Determination of No Shipments, and Partial Photovoltaic Products from Taiwan: Extension of Regarding Motech Industries Ltd. See Motech Rescission of Review; 2012–2013, 79 FR 51306, Time Limit for Preliminary Results of Antidumping Industries Ltd.’s Letter, ‘‘Certain Crystalline Silicon 51307 (August 28, 2014).
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Estimated weighted-average Exporter/producer dumping margin (percent)
Ming Hwei Energy Co., Ltd ...... 2.57 Neo Solar Power Corporation ...... 2.57 Shenzhen Yingli New Energy Resources Co., Ltd ...... 2.57 Sunengine Corporation Ltd ...... 2.57 Sunrise Global Solar Energy ...... 2.57 Tianjin Yingli New Energy Resources Co., Ltd ...... 2.57 TSEC Corporation ...... 2.57 United Renewable Energy Co., Ltd ...... 2.57 Win Precision Technology Co., Ltd ...... 2.57 Yingli Energy (China) Co., Ltd ...... 2.57 Yingli Green Energy International Trading Company Limited ...... 2.57
Assessment Rates or an importer-specific assessment rate margins established in the final results Upon issuance of the final results, is zero or de minimis, we will instruct of this review except if the ultimate Commerce shall determine, and CBP CBP to liquidate the appropriate entries rates are de minimis within the meaning shall assess, antidumping duties on all without regard to antidumping duties. of 19 CFR 351.106(c)(1), in which case appropriate entries covered by this The final results of this review shall be the cash deposit rates will be zero; (2) review. the basis for the assessment of for merchandise exported by producers Since the weighted-average dumping antidumping duties on entries of or exporters not covered in this margin for the collapsed entity Sino- merchandise covered by the final results administrative review but covered in a American Silicon Products Inc., of this review where applicable. prior segment of the proceeding, the Solartech Energy Corp. and Sunshine In accordance with Commerce’s cash deposit rate will continue to be the PV Corporation is not zero or de ‘‘automatic assessment’’ practice, for company-specific rate published for the minimis (i.e., less than 0.5 percent), we entries of subject merchandise during most recently completed segment of this will calculate importer-specific ad the POR produced by a respondent that proceeding in which the producer or valorem AD assessment rates based on did not know its merchandise was exporter participated; (3) if the exporter destined for the United States, we will the ratio of the total amount of dumping is not a firm covered in this review, a instruct CBP to liquidate entries not calculated for the importers examined prior review, or the original less-than- reviewed at the all-others rate of 19.50 sales to the total entered value of those fair-value investigation but the producer percent 11 if there is no rate for the same sales in accordance with 19 CFR is, then the cash deposit rate will be the 351.212(b)(1).10 We will instruct CBP to intermediate company(ies) involved in the transaction.12 We intend to issue rate established for the most recently assess antidumping duties on all completed segment of the proceeding appropriate entries covered by this instructions to CBP 15 days after for the producer of the merchandise; review when the importer-specific publication of the final results of this and (4) the cash deposit rate for all other assessment rate calculated in the final review. producers or exporters will continue to results of this review is above de Cash Deposit Requirements minimis (i.e., 0.5 percent). Where either be 19.50 percent, the all-others rate the respondent’s weighted-average The following deposit requirements established in the Final Determination. dumping margin is zero or de minimis, will be effective upon publication of the These deposit requirements, when notice of final results of administrative imposed, shall remain in effect until 9 In the first administrative review of the order, review for all shipments of solar further notice. Commerce collapsed Sino-American Silicon products from Taiwan entered, or Products Inc. and Solartech Energy Corp. and withdrawn from warehouse, for Disclosure and Public Comment treated the companies as a single entity for consumption on or after the date of purposes of the proceeding. See Certain Crystalline Commerce will disclose to parties to Silicon Photovoltaic Products from Taiwan: Final publication provided by section this proceeding the calculations Results of Antidumping Duty Administrative 751(a)(2)(C) of the Act: (1) The cash performed in reaching the preliminary Review; 2014–2016, 82 FR 31555 (July 7, 2017). deposit rate for each company listed results within five days of the date of Because there were no changes to the facts which above 13 will be equal to the dumping supported that decision since that determination publication of these preliminary was made, we continue to find that these results.14 Pursuant to 19 CFR companies are part of a single entity for this 11 See Certain Crystalline Silicon Photovoltaic administrative review. In the final results of the Products: Final Determination of Sales at Less Than 351.309(c)(1)(ii), interested parties may third administrative review of this proceeding, we Fair Value, 79 FR 76966 (December 23, 2014) (Final submit case briefs not later than 30 days included Sunshine PV Corporation in the SAS–SEC Determination). after the date of publication of this entity. See Certain Crystalline Silicon Photovoltaic 12 For a full discussion of this practice, see notice. Rebuttal briefs, limited to issues Products from Taiwan: Final Results of Antidumping and Countervailing Duty Proceedings: Antidumping Duty Administrative Review and Assessment of Antidumping Duties, 68 FR 23954 raised in the case briefs, may be filed Final Determination of No Shipments; 2017–2018, (May 6, 2003). not later than five days after the date for 84 FR 39802 (August 12, 2019) and the 13 As explained in the Preliminary Decision filing case briefs.15 Parties who submit accompanying Issues and Decision Memorandum at Memorandum, the collapsed entity consisting of case briefs or rebuttal briefs in this n.4. Sino-American Silicon Products Inc., Solartech 10 In these preliminary results, Commerce applied Energy Corp. and Sunshine PV Corporation proceeding are requested to submit with the assessment rate calculation method adopted in dissolved during the period of review. Specifically, the argument: (1) A statement of the Antidumping Proceedings: Calculation of the Solartech Energy Corp. and Sunshine PV issue, (2) a summary of the argument, Weighted-Average Dumping Margin and Corporation ceased to exist. Therefore, the dumping Assessment Rate in Certain Antidumping margin established for the collapsed entity will be 14 See 19 CFR 351.224(b). Proceedings; Final Modification, 77 FR 8101 the cash deposit rate for Sino-American Silicon 15 (February 14, 2012). Products Inc. See 19 CFR 351.309(d).
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and (3) a table of authorities.16 All briefs II. Background results of this review cover the twelve must be filed electronically using III. Scope of the Order remaining companies. ACCESS. An electronically filed IV. Companies Not Selected for Individual Scope of the Order document must be received successfully Examination V. Preliminary Determination of No The products covered by the order in its entirety by Commerce’s electronic Shipments records system, ACCESS. VI. Discussion of the Methodology include drawn stainless steel sinks from Interested parties who wish to request VII. Date of Sale China. Imports of subject merchandise a hearing must submit a written request VIII. Product Comparisons are currently classified under the to the Assistant Secretary for IX. Export Price Harmonized Tariff Schedule of the Enforcement and Compliance, U.S. X. Normal Value United States (HTSUS) subheadings Department of Commerce, using XI. Currency Conversion 7324.10.0000 and 7324.10.0010. Enforcement and Compliance’s ACCESS XII. Recommendation Although the HTSUS subheadings are system within 30 days of publication of [FR Doc. 2019–27804 Filed 12–23–19; 8:45 am] provided for convenience and customs 17 this notice. Requests should contain BILLING CODE 3510–DS–P purposes, the written description of the the party’s name, address, and scope of the order is dispositive.3 telephone number, the number of participants, and a list of the issues to DEPARTMENT OF COMMERCE Methodology be discussed. If a request for a hearing Commerce is conducting this review is made, we will inform parties of the International Trade Administration in accordance with section 751(a)(1)(B) scheduled date for the hearing which [A–570–983] of the Tariff Act of 1930, as amended will be held at the U.S. Department of (the Act). Commerce, 1401 Constitution Avenue Drawn Stainless Steel Sinks From the For a full description of the NW, Washington, DC 20230, at a time People’s Republic of China: methodology underlying our and location to be determined.18 Parties Preliminary Results of the conclusions, see the Preliminary should confirm by telephone the date, Antidumping Duty Administrative Decision Memorandum. The time, and location of the hearing. Review and Preliminary Determination Preliminary Decision Memorandum is a Unless the deadline is extended of No Shipments; 2018–2019 public document and is on file pursuant to section 751(a)(3)(A) of the electronically via Enforcement and Act and 19 CFR 351.213(h)(2), AGENCY: Enforcement and Compliance, Compliance’s Antidumping and Commerce will issue the final results of International Trade Administration, Countervailing Duty Centralized this administrative review, including Department of Commerce. Electronic Service System (ACCESS). the results of our analysis of the issues SUMMARY: The Department of Commerce ACCESS is available to registered users raised by the parties in their case briefs, (Commerce) preliminarily determines at https://access.trade.gov, and to all within 120 days after issuance of these that certain companies made sales of parties in the Central Records Unit, preliminary results. subject merchandise at less than normal room B8024 of the main Commerce Notification to Importers value. The period of review (POR) is building. In addition, a complete April 1, 2018 through March 31, 2019. version of the Preliminary Decision This notice also serves as a Interested parties are invited to Memorandum can be accessed directly preliminary reminder to importers of comment on these preliminary results. at https://enforcement.trade.gov/frn/ their responsibility under 19 CFR DATES: Applicable December 26, 2019. summary/prc/prc-fr.htm. The signed 351.402(f)(2) to file a certificate FOR FURTHER INFORMATION CONTACT: and the electronic versions of the regarding the reimbursement of Rebecca Janz or Adam Simons, AD/CVD Preliminary Decision Memorandum are antidumping duties prior to liquidation Operations, Office II, Enforcement and identical in content. A list of topics of the relevant entries during this Compliance, International Trade included in the Preliminary Decision review period. Failure to comply with Administration, U.S. Department of Memorandum is provided as an this requirement could result in Commerce, 1401 Constitution Avenue appendix to this notice. Commerce’s presumption that NW, Washington, DC 20230; telephone: reimbursement of antidumping duties China-Wide Entity (202) 482–2972 or (202) 482–6172, occurred and the subsequent assessment respectively. In accordance with Commerce’s of doubled antidumping duties. policy, the China-wide entity will not be SUPPLEMENTARY INFORMATION: Notification to Interested Parties under review unless a party specifically Background requests, or Commerce self-initiates, a These preliminary results of review is review of the entity.4 Because no party are issued and published in accordance In June 2019, Commerce published a requested a review of the China-wide with sections 751(a)(1) and 777(i)(1) of notice of initiation of an administrative entity in this review, the entity is not the Act and 19 CFR 351.221(b)(4). review of the antidumping duty order on drawn stainless steel sinks from the Dated: December 16, 2019. People’s Republic of China (China) Antidumping Duty Administrative Review; 2018– Jeffrey I. Kessler, covering the period April 1, 2018 2019, 84 FR 44847 (August 27, 2019). 3 For a complete description of the Scope of the Assistant Secretary for Enforcement and through March 31, 2019, with respect to Compliance. Order, see Memorandum, ‘‘Decision Memorandum 30 companies.1 In August 2019, as the for Preliminary Results of the Antidumping Duty Appendix result of a timely withdrawal request, Administrative Review: Drawn Stainless Steel Sinks from the People’s Republic of China,’’ issued List of Topics Discussed in the Preliminary we rescinded the review with respect to 2 concurrently with and hereby adopted by this Decision Memorandum 18 of these companies. Therefore, the notice (Preliminary Decision Memorandum). I. Summary 4 See Antidumping Proceedings: Announcement 1 See Initiation of Antidumping and of Change in Department Practice for Respondent Countervailing Duty Administrative Reviews, 84 FR Selection in Antidumping Duty Proceedings and 16 See 19 CFR 351.309(c)(2) and (d)(2). 27587 (June 13, 2019). Conditional Review of the Nonmarket Economy 17 See 19 CFR 351.310(c). 2 See Drawn Stainless Steel Sinks from the Entity in NME Antidumping Duty Proceedings, 78 18 See 19 CFR 351.310. People’s Republic of China: Partial Rescission of FR 65963 (November 4, 2013).
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under review, and the entity’s rate is not (Xinhe); Yuyao Afa Kitchenware Co., calculated by averaging the weighted- subject to change (i.e., 76.45 percent).5 Ltd. (Yuyao Afa); and Zhongshan average dumping margins for Superte Kitchenware Co., Ltd. (Superte). individually-examined respondents, Preliminary Results of Review Finally, because Zhuhai Kohler Kitchen excluding rates that are zero, de Commerce finds that the two & Bathroom Products Co. Ltd. failed to minimis, or based entirely on facts mandatory respondents, Guangdong respond to Commerce’s supplemental available. Section 735(c)(5)(B) of the Act New Shichu Import and Export separate rate questionnaire, we provides that where all rates are zero, de Company Limited (New Shichu) and preliminarily determine that this minimis, or based entirely on facts KaiPing Dawn Plumbing Products, Inc. company is also ineligible for a separate available, Commerce may use ‘‘any (KaiPing), have not established their rate and is part of the China-wide entity. reasonable method’’ for assigning a rate eligibility for a separate rate and are The statute and Commerce’s to non-examined respondents. considered to be part of the China-wide regulations do not address what rate to However, for these preliminary entity for these preliminary results. apply to respondents who are not results, we have not calculated any Additionally, because the following selected for individual examination individual rates or assigned a company- companies did not submit separate rate when Commerce limits its examination specific rate based on facts available. applications or certifications, we in an administrative review pursuant to Therefore, consistent with our recent preliminarily determine they are section 777A(c)(2) of the Act. Generally, practice,6 we preliminarily assigned to ineligible for a separate rate and are part Commerce looks to section 735(c)(5) of the non-individually examined of the China-wide entity: B&R Industries the Act, which provides instructions for company that demonstrated its Limited (B&R); Feidong Import and calculating the all-others rate in an eligibility for a separate rate the most Export Co. Ltd. (Feidong); Guangdong investigation, for guidance when recently assigned separate rate in this G-Top Import & Export Co., Ltd. (G- calculating the rate for non-selected proceeding (i.e., 1.78 percent).7 Top); Jiangmen Pioneer Import & Export respondents that are not examined Commerce preliminarily determines Co., Ltd. (Pioneer); Ningbo Afa Kitchen individually in an administrative that the following weighted-average and Bath Co., Ltd. (Ningbo Afa); Xinhe review. Section 735(c)(5)(A) of the Act dumping margin exists for the period Stainless Steel Products Co., Ltd. states that the all-others rate should be April 1, 2018 through March 31, 2019:
Weighted-average Exporter dumping margin (percent)
Jiangmen New Star Hi-Tech Enterprise Ltd ...... 1.78
Disclosure and Public Comment requests should contain: (1) The party’s date of publication of this notice, unless 14 Interested parties may submit case name, address, and telephone number; otherwise extended. (2) the number of participants; and (3) briefs no later than 30 days after the Assessment Rates date of publication of this notice.8 a list of issues to be discussed. Issues Rebuttal briefs, limited to issues raised raised in the hearing will be limited to Upon completion of the in the case briefs, may be filed no later issues raised in the briefs. If a request administrative review, Commerce shall than five days after the time limit for for a hearing is made, parties will be determine, and U.S. Customs and filing case briefs.9 Parties who submit notified of the time and date for the Border Protection (CBP) shall assess, case brief or rebuttal briefs in this hearing to be held at the U.S. antidumping duties on all appropriate proceeding are encouraged to submit Department of Commerce, 1401 entries covered by this review.15 For the with each argument: (1) A statement of Constitution Avenue NW, Washington, final results, if we continue to treat the the issue; (2) a brief summary of the DC 20230.13 following companies as part of China- argument; and (3) a table of An electronically-filed document wide entity, we will instruct CBP to 10 apply an ad valorem assessment rate of authorities. Case and rebuttal briefs must be received successfully in its should be filed using ACCESS.11 76.45 percent to all entries of subject entirety by ACCESS by 5:00 p.m. Pursuant to 19 CFR 351.310(c), merchandise during the POR that were Eastern Time on the established interested parties who wish to request a produced and/or exported by those hearing must submit a written request to deadline. companies: B&R; Feidong; G-Top; the Assistant Secretary for Enforcement Commerce intends to issue the final KaiPing; Koehler; New Shichu; Ningbo and Compliance, U.S. Department of results of this administrative review, Afa; Pioneer; Superte; Xinhe; and Yuyao Commerce, filed electronically via which will include the results of its Afa. For the company receiving a ACCESS within 30 days after the date of analysis of all issues raised in the case separate rate, we intend to assign an publication of this notice.12 Hearing briefs, not later than 120 days after the assessment rate of 1.78 percent,
5 The China-wide rate determined in the 6 See, e.g., Certain Frozen Warmwater Shrimp Antidumping Duty Administrative Review; 2017– investigation was 76.53 percent. See Drawn from the Socialist Republic of Vietnam: Preliminary 2018, 84 FR 38211 (August 6, 2019). Stainless Steel Sinks from the People’s Republic of Results of Antidumping Duty Administrative 8 See 19 CFR 351.309(c). China: Amended Final Determination of Sales at Review; 2015–2016, 81 FR 62717 (September 12, 9 See 19 CFR 351.309(d). Less Than Fair Value and Antidumping Duty Order, 2016), and accompanying Preliminary Decision 78 FR 21592 (April 11, 2013). This rate was 10 See 19 CFR 351.309(c)(2). Memorandum at 10–11, unchanged in Certain adjusted for export subsidies and estimated 11 Frozen Warmwater Shrimp from the Socialist See 19 CFR 351.303. domestic subsidy pass through to determine the 12 See 19 CFR 351.310(c). cash deposit rate (76.45 percent) collected for Republic of Vietnam: Final Results of Antidumping 13 companies in China-wide entity. See explanation in Duty Administrative Review; 2015–2016, 82 FR See 19 CFR 351.310(d). Drawn Stainless Steel Sinks from the People’s 11431 (February 23, 2017). 14 See section 751(a)(3)(A) of the Act. Republic of China: Investigation, Final 7 See Drawn Stainless Steel Sinks from the 15 See 19 CFR 351.212(b)(1). Determination, 78 FR 13019 (February 26, 2013). People’s Republic of China: Final Results of
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consistent with the methodology Dated: December 18, 2019. the events that occurred since described above. Jeffrey I. Kessler, Commerce published the Preliminary We intend to issue assessment Assistant Secretary for Enforcement and Determinations, as well as a full instructions to CBP 15 days after the Compliance. discussion of the issues raised by parties for these final determinations, may be publication of the final results of this Appendix review. found in the Issues and Decision List of Topics Discussed in the Preliminary Memorandum.3 The IDM is a public Cash Deposit Requirements Decision Memorandum document and is on file electronically I. Summary via Enforcement and Compliance’s The following cash deposit II. Background Antidumping and Countervailing Duty requirements will be effective upon III. Scope of the Order Centralized Electronic Service System publication of the final results of this IV. Discussion of Methodology (ACCESS). ACCESS is available to administrative review for all shipments V. Recommendation registered users at http:// of the subject merchandise from China [FR Doc. 2019–27805 Filed 12–23–19; 8:45 am] access.trade.gov, and it is available to entered, or withdrawn from warehouse, BILLING CODE 3510–DS–P all parties in the Central Records Unit, for consumption on or after the room B8024 of the main Commerce publication date, as provided for by building. In addition, a complete section 751(a)(2)(C) of the Act: (1) For DEPARTMENT OF COMMERCE version of the IDM can be accessed the company listed above that has a directly at http://enforcement.trade.gov/ separate rate, the cash deposit rate will International Trade Administration frn/. The signed and electronic versions be that rate established in the final [A–580–878; C–580–879] of the IDM are identical in content. results of this review (except that if the rate is zero or de minimis, then a cash Certain Corrosion-Resistant Steel Scope of the Orders deposit rate of zero will be established Products From the Republic of Korea: The products covered by these orders for that company); (2) for previously Affirmative Final Determinations of are certain flat-rolled steel products, investigated or reviewed Chinese and Anti-Circumvention Inquiries on the either clad, plated, or coated with non-Chinese exporters not listed above Antidumping Duty and Countervailing corrosion-resistant metals such as zinc, that have separate rates, the cash Duty Orders aluminum, or zinc-, aluminum-, nickel- deposit rate will continue to be equal to or iron-based alloys, whether or not the exporter-specific weighted-average AGENCY: Enforcement and Compliance, corrugated or painted, varnished, dumping margin published of the most International Trade Administration, laminated, or coated with plastics or recently-completed segment of this Department of Commerce. other non-metallic substances in proceeding; (3) for all Chinese exporters SUMMARY: The Department Commerce addition to the metallic coating. For a of subject merchandise that have not (Commerce) determines that imports of complete description of the scope of the been found to be entitled to a separate certain corrosion-resistant steel orders, see the IDM.4 products (CORE), produced in the rate, the cash deposit rate will be the Scope of the Anti-Circumvention Socialist Republic of Vietnam (Vietnam) rate for China-wide entity, 76.45 Inquiries percent; and (4) for all exporters of using carbon hot-rolled steel (HRS) and/ subject merchandise which are not or cold-rolled steel flat products (CRS) These anti-circumvention inquiries located in China and which are not manufactured in the Republic of Korea cover CORE produced in Vietnam from eligible for a separate rate, the cash (Korea), are circumventing the HRS or CRS substrate input deposit rate will be the rate applicable antidumping duty (AD) and manufactured in Korea and to Chinese exporter(s) that supplied that countervailing duty (CVD) orders on subsequently exported from Vietnam to non-Chinese exporter. These deposit CORE from Korea. the United States (merchandise under requirements, when imposed, shall DATES: Applicable December 26, 2019. consideration). These final rulings apply to all shipments of merchandise under remain in effect until further notice. FOR FURTHER INFORMATION CONTACT: consideration on or after the date of Notification to Importers Chien-Min Yang, AD/CVD Operations, initiation of these inquiries. Importers Office VII, Enforcement and and exporters of CORE produced in This notice also serves as a Compliance, International Trade Vietnam using: (1) HRS manufactured in preliminary reminder to importers of Administration, U.S. Department of Vietnam or third countries; (2) CRS their responsibility under 19 CFR Commerce, 1401 Constitution Avenue manufactured in Vietnam using HRS 351.402(f) to file a certificate regarding NW, Washington, DC 20230; telephone: produced in Vietnam or third countries; the reimbursement of antidumping and/ (202) 482–5484. and/or (3) CRS manufactured in third or countervailing duties prior to SUPPLEMENTARY INFORMATION: countries, and who qualify to liquidation of the relevant entries Background during this review period. Failure to the Republic of Korea and Taiwan: Amended Final comply with this requirement could On July 10, 2019, Commerce Affirmative Antidumping Determination for India result in the Secretary’s presumption published the Preliminary and Taiwan, and Antidumping Duty Orders, 81 FR Determinations 1 of circumvention of 48390 (July 25, 2016); and Certain Corrosion- that reimbursement of antidumping Resistant Steel Products from India, Italy, Republic 2 and/or countervailing duties occurred the Korea CORE Orders. A summary of of Korea and the People’s Republic of China: and the subsequent assessment of Countervailing Duty Order, 81 FR 48387 (July 25, double antidumping duties. 1 See Certain Corrosion-Resistant Steel Products 2016) (collectively, Korea CORE Orders). from Republic of Korea: Affirmative Preliminary 3 See Memorandum, ‘‘Issues and Decision Notification to Interested Parties Determination of Anti-Circumvention Inquiries on Memorandum for Anti-Circumvention Inquiries on the Antidumping Duty and Countervailing Duty the Antidumping Duty and Countervailing Duty We are issuing and publishing these Orders, 84 FR 32871 (July 10, 2019) (Preliminary Orders on Certain Corrosion-Resistant Steel Determinations) and accompanying Preliminary Products from the Republic of Korea,’’ dated preliminary results in accordance with Decision Memorandum. concurrently with, and hereby adopted by, this sections 751(a)(l) and 777(i)(l) of the 2 See Certain Corrosion-Resistant Steel Products notice (IDM). Act. from India, Italy, the People’s Republic of China, 4 See IDM.
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participate in the certification process, effect until further notice. In order to Taiwan is subject to the AD order on must certify that the HRS or CRS prevent evasion, and because the AD CORE from Taiwan. If an importer processed into CORE in Vietnam did not and CVD rates established in China imports CORE from Vietnam and claims originate in Korea, as provided for in the CORE Anti-Circumvention Finals are that the CORE was produced from non- certifications attached to the Federal higher than the rates established for Korean HRS or CRS substrate, in order Register notice. Otherwise, their CORE from Korea and Taiwan, and the not to be subject to cash deposit merchandise may be subject to rates established for CORE from Korea requirements, the importer and exporter antidumping and countervailing duties are higher than the AD rate established are required to meet the certification in these inquiries. for CORE from Taiwan, Commerce will and documentation requirements instruct CBP to suspend liquidation and described in Appendix II. Exporters of Methodology collect cash deposits in the following CORE produced in Vietnam from non- Commerce is conducting these anti- manner. In the situation where no Korea-origin HRS or CRS substrate must circumvention inquiries in accordance certification regarding the origin of the prepare and maintain an Exporter with section 781(b) of the Tariff Act of substrate is maintained for an entry, and Certification and documentation 1930, as amended (the Act). AD/CVD orders from three countries supporting the Exporter Certification Analysis of Comments Received (China, Korea, or Taiwan) potentially (see Appendix IV). In addition, apply to that entry, Commerce will importers of such CORE must prepare All issues raised in the case and instruct CBP to suspend the entry and and maintain an Importer Certification rebuttal briefs by parties in these collect cash deposits at the AD rate (see Appendix III) as well as inquiries are addressed in the Issues and established for the China-wide entity documentation supporting the Importer Decision Memorandum. A list of the (199.43 percent) and the CVD rate Certification. In addition to the Importer issues raised is attached to this notice as established for the China all-others rate Certification, the importer must also Appendix I. (39.05 percent), pursuant to the China maintain a copy of the Exporter Final Affirmative Determinations of CORE Circumvention Finals.6 In the Certification (see Appendix IV) and Circumvention situation where a certification is relevant supporting documentation from maintained for the AD/CVD orders on its exporter of CORE produced from We determine that exports to the CORE from China (stating that the non-Korea-origin HRS or CRS substrate. United States of CORE produced in merchandise was not produced from For these final determinations, we Vietnam from HRS or CRS substrate HRS and/or CRS from China), but no determine that the following companies manufactured in Korea are other certification is maintained, are not eligible for the certification circumventing the Korea CORE Orders. Commerce intends to instruct CBP to process: 190 Steel Pipe Co., Ltd.; Chinh We therefore find it appropriate to suspend the entry and collect cash Dai Steel Limited; Dai Thien Loc determine that this merchandise falls deposits at the AD and CVD all-others Corporation; Formosa Ha Tinh within the Korea CORE Orders, and to rates (i.e., 8.31 percent and 1.19 percent, Corporation; Hoa Phat Steel Pipe Co.; instruct U.S. Customs and Border respectively) applicable to the AD/CVD Hoa Sen Group; Perstima Viet Nam; Protection (CBP) to continue to suspend orders on CORE from Korea.7 Prima Commodities Co.; Thai Nguyen liquidation of any entries of CORE from CORE produced in Vietnam from HRS Iron and Steel Corp.; Thong Nhat Flat Vietnam produced using HRS or CRS or CRS substrate that is not of Korean Steel; Ton Dong A Corp.; Trung Nguyen substrate manufactured in Korea. origin is not subject to these inquiries. Steel Co, Ltd.; Vietname Germany Steel Continuation of Suspension of Therefore, cash deposits are not JSC; Vietnam Steel Corp.; Vietnam Steel Liquidation required for such merchandise. Pipe; Vian Kyoei Steel Ltd.; Vina One However, CORE produced in Vietnam Steel Manufacturing; NS BlueScope As stated above, Commerce has made from HRS and/or CRS from China is Vietnam Ltd.; and Southern Steel Sheet affirmative determinations of subject to the AD/CVD orders on CORE Co., Ltd. Accordingly, importers of circumvention of the Korea CORE from China, and CORE produced in CORE from Vietnam that is produced Orders by exports to the United States Vietnam from HRS and/or CRS from and/or exported by these ineligible of CORE produced in Vietnam using companies are similarly ineligible for Korea-origin HRS or CRS substrate. This 6 See Certain Corrosion-Resistant Steel Products the certification process with regard to circumvention finding applies to CORE from India, Italy, the People’s Republic of China, those imports. Additionally, exporters produced by any Vietnamese company the Republic of Korea and Taiwan: Amended Final are not eligible to certify shipments of using Korea-origin HRS or CRS Affirmative Antidumping Determination for India and Taiwan, and Antidumping Duty Orders, 81 FR merchandise produced by the above- substrate. In accordance with 19 CFR 48390 (July 25, 2016); and Certain Corrosion- listed companies. Accordingly, Hoa 351.225(l)(3), Commerce will direct CBP Resistant Steel Products from India, Italy, Republic Phat Group Joint Stock Company and to continue to suspend liquidation and of Korea and the People’s Republic of China: Hoa Phat Steel Sheet are not eligible to to require a cash deposit of estimated Countervailing Duty Order, 81 FR 48387 (July 25, 2016) (collectively, China CORE Orders). certify shipments of CRS produced by duties on unliquidated entries of CORE 7 See Certain Corrosion-Resistant Steel Flat Hoa Phat Steel Pipe Co.8 produced in Vietnam using Korea-origin Products from India, Italy, the People’s Republic of HRS or CRS substrate that were entered, China, the Republic of Korea, and Taiwan: Notification Regarding Administrative or withdrawn from warehouse, for Amended Final Affirmative Antidumping Duty Protective Orders Determination/or India and Taiwan, and consumption on or after August 2, 2018, Antidumping Duty Orders, 81 FR 48390 (July 25, This notice will serve as the only the date of initiation of these anti- 2016). The ‘‘all others rate’’ was subsequently reminder to all parties subject to circumvention inquiries.5 amended as the result of litigation. See Certain administrative protective order (APO) of The suspension of liquidation and Corrosion-Resistant Steel Products from the Republic of Korea: Notice of Court Decision Not in their responsibility concerning the cash deposit instructions will remain in Harmony with Final Determination of Investigation destruction of proprietary information and Notice of Amended Final Results, 83 FR 39054 disclosed under APO in accordance 5 See Certain Corrosion-Resistant Steel Products (August 8, 2018); see also Certain Corrosion- with 19 CFR 351.305(a)(3). Timely from the Republic of Korea and Taiwan: Initiation Resistant Steel Products from India, Italy, Republic of AntiCircumvention Inquiries on the Antidumping of Korea, and the People’s Republic of China: written notification of return/ Duty and Countervailing Duty Orders, 83 FR 37785 Countervailing Duty Order, 81 FR 48387 (July 25, (August 2, 2018) (Initiation Notice). 2016) (collectively, Korea CORE Orders). 8 See IDM at Comment 11.
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destruction or APO materials or Comment 11: Whether to Apply the shipments/products referenced herein conversion to judicial protective order is Highest the Petition Rate or Investigation shipped before July 19, 2019. This hereby requested. Failure to comply Calculated Rate as the Cash Deposit Rate certification was completed on mm/dd/yyyy, with the regulations and the terms of an for Non-Responsive Companies within 30 days of the Federal Register notice Comment 12: Whether Commerce Should publication of the final determinations of APO is a sanctionable violation. Continue to Apply AFA to SSSC circumvention.’’ For such entries/shipments, Notification to Interested Parties Comment 13:Whether Commerce Should importers and exporters each have the option Apply Section 232 Duties Against the to complete a blanket certification covering These determinations are issued and Vietnam CORE Products Found Using multiple entries/shipments, individual published in accordance with section Korean Substrates certifications for each entry/shipment, or a 781(b) of the Act and 19 CFR 351.225(f). X. Recommendation combination thereof. For shipments and/or entries on or after Dated: December 13, 2019. Appendix II the date of publication of this notice in the Jeffrey I. Kessler, Certification Requirements Federal Register, for which certifications are required, importers should complete the Assistant Secretary for Enforcement and If an importer imports certain corrosion- Compliance. required certification at or prior to the date resistant steel products (CORE) from the of Entry and exporters should complete the Appendix I Socialist Republic of Vietnam (Vietnam) and required certification and provide it to the claims that the CORE was not produced from importer at or prior to the date of shipment. List of Topics Discussed in the Issues and hot-rolled steel and/or cold-rolled steel For shipments and/or entries made on or Decision Memorandum substrate (substrate) manufactured in Korea, after 10 days after the date of publication of I. Summary the importer is required to complete and these final determinations, parties should use maintain the importer certification attached II. Background the exporter and importer certifications hereto as Appendix III and all supporting III. Scope of the Korea Core Orders contained below that incorporate additional documentation. Where the importer uses a IV. Scope of the Anti-Circumvention information that was not in the preliminary broker to facilitate the entry process, it Inquiries determinations certifications. Specifically, should obtain the entry number from the V. Changes Since the Korea Core Anti- the exporter certification now requires broker. Agents of the importer, such as Circumvention Preliminary identification of the producer of the brokers, however, are not permitted to make Determination merchandise being exported to the United this certification on behalf of the importer. VI. Statutory Framework States and, also notes that CVD deposits may The exporter is required to complete and VII. Use of Facts Available and Facts be required in addition to AD deposits as a maintain the exporter certification, attached result of the failure to maintain the required Available With an Adverse Inference as Appendix IV, and is further required to certification or the inability to substantiate VIII. Anti-Circumvention Determinations provide the importer a copy of that the claims made in the certification. IX. Discussion of the Issues certification and all supporting Similarly, the importer certification also Comment 1: Whether Companies That Did documentation. notes that CVD deposits may be required in Not Receive Commerce’s Quantity and As discussed in the Issues and Decision addition to AD deposits as a result of the Value (Q&V) Questionnaire Should Be Memorandum for these final determinations, failure to maintain the required certification Permitted to Participate in the we are extending the period for completing or the inability to substantiate the claims Certification Process certifications for shipments and/or entries Comment 2: Whether Commerce Lacks during the August 2, 2018 through July 18, made in the certification. The importer and Statutory Authority to Apply AFA 2019 period established in the Preliminary Vietnamese exporter are also required to Where Respondents Did Not Deprive Determinations. Accordingly, for shipments maintain sufficient documentation Commerce of Information Regarding Its and/or entries on or after August 2, 2018 supporting their certifications. The importer Ability to Trace Inputs through July 18, 2019 for which certifications will not be required to submit the Comment 3: Whether Commerce’s Use of are required, importers and exporters should certifications or supporting documentation to AFA Impermissibly Departs Without complete the required certification within 30 U.S. Customs and Border Protection (CBP) as Explanation from Its Decision in the days of the publication of these final part of the entry process at this time. China Anti-Circumvention Inquiries. determinations notice in the Federal However, the importer and the exporter will Comment 4: Whether Precluding Certain Register. be required to present the certifications and Importers and Exporters From For companies that were not eligible to supporting documentation, to Commerce Participating in the Certification Process certify pursuant to the Preliminary and/or CBP, as applicable, upon request by is Inappropriate and Unfairly Punishes Determinations, but are now eligible the respective agency. Additionally, the Importers pursuant to the final determinations, we are claims made in the certifications and any Comment 5: Whether Commerce Should also extending the period for completion of supporting documentation are subject to Allow Additional Time for Completing their certifications for shipments and/or verification by Commerce and/or CBP. The Certification for Pre-Preliminary entries from August 2, 2018 through the date importer and exporter are required to Determinations Entries of Federal Register publication of the final maintain the certifications and supporting Comment 6: Whether Country-Wide determinations until 30 days after documentation for the later of (1) a period of Determinations Are Justified publication of these determinations. five years from the date of entry or (2) a Comment 7: Whether Commerce’s Accordingly, where appropriate, the period of three years after the conclusion of Interpretation of Section 781(b) of the relevant bullet in the certification should be any litigation in United States courts Act Supports the CORE Production edited to reflect that the certification was regarding such entries. Process in Vietnam and Expands the completed within the time frame specified In the situation where no certification is Scope of the Korea CORE Orders above. For example, the bullet in the maintained for an entry, and AD/CVD orders Comment 8: Whether Commerce Should importer certification that reads: ‘‘This from three countries (China, Korea, or Amend the Exporter Certification certification was completed at or prior to the Taiwan) potentially apply to that entry, Language to Prevent Funneling time of Entry,’’ could be edited as follows: Commerce intends to instruct CBP to Comment 9: Whether to Apply AFA to ‘‘The imports referenced herein entered suspend the entry and collect cash deposits Certain Vietnamese Producers That Are before July 19, 2019. This certification was at the China CORE Circumvention Final rates Affiliated with Those That Are Deemed completed on mm/dd/yyyy, within 30 days (i.e., the AD rate established for the China- Non-Responsive of the Federal Register notice publication of wide entity (199.43 percent) and the CVD Comment 10: Whether Commerce Should the final determinations of circumvention.’’ rate established for China all-others rate Preclude Companies That Failed to Similarly, the bullet in the exporter (39.05 percent)).9 In the situation where a Cooperate in Both the CORE from China certification that reads, ‘‘This certification and CORE from Taiwan Inquiries from was completed at or prior to the time of 9 See China CORE Circumvention Final, 83 FR at Participating in the Certification Regime shipment,’’ could be edited as follows: ‘‘The 23896.
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certification is maintained for the AD/CVD certification and supporting records, upon • I understand that {INSERT NAME OF orders on CORE from China (stating that the request, to CBP and/or Commerce; EXPORTING COMPANY} must provide this merchandise was not produced from HRS • I understand that the claims made Exporter Certification to the U.S. importer by and/or CRS from China), but no other herein, and the substantiating the time of shipment; certification is maintained, then Commerce documentation, are subject to verification by • I understand that {INSERT NAME OF intends to instruct CBP to suspend the entry CBP and/or Commerce; EXPORTING COMPANY} is required to and collect cash deposits at the AD and CVD • I understand that failure to maintain the provide a copy of this certification and all-others rates (i.e., 8.31 percent and 1.19 required certification and/or failure to supporting records, upon request, to U.S. percent, respectively) applicable to the AD/ substantiate the claims made herein will Customs and Border Protection (CBP) and/or CVD orders on CORE from Korea.10 result in: the Department of Commerce (Commerce); Æ Suspension of liquidation of all • I understand that the claims made Appendix III unliquidated entries (and entries for which herein, and the substantiating documentation liquidation has not become final) for which Importer Certification are subject to verification by CBP and/or these requirements were not met and Commerce; I hereby certify that: Æ the requirement that the importer post • • { I understand that failure to maintain the My name is INSERT COMPANY applicable antidumping/countervailing duty required certification and/or failure to OFFICIAL’S NAME HERE} and I am an (AD and/or CVD) cash deposits equal to the { substantiate the claims made herein will official of INSERT NAME OF IMPORTING rates as determined by Commerce; result in: COMPANY}; • I understand that agents of the importer, Æ • suspension of all unliquidated entries I have direct personal knowledge of the such as brokers, are not permitted to make (and entries for which liquidation has not facts regarding the importation into the this certification; • become final) for which these requirements Customs territory of the United States of the This certification was completed at or were not met and corrosion-resistant steel products produced prior to the time of Entry; and Æ the requirement that the importer post in Vietnam that entered under entry • I am aware that U.S. law (including, but { } applicable antidumping/antidumping duty number(s) INSERT ENTRY NUMBER(S) not limited to, 18 U.S.C. 1001) imposes (AD and/or CVD) cash deposits equal to the and are covered by this certification. ‘‘Direct criminal sanctions on individuals who rates as determined by Commerce; knowingly and willfully make materially personal knowledge’’ refers to facts the • This certification was completed at or false statements to the U.S. government. certifying party is expected to have in its own prior to the time of shipment; and records. For example, the importer should Signature • I am aware that U.S. law (including, but have ‘‘direct personal knowledge’’ of the lllllllllllllllllllll not limited to, 18 U.S.C. 1001) imposes importation of the product (e.g., the name of NAME OF COMPANY OFFICIAL criminal sanctions on individuals who the exporter) in its records; lllllllllllllllllllll • knowingly and willfully make materially I have personal knowledge of the facts TITLE false statements to the U.S. government. regarding the production of the imported products covered by this certification. Appendix IV Signature lllllllllllllllllllll ‘‘Personal knowledge’’ includes facts Exporter Certification obtained from another party, (e.g., Name of Company Official correspondence received by the importer (or I hereby certify that: lllllllllllllllllllll • My name is {INSERT COMPANY Title exporter) from the producer regarding the } source of the input used to produce the OFFICIAL’S NAME HERE and I am an lllllllllllllllllllll official of {INSERT NAME OF EXPORTING Date imported products); } • These corrosion-resistant steel products COMPANY ; [FR Doc. 2019–27814 Filed 12–23–19; 8:45 am] • I have direct personal knowledge of the produced in Vietnam do not contain hot- BILLING CODE 3510–DS–P rolled steel and/or cold-rolled steel substrate facts regarding the production and produced in Korea: exportation of the corrosion-resistant steel • I understand that {INSERT NAME OF products that were sold to the United States under invoice number(s) INSERT INVOICE DEPARTMENT OF COMMERCE IMPORTING COMPANY} is required to NUMBER(S). ‘‘Direct personal knowledge’’ maintain a copy of this certification and refers to facts the certifying party is expected International Trade Administration sufficient documentation supporting this to have in its own books and records. For certification (i.e., documents maintained in [A–580–887] example, an exporter should have ‘‘direct the normal course of business, or documents personal knowledge’’ of the producer’s obtained by the certifying party, for example, Carbon and Alloy Steel Cut-to-Length identity and location. mill certificates, productions records, • The {MERCHANDISE} covered this Plate From the Republic of Korea: invoices, etc.) for the later of (1) a period of certification was produced by {NAME OF Final Results and Final Determination five years from the date of entry or (2) a PRODUCING COMPANY}, located at of No Shipments of Antidumping Duty period of three years after the conclusion of {ADDRESS OF PRODUCING COMPANY}; Administrative Review; 2016–2018 any litigation in the United States courts for each additional company, repeat: {NAME regarding such entries; OF PRODUCING COMPANY}, located at AGENCY: Enforcement and Compliance, • I understand that {INSERT NAME OF { } } ADDRESS OF PRODUCING COMPANY . International Trade Administration, IMPORTING COMPANY is required to • These corrosion-resistant steel products U.S. Department of Commerce. provide this certification and supporting produced in Vietnam do not contain hot- SUMMARY: The Department of Commerce records, upon request, to U.S. Customs and rolled steel and/or cold-rolled steel substrate Border Protection (CBP) and/or the produced in Korea: (Commerce) is conducting an Department of Commerce (Commerce); • { administrative review of the • { I understand that INSERT NAME OF I understand that INSERT NAME OF EXPORTING COMPANY} is required to antidumping duty order on Carbon and } IMPORTING COMPANY is required to maintain a copy of this certification and Alloy Steel Cut-to-Length Plate from the maintain a copy of the exporter’s certification sufficient documentation supporting this Republic of Korea. The period of review for the later of (1) a period of five years from certification (i.e., documents maintained in (POR) is November 14, 2016 through the date of entry or (2) a period of three years the normal course of business, or documents after the conclusion of any litigation in April 30, 2018. The review covers obtained by the certifying party, for example, fourteen producer and/or exporters of United States courts regarding such entries; mill certificates, productions records, • { the subject merchandise, including I understand that INSERT NAME OF invoices, etc.) for the later of (1) a period of } IMPORTING COMPANY is required to five years from the date of entry or (2) a POSCO, POSCO Daewoo Corporation, maintain and provide a copy of the exporter’s period of three years after the conclusion of and POSCO Processing & Service Co., any litigation in the United States courts Ltd. (which are part of the POSCO 10 See China CORE Orders. regarding such entries; single entity), as well as eleven other
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companies not selected for individual 7211.19.6000, 7211.19.7590, Weighted- examination. We determine that U.S. 7211.90.0000, 7212.40.1000, average Exporter or producer dumping sales of subject merchandise by the 7212.40.5000, 7212.50.0000, margin POSCO single entity were made at 7214.10.000, 7214.30.0010, (percent) prices below normal value (NV). 7214.30.0080, 7214.91.0015, POSCO single entity 6 ...... 19.87 Additionally, two companies, Hyundai 7214.91.0060, 7214.91.0090, Review-Specific Average Rate Applica- Steel Corporation (Hyundai Steel) and 7225.11.0000, 7225.19.0000, ble to the Following Companies 7: Hyundai Glovis Co. Ltd. (Hyundai 7225.40.5110, 7225.40.5130, Buma Ce Co., Ltd ...... 19.87 Glovis), were found to have no 7225.40.5160, 7225.40.7000, Dong Yang Steel Pipe Co., Ltd ...... 19.87 Dongkuk Steel Mill Co., Ltd ...... 19.87 shipments during the POR. 7225.99.0010, 7225.99.0090, Expeditors Korea Ltd ...... 19.87 DATES: Applicable December 26, 2019. 7206.11.1000, 7226.11.9060, Haem Co., Ltd ...... 19.87 J.I. Sea & Air Express Co., Ltd ...... 19.87 FOR FURTHER INFORMATION CONTACT: 7229.19.1000, 7226.19.9000, 7226.91.0500, 7226.91.1530, Maxpeed Co., Ltd ...... 19.87 Michael Bowen or William Horn, AD/ Ramses Logistics Co., Ltd ...... 19.87 CVD Operations, Office VIII, 7226.91.1560, 7226.91.2530, Sumitomo Corp. Korea Ltd ...... 19.87 Enforcement and Compliance, 7226.91.2560, 7226.91.7000, International Trade Administration, 7226.91.8000, and 7226.99.0180. The Assessment Rates U.S. Department of Commerce, 1401 HTSUS subheadings are provided for convenience and customs purposes Commerce has determined, and U.S. Constitution Avenue NW, Washington, only; the written product description of Customs and Border Protection (CBP) DC 20230; telephone (202) 482–0768 or the scope of the Order is dispositive. For shall assess, antidumping duties on all (202) 482–4868, respectively. a complete description of the scope of appropriate entries of subject SUPPLEMENTARY INFORMATION: the Order, see the Preliminary Results.4 merchandise in accordance with these 8 Background 1 final results of review. Analysis of Comments Received Pursuant to 19 CFR 351.212(b)(1), Commerce published the Preliminary In the Issues and Decision where the POSCO single entity reported 2 Results on July 11, 2019. For events Memorandum, we addressed all issues the entered value of its U.S. sales, we subsequent to the Preliminary Results, raised in the interested parties’ case and calculated importer-specific ad valorem see Commerce’s Issues and Decision rebuttal briefs. In the Appendix to this antidumping duty assessment rates Memorandum.3 notice, we provide a list of the issues based on the ratio of the total amount of Scope of the Order raised by the parties. The Issues and dumping calculated for the importer’s Decision Memorandum is a public examined sales to the total entered The merchandise subject to the Order document and is on-file electronically value of such sales. Where the POSCO is Carbon and Alloy Steel Cut-to-Length via Enforcement and Compliance’s single entity did not report the entered Plate. The product is currently classified Antidumping and Countervailing Duty value of its U.S. sales, we calculated under the Harmonized Tariff Schedule Centralized Electronic Service System importer-specific assessment rates based of the United States (HTSUS) (ACCESS). ACCESS is available to on the ratio of the total amount of subheadings 7208.40.3030, registered users at https:// dumping calculated for the importer’s 7208.40.3060, 7208.51.0030, access.trade.gov, and ACCESS is examined sales and the total quantity of 7208.51.0045, 7208.51.0060, available to all parties in the Central those sales, in accordance with 19 CFR 7208.52.0000, 7211.13.0000, Records Unit (CRU), Room B8024 of the 351.212(b)(1). Where we calculated a 7211.14.0030, 7211.14.0045, main Commerce building. In addition, a per-unit assessment rate, we also 7225.40.1110, 7225.40.1180, complete version of the Issues and calculated an ad valorem importer- 7225.40.3005, 7225.40.3050, Decision Memorandum can be accessed specific assessment rate based on 7226.20.0000, and 7226.91.5000. directly on the internet at http:// estimated entered values with which to The products subject to the enforcement.trade.gov/frn/index.html. assess whether the per-unit assessment investigations may also enter under the The signed Issues and Decision rate is de minimis. We will instruct CBP following HTSUS item numbers: Memorandum and the electronic to assess antidumping duties on all 7208.40.6060, 7208.53.0000, versions of the Issues and Decision appropriate entries covered by this 7208.90.0000, 7210.70.3000, Memorandum are identical in content. review when the importer-specific ad 7210.90.9000, 7211.19.1500, Final Determination of No Shipments valorem assessment rate calculation in 7211.19.2000, 7211.19.4500, the final results of this review is not In the Preliminary Results we zero or de minimis (i.e., less than 0.5 1 See Certain Carbon and Alloy Steel Cut-To- erroneously determined a weighted- percent). Where either the respondent’s Length Plate From Austria, Belgium, France, the average dumping margin for Hyundai Federal Republic of Germany, Italy, Japan, the Republic of Korea, and Taiwan: Amended Final Steel and Hyundai Glovis based on the 6 Commerce has determined that POSCO, POSCO Affirmative Antidumping Determinations for rate determined for POSCO. In these Daewoo Corporation, POSCO Processing and France, the Federal Republic of Germany, the final results we find that Hyundai Steel Service Co., Ltd., Taechang Steel Co., Ltd., Winsteel Republic of Korea and Taiwan, and Antidumping and Hyundai Glovis made no shipments Co., Ltd, Moonbae Steel Co., Ltd., Dae Dong Steel Duty Orders, 82 FR 24096 (May 25, 2017) (Order). during the POR.5 Co., Ltd, SPFC Co., Ltd., Steel Flower Co., Ltd., TC– 2 See Carbon and Alloy Steel Cut-to-Length Plate TECH, Shinjin Esco Co., Ltd., POSCO Plantec., Ltd., from the Republic of Korea: Preliminary Results of Final Results of the Review POSCO Engineering and Construction Co., Ltd., Hi Antidumping Duty Review; 2016–2018, 84 FR 34119 Steel Co., Ltd., Miju Steel, POSCO Eng., and Shilla (July 17, 2019) (Preliminary Results), and the As a result of this review, we Steel Co., Ltd. are affiliated pursuant to section accompanying Preliminary Decision Memorandum determine the following weighted- 771(33)(E) of the Act, and further that these (PDM). average dumping margins exist for the companies should be treated as a single entity 3 See Memorandum, ‘‘Issues and Decision (collectively, POSCO single entity) pursuant to 19 Memorandum for the Final Results in the 2016– POR: CFR 351.401(f). See Issues and Decision 2018 Antidumping Duty Administrative Review of Memorandum at Comment 1. Carbon and Alloy Steel Cut-to-Length Plate from the 4 See Preliminary Results, and the accompanying 7 This rate is based on the rate for the sole Republic of Korea,’’ dated concurrently with, and PDM at 3–7. respondent that was selected for individual review. hereby adopted by, this notice (Issues and Decision 5 See Issues and Decision Memorandum at See section 735(c)(5)(A) of the Act. Memorandum). Comment 11. 8 See 19 CFR 351.212(b).
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weight-averaged dumping margin is for the producer of the merchandise; Comment 4: CEP Offset zero or de minimis, or an importer- and (4) the cash deposit rate for all other Comment 5: Sales to Affiliated Parties specific ad valorem assessment rate is producers or exporters will continue to Comment 6: Miscellaneous Income Offset zero or de minimis,9 we will instruct be 7.10 percent ad valorem, the all- to General and Administrative Expenses CBP to liquidate the appropriate entries others rate established in the LTFV Comment 7: Purchases from Affiliated 12 Suppliers without regard to antidumping duties. investigation. Comment 8: Costs Related to Greenhouse We intend to instruct CBP to take into These cash deposit requirements, Gases account the ‘‘provisional measures when imposed, shall remain in effect Comment 9: Cost Averaging Adjustments deposit cap,’’ in accordance with 19 until further notice. Comment 10: Revaluation of Defective CFR 351.212(d). Notification to Importers Regarding the Slabs For each company that was not Comment 11: Hyundai’s No Shipment selected for individual examination, we Reimbursement of Duties Claims will instruct CBP to assess antidumping This notice also serves as a final V. Recommendation duties at a rate equal to the weighted- reminder to importers of their [FR Doc. 2019–27807 Filed 12–23–19; 8:45 am] average dumping margin determined for responsibility under 19 CFR BILLING CODE 3510–DS–P that company in the final results of this 351.402(f)(2) to file a certificate review. regarding the reimbursement of For each company which we antidumping duties prior to liquidation DEPARTMENT OF COMMERCE determined had ‘‘no shipments’’ of the of the relevant entries during the POR. subject merchandise during the POR Failure to comply with this requirement National Oceanic and Atmospheric (i.e., Hyundai Steel and Hyundai could result in Commerce’s Administration Glovis), we will instruct CBP to presumption that reimbursement of [RTID 0648–XV159] liquidate all POR entries associated with antidumping duties occurred and the these companies at the all-others rate subsequent assessment of double Fisheries of the South Atlantic; (i.e., 7.10 percent) 10 established in the antidumping duties. Southeast Data, Assessment, and less-than-fair-value (LTFV) investigation Notification Regarding Administrative Review (SEDAR); Public Meeting if there is no rate for the intermediate Protective Order company(ies) involved in the AGENCY: National Marine Fisheries transaction, consistent with Commerce’s This notice also serves as a reminder Service (NMFS), National Oceanic and reseller policy.11 We intend to issue to parties subject to administrative Atmospheric Administration (NOAA), instructions to CBP 15 days after the protective orders (APO) of their Commerce. date of publication of the final results of responsibility concerning the return or ACTION: Notice of scheduled SEDAR 60 this review. destruction of proprietary information South Atlantic Red Porgy Assessment disclosed under APO in accordance Webinar II. Cash Deposit Requirements with 19 CFR 351.305(a)(3), which The following deposit requirements continues to govern business SUMMARY: The SEDAR 60 assessment of will be effective for all shipments of the proprietary information in this segment the South Atlantic stock of Red Porgy subject merchandise entered, or of the proceeding. Timely written will consist of a data webinar, an in- withdrawn from warehouse, for notification of the return/destruction of person workshop, and a series consumption on or after the publication APO materials, or conversion to judicial assessment webinars. date of the final results of this protective order, is hereby requested. DATES: The SEDAR 60 Red Porgy administrative review, as provided by Failure to comply with the regulations Assessment Webinar II has been section 751(a)(2)(C) of the Act: (1) The and the terms of an APO is a scheduled for Monday, February 6, cash deposit rate for each company sanctionable violation. 2020, from 9 a.m. to 12 p.m., EST. listed above will be equal to the ADDRESSES: weighted-average dumping margin Notification to Interested Parties Meeting address: The meeting will be established for that company in the final We are issuing and publishing this held via webinar. The webinar is open results of this administrative review; (2) notice in accordance with sections to members of the public. Registration is for merchandise exported by a producer 751(a)(1) and 777(i)(1) of the Act and 19 available online at: https:// or exporter not covered in this review CFR 351.221(b)(5). attendee.gotowebinar.com/register/ but covered in a prior segment of the Dated: December 16, 2019. 8550228332194135564. proceeding, the cash deposit rate will Jeffrey I. Kessler, SEDAR address: South Atlantic continue to be the company-specific rate Assistant Secretary for Enforcement and Fishery Management Council, 4055 published for the most recently Compliance. Faber Place Drive, Suite 201, N completed segment of this proceeding in Charleston, SC 29405; which the producer or exporter Appendix www.sedarweb.org. participated; (3) if the exporter is not a List of Topics Discussed in the Issues and firm covered in this review, a prior Decision Memorandum FOR FURTHER INFORMATION CONTACT: review, or the original LTFV I. Summary Kathleen Howington, SEDAR investigation, but the producer is, then II. Background Coordinator, 4055 Faber Place Drive, the cash deposit rate will be the rate III. Changes from the Preliminary Results Suite 201, North Charleston, SC 29405; established for the most recently IV. Discussion of the Issues phone: (843) 571–4366; email: completed segment of the proceeding Comment 1: Collapsing POSCO with [email protected]. Certain Affiliated Companies SUPPLEMENTARY INFORMATION: Comment 2: Treatment of Collapsed The Gulf 9 See 19 CFR 351.106(c)(2). Company Names of Mexico, South Atlantic, and 10 See Order, 84 FR at 24098. Comment 3: Double-Counting of Freight Caribbean Fishery Management 11 For a full discussion of this practice, see Antidumping and Countervailing Duty Proceedings: Revenue Councils, in conjunction with NOAA Assessment of Antidumping Duties, 68 FR 23954 Fisheries and the Atlantic and Gulf (May 6, 2003). 12 See Order, 84 FR at 24098. States Marine Fisheries Commissions,
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have implemented the Southeast Data, office (see ADDRESSES) at least 5 room under any applicable trap cap. Assessment and Review (SEDAR) business days prior to the meeting. This information allows NMFS to process, a multi-step method for Note: The times and sequence process and track transfers of lobster determining the status of fish stocks in specified in this agenda are subject to trap allocations through the Trap the Southeast Region. SEDAR is a three- change. Transfer Program, and better enables the step process including: (1) Data Authority: 16 U.S.C. 1801 et seq. monitoring and management of the Workshop; (2) Assessment Process American lobster fishery as a whole. utilizing webinars; and (3) Review Dated: December 19, 2019. Affected Public: Businesses or other Workshop. The product of the Data Tracey L. Thompson, for-profit organizations; Individuals or Workshop is a data report which Acting Deputy Director, Office of Sustainable households; Federal government; and compiles and evaluates potential Fisheries, National Marine Fisheries Service. State, Local, or Tribal government. datasets and recommends which [FR Doc. 2019–27812 Filed 12–23–19; 8:45 am] Frequency: Once per transaction. datasets are appropriate for assessment BILLING CODE 3510–22–P Respondent’s Obligation: Required to analyses. The product of the Assessment obtain or retain benefits. Process is a stock assessment report This information collection request which describes the fisheries, evaluates DEPARTMENT OF COMMERCE may be viewed at reginfo.gov. Follow the status of the stock, estimates the instructions to view Department of biological benchmarks, projects future National Oceanic and Atmospheric Commerce collections currently under population conditions, and recommends Administration review by OMB. research and monitoring needs. The Written comments and Submission for OMB Review; recommendations for the proposed assessment is independently peer Comment Request reviewed at the Review Workshop. The information collection should be sent product of the Review Workshop is a The Department of Commerce will within 30 days of publication of this Summary documenting panel opinions submit to the Office of Management and notice to OIRA_Submission@ regarding the strengths and weaknesses Budget (OMB) for clearance the omb.eop.gov or fax to (202) 395–5806. of the stock assessment and input data. following proposal for collection of Sheleen Dumas, Participants for SEDAR Workshops are information under the provisions of the Department PRA Clearance Officer, Office of appointed by the Gulf of Mexico, South Paperwork Reduction Act (44 U.S.C. the Chief Information Officer, Commerce Atlantic, and Caribbean Fishery Chapter 35). Department. Management Councils and NOAA Agency: National Oceanic and [FR Doc. 2019–27743 Filed 12–23–19; 8:45 am] Fisheries Southeast Regional Office, Atmospheric Administration (NOAA). BILLING CODE 3510–22–P Highly Migratory Species Management Title: American Lobster—Annual Division, and Southeast Fisheries Trap Transfer Program. Science Center. Participants include: OMB Control Number: 0648–0673. DEPARTMENT OF COMMERCE Data collectors and database managers; Form Number(s): None. stock assessment scientists, biologists, Type of Request: Regular. National Oceanic and Atmospheric and researchers; constituency Number of Respondents: 102. Administration Average Hours Per Response: 10 representatives including fishermen, [RTID 0648–XV153] environmentalists, and non- minutes. Burden Hours: 17. governmental organizations (NGOs); Needs and Uses: NOAA’s National Pacific Fishery Management Council; international experts; and staff of Marine Fisheries Service (NMFS) Public Meetings and Hearings Councils, Commissions, and state and collects annual application forms from federal agencies. AGENCY: National Marine Fisheries The items of discussion at the SEDAR lobster permit holders who wish to buy Service (NMFS), National Oceanic and 60 Red Porgy Assessment webinar II are and/or sell Area 2, 3, or Outer Cape Atmospheric Administration (NOAA), as follows: Area trap allocation through the Trap Commerce. • Finalize modelling discussion. Transfer Program. The transfer ACTION: Notice of availability of reports; • Review projection results and applications are only accepted during a public meetings, and hearings. address the terms of reference. 2-month period (from August 1 through Although non-emergency issues not September 30) each year, and the SUMMARY: The Pacific Fishery contained in this agenda may come revised allocations for each Management Council (Pacific Council) before this group for discussion, those participating lobster permit resulting has begun its annual preseason issues may not be the subject of formal from the transfers become effective at management process for the 2020 ocean action during this meeting. Action will the start of the following Federal lobster salmon fisheries. This document be restricted to those issues specifically fishing year on May 1. Both the seller announces the availability of Pacific identified in this notice and any issues and buyer of the traps are required to Council documents, as well as the dates arising after publication of this notice sign the application form, which and locations of upcoming Pacific that require emergency action under includes each permit holder’s permit Council meetings and public hearings section 305(c) of the Magnuson-Stevens and vessel information, the number of hosted by the Pacific Council. These Fishery Conservation and Management traps sold, and the revised number of documents and events comprise the Act, provided the public has been traps received by the buyer, inclusive of Pacific Council’s complete schedule for notified of the intent to take final action the amount removed according to the determining the annual proposed and to address the emergency. transfer tax. Both parties must sign the final modifications to ocean salmon form as an agreement to the number of fishery management measures. The Special Accommodations traps in the transfer. The parties must agendas for the March and April 2020 This meeting is accessible to people date the document and show that the Pacific Council meetings will be with disabilities. Requests for auxiliary transferring permit holder has sufficient published in subsequent Federal aids should be directed to the South allocation to transfer and the permit Register documents prior to the actual Atlantic Fishery Management Council holder receiving the traps has sufficient meetings.
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DATES: Written comments on the salmon April 16, 2020: ‘‘Preseason Report Eureka, CA 95501, telephone: (707) management alternatives must be III—Council-Adopted Management 445–0844. received by 5 p.m. Pacific Standard Measures and Environmental Although non-emergency issues not Time, March 27, 2020. Assessment Part 3 for 2020 Ocean contained in the STT meeting agendas ADDRESSES: Documents will be available Salmon Fishery Regulations’’ is may come before the STT for from the Pacific Fishery Management scheduled to be posted on the Pacific discussion, those issues may not be the Council, 7700 NE Ambassador Place, Council website at http:// subject of formal STT action during Suite 101, Portland, OR 97220–1384; www.pcouncil.org. these meetings. STT action will be telephone: (503) 820–2280 (voice) or May 1, 2020: Federal regulations for restricted to those issues specifically (503) 820–2299 (fax). Written comments 2020 ocean salmon regulations are listed in this document and to any should be sent electronically to Mr. Phil published in the Federal Register and issues arising after publication of this Anderson, Chair, Pacific Fishery implemented. document requiring emergency action under Section 305(c) of the Magnuson- Management Council, via the Pacific Meetings and Hearings Council’s E-Portal by visiting https:// Stevens Fishery Conservation and pfmc.psmfc.org. Comments can also be January 21–24, 2020: The Salmon Management Act, provided the public submitted through the Federal Technical Team (STT) will meet at the has been notified of the STT’s intent to Rulemaking E-Portal: http:// Pacific Council office in a public work take final action to address the www.regulations.gov. Follow the session to draft ‘‘Review of 2019 Ocean emergency. Salmon Fisheries, Stock Assessment instructions for submitting comments, Special Accommodations and include the I.D. number in the and Fishery Evaluation Document for subject line of the message. If you are the Pacific Coast Salmon Fishery These public meetings and hearings unable to access either E-Portal, written Management Plan’’ and to consider any are physically accessible to people with comments may be mailed to Mr. Phil other estimation or methodology issues disabilities. Requests for sign language Anderson at the Pacific Fishery pertinent to the 2020 ocean salmon interpretation or other auxiliary aids Management Council office address fisheries. The STT may also discuss should be directed to Mr. Kris stated above. Written comments will additional topics and work as time Kleinschmidt at (503) 820–2280 (voice), then be entered into the Pacific allows, including but not limited to the or (503) 820–2299 (fax) at least ten days Council’s E-Portal by Council staff. For Fishery Management Plan Amendment prior to the meeting date. specific meeting and hearing locations, 20, the methodology review on Willapa Authority: 16 U.S.C. 1801 et seq. see SUPPLEMENTARY INFORMATION. Bay coho abundance forecasts, and Klamath Dam removal. Dated: December 19, 2019. Council address: Pacific Fishery Tracey L. Thompson, Management Council, 7700 NE February 18–21, 2020: The STT will meet at the Pacific Council office in a Acting Deputy Director, Office of Sustainable Ambassador Place, Suite 101, Portland, Fisheries, National Marine Fisheries Service. OR 97220. public work session to draft ‘‘Preseason Report I—Stock Abundance Analysis [FR Doc. 2019–27810 Filed 12–23–19; 8:45 am] FOR FURTHER INFORMATION CONTACT: Ms. and Environmental Assessment Part 1 BILLING CODE 3510–22–P Robin Ehlke, telephone: (503) 820–2280. for 2020 Ocean Salmon Fishery SUPPLEMENTARY INFORMATION: Regulations’’ and to consider any other estimation or methodology issues DEPARTMENT OF COMMERCE Tentative Schedule for Document pertinent to the 2020 ocean salmon Completion and Availability National Oceanic and Atmospheric fisheries. The STT may also discuss Administration February 14, 2020: ‘‘Review of 2019 additional topics as time allows, Ocean Salmon Fisheries, Stock including but not limited to the Fishery Submission for OMB Review; Assessment and Fishery Evaluation Management Plan Amendment 20, the Comment Request Document for the Pacific Coast Salmon methodology review on Willapa Bay Fishery Management Plan’’ is scheduled coho abundance forecasts, and Klamath The Department of Commerce will to be posted on the Pacific Council Dam removal. submit to the Office of Management and website at http://www.pcouncil.org. March 23–24, 2020: Public hearings Budget (OMB) for clearance the February 28, 2020: ‘‘Preseason Report will be held to receive comments on the following proposal for collection of I—Stock Abundance Analysis and proposed ocean salmon fishery information under the provisions of the Environmental Assessment Part 1 for management alternatives adopted by the Paperwork Reduction Act (44 U.S.C. 2020 Ocean Salmon Fishery Pacific Council. Written comments Chapter 35). Regulations’’ is scheduled to be posted received at the public hearings and a Agency: National Oceanic and on the Pacific Council website at http:// summary of oral comments heard at the Atmospheric Administration (NOAA). www.pcouncil.org. hearings will be provided to the Pacific Title: Papaha¯naumokua¯kea Marine March 20, 2020: ‘‘Preseason Report Council at its April meeting. National Monument Permit Application II—Proposed Alternatives and All public hearings begin at 7 p.m. on and Reports for Permits. Environmental Assessment Part 2 for the dates and locations specified below: OMB Control Number: 0648–0548. 2020 Ocean Salmon Fishery March 23, 2020: Chateau Westport, Form Number(s): None. Regulations’’. The report will include a Beach Room, 710 West Hancock, Type of Request: Regular. description of the adopted salmon Westport, WA 98595, telephone: (360) Number of Respondents: 411. management alternatives and a 268–9101. Average Hours per Response: summary of their biological and March 23, 2020: Red Lion Hotel, Research, Conservation and economic impacts. The public hearings South Umpqua Room, 1313 North Management and Education (‘‘general’’ schedule will also be included on the Bayshore Drive, Coos Bay, OR 97420, permits), 5 hours; Special Ocean Use inside cover of the report and will be telephone: (541) 267–4141. permits, 10 hours; Native Hawaiian posted on the Pacific Council website at March 24, 2020: Red Lion Hotel, Practices permits, 8 hours; Recreation http://www.pcouncil.org. Redwood Ballroom, 1929 4th Street, permits, 6 hours; permit amendment
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requests and final reports, 10 hours; and assist in evaluating the appropriateness SUPPLEMENTARY INFORMATION: The annual reports, 5 hours. of the permitted activity. webinar meeting will begin at 10 a.m. Burden Hours: 1,343. Affected Public: Individuals, non- Registration information will be posted Needs and Uses: President Bush profit institutions; Federal, State, local, on the Council’s website at https:// established the Papaha¯naumokua¯kea government, Native Hawaiian safmc.net/safmc-meetings/current- Marine National Monument organizations; business or other for- advisory-panel-meetings/ as it becomes (Monument) by issuing Presidential profit organizations. available. Frequency: Permittees are required to Proclamation 8031 (Proclamation) on Amendment 11 to the Shrimp Fishery June 15, 2006, (71 FR 36443, June 26, submit a summary report due 30 days after the expiration of their permit; and Management Plan for the South 2006) under the authority of the Atlantic Region Antiquities Act (Act) (16 U.S.C. 431). an annual report due by 12/31 for each The Proclamation reserves all lands and year their permit is active. The draft regulatory amendment interests in lands owned or controlled Respondent’s Obligation: Required to addresses transit provisions for shrimp by the Government of the United States retain benefits. vessels through federal waters that are in the Northwestern Hawaiian Islands This information collection request closed to shrimp harvest due to cold (NWHI), including emergent and may be viewed at reginfo.gov. Follow weather. Advisory panel members will submerged lands and waters, out to a the instructions to view Department of receive an overview of the amendment distance of approximately 50 nautical Commerce collections currently under from Council staff, discuss, and provide miles (nmi) from the islands. The review by OMB. recommendations as appropriate. Written comments and boundaries of the Monument as Special Accommodations described in Presidential Proclamation recommendations for the proposed The meeting is physically accessible 8031 are 100 miles wide and extend information collection should be sent to people with disabilities. Requests for approximately 1200 miles around coral within 30 days of publication of this _ auxiliary aids should be directed to the islands, seamounts, banks, and shoals. notice to OIRA Submission@ Council office (see ADDRESSES) 5 days The area includes the Northwestern omb.eop.gov or fax to (202) 395–5806. prior to the public meeting. Hawaiian Islands Coral Reef Ecosystem Sheleen Dumas, Note: The times and sequence Reserve, the Midway Atoll National Department PRA Clearance Officer, Office of specified in this agenda are subject to Wildlife Refuge, the Hawaiian Islands the Chief Information Officer, Commerce change. National Wildlife Refuge, and the Battle Department. Authority: 16 U.S.C. 1801 et seq. of Midway National Memorial. [FR Doc. 2019–27738 Filed 12–23–19; 8:45 am] The Proclamation includes BILLING CODE 3510–NK–P Dated: December 19, 2019. restrictions and prohibitions regarding Tracey L. Thompson, activities in the Monument consistent Acting Deputy Director, Office of Sustainable with the authority provided by the Act. DEPARTMENT OF COMMERCE Fisheries, National Marine Fisheries Service. The Proclamation prohibits access to the [FR Doc. 2019–27811 Filed 12–23–19; 8:45 am] Monument except when passing National Oceanic and Atmospheric BILLING CODE 3510–22–P through the Monument without Administration interruption or as allowed under a [RTID 0648–XV158] permit issued by the agencies. Vessels DEPARTMENT OF COMMERCE passing through the Monument without South Atlantic Fishery Management interruption are required to notify the Council; Public Meeting National Oceanic and Atmospheric agencies upon entering into and leaving Administration the Monument. Individuals wishing to AGENCY: National Marine Fisheries Proposed Information Collection; access the Monument to conduct certain Service (NMFS), National Oceanic and Comment Request; Chesapeake Bay regulated activities must first apply for Atmospheric Administration (NOAA), Watershed Environmental Literacy and be granted a permit issued by the Commerce. Indicator Tool agencies pursuant to the Proclamation. ACTION: Notice of a joint advisory panel Applicants must also certify compliance meeting. AGENCY: National Oceanic and with certain vessel monitoring system Atmospheric Administration (NOAA), SUMMARY: The South Atlantic Fishery requirements. Commerce. Management Council (Council) will The information submitted in permit hold a joint meeting of its Law ACTION: Notice. applications will, in general, only be Enforcement Advisory Panel, Deepwater used at the time the application is SUMMARY: The Department of Shrimp Advisory Panel, and Shrimp submitted to make a final decision on Commerce, as part of its continuing Advisory Panel via webinar to discuss the application. Some of the information effort to reduce paperwork and proposed management action in Shrimp may also be used subsequent to the respondent burden, invites the general Amendment 11. initial decision making to inform public and other Federal agencies to management actions or decision DATES: The webinar meeting will be comment on proposed and/or making. For example, a survey of a held on January 17, 2020, at 10 a.m. continuing information collections, as project location by one permit applicant ADDRESSES: Council address: South required by the Paperwork Reduction may be used by the agencies in the Atlantic Fishery Management Council, Act of 1995. future to respond to a vessel grounding 4055 Faber Place Drive, Suite 201, N DATES: To ensure consideration, written in the same area in addition to Charleston, SC 29405. or on-line comments must be submitted facilitating the agencies’ decision on FOR FURTHER INFORMATION CONTACT: Kim on or before February 24, 2020. that application. Information submitted Iverson, Public Information Officer, ADDRESSES: Direct all written comments in a report will be used to periodically SAFMC; phone: (843) 571–4366 or toll to Adrienne Thomas, PRA Officer, assess the permittee’s compliance with free (866) SAFMC–10; fax: (843) 769– NOAA, 151 Patton Avenue, Room 159, permit terms and conditions and to 4520; email: [email protected]. Asheville, NC 28801 (or via the internet
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at [email protected]). All complete this survey once every two whether the information shall have comments received are part of the years. practical utility; (b) the accuracy of the public record. Comments will generally In addition to monitoring progress on agency’s estimate of the burden be posted without change. All the environmental literacy goal of the (including hours and cost) of the Personally Identifiable Information (for Chesapeake Bay Watershed Agreement, proposed collection of information; (c) example, name and address) voluntarily the information collected will inform ways to enhance the quality, utility, and submitted by the commenter may be several Chesapeake Bay Program partner clarity of the information to be publicly accessible. Do not submit agencies’ work to support the school collected; and (d) ways to minimize the Confidential Business Information or districts’ environmental literacy burden of the collection of information otherwise sensitive or protected education efforts. on respondents, including through the information. The results of the biennial ELIT use of automated collection techniques survey will be analyzed and reported to or other forms of information FOR FURTHER INFORMATION CONTACT: the internal stakeholders of the technology. Requests for additional information or Chesapeake Bay Watershed Agreement. Comments submitted in response to copies of the information collection Participating states will receive a this notice will be summarized and/or instrument and instructions should be summarized report of findings for the included in the request for OMB directed to Shannon Sprague, NOAA full watershed, a summary of findings approval of this information collection; Chesapeake Bay Office, 410 Severn for their state, and comparisons of they also will become a matter of public Avenue, Suite 207, Annapolis, MD results between states. These aggregated record. 21403, 410–267–5664 or results will be used by the state agencies [email protected]. to understand progress of their school Sheleen Dumas, SUPPLEMENTARY INFORMATION: districts over time, and to inform Department PRA Clearance Officer, Office of decision-making about strategies and the Chief Information Officer, Commerce I. Abstract Department. priorities for future work with school [FR Doc. 2019–27745 Filed 12–23–19; 8:45 am] The Chesapeake Bay Watershed districts. Environmental Literacy Indicator Tool The biennial reporting will also be BILLING CODE 3510–22–P (ELIT) was developed to monitor public used by the Chesapeake Bay Program to understand progress of school districts school districts’ capacity and progress DEPARTMENT OF COMMERCE towards meeting the environmental in the watershed, understand literacy goal of the 2014 Chesapeake Bay differences between jurisdictions, and National Oceanic and Atmospheric Watershed Agreement (http:// guide strategy for providing targeted Administration www.chesapeakebay.net/documents/ support in each state. ChesapeakeBayWatershedAgreemenet State agencies and other stakeholders Submission for OMB Review; FINAL.pdf): ‘‘Enable every student in will also have access to the responses of Comment Request the region to graduate with the each public school district, which they The Department of Commerce will knowledge and skills to act responsibly will use to customize outreach and submit to the Office of Management and to protect and restore their local support to a particular school district, Budget (OMB) for clearance the watershed.’’ The signatories of the based on their status and needs. following proposal for collection of Agreement included the mayor of the II. Method of Collection information under the provisions of the District of Columbia and the governors Paperwork Reduction Act (44 U.S.C. of the states of Delaware, Maryland, Respondents will submit their Chapter 35). New York, Pennsylvania, Virginia, and information electronically on web-based Agency: National Oceanic and West Virginia. The general statutory survey forms. Atmospheric Administration (NOAA). authority for this program is the III. Data Title: Estuary Habitat Restoration National Environmental Policy Act, 42 OMB Control Number: 0648–0753. Program Inventory. U.S.C. 4321 et seq. Form Number(s): None. OMB Control Number: 0648–0479. NOAA, on behalf of the Chesapeake Type of Review: Regular submission Form Number(s): None. Bay Program, will ask the state (extension of a current information Type of Request: Regular (extension of education agencies for Maryland, collection). a currently approved collection). Pennsylvania, Delaware, Virginia, West Affected Public: State, Local, or Tribal Number of Respondents: 6. Virginia, and the District of Columbia to government (local education agencies); Average Hours per Response: 4 hours survey their local education agencies Not-for-profit organizations (charter for each new project; 2 hours for (LEAs) to determine: (1) LEA capacity to schools). updates. implement a comprehensive and Estimated Number of Respondents: Burden Hours: 18. systematic approach to environmental 983. Needs and Uses: The Estuary literacy education, (2) student Estimated Time per Response: 1.5 Restoration Act (ERA) of 2000 (Act) was participation in Meaningful Watershed hours. signed into law in November 2000 and Educational Experiences during the Estimated Total Annual Burden makes restoring our nation’s estuaries a school year, (3) sustainability practices Hours: 1,106. national priority by leveraging limited at schools, and (4) LEA needs for Estimated Total Annual Cost to federal resources with state, local, and improving environmental literacy Public: $0 in recordkeeping/reporting private funding. As part of the Act, the education programming. LEAs costs. National Oceanic and Atmospheric (generally school districts, in some cases Administration (NOAA) is required to charter school administration) are asked IV. Request for Comments develop and maintain a database of to complete the survey on the status of Comments are invited on: (a) Whether estuary restoration projects. The their LEA on a set of key indicators for the proposed collection of information purpose of the database is to provide the four areas listed above. One is necessary for the proper performance information to improve restoration individual from each LEA is asked to of the functions of the agency, including methods, provide information for
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reports transmitted to Congress (Section FOR FURTHER INFORMATION CONTACT: Kim DEPARTMENT OF COMMERCE 108(b)), and track the acres of habitat Iverson, Public Information Officer, restored. Project information collected SAFMC; phone: (843) 571–4366 or toll National Oceanic and Atmospheric and maintained is made available to the free (866) SAFMC–10; fax: (843) 769– Administration public through project summaries. The 4520; email: [email protected]. RIN 0648–XR080 database contains project information for projects funded through the ERA SUPPLEMENTARY INFORMATION: The Endangered and Threatened Species; that meet quality control requirements public hearings will be conducted via Notice of Initiation of a 5-Year Review and data standards established under webinar, accessible via the internet from of Northwest Atlantic Ocean and Seven the Act. This information collection is a the Council’s website at https:// Foreign Distinct Population Segments requirement only for those parties safmc.net/safmc-meetings/public- of Loggerhead Sea Turtle receiving ERA funds. hearings-scoping-meetings/. The public Affected Public: Not-for-Profit hearings will begin at 6 p.m. AGENCY: National Marine Fisheries Institutions, and State, Local, or Tribal Registration for the webinars is Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Government. required. Registration information will Commerce, and Fish and Wildlife Frequency: Annual. be posted on the Council’s website as it Respondent’s Obligation: Mandatory. Service (USFWS), Interior. becomes available. Public comments This information collection request ACTION: Notice of initiation of 5-year must be received by 5 p.m. on February may be viewed at reginfo.gov. Follow review; request for information. the instructions to view Department of 7, 2020. SUMMARY: NMFS and USFWS announce Commerce collections currently under Framework Amendment 9 to the the initiation of a 5-year review for the review by OMB. Coastal Migratory Pelagics FMP Written comments and following distinct population segments recommendations for the proposed The draft amendment currently (DPS) of loggerhead sea turtle (Caretta information collection should be sent addresses commercial Spanish mackerel caretta): The Mediterranean Sea DPS, within 30 days of publication of this trip limits in the Atlantic Northern Zone the Northeast Atlantic Ocean DPS, the _ notice to OIRA Submission@ (New York/Connecticut/Rhode Island North Indian Ocean DPS, the South Pacific Ocean DPS, the Northwest omb.eop.gov or fax to (202) 395–5806. line to the North Carolina/South Atlantic Ocean DPS, the South Atlantic Carolina line). Stakeholders have Sheleen Dumas, Ocean DPS, the Southeast Indo-Pacific expressed concern about closures to Department PRA Clearance Officer, Office of Ocean DPS, and the Southwest Indian the Chief Information Officer, Commerce commercial Spanish mackerel harvest in Ocean DPS. NMFS and USFWS are Department. federal waters off the Atlantic Northern required by the Endangered Species Act [FR Doc. 2019–27735 Filed 12–23–19; 8:45 am] Zone. Framework Amendment 9 (ESA) to conduct 5-year reviews to BILLING CODE 3510–22–P proposes a trip limit reduction in the ensure that the listing classifications of Northern Zone to help extend the species are accurate. The 5-year review commercial Spanish mackerel season in must be based on the best scientific and DEPARTMENT OF COMMERCE federal waters. commercial data available at the time of National Oceanic and Atmospheric During the public hearings, Council the review. We request submission of Administration staff will present an overview of the any such information on these amendment and will be available for loggerhead DPSs, particularly [RTID 0648–XV152] informal discussions and to answer information on the status, threats, and recovery of the DPSs that has become South Atlantic Fishery Management questions via webinar. Members of the available since their listing on Council; Public Hearings public will have an opportunity to go on record to record their comments for September 22, 2011 (76 FR 58868). AGENCY: National Marine Fisheries consideration by the Council. DATES: To allow us adequate time to Service (NMFS), National Oceanic and conduct this review, we must receive Atmospheric Administration (NOAA), Special Accommodations your information no later than February Commerce. 24, 2020. These meetings are physically ACTION: Notice of public hearings. ADDRESSES: You may submit accessible to people with disabilities. information on this document, SUMMARY: The South Atlantic Fishery Requests for auxiliary aids should be identified by NOAA–NMFS–2019–0150, Management Council (Council) will directed to the council office (see by either of the following methods: hold a series of public hearings via ADDRESSES) 3 days prior to the meeting. • Electronic Submission: Submit webinar pertaining to Framework Authority: 16 U.S.C. 1801 et seq. electronic information via the Federal Amendment 9 to the Fishery e-Rulemaking Portal. Go to Dated: December 19, 2019. Management Plan for Coastal Migratory www.regulations.gov and enter NOAA– Pelagic Resources in the Gulf of Mexico Tracey L. Thompson, NMFS–2019–0150. Click on the and Atlantic Region. The amendment Acting Deputy Director, Office of Sustainable ‘‘Comment Now!’’ icon and complete addresses commercial trip limits in the Fisheries, National Marine Fisheries Service. the required fields. Enter or attach your Atlantic Northern Zone for commercial [FR Doc. 2019–27809 Filed 12–23–19; 8:45 am] comments. Spanish mackerel. BILLING CODE 3510–22–P • Mail: Submit written comments to DATES: The public hearings will be held Adrienne Lohe, Endangered Species via webinar on January 22 and 23, 2020. Conservation Division, Office of See SUPPLEMENTARY INFORMATION. Protected Resources, NMFS, 1315 East- ADDRESSES: Council address: South West Highway, Room 13626, Silver Atlantic Fishery Management Council, Spring, MD 20910. 4055 Faber Place Drive, Suite 201, N Instructions: Comments sent by any Charleston, SC 29405. other method, to any other address or
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individual, or received after the end of website at: https:// DEPARTMENT OF COMMERCE the specified period, may not be www.fisheries.noaa.gov/species/ considered. All comments received are loggerhead-turtle. National Oceanic and Atmospheric a part of the public record and will Administration generally be posted for public viewing Public Solicitation of New Information on www.regulations.gov without change. Submission for OMB Review; To ensure that the reviews are Comment Request All personal identifying information complete and based on the best (e.g., name, address, etc.), confidential available scientific and commercial The Department of Commerce will business information, or otherwise information, we are soliciting new submit to the Office of Management and sensitive or protected information information from the public, Budget (OMB) for clearance the submitted voluntarily by the sender will governmental agencies, Tribes, the following proposal for collection of be publicly accessible. NMFS will information under the provisions of the accept anonymous submissions (enter scientific community, industry, environmental entities, and any other Paperwork Reduction Act (44 U.S.C. ‘‘N/A’’ in the required fields if you wish Chapter 35). interested parties concerning the status to remain anonymous). Agency: National Oceanic and FOR FURTHER INFORMATION CONTACT: of all loggerhead DPSs other than the Atmospheric Administration (NOAA). Adrienne Lohe at the above address, by North Pacific Ocean DPS. Categories of Title: Marine Recreational Information phone at (301) 427–8442 or requested information include: (1) Program Fishing Effort Survey. [email protected]. Species biology including, but not OMB Control Number: 0648–0652. SUPPLEMENTARY INFORMATION: This limited to, population trends, Form Number(s): None. notice announces our review of the distribution, abundance, demographics, Type of Request: Regular. Number of Respondents: 114,868. following loggerhead sea turtle DPSs: and genetics; (2) habitat conditions Average Hours per Response: 5 The endangered Mediterranean Sea including, but not limited to, amount, minutes. DPS, the endangered Northeast Atlantic distribution, and important features for conservation; (3) status and trends of Burden Hours: 9,687. Ocean DPS, the endangered North Needs and Uses: Marine recreational threats to the species and its habitats; (4) Indian Ocean DPS, the endangered anglers are surveyed to collect catch and South Pacific Ocean, the threatened conservation measures that have been effort data, fish biology data, and angler Northwest Atlantic Ocean DPS, the implemented that benefit the species, socioeconomic characteristics. These threatened South Atlantic Ocean DPS, including monitoring data data are required to carry out provisions the threatened Southeast Indo-Pacific demonstrating effectiveness of such of the Magnuson-Stevens Fishery Ocean DPS, and the threatened measures; (5) need for additional Conservation and Management Act (16 Southwest Indian Ocean DPS (76 FR conservation measures; and (6) other U.S.C. 1801 et seq.), as amended, 58868; September 22, 2011). It does not new information, data, or corrections regarding conservation and management include the North Pacific Ocean DPS including, but not limited to, taxonomic of fishery resources. review, which we initiated in 2016 (81 or nomenclatural changes and improved Marine recreational fishing catch and FR 70394; October 12, 2016). Section analytical methods for evaluating effort data are collected through a 4(c)(2)(A) of the ESA requires that we extinction risk. combination of mail surveys, telephone conduct a review of listed species at surveys and on-site intercept surveys least once every 5 years. This will be the If you wish to provide information for the reviews, you may submit your with recreational anglers. The Marine first review of the Northwest Atlantic Recreational Information Program information and materials electronically Ocean and foreign loggerhead DPSs (MRIP) Fishing Effort Survey (FES) is a or via mail (see ADDRESSES section). We since they were listed in 2011. The self-administered, household mail request that all information be regulations in 50 CFR 424.21 require survey that samples from a residential that we publish a notice in the Federal accompanied by supporting address frame to collect data on the Register announcing species currently documentation such as maps, number of recreational anglers and the under active review. On the basis of bibliographic references, or reprints of number of recreational fishing trips. The such reviews under section 4(c)(2)(B), pertinent publications. We also would survey estimates marine recreational we determine whether any species appreciate the submitter’s name, fishing activity for all coastal states from should be removed from the list (i.e., address, and any association, Maine through Mississippi, as well as delisted) or reclassified from institution, or business that the person Hawaii and Puerto Rico. endangered to threatened or from represents; however, anonymous FES estimates are combined with threatened to endangered (16 U.S.C. submissions will also be accepted. estimates derived from complementary 1533(c)(2)(B)). As described by the Authority: 16 U.S.C. 1531 et seq. surveys of fishing trips, the Access- regulations in 50 CFR 424.11(e), the Point Angler Intercept Survey, to Secretary shall delist a species if the Dated: December 18, 2019. estimate total, state-level fishing catch, Secretary finds that, after conducting a Angela Somma, by species. These estimates are used in status review based on the best Chief, Endangered Species Conservation the development, implementation, and scientific and commercial data Division, Office of Protected Resources, monitoring of fishery management available: (1) The species is extinct; (2) National Marine Fisheries Service. programs by NOAA Fisheries, regional the species does not meet the definition [FR Doc. 2019–27700 Filed 12–23–19; 8:45 am] fishery management councils, interstate of an endangered species or a threatened BILLING CODE 3510–22–P marine fisheries commissions, and state species; and/or (3) the listed entity does fishery agencies. not meet the statutory definition of a Affected Public: Individuals or species. Any change in Federal households. classification would require a separate Frequency: On occasion. rulemaking process. Respondent’s Obligation: Voluntary. Background information on all DPSs This information collection request of loggerhead is available on the NMFS may be viewed at reginfo.gov. Follow
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the instructions to view Department of determining the status of fish stocks in Council office (see ADDRESSES) at least 5 Commerce collections currently under the Southeast Region. SEDAR is a multi- business days prior to each workshop. review by OMB. step process including: (1) Data Note: The times and sequence Written comments and Workshop, (2) a series of assessment specified in this agenda are subject to recommendations for the proposed webinars, and (3) A Review Workshop. change. information collection should be sent The product of the Data Workshop is a Authority: 16 U.S.C. 1801 et seq. within 30 days of publication of this report that compiles and evaluates notice to OIRA_Submission@ potential datasets and recommends Dated: December 19, 2019. omb.eop.gov or fax to (202) 395–5806. which datasets are appropriate for Tracey L. Thompson, assessment analyses. The assessment Acting Deputy Director, Office of Sustainable Sheleen Dumas, webinars produce a report that describes Fisheries, National Marine Fisheries Service. Department PRA Clearance Officer, Office of the fisheries, evaluates the status of the [FR Doc. 2019–27808 Filed 12–23–19; 8:45 am] the Chief Information Officer, Commerce stock, estimates biological benchmarks, BILLING CODE 3510–22–P Department. projects future population conditions, [FR Doc. 2019–27746 Filed 12–23–19; 8:45 am] and recommends research and BILLING CODE 3510–22–P monitoring needs. The product of the DEPARTMENT OF COMMERCE Review Workshop is an Assessment Summary documenting panel opinions National Oceanic and Atmospheric DEPARTMENT OF COMMERCE regarding the strengths and weaknesses Administration National Oceanic and Atmospheric of the stock assessment and input data. Submission for OMB Review; Administration Participants for SEDAR Workshops are Comment Request appointed by the Gulf of Mexico, South [RTID 0648–XV151] Atlantic, and Caribbean Fishery The Department of Commerce will Management Councils and NOAA submit to the Office of Management and Fisheries of the Gulf of Mexico; Fisheries Southeast Regional Office, Budget (OMB) for clearance the Southeast Data, Assessment, and HMS Management Division, and following proposal for collection of Review (SEDAR); Public Meeting Southeast Fisheries Science Center. information under the provisions of the AGENCY: National Marine Fisheries Participants include data collectors and Paperwork Reduction Act (44 U.S.C. Service (NMFS), National Oceanic and database managers; stock assessment Chapter 35). Atmospheric Administration (NOAA), scientists, biologists, and researchers; Agency: National Oceanic and Commerce. constituency representatives including Atmospheric Administration (NOAA). ACTION: Notice of SEDAR 67 Assessment fishermen, environmentalists, and Title: Gulf of Mexico Electronic Webinar II for Gulf of Mexico vermilion NGO’s; International experts; and staff Logbook. snapper. of Councils, Commissions, and state and OMB Control Number: 0648–0543. federal agencies. Form Number(s): None. SUMMARY: The SEDAR 67 stock The items of discussion during the Type of Request: Regular (extension of assessment process for Gulf of Mexico Assessment Webinar are as follows: a currently approved information vermilion snapper will consist of a 1. Using datasets and initial collection). series of data and assessment webinars. assessment analysis recommended from Number of Respondents: 1,410. Average Hours per Response: 3. DATES: The SEDAR 67 Assessment the data webinars, panelists will employ Burden Hours: 4,230. Webinar II will be held January 23, assessment models to evaluate stock status, estimate population benchmarks Needs and Uses: The Magnuson- 2020, from 10 a.m. to 12 p.m., Eastern Stevens Fishery Conservation and Time. and management criteria, and project future conditions. Management Act authorizes the Gulf of ADDRESSES: The meeting will be held 2. Participants will recommend the Mexico Fishery Management Council via webinar. The webinar is open to most appropriate methods and (Council) to prepare and amend fishery members of the public. Those interested configurations for determining stock management plans for any fishery in in participating should contact Julie A. status and estimating population waters under its jurisdiction. The Neer at SEDAR (see FOR FURTHER parameters. National Marine Fisheries Service INFORMATION CONTACT) to request an Although non-emergency issues not (NMFS) manages the commercial invitation providing webinar access contained in this agenda may come shrimp fishery in Federal waters of the information. Please request webinar before this group for discussion, those Gulf of Mexico (Gulf) under the Fishery invitations at least 24 hours in advance issues may not be the subject of formal Management Plan for the Shrimp of each webinar. action during this meeting. Action will Fishery of the Gulf. SEDAR address: 4055 Faber Place be restricted to those issues specifically The electronic logbook (ELB) Drive, Suite 201, North Charleston, SC identified in this notice and any issues regulations for the Gulf shrimp fishery 29405. arising after publication of this notice may be found at 50 CFR 622.51(a)(2). FOR FURTHER INFORMATION CONTACT: Julie that require emergency action under These regulations require vessel owners A. Neer, SEDAR Coordinator; (843) 571– section 305(c) of the Magnuson-Stevens or operators issued a Federal 4366; email: [email protected]. Fishery Conservation and Management commercial permit for Gulf shrimp to SUPPLEMENTARY INFORMATION: The Gulf Act, provided the public has been participate in the NMFS-sponsored ELB of Mexico, South Atlantic, and notified of the intent to take final action reporting program. There are Caribbean Fishery Management to address the emergency. approximately 1,410 valid or renewable Councils, in conjunction with NOAA Federal permits to commercially harvest Fisheries and the Atlantic and Gulf Special Accommodations shrimp from Federal waters in the Gulf. States Marine Fisheries Commissions The meeting is physically accessible Reporting through a vessel’s ELB, such have implemented the Southeast Data, to people with disabilities. Requests for owners or operators must provide Assessment and Review (SEDAR) sign language interpretation or other information regarding the size and process, a multi-step method for auxiliary aids should be directed to the number of shrimp trawls deployed, the
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type of bycatch reduction device, and Form Number(s): None. additional protections are needed for turtle excluder device used for each trip. Type of Request: Regular. the species, or whether additional The ELB unit automatically collects Number of Respondents: 45. exceptions may be warranted. NMFS fishing effort data and transmits those Average Hours per Response: designed the criteria to ensure that data via a cellular phone connection Scientific research or monitoring actions meeting the criteria would activated when the vessel is within non- exception, Habitat restoration exception, adequately limit impacts on threatened roaming cellular range. Compliance State research program report, and Southern DPS fish, such that additional with the ELB reporting requirements is Research applications: 40 hours each; protections in the form of a federal take required to renew the Gulf shrimp Scientific research or monitoring prohibition would not be necessary and permit. exception report, Habitat restoration advisable. Monitoring shrimp vessels is exception report, and Research reports: Affected Public: Not-for-profit challenging for NMFS when they 5 hours each; Emergency fish rescue institutions; State, Local, or Tribal operate together with many other report, and Fishery Management and government; Federal government; fishing vessels of differing sizes, gears Evaluation Plan report: 20 hours each; business or other for-profit types, and fishing capabilities. Fishery Management and Evaluation organizations. Monitoring is made even more Plan and Tribal Plan: 160 hours each. Frequency: Written notification challenging by seasonal variability in Burden Hours: 1,510. describing research, monitoring, habitat Needs and Uses: The Southern shrimp abundance and price and the restoration, or emergency fish rescue Distinct Population Segment of North broad geographic distribution of the and salvage activities, on occasion; American green sturgeon (Acipenser fleet. ELBs provide a precise means of development of fisheries management medirostris; hereafter, ‘‘Southern DPS’’) estimating the amount of shrimp fishing and evaluation plans, state 4(d) research was listed as a threatened species in effort. Using ELBs to estimate fishing programs, or tribal fishery management April 2006. Protective regulations under effort serves an important role to help plans, on occasion; fisheries section 4(d) of the Endangered Species estimate bycatch in the Gulf shrimp management and evaluation plan Act (ESA) were promulgated for the fleet. reports, biannually; all other reports, species on June 2, 2010 (75 FR 30714) Affected Public: Businesses or other annually. (the final ESA 4(d) Rule). To comply for-profit organizations. Respondent’s Obligation: Required to with the ESA and the protective Frequency: On occasion when fishing. obtain or retain benefits. Respondent’s Obligation: Mandatory. regulations, entities must obtain take This information collection request This information collection request authorization before they engage in may be viewed at reginfo.gov. Follow may be viewed at reginfo.gov. Follow activities that involve take of Southern the instructions to view Department of the instructions to view Department of DPS fish, unless the activity is covered Commerce collections currently under Commerce collections currently under by an exception or exemption. ‘‘Take’’ is review by OMB. defined as to harass, harm, pursue, review by OMB. Written comments and Written comments and hunt, shoot, wound, kill, trap, capture recommendations for the proposed recommendations for the proposed or collect, or to attempt to engage in any information collection should be sent information collection should be sent such conduct. Certain activities within 30 days of publication of this described in the ‘‘exceptions’’ provision _ within 30 days of this notice publication notice to OIRA Submission@ of 50 CFR 223.210(b) are not subject to by email to OIRA_Submission@ omb.eop.gov or faxed to (202) 395–5806. the take prohibitions if they adhere to omb.eop.gov or by fax to (202) 395– specific criteria and reporting Sheleen Dumas, 5806. requirements. Under the ‘‘exemption’’ Department PRA Clearance Officer, Office of Sheleen Dumas, provision of 50 CFR 223.210(c), the take the Chief Information Officer, Commerce Department. Department PRA Clearance Officer, Office of prohibitions do not apply to scientific the Chief Information Officer, Commerce research, scientific monitoring, and [FR Doc. 2019–27744 Filed 12–23–19; 8:45 am] Department. fisheries activities conducted under an BILLING CODE 3510–22–P [FR Doc. 2019–27739 Filed 12–23–19; 8:45 am] approved 4(d) program or plan. BILLING CODE 3510–22–P Similarly, take prohibitions do not DEPARTMENT OF COMMERCE apply to tribal resource management activities conducted under a Tribal Plan Patent and Trademark Office DEPARTMENT OF COMMERCE for which the requisite determinations described in 50 CFR 223.102(c)(3) have Law School Clinic Certification National Oceanic and Atmospheric been made. Program Administration To ensure that activities qualify under exceptions to or exemptions from the ACTION: Notice of renewal of information Submission for OMB Review; take prohibitions, local, state, and collection; request for comment. Comment Request federal agencies, non-governmental SUMMARY: The United States Patent and The Department of Commerce will organizations, academic researchers, and private organizations are asked to Trademark Office (USPTO), as required submit to the Office of Management and by the Paperwork Reduction Act of Budget (OMB) for clearance the submit detailed information regarding their activity on a schedule to be 1995, invites comments on the following proposal for collection of extension of an existing information information under the provisions of the determined by National Marine Fisheries Service (NMFS) staff. This collection: 0651–0081 (Law School Paperwork Reduction Act (44 U.S.C. Clinic Program). Chapter 35). information is used by NMFS to (1) Agency: National Oceanic and track the number of Southern DPS fish DATES: Written comments must be Atmospheric Administration (NOAA). taken as a result of each action; (2) submitted on or before February 24, Title: Green Sturgeon ESA 4(d) rule understand and evaluate the cumulative 2020. take exceptions and exemptions. effects of each action on the Southern ADDRESSES: You may submit comments OMB Control Number: 0648–0613. DPS; and (3) determine whether by any of the following methods:
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• Email: InformationCollection@ applications, students gain valuable Affected Public: Individuals or uspto.gov. Include ‘‘0651–0081 experience that would otherwise be households, not-for-profit institutions. comment’’ in the subject line of the unavailable to them while in law Estimated Number of Respondents: message. school. The program also facilitates the 903 responses per year. The USPTO • Federal Rulemaking Portal: http:// provision of pro bono services to estimates that approximately 75% of the www.regulations.gov. trademark and patent applicants who annual responses for this collection will • Mail: Kimberly Hardy, Office of the lack the financial resources necessary be submitted electronically. Chief Administrative Officer, United for traditional legal representation. In Estimated Time per Response: The States Patent and Trademark Office, 2019, there were over 60 law schools USPTO estimates that it will take the P.O. Box 1450, Alexandria, VA 22313– participating in the program. public from 0.5 and 40 hours, 1450. This information collection covers the depending on the complexity of the FOR FURTHER INFORMATION CONTACT: applications from law schools that wish situation, to gather the necessary Requests for additional information to enter the program, faculty advisors information, prepare the appropriate should be directed to Dahlia George, who seek to become a faculty clinic documents, and submit the information Office of Enrollment and Discipline, supervisor, and students who seek to to the USPTO. United States Patent and Trademark participate in this program. The Estimated Total Annual Respondent Office, P.O. Box 1450, Alexandria, VA collection also includes the required Burden Hours: 690 hours. 22313–1450; by telephone at 571–272– biannual reports from participating law Estimated Total Annual Respondent 4097; or by email to Dahlia.George@ school clinics and biennial renewals (Hourly) Cost Burden: $145,575. required by the program as well as the uspto.gov with ‘‘0651–0020 comment’’ The USPTO expects that intellectual request to make special under the Law in the subject line. Additional property attorneys will complete most School Clinic Certification Program, information about this collection is also of the items in this collection at an which allows a limited number of available at http://www.reginfo.gov estimated rate of $438 per hour. The applications per semester to be under ‘‘Information Collection Review.’’ attorney rates are found in the 2017 advanced out of turn (accorded special SUPPLEMENTARY INFORMATION: Report of the Economic Survey status) for examination if the applicant published by the American Intellectual makes the appropriate showing, to I. Abstract Property Law Association (AIPLA). provide law students with practical Public Law 113–227 (Dec. 16, 2014) Faculty members serving as Clinic experience as they will be more likely requires the United States Patent and Supervisors must be practicing to receive substantive examination of Trademark Office to establish attorneys and registered with the Patent applications within the school year that regulations and procedures for Bar (for those schools handling patent the application is filed. application to, and participation in, the matters before the USPTO on behalf of USPTO Law School Clinic Certification II. Method of Collection applicants). The cost for law students Program. The Program allows students By mail, facsimile, hand delivery, or applying to participate in the Program is enrolled in a participating law school’s electronically to the USPTO. estimated to be at the 10% hourly rate clinic to practice patent or trademark for legal occupations (BLS 23–000 Legal law before the USPTO under the direct III. Data Occupations) which is $18.04 per hour. supervision of a faculty clinic OMB Number: 0651–0081. This accounts for law students’ possible supervisor. Each clinic provides legal IC Instruments and Forms: There are employment in various entry level legal services on a pro bono basis for clients two forms associated with this positions. Using this hourly rate, the who qualify for assistance from the law collection. USPTO estimates that the total school’s clinic. By drafting, filing, and Type of Review: Extension of a respondent cost burden for this prosecuting patent and trademark currently approved collection. collection is $145,575 per year.
TABLE 3—BURDEN HOUR/BURDEN COST TO RESPONDENTS
Estimated Estimated Estimated IC No. Item response time annual annual Rate Total hourly (hours) responses burden hours ($/hr) cost burden
(a) (b) (a) × (b) = (c) (d) (c) × (d) = (e)
1 ...... Application by Law School to Enter the Pro- 40 1 40 $438.00 $17,520 gram. 2 ...... Application by Law School Faculty Member to 1 5 5 438.00 2,190 Become a faculty Clinic Supervisor. 3 ...... Application by Student to Become a Partici- 0.5 745 373 18.04 6,728 pant in the Program (PTO–158LS). 4 ...... Biannual Report Required of Law School 1 120 120 438.00 52,560 Clinics. 5 ...... Biennial Renewal Application by Law School 5 30 150 438.00 65,700 6 ...... Request to Make Special Under the Law 1 2 2 438.00 876 School Clinic Certification Program.
Total ...... 903 690 ...... 145,575
Estimated Total Annual (Non-hour) operating fees associated with this (non-hour) costs in the form of postage Respondent Cost Burden: $1,721. There collection. There are, however, annual costs. are no capital startup, maintenance, or
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Filing Fees this collection of information, but estimates that 99 percent will be There are no filing fees associated submissions are accepted electronically submitted by mail—with the remainder with this collection. through email. Submissions are also submitted by hand delivery—for a total accepted via postal mail and hand of 225 mailed submissions. The average Postage Costs delivery. The USPTO expects that 75 USPS Priority Mail postage cost for a Currently, the USPTO does not use percent of the items in this collection legal flat rate envelope is estimated to be automated or other technological will be submitted electronically. Of the $7.65. Table 4 calculates the postage collection techniques for the items in remaining 25 percent, the USPTO costs associated with this collection.
TABLE 4—ANNUAL (Non-Hour) RESPONDENT COST BURDEN
Estimated Total annual IC No. Item mailed Estimated (non-hour) responses postage rate cost burden
(a) (b) (a) × (b) = (c)
1 ...... Application by Law School to Enter the Program ...... 1 $7.65 $7.65 2 ...... Application by Law School Faculty Member to Become a Faculty Clinic Super- 1 7.65 7.65 visor. 3 ...... Application by Student to Become a Participant in the Program (PTO–158LS) .... 185 7.65 1,415.25 4 ...... Biannual Report Required of Law School Clinics ...... 30 7.65 229.50 5 ...... Biennial Renewal Application by Law School ...... 7 7.65 53.55 6 ...... Request to Make Special Under the Law School Clinic Program ...... 1 7.65 $7.65
Total ...... 225 ...... 1,721
Therefore, the USPTO estimates that COMMODITY FUTURES TRADING (PRA), this notice announces that the the total annual (non-hour) cost burden COMMISSION Information Collection Request (ICR) for this collection, in the form of postage abstracted below has been forwarded to costs is $1,721 per year. Sunshine Act Meetings the Office of Management and Budget (OMB) for review and comment. The IV. Request for Comments TIME AND DATE: 10:00 a.m., Wednesday, ICR describes the nature of the Comments submitted in response to January 8, 2020. information collection and its expected this notice will be summarized and/or PLACE: Three Lafayette Centre, 1155 21st costs and burden. included in the request for OMB Street NW, Washington, DC, 9th Floor DATES: Comments must be submitted on approval. All comments will become a Commission Conference Room. or before January 27, 2020. matter of public record. STATUS: Closed. ADDRESSES: Comments regarding the The USPTO is soliciting public MATTERS TO BE CONSIDERED: burden estimate or any other aspect of comments to: Examinations and enforcement matters. the information collection, including (a) Evaluate whether the proposed In the event that the time, date, or collection of information is necessary suggestions for reducing the burden, location of this meeting changes, an may be submitted directly to the Office for the proper performance of the announcement of the change, along with functions of the agency, including of Information and Regulatory Affairs the new time, date, and/or place of the (OIRA) in OMB within 30 days of this whether the information will have meeting will be posted on the practical utility; notice’s publication by either of the Commission’s website at https:// following methods. Please identify the (b) Evaluate the accuracy of the www.cftc.gov/. agency’s estimate of the burden of the comments by ‘‘OMB Control No. 3038– CONTACT PERSON FOR MORE INFORMATION: proposed collection of information, 0096.’’ Christopher Kirkpatrick, 202–418–5964. • including the validity of the By email addressed to: methodology and assumptions used; Authority: 5 U.S.C. 552b. [email protected] or • By mail addressed to: the Office of (c) Enhance the quality, utility, and Dated: December 20, 2019. clarity of the information to be Information and Regulatory Affairs, Robert Sidman, Office of Management and Budget, collected; and Deputy Secretary of the Commission. (d) Minimize the burden of the Attention Desk Officer for the collection of information on those who [FR Doc. 2019–27931 Filed 12–20–19; 4:15 pm] Commodity Futures Trading are to respond, including through the BILLING CODE 6351–01–P Commission, 725 17th Street NW, use of appropriate automated, Washington DC 20503. electronic, mechanical, or other A copy of all comments submitted to COMMODITY FUTURES TRADING technological collection techniques or OIRA should be sent to the Commodity COMMISSION other forms of information technology, Futures Trading Commission (the ‘‘Commission’’) by either of the e.g., permitting electronic submission of Agency Information Collection responses. following methods. The copies should Activities Under OMB Review refer to ‘‘OMB Control No. 3038–0096.’’ • Kimberly Hardy, AGENCY: Commodity Futures Trading By mail addressed to: Christopher Information Collection Officer, Office of the Commission. Kirkpatrick, Secretary of the Chief Administrative Officer, United States ACTION: Notice. Commission, Commodity Futures Patent and Trademark Office. Trading Commission, Three Lafayette [FR Doc. 2019–27832 Filed 12–23–19; 8:45 am] SUMMARY: In compliance with the Centre, 1155 21st Street NW, BILLING CODE 1410–30–P Paperwork Reduction Act of 1995 Washington, DC 20581;
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• By Hand Delivery/Courier to the requirements relating to pre-enactment collection listed in this notice, please same address; or and historical swaps. use http://www.regulations.gov by • Through the Commission’s website On September 25, 2019, the searching the Docket ID number ED– at http://comments.cftc.gov. Please Commission published in the Federal 2019–ICCD–0160. Comments submitted follow the instructions for submitting Register notice of the proposed in response to this notice should be comments through the website. extension of this information collection submitted electronically through the A copy of the supporting statement and provided 60 days for public Federal eRulemaking Portal at http:// for the collection of information comment on the proposed extension, 84 www.regulations.gov by selecting the discussed herein may be obtained by FR 50413 (‘‘60-Day Notice’’) The Docket ID number or via postal mail, visiting http://RegInfo.gov. Commission did not receive any commercial delivery, or hand delivery. All comments must be submitted in comments on the 60-Day Notice. If the regulations.gov site is not English, or if not, accompanied by an Burden Statement: Provisions of available to the public for any reason, English translation. Comments will be CFTC Regulations 45.2, 45.3, 45.4, 45.5, ED will temporarily accept comments at posted as received to http:// 45.6, 45.7, and 45.14 result in [email protected]. Please include the www.cftc.gov. You should submit only information collection requirements docket ID number and the title of the information that you wish to make within the meaning of the PRA. With information collection request when available publicly. If you wish the respect to the ongoing reporting and requesting documents or submitting Commission to consider information recordkeeping burdens associated with comments. Please note that comments that you believe is exempt from swaps, the CFTC believes that swap submitted by fax or email and those disclosure under the Freedom of dealers (‘‘SDs’’), major swap submitted after the comment period will Information Act, a petition for participants (‘‘MSPs’’), and non-SD/ not be accepted. Written requests for confidential treatment of the exempt MSP counterparties incur an annual information or comments submitted by information may be submitted according time-burden of 2,279,312 hours. This postal mail or delivery should be to the procedures established in § 145.9 time-burden represents a proportion of addressed to the Director of the Strategic of the Commission’s regulations.1 The the burden respondents incur to operate Collections and Clearance Governance Commission reserves the right, but shall and maintain their swap data and Strategy Division, U.S. Department have no obligation, to review, pre- recordkeeping and reporting systems. of Education, 400 Maryland Ave. SW, screen, filter, redact, refuse or remove The respondent burden for this LBJ, Room 6W–208B, Washington, DC any or all of your submission from collection is estimated to be as follows: 20202–4537. http://www.cftc.gov that it may deem to Estimated Number of Respondents: be inappropriate for publication, such as 1,732. FOR FURTHER INFORMATION CONTACT: For obscene language. All submissions that Estimated Average Burden Hours per specific questions related to collection have been redacted or removed that Respondent: 1,316. activities, please contact Stephanie contain comments on the merits of the Estimated Total Annual Burden Stullich, 202–245–6468. Information Collection Request will be Hours: 2,279,312 hours. SUPPLEMENTARY INFORMATION: The retained in the public comment file and Frequency of Collection: Ongoing. Department of Education (ED), in will be considered as required under the There are no capital costs or operating accordance with the Paperwork Administrative Procedure Act and other and maintenance costs associated with Reduction Act of 1995 (PRA) (44 U.S.C. applicable laws, and may be accessible this collection. 3506(c)(2)(A)), provides the general under the Freedom of Information Act. (Authority: 44 U.S.C. 3501 et seq.) public and Federal agencies with an FOR FURTHER INFORMATION CONTACT: Dated: December 18, 2019. opportunity to comment on proposed, Meghan Tente, Acting Associate revised, and continuing collections of Robert Sidman, Director, Division of Market Oversight, information. This helps the Department Commodity Futures Trading Deputy Secretary of the Commission. assess the impact of its information Commission, (202) 418–5785, email: [FR Doc. 2019–27704 Filed 12–23–19; 8:45 am] collection requirements and minimize [email protected], and refer to OMB BILLING CODE 6351–01–P the public’s reporting burden. It also Control No. 3038–0096. helps the public understand the SUPPLEMENTARY INFORMATION: Department’s information collection Title: Swap Data Recordkeeping and DEPARTMENT OF EDUCATION requirements and provide the requested Reporting Requirements (OMB Control [Docket No.: ED–2019–ICCD–0160] data in the desired format. ED is No. 3038–0096). This is a request for soliciting comments on the proposed extension of a currently approved Agency Information Collection information collection request (ICR) that information collection. Activities; Comment Request; Study of is described below. The Department of Abstract: The collection of District and School Uses of Federal Education is especially interested in information is needed to ensure that the Education Funds public comment addressing the CFTC and other regulators have access following issues: (1) Is this collection to swap data as required by the AGENCY: Institute of Education Sciences necessary to the proper functions of the Commodity Exchange Act, as amended (IES), Department of Education (ED). Department; (2) will this information be by the Dodd-Frank Wall Street Reform ACTION: Notice. processed and used in a timely manner; and Consumer Protection Act (‘‘Dodd- (3) is the estimate of burden accurate; SUMMARY: Frank Act’’). The Dodd-Frank Act In accordance with the (4) how might the Department enhance directed the CFTC to adopt rules Paperwork Reduction Act of 1995, ED is the quality, utility, and clarity of the providing for the reporting of data proposing a new information collection. information to be collected; and (5) how relating to swaps. In 2012, the CFTC DATES: Interested persons are invited to might the Department minimize the adopted Regulation 45, which imposes submit comments on or before February burden of this collection on the recordkeeping and reporting 24, 2020. respondents, including through the use ADDRESSES: To access and review all the of information technology. Please note 1 17 CFR 145.9. documents related to the information that written comments received in
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response to this notice will be Dated: December 18, 2019. accordance with the Paperwork considered public records. Stephanie Valentine, Reduction Act of 1995 (PRA) (44 U.S.C. Title of Collection: Study of District PRA Coordinator, Strategic Collections and 3506(c)(2)(A)), provides the general and School Uses of Federal Education Clearance, Governance and Strategy Division, public and Federal agencies with an Office of Chief Data Officer, Office of opportunity to comment on proposed, Funds. Planning, Evaluation and Policy revised, and continuing collections of OMB Control Number: 1850–NEW. Development. information. This helps the Department Type of Review: A new information [FR Doc. 2019–27754 Filed 12–23–19; 8:45 am] assess the impact of its information collection. BILLING CODE 4000–01–P collection requirements and minimize the public’s reporting burden. It also Respondents/Affected Public: State, helps the public understand the Local, and Tribal Governments. DEPARTMENT OF EDUCATION Department’s information collection Total Estimated Number of Annual [Docket No.: ED–2019–ICCD–0161] requirements and provide the requested Responses: 306. data in the desired format. ED is Total Estimated Number of Annual Agency Information Collection soliciting comments on the proposed Burden Hours: 306. Activities; Comment Request; EZ- information collection request (ICR) that Audit: Electronic Submission of is described below. The Department of Abstract: The Study of District and Financial Statements and Compliance Education is especially interested in School Uses of Federal Education Funds Audits public comment addressing the will examine targeting and resource following issues: (1) Is this collection allocation for five major federal AGENCY: Federal Student Aid (FSA), necessary to the proper functions of the education programs: Part A of Titles I, Department of Education (ED). Department; (2) will this information be II, III, and IV of the Elementary and ACTION: Notice. processed and used in a timely manner; Secondary Education Act (ESEA)— (3) is the estimate of burden accurate; including school improvement grants SUMMARY: In accordance with the (4) how might the Department enhance provided under Section 1003 of Title I, Paperwork Reduction Act of 1995, ED is the quality, utility, and clarity of the Part A—as well as Title I, Part B of the proposing a revision of an existing information to be collected; and (5) how information collection. Individuals with Disabilities Education might the Department minimize the Act (IDEA). The study will collect DATES: Interested persons are invited to burden of this collection on the detailed fiscal data from a nationally submit comments on or before February respondents, including through the use representative sample of 400 school 24, 2020. of information technology. Please note districts, including budgets, plans, ADDRESSES: To access and review all the that written comments received in expenditure data, and personnel and documents related to the information response to this. Title of Collection: EZ-Audit: payroll data. In addition, the study will collection listed in this notice, please Electronic Submission of Financial collect data on allocations to districts use http://www.regulations.gov by Statements and Compliance Audits. and schools to examine how the searching the Docket ID number ED– 2019–ICCD–0161. Comments submitted OMB Control Number: 1845–0072. distribution of funds varies in relation in response to this notice should be Type of Review: A revision of an to program goals and student needs; submitted electronically through the existing information collection. survey district and school officials to Federal eRulemaking Portal at http:// Respondents/Affected Public: Private explore such issues as the types of www.regulations.gov by selecting the Sector, State, Local, and Tribal services and resources that are provided Docket ID number or via postal mail, Governments; Individuals or through the federal funds, coordination commercial delivery, or hand delivery. Households. Total Estimated Number of Annual across programs, and use of flexibility; If the regulations.gov site is not Responses: 6,632. conduct interviews in nine site visits to available to the public for any reason, Total Estimated Number of Annual districts to obtain more in-depth data; ED will temporarily accept comments at and analyze fiscal data. Burden Hours: 6,016. [email protected]. Please include the Abstract: eZ-Audit is a web-based This package is the first of two OMB docket ID number and the title of the process designed to facilitate the clearance requests for this study. This information collection request when submission of compliance and financial package requests approval for selection requesting documents or submitting statement audits, expedite the review of and recruitment of nationally comments. Please note that comments those audits by the Department, and representative samples of school submitted by fax or email and those provide more timely and useful districts and schools and collection of submitted after the comment period will information to public, non-profit and certain preliminary information from not be accepted. Written requests for proprietary institutions regarding the states (i.e., lists of subgrantees and information or comments submitted by Department’s review. eZ-Audit postal mail or delivery should be suballocation amounts for each establishes a uniform process under addressed to the Director of the Strategic program, contact information for district which all institutions submit directly to Collections and Clearance Governance program coordinators for each of the the Department any audit required and Strategy Division, U.S. Department under the Title IV, HEA program covered ESEA programs, and the state of Education, 400 Maryland Ave SW, chart of accounts). A future submission regulations. The revisions to this LBJ, Room 6W–208D, Washington, DC collection is a result of enhancements will request OMB clearance for the data 20202–4537. collection instruments for this study. made to the current system to collect the FOR FURTHER INFORMATION CONTACT: For compliance audits/financial statements We anticipate beginning collection of specific questions related to collection subgrantee lists and other preliminary in the appropriate format (e.g. revised activities, please contact Beth question text and required uploads) information in May 2020 and launching Grebeldinger, 202–377–4018. from the foreign institutions that are the district- and school-level data SUPPLEMENTARY INFORMATION: The required to submit audits in accordance collection in September 2020. Department of Education (ED), in to the Department’s regulations and to
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allow electronic submission of The NACIQI meets at least twice a • George T. French, Jr., Ph.D., compliance audits/financial statements year and advises the Secretary of President, Miles College, Fairfield, from the entities identified above. Education with respect to: Alabama. • Revisions to financial statements The establishment and enforcement • Brian W. Jones, J.D., President, information are to meet the new of the standards of accrediting agencies Strayer University, Washington, DC. or associations under subpart 2 of part borrower defense regulations. • G of Title IV of the HEA; Arthur E. Keiser, Ph.D., Chancellor, Dated: December 19, 2019. • The recognition of specific Keiser University, Fort Lauderdale, Kate Mullan, accrediting agencies or associations; Florida. • PRA Coordinator, Strategic Collections and The preparation and publication of • Ralph Wolff, J.D., President, The Clearance, Governance and Strategy Division, the list of nationally recognized Office of Chief Data Officer. Quality Assurance Commons for Higher accrediting agencies and associations; and Postsecondary Education, Oakland, [FR Doc. 2019–27785 Filed 12–23–19; 8:45 am] • The eligibility and certification California. BILLING CODE 4000–01–P process for institutions of higher education under Title IV of the HEA, Members Appointed by the President together with recommendations for Pro Tempore of the Senate with Terms DEPARTMENT OF EDUCATION improvements in such process; Expiring September 30, 2022: • The relationship between (1) • Jill Derby, Ph.D., Senior Consultant, National Advisory Committee on accreditation of institutions of higher Association of Governing Boards of Institutional Quality and Integrity education and the certification and Universities and Colleges, Gardnerville, AGENCY: National Advisory Committee eligibility of such institutions, and (2) Nevada. State licensing responsibilities with on Institutional Quality and Integrity • Paul J. LeBlanc, Ph.D., President, respect to such institutions; and (NACIQI), U.S. Department of • Southern New Hampshire University, Education. Any other advisory functions relating to accreditation and Manchester, New Hampshire. ACTION: Notice of membership. institutional eligibility that the • Anne D. Neal, J.D., President, The SUMMARY: This notice lists the members Secretary of Education may prescribe by Garden Club of America, Washington, of the National Advisory Committee on regulation. DC. • Institutional Quality and Integrity What are the terms of office for the Richard F. O’Donnell, Founder and (NACIQI). This notice is required under committee members? CEO, Skills Fund, Austin, Texas. the Higher Education Act of 1965, as • The term of office of each member is Claude O. Pressnell Jr., Ed.D., amended (HEA). six years. Any member appointed to fill President, Tennessee Independent ADDRESSES: U.S. Department of a vacancy occurring prior to the Colleges and Universities Association, Education, Office of Postsecondary expiration of the term for which the Nashville, Tennessee. Education, 400 Maryland Ave. SW, member’s predecessor was appointed • Steven Van Ausdle, Ph.D., Room 271–03, Washington, DC 20202. shall be appointed for the remainder of President Emeritus, Walla Walla FOR FURTHER INFORMATION CONTACT: such term. Community College, Walla Walla, George Alan Smith, Acting Executive Washington. Director/Designated Federal Official, Who are the current members of the NACIQI, U.S. Department of Education, committee? Electronic Access to this Document: 400 Maryland Ave. SW, Room 271–03, The current members of the NACIQI The official version of this document is Washington, DC 20202, telephone: (202) are: the document published in the Federal 453–7757, or email george.alan.smith@ Members Appointed by the Secretary Register. Free internet access to the ed.gov. of Education with Terms Expiring official edition of the Federal Register September 30, 2025: and the Code of Federal Regulations is SUPPLEMENTARY INFORMATION: This • Ronnie L. Booth, Ph.D., Former available via the Federal Digital System notice is required under Section President, Tri-County Technical at www.gpo.gov/fdsys. At this site you 114(e)(1) of the Higher Education Act of College, Anderson, South Carolina. can view this document, as well as all 1965, as amended (HEA). • Wallace E. Boston, Ph.D., President, other documents of this Department NACIQI’s Statutory Authority and American Public University System, published in the Federal Register, in Functions Inc., Charles Town, West Virginia. text or Adobe Portable Document • David A. Eubanks, Ph.D., Assistant Format (PDF). To use PDF, you must The NACIQI is established under Vice President for Assessment and have Adobe Acrobat Reader, which is Section 114 of the HEA, and is Institutional Effectiveness, Furman available free at the site. composed of 18 members appointed— University, Greenville, South Carolina. (A) On the basis of the individuals’ • You may also access documents of the D. Michael Lindsay, Ph.D., Department published in the Federal experience, integrity, impartiality, and President, Gordon College, Wenham, good judgment; Register by using the article search Massachusetts. feature at: www.federalregister.gov. (B) From among individuals who are • Mary Ellen Petrisko, Ph.D., Specifically, through the advanced representatives of, or knowledgeable Education Consultant, Pittsburgh, search feature at this site, you can limit concerning, education and training Pennsylvania. beyond secondary education, Members Appointed by the Speaker of your search to documents published by representing all sectors and types of the House of Representatives with the Department. institutions of higher education; and, Terms Expiring September 30, 2020: Authority: 20 U.S.C. 1011c. (C) On the basis of the individuals’ • Kathleen Sullivan Alioto, Ed.D., technical qualifications, professional Strategic Advisor, Fundraiser, and Betsy DeVos, standing, and demonstrated knowledge Consultant, New York, New York, San Secretary of Education. in the fields of accreditation and Francisco, California, and Boston, [FR Doc. 2019–27803 Filed 12–23–19; 8:45 am] administration of higher education. Massachusetts. BILLING CODE 4000–01–P
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DEPARTMENT OF ENERGY Signed in Washington, DC, on December condensate sales by API gravity category 18, 2019. in 22 state/areas (Alabama, Arkansas, State Energy Advisory Board; Meeting LaTanya Butler, California (including State Offshore), Deputy Committee Management Officer. Colorado, Federal Offshore Gulf of AGENCY: Office of Energy Efficiency and [FR Doc. 2019–27740 Filed 12–23–19; 8:45 am] Renewable Energy; Department of Mexico, Federal Offshore Pacific, Energy. BILLING CODE 6450–01–P Kansas, Louisiana (including State Offshore), Michigan, Mississippi ACTION: Notice of open teleconference. (including State Offshore), Montana, DEPARTMENT OF ENERGY SUMMARY: This notice announces an New Mexico, North Dakota, Ohio, open teleconference call of the State Energy Information Administration Oklahoma, Pennsylvania, Texas Energy Advisory Board (STEAB). The (including State Offshore), Utah, Federal Advisory Committee Act Agency Information Collection Virginia, West Virginia, Wyoming, and requires that public notice of these Extension Other States (defined as all remaining meetings be announced in the Federal states, except Alaska)). The data appear AGENCY: U.S. Energy Information Register. in the Monthly Crude Oil and Lease Administration (EIA), Department of Condensate, and Natural Gas DATES: Thursday, January 16, 2020 from Energy (DOE). 3:00 p.m. to 4:00 p.m. (ET). To receive Production Report on EIA’s website and ACTION: Notice and request for in the EIA publications; Monthly Energy the call-in number and passcode, please comments. contact the Board’s Designated Federal Review, Petroleum Supply Annual Officer at the address or phone number SUMMARY: EIA is requesting a three-year volumes, Petroleum Supply Monthly, listed below. extension without changes of Form Natural Gas Annual, and Natural Gas Monthly. FOR FURTHER INFORMATION CONTACT: Jay EIA–914 Monthly Crude Oil and Lease Nathwani, DFO, Office of Energy Condensate, and Natural Gas (5) Annual Estimated Number of Efficiency and Renewable Energy, U.S. Production Report. The survey collects Respondents: 500. Department of Energy, 1000 monthly data on production and sales of (6) Annual Estimated Number of natural gas, and crude oil and lease Independence Ave. SW, Washington, Total Responses: 6,000. DC 20585. Phone number 202–586– condensate. The data provides useful 9410, and email: jay.nathwani@ information on the nation’s production (7) Annual Estimated Number of ee.doe.gov. and sales of crude oil and natural gas. Burden Hours: 24,000. DATES: EIA must receive all comments (8) Annual Estimated Reporting and SUPPLEMENTARY INFORMATION: on this proposed information collection Recordkeeping Cost Burden: $1,884,480 Purpose of the Board: To make no later than February 24, 2020. If you (24,000 burden hours times $78.52). EIA recommendations to the Assistant anticipate any difficulties in submitting estimates that respondents will have no Secretary for the Office of Energy your comments by the deadline, contact additional costs associated with the Efficiency and Renewable Energy the person listed in the ADDRESSES surveys other than the burden hours and regarding goals and objectives, section of this notice as soon as that the information is maintained programmatic and administrative possible. policies, and to otherwise carry out the during the normal course of business. Board’s responsibilities as designated in ADDRESSES: Submit comments Comments are invited on whether or the State Energy Efficiency Programs electronically to jessica.biercevicz@ not: (a) The proposed collection of Improvement Act of 1990 (Pub. L. 101– eia.gov or mail comments to Jessica information is necessary for the proper 440). Biercevicz, U.S. Energy Information performance of agency functions, Tentative Agenda: A conference call Administration, 1000 Independence including whether the information will to discuss the in-person meeting and Avenue SW, EI–24, Washington DC, have a practical utility; (b) EIA’s provide updates on STEAB 20585. estimate of the burden of the proposed recommendations. FOR FURTHER INFORMATION CONTACT: If collection of information, including the Public Participation: The meeting is you need additional information, validity of the methodology and open to the public. Written statements contact Jessica Biercevicz, U.S. Energy assumptions used, is accurate; (c) EIA may be filed with the Board either Information Administration, telephone can improve the quality, utility, and before or after the meeting. Members of (202) 586–4299, or by email at clarity of the information it will collect; the public who wish to make oral [email protected]. The form and and (d) EIA can minimize the burden of statements pertaining to agenda items instructions are available on EIA’s the collection of information on should contact Jay Nathwani at the website at: https://www.eia.gov/survey/. respondents, such as automated address or telephone number listed SUPPLEMENTARY INFORMATION: This collection techniques or other forms of above. Requests to make oral comments information collection request contains: information technology. must be received five days prior to the (1) OMB No.: 1905–0205; meeting; reasonable provision will be (2) Information Collection Request Statutory Authority: 15 U.S.C. 772(b) made to include requested topic(s) on Title: Monthly Crude Oil and Lease and 42 U.S.C. 7101 et seq. the agenda. The Chair of the Board is Condensate, and Natural Gas Production Signed in Washington, DC, on December empowered to conduct the meeting in a Report; 17, 2019. fashion that will facilitate the orderly (3) Type of Request: Renewal; Nanda Srinivasan, conduct of business. (4) Purpose: Form EIA–914 Monthly Director, Office of Statistical Methods and Minutes: The minutes of the meeting Crude Oil and Lease Condensate, and Research, U.S. Energy Information will be available for public review and Natural Gas Production Report collects Administration. copying within 90 days on the STEAB monthly data on natural gas production, [FR Doc. 2019–27741 Filed 12–23–19; 8:45 am] website, https://www.energy.gov/eere/ and crude oil and lease condensate steab/state-energy-advisory-board. production, and crude oil and lease BILLING CODE 6450–01–P
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ENVIRONMENTAL PROTECTION docket for this ICR. The docket can be therefore merit continued funding under AGENCY viewed online at www.regulations.gov Sec. 320 of the Clean Water Act. EPA or in person at the EPA Docket Center, also requests that each of the 28 NEPs [EPA–HQ–OW–2006–0369; FRL–10003–41– WJC West, Room 3334, 1301 OW] receiving Sec. 320 funds report Constitution Ave. NW, Washington, DC. information that can be used in the Proposed Information Collection The telephone number for the Docket GPRA reporting process. This reporting Request; Comment Request; National Center is 202–566–1744. For additional is done on an annual basis and is used Estuary Program (Renewal) information about EPA’s public docket, to show environmental results that are visit http://www.epa.gov/dockets. being achieved within the overall AGENCY: Environmental Protection Pursuant to section 3506(c)(2)(A) of National Estuary Program. This Agency (EPA). the PRA, EPA is soliciting comments information is ultimately submitted to ACTION: Notice. and information to enable it to: (1) Congress along with GPRA information Evaluate whether the proposed from other EPA programs. SUMMARY: The Environmental Protection collection of information is necessary Form numbers: None. Agency is planning to submit an for the proper performance of the Respondents/affected entities: Entities information collection request (ICR), functions of the Agency, including potentially affected by this action are ‘‘National Estuary Program (Renewal)’’ whether the information will have those state or local agencies or (EPA ICR No. 1500.10, OMB Control No. practical utility; (2) evaluate the nongovernmental organizations in the 2040–0138) to the Office of Management accuracy of the Agency’s estimate of the National Estuary Program (NEP) who and Budget (OMB) for review and burden of the proposed collection of receive grants under Section 320 of the approval in accordance with the information, including the validity of Clean Water Act. Paperwork Reduction Act. Before doing the methodology and assumptions used; Respondent’s obligation to respond: so, EPA is soliciting public comments (3) enhance the quality, utility, and Required to obtain or retain a benefit on specific aspects of the proposed clarity of the information to be (Section 320 of the Clean Water Act). information collection as described collected; and (4) minimize the burden Estimated number of respondents: 28 below. This is a proposed extension of of the collection of information on those (total). the ICR, which is currently approved who are to respond, including through Frequency of response: Annual. through September 30, 2020. An Agency the use of appropriate automated Total estimated burden: 5,600 hours may not conduct or sponsor and a electronic, mechanical, or other (per year). Burden is defined at 5 CFR person is not required to respond to a technological collection techniques or 1320.03(b). collection of information unless it other forms of information technology, Total estimated cost: $314,138 (per displays a currently valid OMB control e.g., permitting electronic submission of year), includes $0 annualized capital or number. responses. EPA will consider the operation & maintenance costs. DATES: Comments must be submitted on comments received and amend the ICR Changes in estimates: There is likely or before February 24, 2020. as appropriate. The final ICR package a decrease in the total estimated respondent burden compared with the ADDRESSES: Submit your comments, will then be submitted to OMB for ICR currently approved by OMB. This referencing Docket ID No. EPA–HQ– review and approval. At that time, EPA decrease is due to program evaluations OW–2006–0369, online using will issue another Federal Register taking place for only two years, www.regulations.gov (our preferred notice to announce the submission of compared to three years in the currently method), by email to OW-Docket@ the ICR to OMB and the opportunity to approved ICR. Note that these estimates epa.gov, or by mail to: EPA Docket submit additional comments to OMB. Abstract: The National Estuary will be updated in the final FR Notice. Center, Environmental Protection Program (NEP) involves collecting Agency, Mail Code 28221T, 1200 Dated: December 18, 2019. information from the state or local Pennsylvania Ave. NW, Washington, DC Brian Frazer, agency or nongovernmental 20460. organizations that receive funds under Director, Oceans, Wetlands, and EPA’s policy is that all comments Communities Division, Office of Water, Sec. 320 of the Clean Water Act (CWA). received will be included in the public Environmental Protection Agency. The regulation requiring this docket without change including any [FR Doc. 2019–27755 Filed 12–23–19; 8:45 am] information is found at 40 CFR part 35. personal information provided, unless Prospective grant recipients seek BILLING CODE 6560–50–P the comment includes profanity, threats, funding to develop or oversee and information claimed to be Confidential coordinate implementation of Business Information (CBI) or other Comprehensive Conservation FEDERAL ACCOUNTING STANDARDS information whose disclosure is Management Plans (CCMPs) for ADVISORY BOARD restricted by statute. estuaries of national significance. In FOR FURTHER INFORMATION CONTACT: order to receive funds, grantees must Notice of Request for Comment on the Vince Bacalan, Oceans, Wetlands, and submit an annual workplan to EPA Exposure Draft of a Proposed Communities Division; Office of which are used to track performance of Statement of Federal Financial Wetlands, Oceans, and Watersheds, each of the 28 estuary programs Accounting Standards, Deferral of the (Mail Code 4504T), Environmental currently in the NEP. EPA provides Effective Date of SFFAS 54, Leases Protection Agency, 1200 Pennsylvania funding to NEPs to support long-term AGENCY: Federal Accounting Standards Ave. NW, Washington, DC 20460; implementation of CCMPs if such Advisory Board. telephone number: 202–566–0930; fax programs pass a program evaluation ACTION: Notice. number: 202–566–1336; email address: process. The primary purpose of the [email protected]. program evaluation process is to help Pursuant to 31 U.S.C. 3511(d), the SUPPLEMENTARY INFORMATION: EPA determine whether the 28 programs Federal Advisory Committee Act, as Supporting documents which explain in included in the National Estuary amended (5 U.S.C. App.), and the detail the information that the EPA will Program (NEP) are making adequate FASAB Rules Of Procedure, as amended be collecting are available in the public progress implementing their CCMPs and in October 2010, notice is hereby given
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that the Federal Accounting Standards information on the respondents, information is necessary for the proper Advisory Board (FASAB) has issued an including the use of automated performance of the functions of the exposure draft of a proposed Statement collection techniques or other forms of Commission, including whether the of Federal Financial Accounting information technology; and ways to information shall have practical utility; Standards titled Deferral of the Effective further reduce the information the accuracy of the Commission’s Date of SFFAS 54, Leases. collection burden on small business burden estimate; ways to enhance the The exposure draft is available on the concerns with fewer than 25 employees. quality, utility, and clarity of the FASAB website at https:// The Commission may not conduct or information collected; ways to minimize www.fasab.gov/documents-for- sponsor a collection of information the burden of the collection of comment/. Copies can be obtained by unless it displays a currently valid information on the respondents, contacting FASAB at (202) 512–7350. Office of Management and Budget including the use of automated Respondents are encouraged to (OMB) control number. No person shall collection techniques or other forms of comment on any part of the exposure be subject to any penalty for failing to information technology; and ways to draft. Written comments are requested comply with a collection of information further reduce the information by January 31, 2020, and should be sent subject to the PRA that does not display collection burden on small business to [email protected] or Monica R. a valid OMB control number. concerns with fewer than 25 employees. Valentine, Executive Director, Federal DATES: Written comments should be OMB Control Number: 3060–1192. Accounting Standards Advisory Board, submitted on or before January 27, 2020. Title: Survey of Urban Rates, DA 13– 441 G Street NW, Suite 1155, If you anticipate that you will be 598. Washington, DC 20548. submitting comments, but find it Form Number: N/A. Type of Review: Revision of a FOR FURTHER INFORMATION CONTACT: Ms. difficult to do so within the period of Monica R. Valentine, Executive time allowed by this notice, you should currently approved collection. Respondents: Business or other for- Director, 441 G Street NW, Suite 1155, advise the contacts listed below as soon as possible. profit. Washington, DC 20548, or call (202) Number of Respondents and 512–7350. ADDRESSES: Direct all PRA comments to Nicholas A. Fraser, OMB, via email Responses: 2,275 respondents; 2,275 Authority: Federal Advisory Committee [email protected]; and responses. Act (5 U.S.C. App.), 31 U.S.C. 3511(d). Estimated Time per Response: 3 to Nicole Ongele, FCC, via email PRA@ hours. Dated: December 18, 2019. fcc.gov and to [email protected]. Frequency of Response: Annual Monica R. Valentine, Include in the comments the OMB Executive Director. reporting requirement. control number as shown in the Obligation to Respond: Required to [FR Doc. 2019–27679 Filed 12–23–19; 8:45 am] SUPPLEMENTARY INFORMATION below. obtain or retain benefits. Statutory BILLING CODE 1610–02–P FOR FURTHER INFORMATION CONTACT: For authority for this information collection additional information or copies of the is contained in 47 U.S.C. 254(b). information collection, contact Nicole Total Annual Burden: 6,825 hours. FEDERAL COMMUNICATIONS Ongele at (202) 418–2991. To view a Total Annual Cost: No cost. COMMISSION copy of this information collection Privacy Act Impact Assessment: No request (ICR) submitted to OMB: (1) Go impact(s). [OMB 3060–1192; FRS 16340] to the web page
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improve accountability for the use of concerns with fewer than 25 employees. Obligation To Respond: Required to universal service funding. The The FCC may not conduct or sponsor a obtain or retain benefits. The statutory comparability requirements will ensure collection of information unless it authority for this collection of that rates are reasonably comparable for displays a currently valid Office of information is contained in 47 U.S.C. voice as well as broadband service, Management and Budget (OMB) control 154 and 303. between urban and rural, insular, and number. No person shall be subject to Total Annual Burden: 26 hours. high cost areas. Rates must be any penalty for failing to comply with Annual Cost Burden: $1,300. reasonably comparable so that a collection of information subject to the Nature and Extent of Confidentiality: consumers in rural, insular, and high PRA that does not display a valid OMB There is no need for confidentiality with cost areas have meaningful access to control number. this collection of information. Privacy Act Impact Assessment: No these services. This Order requires a DATES: Written comments should be statistically valid sample of urban impact(s). submitted on or before February 24, Needs and Uses: Manufacturers of providers to complete a survey with 2020. If you anticipate that you will be Low Power Radio Service (LPRS) used information regarding the types and submitting comments, but find it for auditory assistance, health care prices of their offerings. The difficult to do so within the period of assistance, and law enforcement Commission conducts this survey time allowed by this notice, you should tracking purposes must include with through an online reporting form advise the contacts below as soon as each transmitting device the following accessible to those urban providers of possible. statement: ‘‘This transmitter is fixed voice and broadband services that authorized by rule under the Low Power are chosen to participate. ADDRESSES: Direct all PRA comments to Cathy Williams, FCC, via email: PRA@ Radio Service (47 CFR part 95) and must Federal Communications Commission. fcc.gov and to [email protected]. not cause harmful interference to TV Cecilia Sigmund, reception or United States Navy FOR FURTHER INFORMATION CONTACT: For Federal Register Liaison Officer, Office of the additional information about the SPASUR installations. You do not need Secretary. information collection, contact Cathy an FCC license to operate this [FR Doc. 2019–27771 Filed 12–23–19; 8:45 am] Williams at (202) 418–2918. transmitter. This transmitter may only BILLING CODE 6712–01–P be used to provide: Auditory assistance SUPPLEMENTARY INFORMATION: As part of to persons with disabilities, persons its continuing effort to reduce who require language translation, or FEDERAL COMMUNICATIONS paperwork burdens, and as required by persons in educational settings; health COMMISSION the PRA, 44 U.S.C. 3501–3520, the FCC care services to the ill; law enforcement invites the general public and other [OMB 3060–0740; FRS 16341] tracking services under agreement with Federal agencies to take this a law enforcement agency; or automated opportunity to comment on the maritime telecommunications system Information Collection Being Reviewed following information collections. by the Federal Communications (AMTS) network control Comments are requested concerning: communications. Two-way voice Commission Under Delegated Whether the proposed collection of Authority communications and all other types of information is necessary for the proper uses not mentioned above are expressly AGENCY: Federal Communications performance of the functions of the prohibited.’’ Commission. Commission, including whether the The reporting requirement contained ACTION: Notice and request for information shall have practical utility; in Section 95.2109 states that Prior to comments. the accuracy of the Commission’s operating a LPRS transmitter with an burden estimate; ways to enhance the AMTS, the AMTS licensee must notify, SUMMARY: As part of its continuing effort quality, utility, and clarity of the in writing, each television station that to reduce paperwork burdens, and as information collected; ways to minimize may be affected by such operations, as required by the Paperwork Reduction the burden of the collection of defined in Section 80.215(h). The Act of 1995 (PRA), the Federal information on the respondents, notification provided with the station’s Communications Commission (FCC or including the use of automated license application is sufficient to Commission) invites the general public collection techniques or other forms of satisfy this requirement if no new and other Federal agencies to take this information technology; and ways to television stations would be affected. opportunity to comment on the further reduce the information The information collection following information collections. collection burden on small business requirement contained in Section Comments are requested concerning: concerns with fewer than 25 employees. 95.2195 requires that manufacturers of Whether the proposed collection of OMB Control No.: 3060–0740. LPRS transmitters used for auditory information is necessary for the proper Title: Section 95.2109, AMTS assistance, health care assistance, and performance of the functions of the Notifications; 95.2195, LPRS law enforcement tracking purposes must Commission, including whether the Disclosures. include with each transmitting device information shall have practical utility; Form No.: Not applicable. the following statement: the accuracy of the Commission’s Type of Review: Extension of a This transmitter is authorized by rule burden estimate; ways to enhance the currently approved collection. under the Low Power Radio Service (47 quality, utility, and clarity of the Respondents: Business or other for- CFR part 95) and must not cause information collected; ways to minimize profit entities. harmful interference to TV reception or the burden of the collection of Number of Respondents and to the United States Air Force Space information on the respondents, Responses: 26 respondents and 26 Surveillance System operating in the including the use of automated responses. 216.88–217.08 MHz band. With the collection techniques or other forms of Estimated Time per Response: 1 hour. exception of automated maritime information technology; and ways to Frequency of Response: On occasion telecommunications system (AMTS) further reduce the information reporting requirement, and third-party devices, you do not need an FCC license collection burden on small business disclosure requirement. to operate this transmitter. This
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transmitter may only be used to provide: SUPPLEMENTARY INFORMATION: On June assets): 25,098 hours; FR Y–9C (non- Auditory assistance to persons with 15, 1984, OMB delegated to the Board advanced approaches HCs with $5 disabilities, persons who require authority under the PRA to approve and billion or more in total assets): 35,033 language translation, or persons in assign OMB control numbers to hours; FR Y–9C (advanced approaches educational settings; health care collections of information conducted or HCs): 3,617 hours; FR Y–9LP: 9,149 services to the ill; law enforcement sponsored by the Board. Board- hours; FR Y–9SP: 42,768 hours; FR Y– tracking services under agreement with approved collections of information are 9ES: 42 hours; FR Y–9CS: 472 hours. a law enforcement agency; or AMTS incorporated into the official OMB Recordkeeping network control communications. Two- inventory of currently approved way voice communications and all other collections of information. Copies of the FR Y–9C (non-advanced approaches types of uses not mentioned above are PRA Submission, supporting HCs with less than $5 billion in total expressly prohibited. statements, and approved collection of assets): 620 hours; FR Y–9C (non- Please note that Sections 95.1015(a) information instrument(s) are placed advanced approaches HCs with $5 and (b) were renumbered to Sections into OMB’s public docket files. billion or more in total assets): 756 95.2195 and 95.2109 via FCC 17–57. hours; FR Y–9C (advanced approaches Final Approval Under OMB Delegated HCs): 76 hours; FR Y–9LP: 1,736 hours; Federal Communications Commission. Authority of the Extension for Three FR Y–9SP: 3,960 hours; FR Y–9ES: 42 Cecilia Sigmund, Years, With Revision of the Following hours; FR Y–9CS: 472 hours. Federal Register Liaison Officer, Office of the Information Collection General description of report: The FR Secretary. Report Title: Financial Statements for Y–9C consists of standardized financial [FR Doc. 2019–27770 Filed 12–23–19; 8:45 am] Holding Companies. statements similar to the Call Reports BILLING CODE 6712–01–P Agency form number: FR Y–9C, FR Y– filed by commercial banks.1 The FR Y– 9LP, FR Y–9SP, FR Y–9ES, and FR Y– 9C collects consolidated data from HCs 9CS. and is filed quarterly by top-tier HCs OMB control number: 7100–0128. with total consolidated assets of $3 FEDERAL RESERVE SYSTEM Effective Date: December 31, 2019. billion or more.2 Frequency: Quarterly, semiannually, The FR Y–9LP, which collects parent Agency Information Collection and annually. company only financial data, must be Activities: Announcement of Board Respondents: Bank holding submitted by each HC that files the FR Approval Under Delegated Authority companies, savings and loan holding Y–9C, as well as by each of its and Submission to OMB 3 companies, securities holding subsidiary HCs. The report consists of standardized financial statements. AGENCY: Board of Governors of the companies, and U.S. intermediate The FR Y–9SP is a parent company Federal Reserve System. holding companies (collectively, HCs). Estimated number of respondents: FR only financial statement filed SUMMARY: The Board of Governors of the semiannually by HCs with total Federal Reserve System (Board) is Y–9C (non-advanced approaches HCs with less than $5 billion in total assets): consolidated assets of less than $3 adopting a proposal to extend for three billion. In a banking organization with years, with revision, the Financial 155; FR Y–9C (non-advanced approaches HCs with $5 billion or more total consolidated assets of less than $3 Statements for Holding Companies (FR billion that has tiered HCs, each HC in Y–9 Reports; OMB No. 7100–0128). The in total assets): 189; FR Y–9C (advanced approaches HCs): 19; FR Y–9LP: 434; FR the organization must submit, or have revisions are applicable as of December the top-tier HC submit on its behalf, a 31, 2019. Y–9SP: 3,960; FR Y–9ES: 83; FR Y–9CS: 236. separate FR Y–9SP. This report is FOR FURTHER INFORMATION CONTACT: Estimated average hours per response: designed to obtain basic balance sheet Federal Reserve Board Clearance and income data for the parent Officer—Nuha Elmaghrabi—Office of Reporting company, and data on its intangible the Chief Data Officer, Board of FR Y–9C (non-advanced approaches assets and intercompany transactions. Governors of the Federal Reserve HCs with less than $5 billion in total The FR Y–9ES is filed annually by System, Washington, DC 20551, (202) assets): 40.48 hours; FR Y–9C (non- each employee stock ownership plan 452–3829. advanced approaches HCs with $5 (ESOP) that is also an HC. The report Office of Management and Budget billion or more in total assets): 46.34 collects financial data on the ESOP’s (OMB) Desk Officer—Shagufta Ahmed— hours; FR Y–9C (advanced approaches benefit plan activities. The FR Y–9ES Office of Information and Regulatory HCs): 47.59 hours; FR Y–9LP: 5.27 consists of four schedules: A Statement Affairs, Office of Management and hours; FR Y–9SP: 5.40 hours; FR Y–9ES: of Changes in Net Assets Available for Budget, New Executive Office Building, 0.50 hours; FR Y–9CS: 0.50 hours. Benefits, a Statement of Net Assets Room 10235, 725 17th Street NW, Available for Benefits, Memoranda, and Washington, DC 20503, or by fax to Recordkeeping Notes to the Financial Statements. (202) 395–6974. FR Y–9C (non-advanced approaches The FR Y–9CS is a free-form A copy of the Paperwork Reduction HCs with less than $5 billion in total supplemental report that the Board may Act (PRA) OMB submission, including assets), FR Y–9C (non-advanced utilize to collect critical additional data the reporting form and instructions, approaches HCs with $5 billion or more supporting statement, and other in total assets), FR Y–9C (advanced 1 The Call Reports consist of the FFIEC 051, as well as the Consolidated Reports of Condition and documentation will be placed into approaches HCs), and FR Y–9LP: 1.00 Income for a Bank with Domestic Offices Only OMB’s public docket files. These hour; FR Y–9SP, FR Y–9ES, and FR Y– (FFIEC 041) and the Consolidated Reports of documents also are available on the 9CS: 0.50 hours. Condition and Income for a Bank with Domestic Federal Reserve Board’s public website Estimated annual burden hours: and Foreign Offices (FFIEC 031). at https://www.federalreserve.gov/apps/ 2 Under certain circumstances described in the FR Reporting Y–9C’s General Instructions, HCs with assets under reportforms/review.aspx or may be $3 billion may be required to file the FR Y–9C. requested from the agency clearance FR Y–9C (non-advanced approaches 3 A top-tier HC may submit a separate FR Y–9LP officer, whose name appears above. HCs with less than $5 billion in total on behalf of each of its lower-tier HCs.
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deemed to be needed in an expedited exemption 4 of the Freedom of supervision of the financial institution. manner from HCs. The data are used to Information Act (‘‘FOIA’’), (5 U.S.C. Accordingly, such information may be assess and monitor emerging issues 552(b)(4)), because these data items considered confidential pursuant to related to HCs, and the report is reflect commercial and financial exemption 8 of the FOIA (5 U.S.C. intended to supplement the other FR Y– information that is both customarily and 552(b)(8)). In addition, the workpapers 9 reports. The data items included on actually treated as private by the and related materials may also be the FR Y–9CS may change as needed. submitter, and which the Board has protected by exemption 4 of the FOIA, Legal authorization and previously assured submitters will be to the extent such financial information confidentiality: The Board has the treated as confidential. It also appears is treated as confidential by the authority to impose the reporting and that disclosing these data items may respondent (5 U.S.C. 552(b)(4)). recordkeeping requirements associated reveal confidential examination and Current actions: On September 26, with the Y–9 family of reports on bank supervisory information, and in such 2019, the Board published an initial holding companies (‘‘BHCs’’) pursuant instances, this information would also notice in the Federal Register (84 FR to section 5 of the Bank Holding be withheld pursuant to exemption 8 of 50840) requesting public comment for Company Act (‘‘BHC Act’’), (12 U.S.C. the FOIA, (5 U.S.C. 552(b)(8)), which 60 days on the extension, with revision, 1844); on savings and loan holding protects information related to the of the FR Y–9 reports. The comment companies pursuant to section 10(b)(2) supervision or examination of a period for this notice expired on and (3) of the Home Owners’ Loan Act, regulated financial institution. November 25, 2019. The Board did not (12 U.S.C. 1467a(b)(2) and (3)), as In addition, for both the FR Y–9C receive any comments. The revisions amended by sections 369(8) and report and the FR Y–9SP report, will be implemented as proposed. 604(h)(2) of the Dodd-Frank Wall Street Schedule HC’s memorandum item 2.b., Reform and Consumer Protection Act the name and email address of the Board of Governors of the Federal Reserve System, December 18, 2019. (‘‘Dodd-Frank Act’’); on U.S. external auditing firm’s engagement intermediate holding companies (‘‘U.S. partner, is considered confidential Michele Taylor Fennell, IHCs’’) pursuant to section 5 of the BHC commercial information and protected Assistant Secretary of the Board. Act, (12 U.S.C 1844), as well as by exemption 4 of the FOIA, (5 U.S.C. [FR Doc. 2019–27750 Filed 12–23–19; 8:45 am] pursuant to sections 102(a)(1) and 165 552(b)(4)), if the identity of the BILLING CODE 6210–01–P of the Dodd-Frank Act, (12 U.S.C. engagement partner is treated as private 511(a)(1) and 5365); 4 and on securities information by HCs. The Board has holding companies pursuant to section assured respondents that this FEDERAL TRADE COMMISSION 618 of the Dodd-Frank Act, (12 U.S.C. information will be treated as 1850a(c)(1)(A)). The obligation to confidential since the collection of this Agency Information Collection submit the FR Y–9 series of reports, and data item was proposed in 2004. Activities; Proposed Collection; the recordkeeping requirements set forth Aside from the data items described Comment Request in the respective instructions to each above, the remaining data items on the AGENCY: Federal Trade Commission. report, are mandatory. FR Y–9C report and the FR Y–9SP With respect to the FR Y–9C report, report are generally not accorded ACTION: Notice. Schedule HI’s item 7(g) ‘‘FDIC deposit confidential treatment. The data items SUMMARY: The Federal Trade insurance assessments,’’ Schedule HC– collected on FR Y–9LP, FR Y–9ES, and Commission (‘‘FTC’’ or ‘‘Commission’’) 5 P’s item 7(a) ‘‘Representation and FR Y–9CS reports, are also generally is seeking public comment on its warranty reserves for 1–4 family not accorded confidential treatment. As proposal to extend for an additional residential mortgage loans sold to U.S. provided in the Board’s Rules Regarding three years the current PRA clearance to government agencies and government Availability of Information (12 CFR part participate in the OMB program sponsored agencies,’’ and Schedule HC– 261), however, a respondent may ‘‘Generic Clearance for the Collection of P’s item 7(b) ‘‘Representation and request confidential treatment for any Qualitative Feedback on Service warranty reserves for 1–4 family data items the respondent believes Delivery.’’ The current FTC clearance should be withheld pursuant to a FOIA residential mortgage loans sold to other under this program expires on May 31, exemption. The Board will review any parties’’ are considered confidential 2020. commercial and financial information. such request to determine if confidential DATES: Such treatment is appropriate under treatment is appropriate, and will Comments must be submitted by inform the respondent if the request for February 24, 2020. 4 Section 165(b)(2) of Title I of the Dodd-Frank confidential treatment has been denied. ADDRESSES: Interested parties may file a Act, (12 U.S.C. 5365(b)(2)), refers to ‘‘foreign-based To the extent the instructions to the comment online or on paper by bank holding company.’’ Section 102(a)(1) of the FR Y–9C, FR Y–9LP, FR Y–9SP, and FR following the instructions in the Dodd-Frank Act, (12 U.S.C. 5311(a)(1)), defines ‘‘bank holding company’’ for purposes of Title I of Y–9ES reports each respectively direct Request for Comment part of the the Dodd-Frank Act to include foreign banking the financial institution to retain the SUPPLEMENTARY INFORMATION section organizations that are treated as bank holding workpapers and related materials used below. Write ‘‘FTC Generic Clearance companies under section 8(a) of the International in preparation of each report, such ICR, Project No. P035201’’ on your Banking Act, (12 U.S.C. 3106(a)). The Board has required, pursuant to section 165(b)(1)(B)(iv) of the material would only be obtained by the comment, and file your comment online Dodd-Frank Act, (12 U.S.C. 5365(b)(1)(B)(iv)), Board as part of the examination or at https://www.regulations.gov, by certain foreign banking organizations subject to following the instructions on the web- section 165 of the Dodd-Frank Act to form U.S. 5 The FR Y–9CS is a supplemental report that may based form. If you prefer to file your intermediate holding companies. Accordingly, the be utilized by the Board to collect additional comment on paper, mail your comment parent foreign-based organization of a U.S. IHC is information that is needed in an expedited manner treated as a BHC for purposes of the BHC Act and from HCs. The information collected on this to the following address: Federal Trade section 165 of the Dodd-Frank Act. Because Section supplemental report is subject to change as needed. Commission, Office of the Secretary, 5(c) of the BHC Act authorizes the Board to require Generally, the FR Y–9CS report is treated as public. 600 Pennsylvania Avenue NW, Suite reports from subsidiaries of BHCs, section 5(c) However, where appropriate, data items on the FR CC–5610 (Annex J), Washington, DC provides additional authority to require U.S. IHCs Y–9CS report may be withheld under exemptions to report the information contained in the FR Y– 4 and/or 8 of the Freedom of Information Act, (5 20580, or deliver your comment to the 9 series of reports. U.S.C. 552(b)(4) and (8)). following address: Federal Trade
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Commission, Office of the Secretary, • Cognitive laboratory studies, such responsible for making sure that your Constitution Center, 400 7th Street SW, as those used to refine questions or comment does not include any sensitive 5th Floor, Suite 5610 (Annex J), assess usability of a website; or confidential information. In Washington, DC 20024. • Qualitative customer satisfaction particular, your comment should not FOR FURTHER INFORMATION CONTACT: surveys (e.g., post-transaction surveys; include any sensitive personal Bridget Small, Federal Trade opt-out web surveys); information, such as your or anyone • In-person observation testing (e.g., Commission, 600 Pennsylvania Avenue else’s Social Security number; date of website or software usability tests). NW, CC–10402, Washington, DC 20580, An agency may not conduct or birth; driver’s license number or other (202) 326–3266. sponsor, and a person is not required to state identification number, or foreign SUPPLEMENTARY INFORMATION: respond to, a collection of information country equivalent; passport number; Title of Collection: Generic Clearance unless it displays a currently valid OMB financial account number; or credit or for the Collection of Qualitative control number. debit card number. You are also solely Feedback on Agency Service Delivery. responsible for making sure that your Request for Comment OMB Control Number: 3084–0159. comment does not include any sensitive Current Actions: Extension of Pursuant to Section 3506(c)(2)(A) of health information, such as medical approval for a collection of information. the PRA, the FTC invites comments on: records or other individually Affected Public: Individuals and (1) Whether the disclosure, identifiable health information. In Households, Businesses and recordkeeping, and reporting addition, your comment should not Organizations, State, Local or Tribal requirements are necessary, including include any ‘‘trade secret or any Government. whether the resulting information will commercial or financial information Estimated Number of Annual be practically useful; (2) the accuracy of which . . . is privileged or Respondents: 5,764. our burden estimates, including confidential’’—as provided by Section Estimated Total Annual Burden whether the methodology and 6(f) of the FTC Act, 15 U.S.C. 46(f), and Hours: 1,759. assumptions used are valid; (3) how to FTC Rule 4.10(a)(2), 16 CFR 4.10(a)(2)— Abstract: The FTC seeks renewed improve the quality, utility, and clarity including in particular competitively of the disclosure requirements; and (4) OMB approval of its generic clearance to sensitive information such as costs, how to minimize the burden of collect qualitative feedback on service sales statistics, inventories, formulas, providing the required information to delivery (i.e., the products and services patterns, devices, manufacturing that the FTC provides to help consumers. You can file a comment online or on processes, or customer names. consumers and businesses understand paper. For the Commission to consider Comments containing material for their rights and responsibilities, your comment, we must receive it on or which confidential treatment is including websites, blogs, videos, print before February 24, 2020. Write ‘‘FTC publications, and other content). requested must be filed in paper form, Generic Clearance ICR, Project No. ‘‘Qualitative feedback’’ denotes must be clearly labeled ‘‘Confidential,’’ P035201’’ on your comment. Your information that provides useful insight and must comply with FTC Rule 4.9(c). comment, including your name and about public perceptions and opinions, In particular, the written request for your state, will be placed on the public but does not include statistical surveys confidential treatment that accompanies record of this proceeding, including the that yield quantitative results that can the comment must include the factual https://www.regulations.gov website. and legal basis for the request, and must be generalized to the population of Postal mail addressed to the identify the specific portions of the study. The solicitation of feedback on Commission is subject to delay due to comment to be withheld from the public service delivery will target areas such as heightened security screening. As a record. See FTC Rule 4.9(c). Your timeliness, appropriateness, accuracy of result, we encourage you to submit your information, courtesy, efficiency of comments online. To make sure that the comment will be kept confidential only service delivery, and resolution of Commission considers your online if the General Counsel grants your issues with service delivery. The FTC comment, you must file it through the request in accordance with the law and will collect, analyze, and interpret https://www.regulations.gov website by the public interest. Once your comment information it gathers through this following the instructions on the web- has been posted publicly at generic clearance program to identify based form provided. www.regulations.gov—as legally strengths and weaknesses of current If you file your comment on paper, required by FTC Rule 4.9(b)—we cannot services and make improvements in write ‘‘FTC Generic Clearance ICR, redact or remove your comment, unless service delivery based on feedback. This Project No. P035201’’ on your comment you submit a confidentiality request that generic clearance for qualitative and on the envelope, and mail your meets the requirements for such information will not be used for comment to the following address: treatment under FTC Rule 4.9(c), and quantitative information collections that Federal Trade Commission, Office of the the General Counsel grants that request. are designed to yield reliably actionable Secretary, 600 Pennsylvania Avenue The FTC Act and other laws that the results, such as monitoring trends over NW, Suite CC–5610 (Annex J), Commission administers permit the time or documenting program Washington, DC 20580, or deliver your collection of public comments to performance. comment to the following address: consider and use in this proceeding as The types of collections that the Federal Trade Commission, Office of the proposed generic clearance covers Secretary, Constitution Center, 400 7th appropriate. The Commission will include, but are not limited to: Street SW, 5th Floor, Suite 5610, consider all timely and responsive • Customer comment cards/ Washington, DC 20024. If possible, public comments that it receives on or complaint forms; please submit your paper comment to before February 24, 2020. For • Small discussion groups; the Commission by courier or overnight information on the Commission’s • Focus groups of customers, service. privacy policy, including routine uses potential customers, delivery partners, Because your comment will be placed permitted by the Privacy Act, see or other stakeholders; on the public record, you are solely
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https://www.ftc.gov/site-information/ DEPARTMENT OF HEALTH AND proposed collection(s) summarized in privacy-policy. HUMAN SERVICES this notice, you may make your request using one of following: Heather Hippsley, Centers for Medicare & Medicaid 1. Access CMS’ website address at Deputy General Counsel. Services website address at https://www.cms.gov/ [FR Doc. 2019–27763 Filed 12–23–19; 8:45 am] [Document Identifiers: CMS–685] Regulations-and-Guidance/Legislation/ BILLING CODE 6750–01–P PaperworkReductionActof1995/PRA- Agency Information Collection Listing.html. Activities: Proposed Collection; 2. Email your request, including your Comment Request address, phone number, OMB number, DEPARTMENT OF HEALTH AND and CMS document identifier, to HUMAN SERVICES AGENCY: Centers for Medicare & [email protected]. Medicaid Services, HHS. 3. Call the Reports Clearance Office at Centers for Disease Control and ACTION: Notice. (410) 786–1326. Prevention FOR FURTHER INFORMATION CONTACT: SUMMARY: The Centers for Medicare & William N. Parham at (410) 786–4669. Decision To Evaluate a Petition To Medicaid Services (CMS) is announcing SUPPLEMENTARY INFORMATION: Designate a Class of Employees From an opportunity for the public to the Reduction Pilot Plant in comment on CMS’ intention to collect Contents Huntington, West Virginia, To Be information from the public. Under the This notice sets out a summary of the Included in the Special Exposure Paperwork Reduction Act of 1995 (the use and burden associated with the Cohort PRA), federal agencies are required to following information collections. More publish notice in the Federal Register detailed information can be found in AGENCY: National Institute for concerning each proposed collection of each collection’s supporting statement Occupational Safety and Health information (including each proposed and associated materials (see extension or reinstatement of an existing (NIOSH), Centers for Disease Control ADDRESSES). and Prevention, Department of Health collection of information) and to allow and Human Services. 60 days for public comment on the CMS–685 End Stage Renal Disease proposed action. Interested persons are (ESRD) Network Semi-Annual Cost ACTION: Notice. invited to send comments regarding our Report Forms and Supporting burden estimates or any other aspect of Regulations SUMMARY: NIOSH gives notice of a this collection of information, including decision to evaluate a petition to Under the PRA (44 U.S.C. 3501– the necessity and utility of the proposed 3520), federal agencies must obtain designate a class of employees from the information collection for the proper Reduction Pilot Plant in Huntington, approval from the Office of Management performance of the agency’s functions, and Budget (OMB) for each collection of West Virginia, to be included in the the accuracy of the estimated burden, Special Exposure Cohort under the information they conduct or sponsor. ways to enhance the quality, utility, and The term ‘‘collection of information’’ is Energy Employees Occupational Illness clarity of the information to be Compensation Program Act of 2000. defined in 44 U.S.C. 3502(3) and 5 CFR collected, and the use of automated 1320.3(c) and includes agency requests FOR FURTHER INFORMATION CONTACT: collection techniques or other forms of or requirements that members of the Grady Calhoun, Director, Division of information technology to minimize the public submit reports, keep records, or Compensation Analysis and Support, information collection burden. provide information to a third party. National Institute for Occupational DATES: Comments must be received by Section 3506(c)(2)(A) of the PRA Safety and Health, 1090 Tusculum February 24, 2020. requires federal agencies to publish a Avenue, MS C–46, Cincinnati, OH ADDRESSES: When commenting, please 60-day notice in the Federal Register 45226–1938, Telephone 513–533–6800. reference the document identifier or concerning each proposed collection of Information requests can also be OMB control number. To be assured information, including each proposed submitted by email to [email protected]. consideration, comments and extension or reinstatement of an existing recommendations must be submitted in collection of information, before SUPPLEMENTARY INFORMATION: Pursuant any one of the following ways: submitting the collection to OMB for to 42 CFR 83.12, the initial proposed 1. Electronically. You may send your approval. To comply with this definition for the class being evaluated, comments electronically to http:// requirement, CMS is publishing this subject to revision as warranted by the www.regulations.gov. Follow the notice. evaluation, is as follows: instructions for ‘‘Comment or Information Collection Facility: Reduction Pilot Plant. Submission’’ or ‘‘More Search Options’’ Location: Huntington, West Virginia. to find the information collection 1. Type of Information Collection document(s) that are accepting Request: Revision of a previously Job Titles and/or Job Duties: All comments. approved collection; Title of security guards who worked in any area 2. By regular mail. You may mail Information Collection: End Stage Renal of the RPP. written comments to the following Disease (ESRD) Network Semi-Annual Period of Employment: June 7, 1976 address: CMS, Office of Strategic Cost Report Forms and Supporting through November 26, 1978. Operations and Regulatory Affairs, Regulations; Use: Section 1881(c) of the Authority: 42 CFR 83.9–83.12. Division of Regulations Development, Social Security Act establishes End Attention: Document Identifier/OMB Stage Renal Disease (ESRD) Network Frank J. Hearl, Control Number ll, Room C4–26–05, contracts. The regulations found at 42 Chief of Staff, National Institute for 7500 Security Boulevard, Baltimore, CFR 405.2110 and 405.2112 designated Occupational Safety and Health. Maryland 21244–1850. 18 ESRD Networks which are funded by [FR Doc. 2019–27780 Filed 12–23–19; 8:45 am] To obtain copies of a supporting renewable contracts. These contracts are BILLING CODE 4163–18–P statement and any related forms for the on 3-year cycles. To better administer
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the program, CMS is requiring are met by the CAH. Section 1861(mm) II. Approval of Deeming Organizations contractors to submit semi-annual cost of the Social Security Act (the Act), sets Section 1865(a)(2) of the Act and our reports. The purpose of the cost reports out definitions for ‘‘critical access regulations at 42 CFR 488.5 require that is to enable the ESRD Networks to hospital’’ and for inpatient and our findings concerning review and report costs in a standardized manner. outpatient CAH services. Regulations approval of a national accrediting This will allow CMS to review, compare concerning provider agreements are at organization’s requirements consider, and project ESRD Network costs during 42 CFR part 489 and those pertaining to among other factors, the applying the life of the contract. Form Number: activities relating to the survey and accrediting organization’s requirements certification of facilities are at 42 CFR CMS–685 (OMB Control Number: 0938– for accreditation; survey procedures; part 488. The regulations at 42 CFR part 0657); Frequency: Reporting—Semi- resources for conducting required 485, subpart F specify the conditions annually; Affected Public: Not-for-profit surveys; capacity to furnish information that a CAH must meet to participate in institutions; Number of Respondents: for use in enforcement activities; the Medicare program, the scope of 18; Total Annual Responses: 36; Total monitoring procedures for provider covered services, and the conditions for Annual Hours: 108. (For policy entities found not in compliance with questions regarding this collection Medicare payment for CAHs. Generally, to enter into an agreement, the conditions or requirements; and contact Benjamin Bernstein at 410–786– ability to provide CMS with the 6570). a CAH must first be certified by a State survey agency as complying with the necessary data for validation. Dated: December 19, 2019. conditions or requirements set forth in Section 1865(a)(3)(A) of the Act William N. Parham, III, part 485 of our regulations. Thereafter, further requires that we publish, within Director, Paperwork Reduction Staff, Office the CAH is subject to regular surveys by 60 days of receipt of an organization’s of Strategic Operations and Regulatory a State survey agency to determine complete application, a notice Affairs. whether it continues to meet these identifying the national accrediting [FR Doc. 2019–27822 Filed 12–23–19; 8:45 am] requirements. There is an alternative; body making the request, describing the BILLING CODE 4120–01–P however, to surveys by State agencies. nature of the request, and providing at Section 1865(a)(1) of the Act provides least a 30-day public comment period. that, if a provider entity demonstrates We have 210 days from the receipt of a DEPARTMENT OF HEALTH AND through accreditation by an approved complete application to publish notice HUMAN SERVICES national accrediting organization that all of approval or denial of the application. applicable Medicare conditions are met Centers for Medicare & Medicaid III. Provisions of the Proposed Notice or exceeded, we will deem those Services provider entities as having met the In the July 31, 2019 Federal Register [CMS–3377–FN] requirements. Accreditation by an (84 FR 37302), we published a proposed accrediting organization is voluntary notice announcing AAHHS-HFAP’s Medicare and Medicaid Programs: and is not required for Medicare request for continued approval of its Application From Accreditation participation. Medicare CAH accreditation program. Association of Hospitals/Health If an accrediting organization is AAHHS-HFAP submitted all the Systems—Healthcare Facilities recognized by the Secretary of the necessary materials to enable us to make Accreditation Program (AAHHS-HFAP) Department of Health and Human a determination concerning its request for Continued CMS-Approval of Its Services (the Secretary) as having for continued approval of its CAH Critical Access Hospital (CAH) standards for accreditation that meet or accreditation program. This application Accreditation Program exceed Medicare requirements, any was determined to be complete on May provider entity accredited by the 31, 2019. Under Section 1865(a)(2) of AGENCY: Centers for Medicare and national accrediting body’s approved the Act and our regulations at § 488.5 Medicaid Services, HHS. program would be deemed to meet the (Application and re-application ACTION: Final notice. Medicare conditions. A national procedures for national accrediting accrediting organization applying for organizations), our review and SUMMARY: This final notice announces approval of its accreditation program evaluation of AAHHS-HFAP will be our decision to approve an application under part 488, subpart A, must provide conducted in accordance with, but not from Accreditation Association of the Centers for Medicare and Medicaid necessarily limited to, the following Hospitals/Health Systems—Healthcare Services (CMS) with reasonable factors: Facilities Accreditation Program for assurance that the accrediting • The equivalency of AAHHS-HFAP’s continued recognition as a national organization requires the accredited standards for CAHs as compared with accrediting organization for critical provider entities to meet requirements CMS’ CAH conditions of participation access hospitals that wish to participate that are at least as stringent as the (CoP). in the Medicare or Medicaid programs. Medicare conditions. Our regulations • AAHHS-HFAP’s survey process to DATES: This final notice is effective concerning the approval of accrediting determine the following: December 27, 2019 through December organizations are set forth at § 488.5. ++ The composition of the survey 27, 2025. The regulations at § 488.5(e)(2)(i) team, surveyor qualifications, and the FOR FURTHER INFORMATION CONTACT: require an accrediting organization to ability of the organization to provide Lillian Williams, (410) 786–8636. Anita reapply for continued approval of its continuing surveyor training. Moore, (410) 786–2161. accreditation program every 6 years or ++ The comparability of AAHHS- SUPPLEMENTARY INFORMATION: as determined by CMS. The HFAP’s processes to those of State Accreditation Association of Hospitals/ agencies, including survey frequency, I. Background Health Systems—Healthcare Facilities and the ability to investigate and Under the Medicare program, eligible Accreditation Programs (AAHHS-HFAP) respond appropriately to complaints beneficiaries may receive covered current term of approval for its CAH against accredited facilities. services in a critical access hospital accreditation program expires December ++ AAHHS-HFAP’s processes and (CAH) provided certain requirements 27, 2019. procedures for monitoring a CAH found
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out of compliance with AAHHS-HFAP’s • § 485.623(c)(6) through DEPARTMENT OF HEALTH AND program requirements. These § 485.623(c)(6)(ii), to revise its standards HUMAN SERVICES monitoring procedures are used only to clarify that either evacuation or a fire when AAHHS-HFAP identifies watch is required. Food and Drug Administration noncompliance. If noncompliance is • § 485.625(d)(1)(i), to address the [Docket No. FDA–2019–D–4739] identified through validation reviews or requirement that initial training in complaint surveys conducted by the Requesting Food and Drug emergency preparedness policies, State survey agency, the State survey Administration Feedback on procedures, including prompt reporting agency monitors corrections as specified Combination Products; Draft Guidance at § 488.9. and extinguishing of fire, protection, for Industry and Food and Drug ++ AAHHS-HFAP’s capacity to report and where necessary, evacuation of Administration Staff; Availability deficiencies to the surveyed facilities patients, personnel, and guest, fire and respond to the facility’s plan of prevention, and cooperation with AGENCY: Food and Drug Administration, correction in a timely manner. firefighting and disaster authorities, to HHS. ++ AAHHS-HFAP’s capacity to all new and existing staff, and ACTION: Notice of availability. individuals providing services under provide CMS with electronic data and SUMMARY: The Food and Drug reports necessary for effective validation arrangement, and volunteers, consistent Administration (FDA or Agency) is and assessment of the organization’s with their expected roles. announcing the availability of a draft survey process. • § 485.625(e)(3), to revise its guidance for industry entitled ++ The adequacy of AAHHS-HFAP’s standard that CAHs that do not maintain ‘‘Requesting FDA Feedback on staff and other resources, and its an onsite fuel source to power Combination Products.’’ The purpose of financial viability. emergency generators are not required this guidance is to discuss ways in ++ AAHHS-HFAP’s capacity to to have a plan for maintaining such fuel which combination product sponsors adequately fund required surveys. source in emergency circumstances. can obtain feedback from FDA on ++ AAHHS-HFAP’s policies with scientific and regulatory questions and • § 488.26(b), to ensure that surveyors respect to whether surveys are to describe best practices for FDA and announced or unannounced, to assure are assessing compliance with the sponsors when interacting on these that surveys are unannounced. hospital CoPs in CAH psychiatric and topics. These interactions can occur ++ AAHHS-HFAP’s agreement to rehabilitation Distinct Part Unit (DPUs). through application-based mechanisms, provide CMS with a copy of the most B. Term of Approval such as the pre-submission process used current accreditation survey together in the Center for Devices and with any other information related to Based on our review and observations Radiological Health (CDRH) and the the survey as CMS may require described in section III of this final Center for Biologics and Research (including corrective action plans). notice, we have approved AAHHS/ (CBER) and the formal meetings used in ++ AAHHS-HFAP’s policies and HFAP’s as a national accreditation the Center for Drug Evaluation and procedures to avoid conflicts of interest, organization for CAHs that request Research (CDER) and CBER, or through including the appearance of conflicts of participation in the Medicare program, Combination Product Agreement interest, involving individuals who Meetings (CPAMs), as appropriate. conduct surveys or participate in effective December 27, 2019 through DATES: Submit either electronic or accreditation decisions. December 25, 2025. written comments on the draft guidance In accordance with section V. Collection of Information by February 24, 2020 to ensure that the 1865(a)(3)(A) of the Act, the July 31, Requirements Agency considers your comment on this 2019 proposed notice also solicited draft guidance before it begins work on public comments regarding whether This document does not impose the final version of the guidance. AAHHS-HFAP’s requirements met or information collection requirements, exceeded the Medicare CoPs for CAHs. that is, reporting, recordkeeping or third ADDRESSES: You may submit comments No comments were received in response party disclosure requirements. on any guidance at any time as follows: to our proposed notice. Consequently, there is no need for Electronic Submissions IV. Provisions of the Final Notice review by the Office of Management and Submit electronic comments in the Budget under the authority of the following way: A. Differences Between AAHHS-HFAP’s Paperwork Reduction Act of 1995 (44 • Federal eRulemaking Portal: Standards and Requirements for U.S.C. Chapter 35). https://www.regulations.gov. Follow the Accreditation and Medicare Conditions Dated: December 11, 2019. instructions for submitting comments. and Survey Requirements Comments submitted electronically, Seema Verma, We compared AAHHS-HFAP’s CAH including attachments, to https:// accreditation requirements and survey Administrator, Centers for Medicare & www.regulations.gov will be posted to process with the Medicare CoPs of part Medicaid Services. the docket unchanged. Because your 485, and the survey and certification [FR Doc. 2019–27836 Filed 12–23–19; 8:45 am] comment will be made public, you are process requirements of parts 488 and BILLING CODE 4120–01–P solely responsible for ensuring that your 489. Our review and evaluation of comment does not include any AAHHS-HFAP’s CAH application, confidential information that you or a which were conducted as described in third party may not wish to be posted, section III of this final notice, yielded such as medical information, your or the following areas where, as of the date anyone else’s Social Security number, or of this notice, AAHHS-HFAP has confidential business information, such completed revising its standards and as a manufacturing process. Please note certification processes in order to meet that if you include your name, contact the requirements at: information, or other information that
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identifies you in the body of your of comments to public dockets, see 80 sponsors developing combination comments, that information will be FR 56469, September 18, 2015, or access products; (2) best practices to ensure posted on https://www.regulations.gov. the information at: https:// FDA feedback in such pre-submission • If you want to submit a comment www.govinfo.gov/content/pkg/FR-2015- interactions represents the Agency’s with confidential information that you 09-18/pdf/2015-23389.pdf. best advice based on the information do not wish to be made available to the Docket: For access to the docket to provided during these pre-submission public, submit the comment as a read background documents or the interactions; and (3) how CPAMs relate written/paper submission and in the electronic and written/paper comments to other FDA meeting types, what manner detailed (see ‘‘Written/Paper received, go to https:// information should be submitted prior Submissions’’ and ‘‘Instructions’’). www.regulations.gov and insert the to a CPAM, and the form and content of Written/Paper Submissions docket number, found in brackets in the agreements reached through a CPAM. heading of this document, into the FDA is in the process of Submit written/paper submissions as ‘‘Search’’ box and follow the prompts operationalizing the procedures related follows: to submission and receipt of a CPAM • and/or go to the Dockets Management Mail/Hand delivery/Courier (for Staff, 5630 Fishers Lane, Rm. 1061, request. Therefore, if a sponsor wishes written/paper submissions): Dockets Rockville, MD 20852. to submit a CPAM request to FDA at this Management Staff (HFA–305), Food and You may submit comments on any time, the sponsor should first contact Drug Administration, 5630 Fishers guidance at any time (see 21 CFR the Product Jurisdiction Office for the Lane, Rm. 1061, Rockville, MD 20852. 10.115(g)(5)). lead Center (CBERProductJurisdiction@ • For written/paper comments Submit written requests for single fda.hhs.gov, CDERProductJurisdiction@ submitted to the Dockets Management copies of the draft guidance to the Office fda.hhs.gov, or Staff, FDA will post your comment, as of Combination Products, Food and [email protected]) well as any attachments, except for Drug Administration, Bldg. 32, Rm. and the Office of Combination Products information submitted, marked and 5129, 10903 New Hampshire Ave., ([email protected]) prior to identified, as confidential, if submitted submitting a CPAM request to help as detailed in ‘‘Instructions.’’ Silver Spring, MD 20993. Send one self- addressed adhesive label to assist that ensure that the CPAM request is Instructions: All submissions received efficiently received and processed by must include the Docket No. FDA– office in processing your requests. See the SUPPLEMENTARY INFORMATION section FDA. 2019–D–4739 for ‘‘Requesting FDA This draft guidance is being issued Feedback on Combination Products.’’ for electronic access to the draft guidance document. consistent with FDA’s good guidance Received comments will be placed in practices regulation (21 CFR 10.115). FOR FURTHER INFORMATION CONTACT: the docket and, except for those The draft guidance, when finalized, will submitted as ‘‘Confidential Melissa Burns, Office of Combination represent the current thinking of FDA Submissions,’’ publicly viewable at Products, Food and Drug on ‘‘Requesting FDA Feedback on https://www.regulations.gov or at the Administration, 301–796–5616, Combination Products.’’ It does not Dockets Management Staff between 9 [email protected]. establish any rights for any person and a.m. and 4 p.m., Monday through SUPPLEMENTARY INFORMATION: is not binding on FDA or the public. Friday. You can use an alternative approach if • I. Background Confidential Submissions—To it satisfies the requirements of the submit a comment with confidential FDA is announcing the availability of applicable statutes and regulations. information that you do not wish to be a draft guidance for industry and FDA made publicly available, submit your staff entitled ‘‘Requesting FDA Feedback II. Paperwork Reduction Act of 1995 comments only as a written/paper on Combination Products.’’ The purpose Under the Paperwork Reduction Act submission. You should submit two of this guidance is to discuss ways in of 1995 (PRA) (44 U.S.C. 3501–3521), copies total. One copy will include the which combination product sponsors Federal Agencies must obtain approval information you claim to be confidential can obtain feedback from the Agency on from the Office of Management and with a heading or cover note that states scientific and regulatory questions. Budget (OMB) for each collection of ‘‘THIS DOCUMENT CONTAINS These interactions can occur through information they conduct or sponsor. CONFIDENTIAL INFORMATION.’’ The application-based mechanisms, such as ’’Collection of information’’ is defined Agency will review this copy, including the pre-submission process used in in 44 U.S.C. 3502(3) and 5 CFR the claimed confidential information, in CDRH and CBER and the formal 1320.3(c) and includes Agency requests its consideration of comments. The meetings used in CDER and CBER, or or requirements that members of the second copy, which will have the through CPAMs, as appropriate. public submit reports, keep records, or claimed confidential information We are publishing this guidance provide information to a third party. redacted/blacked out, will be available consistent with the Agency’s ongoing Section 3506(c)(2)(A) of the PRA (44 for public viewing and posted on commitment to enhancing clarity and U.S.C. 3506(c)(2)(A)) requires Federal https://www.regulations.gov. Submit transparency regarding regulatory Agencies to provide a 60-day notice in both copies to the Dockets Management considerations for combination the Federal Register concerning each Staff. If you do not wish your name and products, and in accordance with the proposed collection of information contact information to be made publicly mandate under section 503(g)(8)(C)(vi) before submitting the collection to OMB available, you can provide this of the Federal Food, Drug, and for approval. To comply with this information on the cover sheet and not Cosmetics Act (FD&C Act) (21 U.S.C. requirement, FDA is publishing notice in the body of your comments and you 353(g)(8)(C)(vi)), which was added by of the proposed collection of must identify this information as section 3038 of the 21st Century Cures information set forth in this document. ‘‘confidential.’’ Any information marked Act (Pub. L. 114–255) (Cures Act). With respect to the following as ‘‘confidential’’ will not be disclosed Section 503(g)(8)(C)(vi) requires FDA to collection of information, FDA invites except in accordance with 21 CFR 10.20 issue a final guidance addressing: (1) comments on these topics: (1) Whether and other applicable disclosure law. For The structured process for managing the proposed collection of information more information about FDA’s posting pre-submission interactions with is necessary for the proper performance
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of FDA’s functions, including whether available), and structure, for the drug discipline (e.g., Pharmacology/ the information will have practical and/or biological product constituent Toxicology, Pharmaceutical Quality/ utility; (2) the accuracy of FDA’s part(s). Chemistry and Manufacturing Controls estimate of the burden of the proposed D For a device-led combination (CMC), Engineering, Human Factors) collection of information, including the product, provide the route of where possible. The proposals should validity of the methodology and administration and/or dosing be limited to those for which the assumptions used; (3) ways to enhance information for the drug and/or sponsor is seeking agreement from FDA. the quality, utility, and clarity of the biological product constituent part(s). • Rationale and Data Supporting information to be collected; and (4) D For combination products that Proposals. Provide rationale(s) and data ways to minimize the burden of the contain an active ingredient that is adequate to support FDA’s review of the collection of information on included in an approved drug product agreement proposals. Organize the respondents, including through the use that the sponsor seeks to cross reference rationale(s) and data by topic when of automated collection techniques, or rely upon in its submission, identify appropriate. when appropriate, and other forms of the application number of the approved • Attendees. Include a list of planned information technology. product. participants from the sponsor’s Title: Combination Product D For combination products that organization, including names and Agreement Meetings Under FD&C Act contain a device constituent part that is titles. A list of names, titles and Section 503(g)(2)(A)(i); Requesting FDA a cleared or approved device that the affiliations of consultants and Feedback on Combination Products. sponsor seeks to cross reference, interpreters should also be included. If Description of Respondents: identify the application or submission this information changes, it should be Respondents to this collection of number for the previously cleared or updated no later than 5 business days information are combination product approved device. prior to the meeting. If the sponsor sponsors that submit CPAM requests. • Background. Describe the status of Burden Estimate: This draft guidance wishes to request that a specific FDA product development, summarize any includes recommendations regarding staff member or expertise be included in previous interactions with FDA on the information that sponsors should the meeting, that information should be product, including applications, include in CPAM requests. Specifically, included in the CPAM request. application-based mechanisms, other the draft guidance states that for CPAM FDA has not received any CPAM requests, sponsors should:1 meetings, Request for Designations • (RFDs) or pre-RFDs, and identify the requests since the enactment of the Product Information. Cures Act in December 2016. FDA Æ Include the product name, proposed regulatory pathway if not estimates that less than one CPAM description of the overall combination already established. • request will be received per year by product and constituent parts, Meeting Request. Include the each medical product center (CBER, indications for use statement, and, as requested form of communication (i.e., CDER, and CDRH). To provide a applicable, route of administration and face-to-face meeting, teleconference, or conservative estimate of burden, FDA dosing information. written response). Summarize why the Æ Include, as relevant: specific communication format is estimates that approximately one CPAM D For a drug- or biological product-led appropriate. If proposing a face-to-face request will be submitted per year to combination product that includes a meeting or teleconference, provide three each medical product center. FDA device constituent part, a device proposed meeting dates/times, dates estimates that it will take sponsors description, design diagram or other and times when the sponsor is not approximately 25 hours to compile and image, and identify components that are available, and a proposed agenda. draft the information that this draft part of the device. • Agreement Proposals Generally. guidance recommends should be D For a device-led combination Identify the specific proposals for which included in a CPAM request. product, provide the chemical name, the sponsor seeks FDA agreement. FDA estimates the burden of this established or proper name (if Proposals should be grouped by collection of information as follows:
TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1
Number of FDA center Number of responses per Total annual Hours per Total hours respondents respondent responses response
CDER ...... 1 1 1 25 25 CDRH ...... 1 1 1 25 25 CBER ...... 1 1 1 25 25
Total ...... 75 1 There are no capital costs or operating and maintenance costs associated with this collection of information.
This draft guidance also refers to OMB control number 0910–0167; the information pertaining to investigational previously approved collections of collections of information pertaining to new drug submission provisions in 21 information found in FDA regulations. investigational device exemption CFR part 312 are approved under OMB The collections of information submission provisions in 21 CFR part control number 0910–0014; and the pertaining to orphan drug provisions in 812 are approved under OMB control collections of information pertaining to 21 CFR part 316 are approved under number 0910–0078; the collections of biologics licensing submission
1 The draft guidance also notes that combination requests under section 503(g)(8)(C)(v)(I) of the products must be identified as such in CPAM FD&C Act.
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provisions in 21 CFR part 601 are Silver Spring, MD 20993–0002, 1–877– number of registrants requesting to approved under OMB control number 287–1373, email: [email protected], speak is greater than can be reasonably 0910–0338. or FDA Advisory Committee accommodated during the scheduled Information Line, 1–800–741–8138 open public hearing session, FDA may III. Electronic Access (301–443–0572 in the Washington, DC conduct a lottery to determine the Persons with access to the internet area). A notice in the Federal Register speakers for the scheduled open public may obtain the draft guidance at either about last minute modifications that hearing session. The contact person will https://www.fda.gov/combination- impact a previously announced notify interested persons regarding their products/guidance-regulatory- advisory committee meeting cannot request to speak by January 31, 2020. information/combination-products- always be published quickly enough to Persons attending FDA’s advisory guidance-documents or https:// provide timely notice. Therefore, you committee meetings are advised that the www.regulations.gov. should always check the Agency’s Agency is not responsible for providing Dated: December 18, 2019. website at https://www.fda.gov/ access to electrical outlets. AdvisoryCommittees/default.htm and FDA welcomes the attendance of the Lowell J. Schiller, public at its advisory committee Principal Associate Commissioner for Policy. scroll down to the appropriate advisory committee meeting link, or call the meetings and will make every effort to [FR Doc. 2019–27799 Filed 12–23–19; 8:45 am] advisory committee information line to accommodate persons with disabilities. BILLING CODE 4164–01–P learn about possible modifications If you require accommodations due to a before coming to the meeting. disability, please contact Serina Hunter- Thomas at least 7 days in advance of the SUPPLEMENTARY INFORMATION: DEPARTMENT OF HEALTH AND meeting (see FOR FURTHER INFORMATION Agenda: On February 14, 2020, the HUMAN SERVICES CONTACT). Center for Tobacco Product’s TPSAC FDA is committed to the orderly Food and Drug Administration will convene for one open session, conduct of its advisory committee [Docket No. FDA–2019–N–0001] during which the Committee will meetings. Please visit our website at discuss the modified risk tobacco https://www.fda.gov/Advisory The Tobacco Products Scientific product applications, submitted by Committees/AboutAdvisoryCommittees/ Advisory Committee; Notice of Meeting 22nd Century Group Inc. for the ucm111462.htm for procedures on following combusted filtered cigarette public conduct during advisory AGENCY: Food and Drug Administration, tobacco products: committee meetings. HHS. • MR0000159: VLNTM King Notice of this meeting is given under ACTION: Notice. • MR0000160: VLNTM Menthol King the Federal Advisory Committee Act (5 FDA intends to make background U.S.C. app. 2). SUMMARY: The Food and Drug material available to the public no later Dated: December 19, 2019. Administration (FDA) announces a than 2 business days before the meeting. forthcoming public advisory committee If FDA is unable to post the background Lowell J. Schiller, meeting of the Tobacco Products material on its website prior to the Principal Associate Commissioner for Policy. Scientific Advisory Committee (TPSAC, meeting, the background material will [FR Doc. 2019–27774 Filed 12–23–19; 8:45 am] the Committee). The general function of be made publicly available at the BILLING CODE 4164–01–P the Committee is to provide advice and location of the advisory committee recommendations to the Agency on meeting, and the background material FDA’s regulatory issues. The meeting will be posted on FDA’s website after DEPARTMENT OF HEALTH AND will be open to the public. the meeting. Background material is HUMAN SERVICES DATES: The meeting will be held on available at https://www.fda.gov/ Food and Drug Administration February 14, 2020, from 8:30 a.m. to 5 AdvisoryCommittees/Calendar/ p.m. default.htm. Scroll down to the [Docket No. FDA–2013–N–0579] ADDRESSES: FDA White Oak Campus, appropriate advisory committee meeting 10903 New Hampshire Ave., Building link. Agency Information Collection 31 Conference Center, the Great Room Procedure: Interested persons may Activities; Submission for Office of (Rm. 1503), Silver Spring, MD 20993– present data, information, or views, Management and Budget Review; 0002. Answers to commonly asked orally or in writing, on issues pending Comment Request; Biological questions including information before the committee. Written Products: Reporting of Biological regarding special accommodations due submissions may be made to the contact Product Deviations and Human Cells, to a disability, visitor parking, and person on or before February 7, 2020. Tissues, and Cellular and Tissue- transportation may be accessed at: Oral presentations from the public will Based Deviations in Manufacturing https://www.fda.gov/Advisory be scheduled between AGENCY: Food and Drug Administration, Committees/AboutAdvisoryCommittees/ approximately10:45 a.m. and 11:45 a.m. HHS. ucm408555.htm. on February 14, 2020. Those individuals ACTION: Notice. For those unable to attend in person, interested in making formal oral the meeting will also be webcast and presentations should notify the contact SUMMARY: The Food and Drug will be available at the following link: person (see FOR FURTHER INFORMATION Administration (FDA) is announcing https://collaboration.fda.gov/ CONTACT) and submit a brief statement that a proposed collection of tpsac021420/. describing the general nature of the information has been submitted to the FOR FURTHER INFORMATION CONTACT: evidence or arguments they wish to Office of Management and Budget Serina Hunter-Thomas, Office of present and the names and email (OMB) for review and clearance under Science, Center for Tobacco Products, addresses of proposed participants on or the Paperwork Reduction Act of 1995. Food and Drug Administration, before January 30, 2020, by 5 p.m. DATES: Fax written comments on the Document Control Center, Bldg. 71, Rm. Eastern Time. Time allotted for each collection of information by January 27, G335, 10903 New Hampshire Ave., presentation may be limited. If the 2020.
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ADDRESSES: To ensure that comments on (21 CFR part 1271)) as appropriate. FDA both CBER and CDER. Based on the the information collection are received, regards biological product deviation information from industry, the OMB recommends that written (BPD) reporting and HCT/P deviation estimated average time to complete a comments be faxed to the Office of reporting to be an essential tool in its deviation report is 2 hours, which Information and Regulatory Affairs, directive to protect public health by includes a minimal one-time burden to OMB, Attn: FDA Desk Officer, Fax: 202– establishing and maintaining create a user account for those reports _ 395–7285, or emailed to oira surveillance programs that provide submitted electronically. The [email protected]. All timely and useful information. availability of the standardized report comments should be identified with the Section 600.14 (21 CFR 600.14), in form, Form FDA 3486, and the ability to OMB control number 0910–0458. Also brief, requires the manufacturer who submit this report electronically to include the FDA docket number found holds the biological product license, for CBER (CDER does not currently accept in brackets in the heading of this other than human blood and blood electronic filings) further streamlines document. components, and who had control over the report submission process. FOR FURTHER INFORMATION CONTACT: a distributed product when the Domini Bean, Office of Operations, deviation occurred, to report to the CBER has developed a Web-based Food and Drug Administration, Three Center for Biologics Evaluation and addendum to Form FDA 3486 (Form White Flint North, 10A–12M, 11601 Research (CBER) or to the Center for FDA 3486A) to provide additional Landsdown St., North Bethesda, MD Drug Evaluation and Research (CDER) as information when a BPD report has been 20852, 301–796–5733, PRAStaff@ soon as possible but at a date not to reviewed by FDA and evaluated as a fda.hhs.gov. exceed 45 calendar days after acquiring possible recall. The additional information reasonably suggesting that a information requested includes SUPPLEMENTARY INFORMATION: In reportable event has occurred. Section information not contained in the Form compliance with 44 U.S.C. 3507, FDA 606.171, in brief, requires licensed has submitted the following proposed FDA 3486 such as: (1) Distribution manufacturers of human blood and pattern; (2) method of consignee collection of information to OMB for blood components, including Source notification; (3) consignee(s) of products review and clearance. Plasma, unlicensed registered blood for further manufacture; (4) additional Biological Products: Reporting of establishments, and transfusion services, who had control over a product information; (5) updated Biological Product Deviations and product disposition; and (6) industry Human Cells, Tissues, and Cellular and distributed product when the deviation occurred, to report to CBER as soon as recall contacts. This information is Tissue-Based Product Deviations in requested by CBER through email Manufacturing; Forms FDA 3486 and possible but at a date not to exceed 45 notification to the submitter of the BPD 3486A calendar days after acquiring information reasonably suggesting that a report. This information is used by OMB Control Number 0910–0458— reportable event has occurred. CBER for recall classification purposes. Extension Similarly, § 1271.350(b), in brief, CBER estimates that 5 percent of the Under section 351 of the Public requires HCT/P establishments that total BPD reports submitted to CBER Health Service Act (PHS Act) (42 U.S.C. manufacture non-reproductive HCT/Ps would need additional information 262), all biological products, including described in § 1271.10 to investigate and submitted in the addendum. CBER human blood and blood components, report to CBER all HCT/P deviations further estimates that it would take offered for sale in interstate commerce relating to a distributed HCT/P that between 10 to 20 minutes to complete must be licensed and meet standards, relates to the core CGTP requirements, the addendum. For calculation including those prescribed in the FDA if the deviation occurred in the purposes, CBER is using 15 minutes. regulations, designed to ensure the establishment’s facility or in a facility Activities such as investigating, continued safety, purity, and potency of that performed a manufacturing step for such products. In addition, under the establishment under contract, changing standard operating procedures section 361 of the PHS Act (42 U.S.C. agreement or other arrangement. Form or processes, and followup are currently 264), FDA may issue and enforce FDA 3486 is used to submit BPD reports required under 21 CFR parts 211 regulations necessary to prevent the and HCT/P deviation reports. (approved under OMB control number introduction, transmission, or spread of Respondents to this collection of 0910–0139), 606 (approved under OMB communicable diseases between the information are: (1) Licensed control number 0910–0116), 820 States or possessions or from foreign manufacturers of biological products (approved under OMB control number countries into the States or possessions. other than human blood and blood 0910–0073), and 1271 (approved under Further, the Federal Food, Drug, and components, (2) licensed manufacturers OMB control number 0910–0543) and, Cosmetic Act (FD&C Act) (21 U.S.C. of blood and blood components therefore, are not included in the 351) provides that drugs and devices including Source Plasma, (3) unlicensed burden calculation for the separate (including human blood and blood registered blood establishments, (4) requirement of submitting a deviation components) are adulterated if they do transfusion services, and (5) report to FDA. not conform with current good establishments that manufacture non- manufacturing practice (CGMP) assuring reproductive HCT/Ps regulated solely In the Federal Register of July 31, that they meet the requirements of the under section 361 of the PHS Act as 2019 (84 FR 37321), we published a 60- FD&C Act. Establishments described in § 1271.10. The number of day notice requesting public comment manufacturing biological products, respondents and total annual responses on the proposed collection of including human blood and blood are based on the BPD reports and HCT/ information. One comment offering components, must comply with the P deviation reports FDA received in general support for the information applicable CGMP regulations (parts 211, fiscal year 2018. The number of licensed collection was received. 606, and 820 (21 CFR parts 211, 606, manufacturers and total annual We estimate the burden of this and 820)) and current good tissue responses under § 600.14 include the collection of information as follows: practice (CGTP) regulations (part 1271 estimates for BPD reports submitted to
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TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1
Number of Total Average 21 CFR section FDA form No. Number of responses per annual burden per Total hours respondents respondent responses response
600.14; Reporting of product deviations by licensed manufac- turers ...... 3486 93 6.14 571 2.0 1,142 606.171; Reporting of product deviations by licensed manu- facturers, unlicensed registered blood establishments, and transfusion services ...... 3486 1,937 23.847 46,192 2.0 92,384 1271.350(b); Reporting requirements (human cells, tissues, and cellular and tissue-based products) ...... 3486 93 2.61 243 2.0 486 1271.350(b) (CBER addendum report) ...... 2 3486A 102 22.76 2,322 0.25 580.5
Total ...... 49,328 ...... 94,592.5 1 There are no capital costs or operating and maintenance costs associated with this collection of information. 2 Five percent of the number of respondents ((1,937 + 93) × 0.05 = 102) and total annual responses to CBER ((46,192 + 243) × 0.05 = 2,322).
Our estimated burden for the DATES: Comments on the ICR must be Abstract: The Office of the Assistant information collection reflects an received on or before January 27, 2020. Secretary for Preparedness and overall increase of 739 hours and a Response (ASPR), Office of the ADDRESSES: Submit your comments to corresponding increase of 398 Biomedical Advanced Research and [email protected] or via responses. We attribute this adjustment Development Authority (BARDA), is facsimile to (202) 395–5806. to an increase in the number of requesting an approval on an extension submissions we received over the last FOR FURTHER INFORMATION CONTACT: by OMB on a currently approved few years. Sherrette Funn, [email protected] information collection. Dated: December 10, 2019. or (202) 795–7714. When submitting The purpose of this collection is, in comments or requesting information, Lowell J. Schiller, order to route product developers to the please include the document identifier most appropriate personnel within the Principal Associate Commissioner for Policy. 0990–New–30D and project title for Department of Health and Human [FR Doc. 2019–27791 Filed 12–23–19; 8:45 am] reference. Services (HHS), HHS collects some BILLING CODE 4164–01–P basic information about the company’s SUPPLEMENTARY INFORMATION: Interested product through Medical persons are invited to send comments Countermeasures.gov. Using this DEPARTMENT OF HEALTH AND regarding this burden estimate or any information and a routing system that HUMAN SERVICES other aspect of this collection of has been developed with input from information, including any of the participating agencies within HHS, [Document Identifier: OS–0990–0323] following subjects: (1) The necessity and including the Office of the Assistant utility of the proposed information Secretary for Preparedness and Agency Information Collection collection for the proper performance of Response (ASPR), the Centers for Request; 30-Day Public Comment the agency’s functions; (2) the accuracy Disease Control and Prevention (CDC), Request of the estimated burden; (3) ways to the Food and Drug Administration enhance the quality, utility, and clarity AGENCY: Office of the Secretary, HHS. (FDA), and the National Institutes of of the information to be collected; and Health (NIH), Medical ACTION: Notice. (4) the use of automated collection Countermeasures.gov routes the meeting techniques or other forms of information SUMMARY: In compliance with the request to the appropriate person within technology to minimize the information requirement of the Paperwork HHS. ASPR is requesting an extension collection burden. Reduction Act of 1995, the Office of the by OMB for a three-year clearance. Secretary (OS), Department of Health Title of the Collection: Medical Type of respondent: Developers of and Human Services, is publishing the Countermeasures.gov. medical countermeasures to naturally following summary of a proposed Type of Collection: OMB No. 0990– occurring and intentional public health collection for public comment. 0323—Extension— threats visit the site on a monthly basis. ANNUALIZED BURDEN HOUR TABLE
Number of Average Forms Respondents Number of responses per burden per Total burden (if necessary) (if necessary) respondents respondents response hours
Meeting Request ...... Developers of medical countermeasures to naturally occurring and 245 1 10/60 41 intentional public health threats.
Total ...... 41
Terry Clark, Office of the Secretary, Asst. Paperwork Reduction Act Reports Clearance Officer. [FR Doc. 2019–27753 Filed 12–23–19; 8:45 am] BILLING CODE 4150–04–P
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DEPARTMENT OF HEALTH AND FOR FURTHER INFORMATION CONTACT: Information Collection Request Title: HUMAN SERVICES Sherrette Funn, [email protected] The Commissioned Corps of the U.S. or (202) 795–7714. When submitting Public Health Service application. [Document Identifier: OS–0937–0025] comments or requesting information, Abstract: The principal purpose for please include the document identifier Agency Information Collection collecting the information is to permit 0990–New–30D and project title for Request; 30-Day Public Comment reference. HHS to determine eligibility for Request appointment of applicants into the SUPPLEMENTARY INFORMATION: Interested AGENCY: Office of the Secretary, HHS. Commissioned Corps of the U.S. Public persons are invited to send comments Health Service (Corps). The Corps is one ACTION: Notice. regarding this burden estimate or any of the seven Uniformed Services of the other aspect of this collection of United States (37 U.S.C. 101(3)), and SUMMARY: In compliance with the information, including any of the appointments in the Corps are made requirement of the Paperwork following subjects: (1) The necessity and pursuant to 42 U.S.C. 204 et seq. and 42 Reduction Act of 1995, the Office of the utility of the proposed information Secretary (OS), Department of Health collection for the proper performance of CFR 21.58. The application consists of and Human Services, is publishing the the agency’s functions; (2) the accuracy forms PHS–50, PHS–1813, and the following summary of a proposed of the estimated burden; (3) ways to Commissioned Corps Personal collection for public comment. enhance the quality, utility, and clarity Statement. DATES: Comments on the ICR must be of the information to be collected; and Likely Respondents: Candidates/ received on or before January 27, 2020. (4) the use of automated collection Applicants to the Commissioned Corps ADDRESSES: Submit your comments to techniques or other forms of information of the U.S. Public Health Service. [email protected] or via technology to minimize the information facsimile to (202) 395–5806. collection burden.
TOTAL ESTIMATED ANNUALIZED BURDEN—HOURS
Average Number of Number of burden per Total Form name Type of respondents respondents responses per response burden respondent (in hours) hours
Prequalification Questionnaire ...... Interested Health Professionals ...... 6,000 1 10/60 1,000 Form PHS–50 ...... Health Professionals ...... 3,000 1 15/60 750 Form PHS–1813...... References (college professors/ 3,000 1 15/60 750 teachers). Addendum: Commissioned Corps Health Professionals ...... 3,000 1 15/60 750 Personal Statement.
Total ...... 5,500
Terry Clark, Management and Budget (OMB) Control collection project was last published in Office of the Secretary, Asst Paperwork Number 0917–0037. IHS is requesting the Federal Register (81 FR 24108). No Reduction Act Reports Clearance Officer. OMB to approve an extension for this public comment was received in [FR Doc. 2019–27752 Filed 12–23–19; 8:45 am] collection, which expires on February response to the notice. The purpose of BILLING CODE 4150–49–P 29, 2020. this notice is to allow 60 days for public DATES: Comment Due Date: February 24, comment. A copy of the supporting 2020. Your comments regarding this statement is available at DEPARTMENT OF HEALTH AND information collection are best assured www.regulations.gov (see Docket ID HUMAN SERVICES of having full effect if received within IHS–2016–0003). 60 days of the date of this publication. Indian Health Service I. Abstract ADDRESSES: Send your written Request for Public Comment: 60 Day comments, requests for more Representatives of the IHS seek Information Collection: Indian Self- information on the collection, or renewal of the approval for information Determination and Education requests to obtain a copy of the data collections conducted under 25 CFR Assistance Act Contracts collection instrument and instructions part 900, implementing the Indian Self- to Captain Kelly Battese by one of the AGENCY: Indian Health Service, HHS. Determination and Education following methods: Assistance Act (ISDEAA), as amended ACTION: Notice and request for • Mail: Captain Kelly Battese, Acting comments. Request for extension of (25 U.S.C. 5301 et seq.), which describes Director, IHS Office of Direct Service how contracts are awarded to Indian approval. and Contracting Tribes (ODSCT), Indian Tribes and Tribal organizations. The Health Service, 5600 Fishers Lane, Mail SUMMARY: In compliance with the rule at 25 CFR part 900 was developed Stop O8E17C, Rockville, MD 20857. Paperwork Reduction Act of 1995, the through negotiated rulemaking with • Phone: 301–443–1104. Indian Health Service (IHS) invites the Tribes in 1996 and governs, among • Email: [email protected]. general public to comment on the other things, what must be included in • Fax: 301–480–3192. information collection titled, ‘‘Indian a Tribe’s initial ISDEAA contract Self-Determination and Education SUPPLEMENTARY INFORMATION: This Assistance Act Contracts,’’ Office of previously approved information
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proposal to IHS. In at least some time. While you can ask us in your DEPARTMENT OF HOMELAND instances, the information collected comment to withhold your personal SECURITY under 25 CFR part 900 is required to identifying information from public obtain and/or retain a benefit. review, we cannot guarantee that we Coast Guard The information requirements for this will be able to do so. [Docket Number USCG–2019–0946] rule represent significant differences from other agencies in several respects. III. Data Application for Recertification of Under the Act, the Secretary of Health OMB Control Number: 0917–0037. Prince William Sound Regional and Human Services is directed to enter Citizens’ Advisory Council into self-determination contracts with Title: Indian Self-Determination and Tribes or eligible Tribal Organizations Education Assistance Act Contracts, 25 AGENCY: Coast Guard, DHS. upon request, unless specific CFR part 900. ACTION: Notice; request for comments. declination criteria apply, and, Brief Description of Collection: An SUMMARY: The Coast Guard announces generally, contractors may renew these Indian Tribe or Tribal Organization is contracts annually, whereas other the availability of, and seeks comments required to submit certain information agencies provide grants on a on, the recertification of the Prince when it proposes to contract with the discretionary or competitive basis. William Sound Regional Citizen’s Additionally, IHS awards contracts for IHS under the ISDEAA. Each response Advisory Council (PWSRCAC) for multiple programs whereas other may vary in its length. In addition, each March 2, 2020 through February 28, agencies usually award single grants to Subpart of 25 CFR part 900 concerns 2021. Under the Oil Pollution Act of Tribes. different parts of the contracting 1990 (OPA 90), the Coast Guard may The IHS uses the information process. For example, Subpart C relates certify the PWSRCAC on an annual collected to determine applicant to provisions of the contents for the basis. This advisory group monitors the eligibility, evaluate applicant initial contract proposal. The activities of terminal facilities and crude capabilities, protect the service respondents do not incur the burden oil tankers under the Prince William population, safeguard Federal funds and associated with Subpart C when Sound program established by the other resources, and permit the Federal contracts are renewed. Subpart F statute. The Coast Guard may certify an agency to administer and evaluate describes minimum standards for alternative voluntary advisory group in contract programs. Tribal Governments management systems used by Indian lieu of the PWSRCAC. The current or Tribal Organizations provide the Tribes or Tribal Organizations under certification for the PWSRCAC will information by submitting contract these contracts. Subpart G addresses the expire March 1, 2020. proposals, and related information, to negotiability of all reporting and data DATES: Public comments on the IHS, as required under Public Law requirements in the contracts. PWSRCAC’s recertification application 93–638. No third party notification or Responses are required to obtain or must reach the Seventeenth Coast Guard public disclosure burden is associated retain a benefit. District on or before February 10, 2020. with this collection. ADDRESSES: You may submit comments Type of Review: Extension of II. Request for Comments identified by docket number USCG– currently approved collection. 2019–0946 using the Federal The IHS requests your comments on Respondents: Federally recognized eRulemaking Portal at http:// this collection concerning: (a) The Indian Tribes and Tribal Organizations. www.regulations.gov. See the ‘‘Public necessity of this information collection Participation and Request for for the proper performance of the Number of Respondents: 275 Title I Comments’’ portion of the functions of the agency, including contractors. SUPPLEMENTARY INFORMATION section for whether the information will have Estimated Number of Responses: On further instructions on submitting practical utility; (b) the accuracy of the average, IHS receives 10 proposals for comments. agency’s estimate of the burden (hours new or expanded Title I agreements and cost) of the collection of each fiscal year, plus there are 265 FOR FURTHER INFORMATION CONTACT: If information, including the validity of existing Title I contracts and associated you have questions on this the methodology and assumptions used; annual funding agreements, which must recertification, call or email LT Ian McPhillips, Seventeenth Coast Guard (c) ways we could enhance the quality, be negotiated each year = 275 responses. utility, and clarity of the information to District (dpi); telephone (907) 463–2809; be collected; and (d) ways we could Estimated Time per Response: email [email protected]. If you minimize the burden of the collection of Average of 70 hours for the new/ have questions on viewing or submitting the information on the respondents. expanded; average of 35 hours for the material to the docket, contact the U. S. Please note that an agency may not existing. Coast Guard Headquarters, Regulations conduct or sponsor, and an individual Frequency of Response: Each time and Administrative Law office, need not respond to, a collection of programs, functions, services or telephone (202) 372–3862. information unless it displays a valid activities are contracted from the IHS SUPPLEMENTARY INFORMATION: OMB Control Number. under the ISDEAA. It is our policy to make all comments I. Public Participation and Request for available to the public for review at the Estimated Total Annual Hour Burden: Comments × location listed in the ADDRESSES section. 700 [70 10] for new/expanded + 9,275 We view public participation as × Before including your address, phone [35 265] for existing = 9,975. essential to effective rulemaking, and number, email address or other Chris Buchanan, will consider all comments and material personally identifiable information in received during the comment period. Assistant Surgeon General, USPHS, Deputy your comment, you should be aware Your comment can help shape the Director, Indian Health Service. that your entire comment—including outcome of this rulemaking. If you your personal identifying information— [FR Doc. 2019–27819 Filed 12–23–19; 8:45 am] submit a comment, please include the may be made publicly available at any BILLING CODE 4165–16–P docket number for this rulemaking,
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indicate the specific section of this policy statement on July 7, 1993 (58 FR DEPARTMENT OF HOMELAND document to which each comment 36504), to clarify the factors that the SECURITY applies, and provide a reason for each Coast Guard would be considering in suggestion or recommendation. making its determination as to whether U.S. Customs and Border Protection We encourage you to submit advisory groups should be certified in [CBP Dec. 19–13] comments through the Federal accordance with the Act, and the eRulemaking Portal at http:// procedures which the Coast Guard Western Hemisphere Travel Initiative: www.regulations.gov. If your material would follow in meeting its certification Designation of an Approved Native cannot be submitted using http:// responsibilities under the Act. Most American Tribal Card Issued by the www.regulations.gov, contact the person recently, on September 16, 2002 (67 FR Swinomish Indian Tribal Community as in the FOR FURTHER INFORMATION 58440), the Coast Guard changed its an Acceptable Document To Denote CONTACT section of this document for policy on recertification procedures for Identity and Citizenship for Entry in the alternate instructions. regional citizen’s advisory council by United States at Land and Sea Ports of We accept anonymous comments. All Entry comments received will be posted requiring applicants to provide without change to http:// comprehensive information every three AGENCY: U.S. Customs and Border www.regulations.gov and will include years. For the two years in between, Protection, DHS. any personal information you have applicants only submit information ACTION: Notice. provided. For more about privacy and describing substantive changes to the the docket, you may review a Privacy information provided at the last SUMMARY: This notice announces that Act notice regarding the Federal Docket triennial recertification. This is the year the Commissioner of U.S. Customs and Management System in the March 24, in this triennial cycle that PWSRCAC Border Protection is designating an 2005, issue of the Federal Register (70 must provide comprehensive approved Native American tribal card FR 15086). information. issued by the Swinomish Indian Tribal Community to U.S. citizen tribal Documents mentioned in this notice The Coast Guard is accepting as being available in the docket, and all members as an acceptable travel comments concerning the recertification public comments, will be in our online document for purposes of the Western of PWSRCAC. At the conclusion of the docket at http://www.regulations.gov Hemisphere Travel Initiative. The and can be viewed by following that comment period on February 10, 2020, approved card may be used to denote website’s instructions. Additionally, if the Coast Guard will review all identity and citizenship of Swinomish you go to the online docket and sign up application materials and comments Indian Tribal Community members for email alerts, you will be notified received and will take one of the entering the United States from when comments are posted or a final following actions: contiguous territory or adjacent islands rule is published. (a) Recertify the advisory group under at land and sea ports of entry. 33 U.S.C. 2732(o); DATES: This designation will become II. Privacy Act effective on December 26, 2019. (b) Issue a conditional recertification Anyone can search the electronic FOR FURTHER INFORMATION CONTACT: for a period of 90 days, with a statement form of comments received into any of Colleen Manaher, Executive Director, of any discrepancies, which must be our dockets by the name of the Planning, Program Analysis, and individual submitting the comment (or corrected to qualify for recertification Evaluation, Office of Field Operations, signing the comment, if submitted on for the remainder of the year; or U.S. Customs and Border Protection, via behalf of an association, business, labor (c) Deny recertification of the advisory email at Colleen.M.Manaher@ union, etc.). You may review a Privacy group if the Coast Guard finds that the cbp.dhs.gov or 202–344–3003. Act notice regarding our public dockets group is not broadly representative of SUPPLEMENTARY INFORMATION: in the January 17, 2008, issue of the the interests and communities in the Background Federal Register (73 FR 3316). area or is not adequately fostering the III. Public Meeting goals and purposes of 33 U.S.C. 2732. The Western Hemisphere Travel Initiative The Coast Guard does not plan to The Coast Guard will notify hold a public meeting. But you may PWSRCAC by letter of the action taken Section 7209 of the Intelligence submit a request for one on or before on its application. A notice will be Reform and Terrorism Prevention Act of February 10, 2020 using the method published in the Federal Register to 2004 (IRTPA), Public Law 108–458, as specified under ADDRESSES. Please advise the public of the Coast Guard’s amended, required the Secretary of explain why you believe a public determination. Homeland Security (Secretary), in consultation with the Secretary of State, meeting would be beneficial. If we Dated: December 18, 2019. determine that one would aid the to develop and implement a plan to process of thoroughly considering the Melissa L. Rivera, require U.S. citizens and individuals for application for recertification, we will Captain, U.S. Coast Guard, Acting whom documentation requirements hold one at a time and place announced Commander, Seventeenth Coast Guard have previously been waived under by a later notice in the Federal Register. District. section 212(d)(4)(B) of the Immigration [FR Doc. 2019–27772 Filed 12–23–19; 8:45 am] and Nationality Act (8 U.S.C. IV. Background and Purpose BILLING CODE 9110–04–P 1182(d)(4)(B)) to present a passport or The Coast Guard published guidelines other document or combination of on December 31, 1992 (57 FR 62600), to documents as the Secretary deems assist groups seeking recertification sufficient to denote identity and under the Oil Terminal and Oil Tanker citizenship for all travel into the United Environmental Oversight and States. See 8 U.S.C. 1185 note. On April Monitoring Act of 1990 (33 U.S.C. 2732) 3, 2008, the Department of Homeland (the Act). The Coast Guard issued a Security (DHS) and the Department of
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State promulgated a joint final rule, The Secretary has delegated to the WHTI compliant documents. See, e.g., effective on June 1, 2009, that Commissioner of U.S. Customs and the Native American tribal cards of the implemented the plan known as the Border Protection (CBP) the authority to Kootenai Tribe of Idaho, 77 FR 4822 Western Hemisphere Travel Initiative designate certain documents as (January 31, 2012); the Seneca Nation of (WHTI) at U.S. land and sea ports of acceptable border crossing documents Indians, 80 FR 40076 (July 13, 2015); the entry. See 73 FR 18384 (the WHTI Land for persons arriving in the United States Hydaburg Cooperative Association of and Sea Final Rule). It amended various by land or sea from within the Western Alaska, 81 FR 33686 (May 27, 2016); sections of the Code of Federal Hemisphere, including certain United and the Pokagon Band of Potawatomi Regulations (CFR), including 8 CFR States Native American tribal cards. See Indians, 82 FR 42351 (September 7, 212.0, 212.1, and 235.1. The WHTI Land DHS Delegation Number 7105 (Revision 2017). and Sea Final Rule specifies the 00), dated January 16, 2009. Swinomish Indian Tribal Community documents that U.S. citizens and Tribal Card Program WHTI-Compliant Native American nonimmigrant aliens from Canada, Tribal Card Program Bermuda, and Mexico are required to The WHTI Land and Sea Final Rule present when entering the United States allowed U.S. federally recognized The Swinomish Indian Tribal at land and sea ports of entry. Native American tribes to work with Community has voluntarily established Under the WHTI Land and Sea Final CBP to enter into agreements to develop a program to develop a WHTI-compliant Rule, one type of citizenship and tribal ID cards that can be designated as Native American tribal card that denotes identity document that may be acceptable to establish identity and identity and U.S. citizenship. On presented upon entry to the United citizenship when entering the United October 7, 2015, CBP and the States at land and sea ports of entry States at land and sea ports of entry Swinomish Indian Tribal Community from contiguous territory or adjacent from contiguous territory or adjacent entered into a Memorandum of islands 1 is a Native American tribal islands. CBP has been working with Agreement (MOA) to develop, issue, card that has been designated as an various U.S. federally recognized Native test, and evaluate tribal cards to be used acceptable document to denote identity American tribes to facilitate the for border crossing purposes. Pursuant and citizenship by the Secretary, development of such cards.3 As part of to this MOA, the cards are issued to pursuant to section 7209 of IRTPA. the process, CBP will enter into one or members of the Swinomish Indian Specifically, 8 CFR 235.1(e), as more agreements with a U.S. federally Tribal Community who can establish amended by the WHTI Land and Sea recognized tribe that specify the identity, tribal membership, and U.S. Final Rule, provides that upon requirements for developing and issuing citizenship. The cards incorporate designation by the Secretary of WHTI-compliant Native American tribal physical security features acceptable to Homeland Security of a United States cards, including a testing and auditing CBP as well as facilitative technology qualifying tribal entity document as an process to ensure that the cards are allowing for electronic validation of acceptable document to denote identity produced and issued in accordance with identity, citizenship, and tribal and citizenship for the purposes of the terms of the agreements. membership by CBP.4 entering the United States, Native After production of the cards in CBP has tested the cards developed by Americans may be permitted to present accordance with the specified the Swinomish Indian Tribal tribal cards upon entering or seeking requirements, and successful testing and Community pursuant to the above MOA admission to the United States auditing by CBP of the cards and and related agreements, and has according to the terms of the voluntary program, the Secretary of Homeland performed an audit of the tribe’s card agreement entered between the Security or the Commissioner of CBP program. On the basis of these tests and Secretary of Homeland Security and the may designate the Native American audit, CBP has determined that the tribe. It provides that the Secretary of tribal card as an acceptable WHTI- Native American tribal cards meet the Homeland Security will announce, by compliant document for the purpose of requirements of section 7209 of the publication of a notice in the Federal establishing identity and citizenship IRTPA and are acceptable documents to Register, documents designated under when entering the United States by land denote identity and U.S. citizenship for this paragraph. It further provides that or sea from contiguous territory or purposes of entering the United States at a list of the documents designated under adjacent islands. Such designation will land and sea ports of entry from this section will also be made available be announced by publication of a notice contiguous territory or adjacent islands. to the public. in the Federal Register. More CBP’s continued acceptance of the A United States qualifying tribal information about WHTI-compliant Native American tribal card as a WHTI- entity is defined as a tribe, band, or documents is available at www.cbp.gov/ compliant document is conditional on other group of Native Americans travel. compliance with the MOA and related formally recognized by the United The Pascua Yaqui Tribe of Arizona agreements. States Government which agrees to meet became the first Native American tribe Acceptance and use of the WHTI- WHTI document standards. See 8 CFR to have its Native American tribal card compliant Native American tribal card 212.0.2 Native American tribal cards are designated as a WHTI-compliant also referenced in 8 CFR 235.1(b), which document by the Commissioner of CBP. 4 Beginning in 2016, CBP and the Swinomish This designation was announced in a Indian Tribal Community entered into additional lists the documents U.S. citizens may agreements related to the MOA. CBP and the use to establish identity and citizenship notice published in the Federal Register Swinomish Indian Tribal Community entered into when entering the United States. See 8 on June 9, 2011 (76 FR 33776). a Service Level Agreement (SLA) on September 14, CFR 235.1(b)(7). Subsequently, the Commissioner of CBP 2016, concerning technical requirements and announced the designation of several support for the production, issuance, and verification of the Native American tribal cards. 1 ‘‘Adjacent islands’’ is defined in 8 CFR 212.0 as other Native American tribal cards as CBP and the Swinomish Indian Tribal Community ‘‘Bermuda and the islands located in the Caribbean also entered into an Interconnection Security Sea, except Cuba.’’ This definition applies to 8 CFR 3 The Native American tribal cards qualifying to Agreement on March 15, 2017, with respect to 212.1 and 235.1. be a WHTI-compliant document for border crossing individual and organizational security 2 This definition applies to 8 CFR 212.1 and purposes are commonly referred to as ‘‘Enhanced responsibilities for the protection and handling of 235.1. Tribal Cards’’ or ‘‘ETCs.’’ unclassified information.
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is voluntary for tribe members. If an (this is not a toll-free number) or email parties concerning the collection of individual is denied a WHTI-compliant at [email protected] for a copy of information described in Section A on Native American tribal card, he or she the proposed forms or other available the following: may still apply for a passport or other information. Persons with hearing or (1) Whether the proposed collection WHTI-compliant document. speech impairments may access this of information is necessary for the number through TTY by calling the toll- proper performance of the functions of Designation free Federal Relay Service at (800) 877– the agency, including whether the This notice announces that the 8339. information will have practical utility; Commissioner of CBP designates the FOR FURTHER INFORMATION CONTACT: (2) The accuracy of the agency’s Native American tribal card issued by Dawn Smith, Office of Policy, Programs estimate of the burden of the proposed the Swinomish Indian Tribal and Legislative Initiatives, PIH, collection of information; Community in accordance with the Department of Housing and Urban (3) Ways to enhance the quality, MOA and related agreements as an Development, 451 7th Street SW, utility, and clarity of the information to acceptable WHTI-compliant document (L’Enfant Plaza, Room 2206), be collected; and (4) Ways to minimize the burden of pursuant to section 7209 of the IRTPA Washington, DC 20410; telephone 202– the collection of information on those and 8 CFR 235.1(e). In accordance with 402–6488, (this is not a toll-free who are to respond; including through these provisions, the approved card, if number). Persons with hearing or the use of appropriate automated valid and lawfully obtained, may be speech impairments may access this collection techniques or other forms of used to denote identity and U.S. number via TTY by calling the Federal information technology, e.g., permitting citizenship of Swinomish Indian Tribal Relay Service at (800) 877–8339. Copies electronic submission of responses. Community members for the purposes of available documents submitted to HUD encourages interested parties to of entering the United States from OMB may be obtained from Ms. Smith. contiguous territory or adjacent islands submit comment in response to these SUPPLEMENTARY INFORMATION: This at land and sea ports of entry. questions. notice informs the public that HUD is Dated: December 17, 2019. seeking approval from OMB for the C. Authority Mark A. Morgan, information collection described in Section 3507 of the Paperwork Acting Commissioner. Section A. Reduction Act of 1995, 44 U.S.C. [FR Doc. 2019–27721 Filed 12–23–19; 8:45 am] A. Overview of Information Collection Chapter 35. BILLING CODE 9111–14–P Dated: December 13, 2019. Title of Information Collection: Application for the Resident Nora McArdle, Opportunities and Self Sufficiency Senior Policy Analyst, Office of Policy, DEPARTMENT OF HOUSING AND Programs and Legislative Initiatives. URBAN DEVELOPMENT (ROSS) Program. OMB Approval Number: 2577–0229. [FR Doc. 2019–27840 Filed 12–23–19; 8:45 am] [Docket No. FR–7015–N–11] Type of Request: Reinstatement, BILLING CODE 4210–67–P without change, of previously approved 60-Day Notice of Proposed Information collection. Collection: Application for Resident Form Number: ROSS Grant DEPARTMENT OF HOUSING AND Opportunity & Self Sufficiency (ROSS) Application forms: HUD 52752; HUD URBAN DEVELOPMENT Grant Forms 52753; HUD–52755; HUD–57268; SF– [Docket No. FR–7015–N–10] AGENCY: Office of the Assistant 424; HUD–2880; HUD–2990; HUD– 60-Day Notice of Proposed Information Secretary for Public and Indian Housing 2991; SF–LLL, HUD–2993, HUD–2994– Collection: Project Based Vouchers (PIH), HUD. A. The Department is submitting this (PBV) Online Form ACTION: Notice. PRA request in order to reinstate, AGENCY: Office of the Assistant SUMMARY: HUD is seeking approval from without change, a previously approved Secretary for Public and Indian the Office of Management and Budget collection that has an upcoming PRA Housing, HUD. expiration date. (OMB) for the information collection ACTION: Notice. described below. In accordance with the Description of the need for the Paperwork Reduction Act, HUD is information and proposed use: The SUMMARY: HUD is seeking approval from requesting comment from all interested forms are used to evaluate capacity and the Office of Management and Budget parties on the proposed collection of eligibility of applicants to the ROSS (OMB) for the information collection information. The purpose of this notice program. described below. In accordance with the is to allow for 60 days of public Respondents (i.e., affected public): Paperwork Reduction Act, HUD is comment. Public Housing Authorities, tribes/ requesting comment from all interested TDHEs, public housing resident parties on the proposed collection of DATES: Comments Due Date: February associations, and nonprofit information. The purpose of this notice 24, 2020. organizations. is to allow for 60 days of public ADDRESSES: Interested persons are Estimated Number of Respondents: comment. invited to submit comments regarding 350. DATES: this proposal. Comments should refer to Estimated Number of Responses: 350. Comments Due: February 24, the proposal by name and/or OMB Frequency of Response: 1. 2020. Control Number and should be sent to: Average Hours per Response: 5 hours. ADDRESSES: Interested persons are Colette Pollard, Reports Management Total Estimated Burdens: 1,907 hours. invited to submit comments regarding Officer, QDAM, Department of Housing this proposal. Comments should refer to and Urban Development, 451 7th Street B. Solicitation of Public Comment the proposal by name and/or OMB SW, Room 4176, Washington, DC This notice is soliciting comments Control Number and should be sent to: 20410–5000; telephone 202–402–3400 from members of the public and affected Colette Pollard, Reports Management
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Officer, QDAM, Department of Housing public housing units to project-based Based-Vouchers, mixed finance Project- and Urban Development, 451 7th Street assistance under the Congressionally Based Vouchers, all Project-Based SW, Room 4176, Washington, DC authorized Rental Assistance Vouchers at Moving to Work Agencies, 20410–5000; telephone 202–402–3400 Demonstration (RAD). HUD currently and all Project Based Vouchers at non- (this is not a toll-free number) or email collects information on individual Moving to Work Agencies. at [email protected] for a copy of participants in the HCV program who The fields of collection for PBV the proposed forms or other available are in PBV units and Project certificate projects may include: information. Persons with hearing or (PBC) housing through the PIC system. HAP Contract Number speech impairments may access this In addition, HUD collects aggregate Name of Project information on the total number of PBVs number through TTY by calling the toll- Address of Building(s) and Units under contract at the PHA level. HUD free Federal Relay Service at (800) 877– Number of Units Under AHAP 8339. currently does not systematically collect information on the project or Number of Units Under HAP Contract FOR FURTHER INFORMATION CONTACT: by Bedroom Size Dawn Smith, Office of Policy, Programs development level for PBVs. This leaves a gap in HUD’s Number of Total Units in the Project and Legislative Initiatives, PIH, Structure Type Department of Housing and Urban information collection of PBVs between Type: Existing, Rehabilitated, or Newly Development, 451 7th Street SW, Room the individual tenant data and the Constructed 3178, Washington, DC 20410; telephone aggregated PHA data. HUD does not Effective Date(s) of AHAP 202–402–6488, (this is not a toll-free systematically collect information on number). Persons with hearing or the development or project level, Effective Date(s) of HAP Contract including the number of units at PBV speech impairments may access this Expiration Date projects, what exceptions apply, their number via TTY by calling the Federal Owner Name rents, the terms of contract, and Relay Service at (800) 877–8339. Copies Owner Tax ID numerous other potential data points. of available documents submitted to Management Entity This creates a challenge for monitoring, OMB may be obtained from Ms. Smith. PHA-Owned, PHA Has Ownership tracking and analyzing PBV projects, SUPPLEMENTARY INFORMATION: This Interest but Not PHA-Owned, No PHA and limits HUD’s ability to respond to Ownership Interest notice informs the public that HUD is requests for information on the PBV seeking approval from OMB for the If PHA-Owned: Name of Independent program from Congress and other Entity or Entities information collection described in sources. Additionally, it prevents HUD Other Related Programs: Tax Credit, Section A. from having data with which to make RAD, HUD-insured, VASH, or Other informed decisions on risk-mitigation A. Overview of Information Collection Population Served: General, Homeless, strategies with respect to PBVs. Title of Information Collection: Potential risks are particularly Veterans, Families Eligible for Project Based Vouchers (PBV) Online heightened in the case of two specific Supportive Services, Families Form. program categories; Rental Assistance Receiving Supportive Services, OMB Approval Number: Pending Demonstration (RAD) that transition to Elderly Family, Disabled Family OMB Approval. be Project Based Vouchers and PHA- Does an Exception to the Income-Mixing Type of Request: New. owned units where an independent Requirement Apply? Form Number: HUD is developing a entity performs inspections and If Yes, Which Exceptions(s) standardized electronic system and data determines the rent amounts. What Supportive Services Available (Y/N)? exchange standard for this collection distinguishes RAD PBVs from regular Vacancy Payments Permitted (Y/N)? and will provide a web service to Project-Based Vouchers is their initial Program Cap Exception (Y/N)? support electronic file transfer using construction was paid for by HUD, rents Program Cap Exception Category Java Script Object Notation (JSON).’’. are initially set below market level, and Unique Project Building Code* Within the scope of this collection, HUD they are supposed to remain affordable HAP Contract Code* requests the information in this notice in perpetuity. Currently, HUD has very Number of RAD PBVs from participating PHAs limited information about RAD–PBV Use Restriction End Date Description of the need for the properties after their conversion and is Year Built information and proposed use: Public unable to adequately monitor their long- Number and Bedroom Distribution of Housing Agencies (PHAs) apply for term viability. PHA-owned PBVs pose a PBV-Assisted Section 504 Mobility funding to assist low-income families to risk because PHAs may assist properties Units at the Project lease housing. One of the programs they own, subject to the independent Number and Bedroom Distribution of through which PHAs provide housing entity requirement. PHAs may assist PBV-Assisted Section 504 Hearing/ assistance is the Housing Choice properties they own, subject to the Vision Units at the Project Voucher (HCV) Program, a tenant-based independent entity requirement In rental assistance program. This program addition, many other non-RAD or PHA- * The Unique Project Building Code and operates by providing vouchers that owned projects, such as those with HAP Contract Code may be produced by cover a portion of the contract rent for 100% PBVs serving disabled or the system or a protocol for numbering a unit. Some PHAs project-base their requiring supporting services represent may be established by HUD. vouchers (the rental assistance is crucial affordable housing resources for HUD recognizes that some of this connected to a unit, not a family). vulnerable communities that cannot be information may be submitted to HUD, Project-based vouchers (PBVs) are quickly and easily replaced through for instance as part of the initial subsidy becoming a larger percentage of PHAs providing a voucher. layering review process, however, these overall HCV portfolios, rising from just Through this collection, HUD is submissions are insufficient to give over 110,000 in 2016 to approximately requiring the submission of project-level HUD a universal and currently accurate 215,000 in mid-2019. The PBV portfolio data on all Project-Based Vouchers, picture of the Project Based Voucher is expected to grow even more with the including but not limited to Rental universe. Therefore, HUD is proposing on-going conversion of up to 455,000 Assistance Demonstration Project this information collection.
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Definitions Existing Housing Management Entity HAP Contract Number Housing units that already exist on Name of the company or agency that A unique number assigned to a Form the proposal selection date and that manages the property and contact HUD–52530–A (PBV HAP Contract— substantially comply with the HQS on information (telephone and email). New Construction or Rehabilitation) or that date. PHA-Owned, PHA Has Ownership Form HUD–52530–B (PBV HAP Rehabilitated Housing Interest But Not PHA-Owned, No PHA Contract—Existing Housing) (hereinafter Ownership Interest ‘‘HAP contract’’) executed for the Housing units that exist on the project, which may be produced by the proposal selection date, but do not The following definitions apply system or a protocol for numbering may substantially comply with the HQS on consistent with 24 CFR part 983, as be established by HUD. that date, and are developed, pursuant amended by 82 FR 5458 (Jan. 18, 2017), to an Agreement between the PHA and 82 FR 32461 (Jul. 14, 2017): Name of Project owner, for use under the PBV program. (1) PHA-owned: The name of the project as determined a. Owned by the PHA (which includes by the PHA as used in public or Newly Constructed Housing a PHA having a ‘‘controlling interest’’ in property records (where such records Housing units that do not exist on the the entity that owns the unit); contain a name of the property as a proposal selection date and are b. Owned by an entity wholly whole) or the commonly used name of developed after the date of selection controlled by the PHA; or the project (such as the name on a sign pursuant to an Agreement between the c. Owned by a limited liability at the property entrance). If no such PHA and owner for use under the PBV company (LLC) or limited partnership name exists, a name for the project program. in which the PHA (or an entity wholly designated by the PHA for use in the Upon amendment of 24 CFR 983.3(b), controlled by the PHA) holds a system. ‘‘Project’’ is defined consistent the new definitions therein will controlling interest in the managing with 24 CFR 983.3(b) as ‘‘a single supersede the definitions listed here. member or general partner. building, multiple contiguous buildings, ‘‘Controlling interest’’ means: or multiple buildings on contiguous Effective Date(s) of AHAP a. Holding more than 50 percent of parcels of land.’’ Effective date(s) listed in § 1.4 of Part the stock of any corporation; Address of Building(s) and Units 1 the AHAP. A single-stage project will b. Having the power to appoint more than 50 percent of the members of the The street address, city, state, and zip have the same Agreement effective date board of directors of a non-stock code of the building or buildings for all contract units. A multi-stage corporation (such as a non-profit covered by the HAP contract and all project will separate effective dates for corporation); units covered under the HAP contract. each stage. c. Where more than 50 percent of the Number of Units Under AHAP Effective Date(s) of HAP Contract members of the board of directors of any Total number of units in the project Effective date(s) listed in § 1(d) of Part corporation also serve as directors, covered by the Form HUD–52523–A and 1 of the HAP contract. A single-stage officers, or employees of the PHA; Form HUD–52523–B (Agreement to project will have the same effective date d. Holding more than 50 percent of all Enter into a Housing Assistance for all contract units. For a multi-stage managing member interests in an LLC; Payment Contract) (hereinafter project, include the dates of each stage e. Holding more than 50 percent of all ‘‘AHAP’’). and the contract units covered by each general partner interests in a stage. partnership; or Number of Units Under HAP Contract f. Having equivalent levels of control by Bedroom Size Expiration Date in other ownership structures. Most Total number of contract units in the The HAP contract term end date, as ownership structures are already project covered by the HAP contract, determined by adding the length of the covered in the categories listed above. broken out by each bedroom size (0, 1, HAP contract term (initial and any This last category is meant to cover any 2, 3, 4, 5+). extensions) to the effective date listed in ownership structure not already listed Number of Total Units in the Project § 1(d) of Part 1 of the HAP contract (for in the categories above. Also, under this a multi-stage project, use the effective category (f), a PHA must have more than Total number of units in the project, date of the first stage). The length of the 50 percent control in that ownership including those covered by an AHAP or initial and extension HAP contract structure (an equivalent level of control) HAP contract and non-contract units. terms shall be those listed in the HAP for the project to be considered PHA- Structure Type contract (for existing projects: § 1(d) of owned. The most closely matching Part 1 of the Form HUD–52530–B HUD (2) PHA ownership interest: An description of the project from among and associated exhibits; for newly ownership interest means that the PHA this list: Elevator Structure, Mixed constructed and rehabilitated projects: or its officers, employees, or agents are Type, Row or Townhouse Style § 1(e) of Part 1 of the Form HUD–52530– in an entity that holds any direct or (Separate Entrances), Semi Detached, A and associated exhibits). indirect interest in the project in which the units are located, including, but not Single Family/Detached, Walkup/ Owner Name Multifamily Apt (Shared Entrance). limited to, an interest as: The owner name as listed in § 1(a) of a. Titleholder; Type: Existing, Rehabilitation or Newly Part 1 of the HAP contract and contact b. Lessee; Constructed information (telephone and email). c. Stockholder; d. Member, or general or limited The following definitions apply Owner Tax ID consistent with 24 CFR 983.3(b), as partner; or amended by 82 FR 5458 (Jan. 18, 2017), The owner’s federal tax identification e. Member of a limited liability 82 FR 32461 (Jul. 14, 2017): number. corporation.
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(3) No PHA ownership interest: The 5. Elderly family: 24 CFR 5.403. the Form HUD–52530–B HUD; for PHA has no ownership interest in the 6. Disabled family: 24 CFR 5.403. newly constructed and rehabilitated property. Upon amendment of 24 CFR part 983, projects: § 1(f)(2) of Part 1 of the Form Upon amendment of 24 CFR part 983, the new definitions therein will HUD–52530–A). the new definitions therein will supersede the definitions listed here. supersede the definitions listed here. Program Cap Exception (Y/N)? Does an Exception to the Income-Mixing If PHA-Owned: Name of Independent Requirement Apply? Provide an answer (yes/no) to the Entity or Entities question of whether the project qualifies Provide an answer (yes/no) to the for an exception to the program cap If the project is PHA-owned, the question of whether the project qualifies under 24 CFR 983.6, as amended by 82 independent entity or entities which for an exception to the income-mixing FR 5458 (Jan. 18, 2017), 82 FR 32461 perform the following functions requirement under 24 CFR 983.56, as (Jul. 14, 2017). consistent with 24 CFR part 983: amended by 82 FR 5458 (Jan. 18, 2017), 1. Review the PHA’s PBV selection 82 FR 32461 (Jul. 14, 2017). Program Cap Exception Category process. 2. Establish PBV contract rents (initial If Yes, Which Exception(s) Choose the applicable exception from among those allowed by 24 CFR 983.6, rent to owner and redetermined rent to Choose the applicable exception from owner). as amended by 82 FR 5458 (Jan. 18, among those allowed by 24 CFR 983.56, 2017), 82 FR 32461 (Jul. 14, 2017). The 3. Determine rent reasonableness. as amended by 82 FR 5458 (Jan. 18, 4. Provide a copy of the rent definitions of the exception categories 2017), 82 FR 32461 (Jul. 14, 2017). The are found in the following locations: reasonableness determination to the definitions of the exception categories 1. Units that are specifically made PHA and the HUD field office where the are found in the following locations: available to house homeless individuals project is located. 1. Units that are exclusively made 5. Establish term of initial and any and families: PIH Notice 2017–21, available to households eligible for renewal HAP contract as required in 24 Attachment D. supportive services: PIH Notice 2017– CFR 983.205. 21, Attachment E. 2. Units that are specifically made 6. Inspect units. available to house families that are 7. Provide a copy of the inspection 2. Units that are specifically made available for families receiving comprised of or include a veteran: PIH report to PHA and HUD field office Notice 2017–21, Attachment D. where the project is located. supportive services: PIH Notice 2017– 21, Attachment E, for grandfathered 3. Units that provide supportive Other Related Programs: Tax Credit, projects as described therein. housing to persons with disabilities or RAD, HUD-Insured, VASH, or Other 3. Units that are exclusively made to elderly persons: PIH Notice 2017–21, List any HUD voucher authority other available to elderly families: PIH Notice Attachment D. than regular Housing Choice Vouchers 2017–21, Attachment E. 4. Units located in a census tract with used to provide PBVs to the project (e.g., 4. Units that are specifically made a poverty rate of 20 percent or less: PIH RAD, VASH). List other governmental available for disabled families: PIH Notice 2017–21, Attachment D. housing assistance from federal, state, or Notice 2017–21, Attachment E, for 5. Units that were previously subject local agencies, including assistance grandfathered projects as described to certain federal rent restrictions or such as tax concessions or tax credits therein. receiving another type of long-term (e.g., HUD-insured, Tax Credit). 5. Units located in a census tract with housing subsidy provided by HUD: PIH a poverty rate of 20 percent or less: PIH Notice 2017–21, Attachment F, for Population Served: General, Homeless, Notice 2017–21, Attachment E. projects that meet the additional Veterans, Families Eligible for 6. Units that were previously subject requirements as described therein. Supportive Services, Families Receiving to certain federal rent restrictions or Supportive Services, Elderly Family, 6. RAD PBV units: PIH Notice 2017– receiving another type of long-term 21, Attachment F. Disabled Family housing subsidy provided by HUD: PIH 7. HUD–VASH vouchers specifically List the population(s) served if the Notice 2017–21, Attachment F, for designated for project-based assistance: project contains units specifically made projects that meet the additional PIH Notice 2017–21, Attachment F. available for or exclusively made requirements as described therein. available to a specific population. If 7. RAD PBV units: PIH Notice 2017– Upon amendment of 24 CFR part 983, some units are not specifically made 21, Attachment F. the new definitions therein will available for or exclusively made 8. HUD–VASH vouchers specifically supersede the definitions listed here. available to a specific population listed designated for project-based assistance: Unique Project Building Code * below, mark ‘‘General.’’ The definitions PIH Notice 2017–21, Attachment F. of each population are found in the Upon amendment of 24 CFR part 983, Code may be produced by the system following locations, consistent with 24 the new definitions therein will or a protocol for numbering may be CFR parts 5, 983, as amended by 82 FR supersede the definitions listed here. established by HUD. 5458 (Jan. 18, 2017), 82 FR 32461 (Jul. Supportive Services Required/Available Use Restriction End Date 14, 2017): 1. Homeless: PIH Notice 2017–21, If the project has supportive services Provide an answer (yes/no) to the Attachment D. available to residents so as to qualify for question of whether the project is 2. Veterans: PIH Notice 2017–21, an exception to 24 CFR 983.56 subject to a use restriction imposed by Attachment D. HUD. If yes, provide the end date of the Vacancy Payments Permitted 3. Families eligible for supportive use restriction. Provide an answer (yes/no) to the services: PIH Notice 2017–21, Number of RAD PBVs Attachments D and E. question of whether the PHA has 4. Families receiving supportive included the vacancy payment Number of PBVs that converted under services: PIH Notice 2017–21, provision in this HAP contract (for the Rental Assistance Demonstration Attachment E. existing projects: § 1(e)(2) of Part 1 of Program.
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HAP Contract Amount 504 of the Rehabilitation Act of 1973 Assistance Payment (HAP) contract, and and HUD’s implementing regulations at when project or development Code may be produced by the system 24 CFR part 8. Such units must meet information changed. The unique or a protocol for numbering may be either the Uniform Federal Accessibility project code identifier will tie to future established by HUD. Standards (UFAS) or 2010 Americans potential changes to the 50058 which Year Built with Disabilities Act (ADA) Standards will permit linking HUD assisted- (in accordance with HUD’s Deeming tenants to HUD assisted-properties. This The year the project’s construction Notice published in the Federal is a new information collection. was first completed. Register on May 23, 2014 (79 FR Respondents (i.e. affected public): 29671)). Number and Bedroom Distribution of Public housing authorities (PHAs) that PBV-Assisted Section 504 Mobility Number and Bedroom Distribution of have project-based vouchers (PBVs) as a Units at the Project PBV-Assisted Section 504 Hearing/ part of their portfolio. This field captures the number of Vision Units at the Project Note: Preparer of this notice may PBV-assisted units at the project that are PHAs would be required to enter this substitute the chart for everything accessible for persons with mobility information into the online form when beginning with estimated number of impairments in accordance with Section a new project came under Housing respondents above:
Number of Frequency of Responses Burden hour Annual Hourly cost Information collection respondents response per annum per response burden hours per response Annual cost
PBV Property Information ...... 668 6 4,008 1,5 6,012 $40.10 $241,0188
Our burden estimate for the number the use of appropriate automated SUMMARY: We, the U.S. Fish and of respondents is based on a recent VMS collection techniques or other forms of Wildlife Service, have received total of the number of PHAs reporting information technology, e.g., permitting applications for permits to conduct PBVs in VMS. It is assumed PHAs will electronic submission of responses. activities intended to enhance the have to do a one-time submission for all (5) In this information collection, propagation or survival of endangered the projects as well as potentially make HUD has proposed collecting or threatened species under the updates when changes occur to the PBV information on PBV-assisted units in Endangered Species Act. We invite the projects (frequency of responses). The PBV projects that are Section 504 public and local, State, Tribal, and ‘‘responses per annum’’ represents an accessible. Would it be feasible and Federal agencies to comment on these estimate of the amount of PBV projects useful to also collect this information on applications. Before issuing any of the that will need to be entered into the non-assisted units at PBV projects that requested permits, we will take into system. This number is multiplied by do not receive PBV assistance Project- consideration any information that we the frequency of responses to arrive at Based Voucher projects? Are there any receive during the public comment an annual estimate of burden hours. potential barriers to collecting this period. This is then multiplied by median information? DATES: We must receive your written HUD encourages interested parties to average wage of a ‘‘Management comments on or before January 27, submit comment in response to these Analyst’’ according to the Bureau of 2020. Labor Statistics for 2019 to arrive at a questions. 1 ADDRESSES: Use one of the following total annual cost. It is anticipated that C. Authority this cost will decline in subsequent methods to request documents or years as PHAs only need to update Section 3507 of the Paperwork submit comments. Requests and information already in the system when Reduction Act of 1995, 44 U.S.C. comments should specify the applicant changes are made to PBV projects. Chapter 35. name(s) and application number(s) (e.g., Dated: December 13, 2019. TE123456): B. Solicitation of Public Comment • Nora McArdle, Email: [email protected]. • U.S. Mail: Abby Gelb, Ecological This notice is soliciting comments Senior Program Analyst, Office of Policy, from members of the public and affected Program and Legislative Initiatives. Services, U.S. Fish and Wildlife Service, 300 Westgate Center Dr., Hadley, MA parties concerning the collection of [FR Doc. 2019–27841 Filed 12–23–19; 8:45 am] information described in Section A on 01035. BILLING CODE 4210–67–P the following: FOR FURTHER INFORMATION CONTACT: (1) Whether the proposed collection Abby Gelb, 413–253–8212 (phone), or of information is necessary for the DEPARTMENT OF THE INTERIOR [email protected] (email). proper performance of the functions of Individuals who are hearing or speech the agency, including whether the Fish and Wildlife Service impaired may call the Federal Relay information will have practical utility; Service at 1–800–877–8339 for TTY [FWS–R5–ES–2019–N168; (2) The accuracy of the agency’s assistance. estimate of the burden of the proposed FXES11130500000–201–FF05E00000] collection of information; SUPPLEMENTARY INFORMATION: We, the (3) Ways to enhance the quality, Endangered and Threatened Species; U.S. Fish and Wildlife Service, invite utility, and clarity of the information to Receipt of Recovery Permit the public to comment on applications be collected; and Applications for permits under section 10(a)(1)(A) of (4) Ways to minimize the burden of AGENCY: Fish and Wildlife Service, the Endangered Species Act of 1973, as the collection of information on those Interior. amended (ESA; 16 U.S.C. 1531 et seq.). who are to respond; including through The requested permits would allow the ACTION: Notice of receipt of permit applicants to conduct activities applications; request for comments. 1 https://www.bls.gov/oes/current/oes131111.htm. intended to promote recovery of species
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that are listed as endangered or addition to hunting, shooting, harming, at 50 CFR 17.22 for endangered wildlife threatened under the ESA. wounding, or killing. species, 50 CFR 17.32 for threatened A recovery permit issued by us under wildlife species, 50 CFR 17.62 for Background section 10(a)(1)(A) of the ESA endangered plant species, and 50 CFR With some exceptions, the ESA authorizes the permittee to conduct 17.72 for threatened plant species. prohibits activities that constitute take activities with endangered or threatened Permit Applications Available for of listed species unless a Federal permit species for scientific purposes that Review and Comment is issued that allows such activity. The promote recovery or for enhancement of ESA’s definition of ‘‘take’’ includes such propagation or survival of the species. We invite local, State, and Federal activities as pursuing, harassing, Our regulations implementing section agencies; Tribes; and the public to trapping, capturing, or collecting in 10(a)(1)(A) for these permits are found comment on the following applications.
Permit Application No. Applicant Species Location Activity Type of take action
TE60415D ...... Mass Audubon Kemp’s ridley sea turtle Massachusetts ...... Stranding Response, Salvage, Capture, New. Wellfleet Bay Wild- (Lepidochelys kempii); Triage Rehabilita- Collect.. life Sanctuary, Leatherback sea turtle tion, Transport, Ne- South Wellfleet, (Dermochelys coriacea); Log- cropsy. MA. gerhead sea turtle (Caretta caretta); Green sea turtle (Chelonia mydas). TE60419D ...... MERR Institute, Kemp’s ridley sea turtle Delaware ...... Stranding Response, Salvage, Capture, New. Lewes, DE. (Lepidochelys kempii); Transport, Ne- Collect. Leatherback sea turtle cropsy. (Dermochelys coriacea); Log- gerhead sea turtle (Caretta caretta); Green sea turtle (Chelonia mydas). TE60418D ...... Marine Mammal Kemp’s ridley sea turtle New Jersey ...... Stranding Response, Salvage, Capture, New. Stranding Center, (Lepidochelys kempii); Rehabilitation, Collect, Euthanize. Brigantine, NJ. Leatherback sea turtle Transport, Ne- (Dermochelys coriacea); Log- cropsy, Release. gerhead sea turtle (Caretta caretta); Green sea turtle (Chelonia mydas). TE60434D ...... Sea Turtle Recovery, Kemp’s ridley sea turtle New Jersey ...... Rehabilitation, Trans- Collect, Euthanize .... New. Inc., West Orange, (Lepidochelys kempii); port, Necropsy, Re- NJ. Leatherback sea turtle lease. (Dermochelys coriacea); Log- gerhead sea turtle (Caretta caretta); Green sea turtle (Chelonia mydas); Hawksbill sea turtle (Eretmochelys imbricata). TE60921D ...... Pittsburgh Zoo & Kemp’s ridley sea turtle Pennsylvania ...... Rehabilitation, Trans- Collect, Euthanize .... New. PPG Aquarium, (Lepidochelys kempii); port, Necropsy, Re- Pittsburgh, PA. Leatherback sea turtle lease. (Dermochelys coriacea); Log- gerhead sea turtle (Caretta caretta); Green sea turtle (Chelonia mydas); Hawksbill sea turtle (Eretmochelys imbricata). TE60928D ...... National Marine Life Kemp’s ridley sea turtle Massachusetts ...... Rehabilitation, Trans- Collect, Euthanize .... New. Center, Buzzards (Lepidochelys kempii); Log- port, Necropsy, Re- Bay, MA. gerhead sea turtle (Caretta lease. caretta); Green sea turtle (Chelonia mydas). TE60406D ...... Atlantic Marine Con- Kemp’s ridley sea turtle New York ...... Stranding Response, Salvage, Capture, New. servation Society, (Lepidochelys kempii); Triage Rehabilita- Wound, Collect. Hampton Bays, NY. Leatherback sea turtle tion, Transport, (Dermochelys coriacea); Log- Satellite Tagging. gerhead sea turtle (Caretta caretta); Green sea turtle (Chelonia mydas). TE60422D ...... Sea Research Foun- Kemp’s ridley sea turtle Connecticut ...... Stranding Response, Salvage, Capture, New. dation, Inc, dba (Lepidochelys kempii); Rehabilitation, Collect, Euthanize. Mystic Aquarium, Leatherback sea turtle Transport, Ne- Mystic, CT. (Dermochelys coriacea); Log- cropsy, Release. gerhead sea turtle (Caretta caretta); Green sea turtle (Chelonia mydas); Hawksbill sea turtle (Eretmochelys imbricata). TE61005D ...... Mark J. Hepner, Rusty patched bumble bee West Virginia ...... Presence/absence Capture, Collect ...... New. Buckhannon, WV. (Bombus affinis). survey, Research.
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Public Availability of Comments ADDRESSES: The field trip will originate (Authority: 43 CFR 1784.4–1) Written comments we receive become and end at the BLM Las Cruces District Timothy R. Spisak, Office, 1800 Marquess Street, Las part of the administrative record BLM New Mexico State Director. associated with this action. Before Cruces, NM 88001. The meeting will be held at the same address. The public [FR Doc. 2019–27689 Filed 12–23–19; 8:45 am] including your address, phone number, BILLING CODE 4310–FB–P email address, or other personal may send written comments to the RAC identifying information in your at this same address, Attn: Bill Childress. In order to be considered comment, you should be aware that DEPARTMENT OF THE INTERIOR your entire comment—including your during the meeting, comments must be personal identifying information—may received no later than January 17, 2020. National Indian Gaming Commission be made publicly available at any time. FOR FURTHER INFORMATION CONTACT: While you can request in your comment Designated Federal Official Bill Submission of Information Collections that we withhold your personal Childress, BLM Las Cruces District, Under the Paperwork Reduction Act 1800 Marquess Street, Las Cruces, NM identifying information from public AGENCY: National Indian Gaming 88001, telephone: 575–525–4421, email: review, we cannot guarantee that we Commission, Interior. will be able to do so. Moreover, all [email protected]. Persons who use a telecommunications device for the deaf ACTION: Second notice and request for submissions from organizations or comments. businesses, and from individuals (TDD) may call the Federal Relay identifying themselves as Service (FRS) at 1–800–877–8339, to SUMMARY: In compliance with the representatives or officials of contact Mr. Childress during normal Paperwork Reduction Act of 1995, the organizations or businesses, will be business hours. The FRS is available 24 National Indian Gaming Commission made available for public disclosure in hours a day, 7 days a week, to leave a (NIGC or Commission) is announcing its their entirety. message or question. You will receive a submission, concurrently with the reply during normal business hours. Next Steps publication of this notice or soon SUPPLEMENTARY INFORMATION: The 10- thereafter, of the following information If we decide to issue permits to any member Las Cruces District RAC advises collection requests to the Office of of the applicants listed in this notice, the Secretary of the Interior, through the Management and Budget (OMB) for we will publish a notice in the Federal BLM, on a variety of planning and review and approval. The Commission Register. management issues associated with is seeking comments on the renewal of Authority public land management in the Las information collections for the following Cruces District. activities: Compliance and enforcement Section 10(c) of the Endangered A field trip will take RAC members to actions under the Indian Gaming Species Act of 1973, as amended (16 several areas in the District related to Regulatory Act as authorized by OMB U.S.C. 1531 et seq.). the Rincon Watershed Restoration Control Number 3141–0001; tribal Martin Miller, Project and ongoing collaborative gaming ordinance approvals, efforts. The planned meeting agenda Chief, Division of Endangered Species, background investigations, and issuance Ecological Services, Northeast Region. includes updates on current and of licenses as authorized by OMB proposed land/realty, planning, and [FR Doc. 2019–27727 Filed 12–23–19; 8:45 am] Control Number 3141–0003; National energy projects in the Las Cruces BILLING CODE 4333–15–P Environmental Policy Act submissions District, including an update on the as authorized by OMB Control Number American Magnesium Mining Plan of 3141–0006; and issuance to tribes of DEPARTMENT OF THE INTERIOR Operation. In addition, the RAC will certificates of self-regulation for class II discuss the field trip points about the gaming as authorized by OMB Control Bureau of Land Management Rincon Watershed Restoration Project. Number 3141–0008. These information The field trip and meeting are open to collections all expire on January 31, [LLNML00000 L12200000.DF0000 the public. Persons wishing to attend 20XL1109AF] 2020. the field trip will need to provide their DATES: The OMB has up to 60 days to own transportation. In addition, persons Notice of Public Meeting for the Las approve or disapprove the information wishing to make comments during the Cruces District Resource Advisory collection requests, but may respond public comment period should register Council Meeting, New Mexico after 30 days. Therefore, public in person with the BLM by 11:00 a.m. comments should be submitted to OMB AGENCY: Bureau of Land Management, on the meeting day, at the meeting by no later than January 27, 2020 in Interior. location. Depending on the number of order to be assured of consideration. ACTION: Notice of public meeting. persons wishing to comment, the length of comments may be limited. ADDRESSES: Submit comments directly SUMMARY: In accordance with the Public Disclosure of Comments: to OMB’s Office of Information and Federal Land Policy and Management Before including your address, phone Regulatory Affairs, Attn: Policy Analyst/ Act and the Federal Advisory number, email address, or other Desk Officer for the National Indian Committee Act, the Bureau of Land Gaming Commission. Comments can personal identifying information in your _ Management’s (BLM) Las Cruces District comment, you should be aware that also be emailed to
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632–7066 (not toll-free numbers). You permanent books of account and records Estimated Total Non-hour Cost may also review these information sufficient to establish the amount of Burden: $35,033,688. collection requests by going to
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on key employees and PMOs, and to the license or permit was not granted; from 3.0 burden hour to 3,807 burden ensure that key employees and PMOs (xii) a photograph; and (xiii) hours for one item. are notified of their rights under the fingerprints. Sections 556.2 and 556.3 Frequency of Response: Varies. Privacy Act; (ii) procedures that the require tribes to place a specific Privacy Estimated Total Annual Burden tribe will use to issue licenses to key Act notice on their key employee and Hours on Respondents: 972,377. employees and PMOs; (iii) copies of all PMO applications, and to warn Estimated Total Non-hour Cost tribal gaming regulations; (iv) a copy of applicants regarding the penalty for Burden: $1,287,967. any applicable tribal-state compact or false statements by also placing a Title: NEPA Compliance. procedures as prescribed by the specific false statement notice on their OMB Control Number: 3141–0006. Secretary of the Interior; (v) procedures applications. Brief Description of Collection: The for resolving disputes between the Sections 556.6(a) and 558.3(e) require National Environmental Policy Act gaming public and the tribe or the tribes to keep/maintain the individuals’ (NEPA), 42 U.S.C. 4321, et seq., and the management contractor; and (vi) the complete application files, investigative Council on Environmental Quality’s identification of the law enforcement reports, and eligibility determinations (CEQ) implementing regulations, require agent that will take fingerprints and the during their employment and for at least federal agencies to prepare (or cause to procedures for conducting criminal three years after termination of their be prepared) environmental documents history checks, including a check of employment. Section 556.6(b)(1) for agency actions that may have a criminal history records information requires tribes to create and maintain an significant impact on the environment. maintained by the Federal Bureau of investigative report on each background Under NEPA, an Environmental Investigation. Section 522.3(b) requires investigation that includes: (i) The steps Assessment (EA) must be prepared a tribe to submit any amendment to taken in conducting a background when the agency action cannot be these submissions within 15 days after investigation; (ii) the results obtained; categorically excluded, or the adoption of such amendment. Section (iii) the conclusions reached; and (iv) environmental consequences of the 522.12(a) requires a tribe to submit to the basis for those conclusions. Section agency action will not result in a the Commission a copy of an authentic 556.6(b)(2) requires tribes to submit, no significant impact or the environmental ordinance revocation or resolution. later than 60 days after an applicant impacts are unclear and need to be Section 556.4 requires tribes to begins work, a notice of results of the further defined. An Environmental mandate the submission of the applicant’s background investigation Impact Statement (EIS) must be following information from applicants that includes: (i) The applicant’s name, prepared when the agency action will for key employee and PMO positions: (i) date of birth, and Social Security likely result in significant impacts to the Name(s), Social Security number(s), number; (ii) the date on which the environment. date and place of birth, citizenship, applicant began or will begin work as a Amongst other actions necessary to gender, and languages; (ii) present and key employee or PMO; (iii) a summary carry out the Commission’s statutory past business and employment of the information presented in the duties, the Act requires the NIGC Chair positions, ownership interests, business investigative report; and (iv) a copy of to review and approve third-party and residential addresses, and driver’s the eligibility determination. management contracts that involve the license number(s); (iii) the names and Section 558.3(b) requires a tribe to operation of tribal gaming facilities. 25 addresses of personal references; (iv) notify the Commission of the issuance U.S.C. 2711. The Commission has taken current business and personal telephone of PMO and key employee licenses the position that the NEPA process is numbers; (v) a description of any within 30 days after such issuance. triggered when a tribe and a potential existing and previous business Section 558.3(d) requires a tribe to contractor seek approval of a relationships with Indian tribes, notify the Commission if the tribe does management contract. Normally, an EA including ownership interests; (vi) a not issue a license to an applicant, and or EIS and its supporting documents are description of any existing and previous requires it to forward copies of its prepared by an environmental business relationships with the gaming eligibility determination and notice of consulting firm and submitted to the industry generally, including ownership results to the Commission for inclusion Commission by the tribe. In the case of interests; (vii) the name and address of in the Indian Gaming Individuals an EA, the Commission independently any licensing/regulatory agency with Record System. Section 558.4(e) evaluates the NEPA document, verifies which the person has filed an requires a tribe, after a gaming license its content, and assumes responsibility application for a license or permit revocation hearing, to notify the for the accuracy of the information related to gaming, even if the license or Commission of its decision to revoke or contained therein. In the case of an EIS, permit was not granted; (viii) for each reinstate a gaming license within 45 the Commission directs and is ongoing felony prosecution or days of receiving notification from the responsible for the preparation of the conviction, the charge, the name and Commission that a specific individual NEPA document, but the tribe or address of the court, and the date and in a PMO or key employee position is potential contractor is responsible for disposition, if any; (ix) for each not eligible for continued employment. paying for the preparation of the misdemeanor conviction or ongoing These information collections are document. The information collected prosecution within the past 10 years, mandatory and allow the Commission to includes, but is not limited to, maps, the name and address of the court and carry out its statutory duties. charts, technical studies, the date and disposition; (x) for each Respondents: Indian tribal gaming correspondence from other agencies criminal charge in the past 10 years that operations. (federal, tribal, state, and local), and is not otherwise listed, the criminal Estimated Number of Respondents: comments from the public. These charge, the name and address of the 1,626. information collections are mandatory court, and the date and disposition; (xi) Estimated Annual Responses: and allow the Commission to carry out the name and address of any licensing/ 220,461. its statutory duties. regulatory agency with which the Estimated Time per Response: Respondents: Tribal governing bodies, person has filed an application for an Depending on the type of information management contractors. occupational license or permit, even if collection, the range of time can vary Estimated Number of Respondents: 7.
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Estimated Annual Responses: 7. organizational chart; (v) a brief recordkeeping activities. See 5 CFR Estimated Time per Response: description of the criteria that 1320.8(d). To comply with the public Depending on whether the response is individuals must meet before being consultation process, the Commission an EA or an EIS, the range of time can eligible for employment as a tribal previously published its 60-day notice vary from 2 burden hours to 30 burden regulator; (vi) a brief description of the of its intent to submit the above- hours for one item. process by which the TRB is funded, mentioned information collection Frequency of Response: Varies. and the funding level for the three years requests to OMB for approval. See 81 FR Estimated Total Annual Burden immediately preceding the date of the 36322 (June 6, 2016). The Commission Hours on Respondents: 33. petition; (vii) a list of the current did not receive any comments in Estimated Total Non-hour Cost regulators and TRB employees, their response to that notice and request for Burden: $494,132. complete resumes, their titles, the dates comments. Title: Issuance of Certificates of Self- that they began employment, and if The Commission will submit the Regulation to Tribes for Class II Gaming. serving limited terms, the expiration OMB Control Number: 3141–0008. date of such terms; (viii) a brief preceding requests to OMB to renew its Brief Description of Collection: The description of the accounting system(s) approval of the information collections. Act sets the standards for the regulation at the gaming operation that tracks the The Commission is requesting a three- of Indian gaming, including a flow of the gaming revenues; (ix) a list year term of approval for each of these framework for the issuance of of the gaming activity internal controls information collection and certificates of self-regulation for class II at the gaming operation(s); (x) a recordkeeping activities. gaming operations to tribes that meet description of the recordkeeping You are again invited to comment on certain qualifications. Specifically, 25 system(s) for all investigations, these collections concerning: (i) U.S.C. 2710(c) authorizes the enforcement actions, and prosecutions Whether the collections of information Commission to issue a certificate of self- of violations of the tribal gaming are necessary for the proper regulation if it determines that a tribe ordinance or regulations, for the three- performance of the functions of the year period immediately preceding the has: (i) Conducted its gaming activity in agency, including whether the date of the petition; and (xi) the tribe’s a manner that has resulted in an information will have practical utility; current set of gaming regulations, if not effective and honest accounting of all (ii) the accuracy of the agency’s revenues, in a reputation for safe, fair, included in the approved tribal gaming ordinance. Section 518.10 requires each estimates of the burdens (including the and honest operation of the activity, and hours and cost) of the proposed has been generally free of evidence of Indian gaming tribe that has been issued collections of information, including the criminal or dishonest activity; (ii) a certificate of self-regulation to submit validity of the methodologies and adopted and is implementing adequate to the Commission the following systems for the accounting of all information by April 15th of each year assumptions used; (iii) ways to enhance revenues from the activity, for the following the first year of self- the quality, utility, and clarity of the investigation, licensing, and monitoring regulation, or within 120 days after the information to be collected; (iv) ways to of all employees of the gaming activity, end of each gaming operation’s fiscal minimize the burdens of the and for the investigation, enforcement, year: (i) An annual independent audit; information collections on those who and prosecution of violations of its and (ii) a complete resume for all TRB are to respond, including through the gaming ordinance and regulations; and employees hired and licensed by the use of appropriate automated, (iii) conducted the operation on a tribe subsequent to its receipt of a electronic, mechanical, or other fiscally and economically sound basis. certificate of self-regulation. collection techniques or forms of The Act also authorizes the Commission Submission of the petition and information technology. It should be to ‘‘promulgate such regulations and supporting documentation is voluntary. noted that as a result of the Commission guidelines as it deems appropriate to Once a certificate of self-regulation has reviewing its own records that track the implement’’ IGRA. 25 U.S.C. been issued, the submission of certain number of tribal and/or management 2706(b)(10). Part 518 of title 25, Code of other information is mandatory. contractor submissions and after Federal Regulations, implements these Respondents: Tribal governments. Estimated Number of Respondents: surveying tribal gaming operators, tribal statutory requirements. gaming regulatory authorities, and/or Section 518.3(e) requires a tribe’s 11. Estimated Annual Responses: 11. management contractors regarding the gaming operation(s) and the tribal Estimated Time per Response: Commission’s submission and regulatory body (TRB) to have kept all Depending on the information recordkeeping requirements, many of records needed to support the petition collection, the range of time can vary the previously published burden for self-regulation for the three years from 1 burden hour to 284 burden hours estimates have changed since the immediately preceding the date of the for one item. publication of the Commission’s 60-day petition submission. Section 518.4 Frequency of Responses: One per notice on July 1, 2019. If you wish to requires a tribe petitioning for a year. comment in response to this notice, you certificate of self-regulation to submit Estimated Total Annual Burden may send your comments to the office the following to the Commission, Hours on Respondents: 257. accompanied by supporting listed under the ADDRESSES section of Estimated Total Non-hour Cost this notice by January 27, 2020. documentation: (i) Two copies of a Burden: $203,825. petition for self-regulation approved by Comments submitted in response to the tribal governing body and certified III. Request for Comments this second notice will be summarized as authentic; (ii) a description of how Regulations at 5 CFR part 1320, which and become a matter of public record. the tribe meets the eligibility criteria in implement provisions of the Paperwork The NIGC will not request nor sponsor § 518.3; (iii) a brief history of each Reduction Act, require that interested a collection of information, and you gaming operation, including the members of the public have an need not respond to such a request, if opening dates and periods of voluntary opportunity to comment on an agency’s there is no valid OMB Control Number. or involuntary closure(s); (iv) a TRB information collection and
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Dated: December 19, 2019. MPS), 1830 Sutter St., San Francisco, Dated: December 2, 2019. Christinia Thomas, MP100004868 Julie H. Ernstein, Chief of Staff (Acting). MINNESOTA Supervisory Archeologist, National Register [FR Doc. 2019–27839 Filed 12–23–19; 8:45 am] of Historic Places/National Historic Clay County Landmarks Program. BILLING CODE 7565–01–P Moorhead Storage and Transfer Company [FR Doc. 2019–27737 Filed 12–23–19; 8:45 am] Warehouse, 1010 Center Ave., Moorhead, BILLING CODE 4312–52–P DEPARTMENT OF THE INTERIOR SG100004863 National Park Service Kandiyohi County DEPARTMENT OF THE INTERIOR Sperry, Albert H. and Jennie C., House, 228 [NPS–WASO–NRNHL–DTS#-29448; Porto Rico St., Willmar, SG100004861 National Park Service PPWOCRADI0, PCU00RP14.R50000] Waseca County [NPS–WASO–NRNHL–DTS#–29477; National Register of Historic Places; PPWOCRADI0, PCU00RP14.R50000] Notification of Pending Nominations Waseca Commercial Historic District, and Related Actions Centering on State St. between Third Ave. NE/NW and Second Ave. SE/SW; Roughly National Register of Historic Places; AGENCY: National Park Service, Interior. Bounded by Second St. NW/SW and the Notification of Pending Nominations and Related Actions ACTION: Notice. Canadian Pacific RR Tracks, Waseca, SG100004864 AGENCY: National Park Service, Interior. SUMMARY: The National Park Service is NEW HAMPSHIRE soliciting comments on the significance ACTION: Notice. of properties nominated before Sullivan County SUMMARY: The National Park Service is November 30, 2019, for listing or related Langdon Meeting House, Five Walker Hill soliciting comments on the significance actions in the National Register of Rd., Langdon, SG100004859 of properties nominated before Historic Places. TEXAS December 7, 2019, for listing or related DATES: Comments should be submitted actions in the National Register of by January 10, 2020. Galveston County Historic Places. ADDRESSES: Comments may be sent via Galveston, Houston & Henderson (GH&H) DATES: Comments should be submitted U.S. Postal Service and all other carriers Freight Depot, 325 33rd St., Galveston, by January 10, 2020. to the National Register of Historic SG100004866 ADDRESSES: Comments may be sent via Places, National Park Service, 1849 C St. U.S. Postal Service and all other carriers NW, MS 7228, Washington, DC 20240. An owner objection was received for to the National Register of Historic the following resource: SUPPLEMENTARY INFORMATION: The Places, National Park Service, 1849 C St. properties listed in this notice are being CALIFORNIA NW, MS 7228, Washington, DC 20240. considered for listing or related actions SUPPLEMENTARY INFORMATION: The in the National Register of Historic San Francisco County properties listed in this notice are being Places. Nominations for their Gran Oriente Filipino Hotel, (Asian considered for listing or related actions consideration were received by the Americans and Pacific Islanders in in the National Register of Historic National Park Service before November California, 1850–1970 MPS), 104–106 Places. Nominations for their 30, 2019. Pursuant to Section 60.13 of South Park St., San Francisco, consideration were received by the 36 CFR part 60, written comments are MP100004869 National Park Service before December being accepted concerning the 7, 2019. Pursuant to Section 60.13 of 36 significance of the nominated properties A request for removal has been made CFR part 60, written comments are under the National Register criteria for for the following resource: being accepted concerning the evaluation. MINNESOTA significance of the nominated properties Before including your address, phone under the National Register criteria for number, email address, or other Wright County evaluation. personal identifying information in your Mealey, Tobias G., House, Territorial Rd., Before including your address, phone comment, you should be aware that Monticello, OT76001082 number, email address, or other your entire comment—including your personal identifying information in your personal identifying information—may Additional documentation has been comment, you should be aware that be made publicly available at any time. received for the following resources: your entire comment—including your While you can ask us in your comment ILLINOIS personal identifying information—may to withhold your personal identifying be made publicly available at any time. information from public review, we Winnebago County While you can ask us in your comment cannot guarantee that we will be able to Haight Village Historic District (Additional to withhold your personal identifying do so. Documentation), Roughly bounded by Nominations submitted by State or Walnut & Kishwaukee Sts., Chicago information from public review, we Tribal Historic Preservation Officers: Northwestern RR tracks & Madison St., cannot guarantee that we will be able to Rockford, AD87002044 do so. CALIFORNIA Nominations submitted by State or MINNESOTA Los Angeles County Tribal Historic Preservation Officers: Eastern Star Home, 11725 Sunset Blvd., Los Wright County HAWAII Angeles, SG100004858 Akerlund, August, Photographic Studio Hawaii County (Additional Documentation), 390 San Francisco County Awong Brothers Store, (Honoka’a Town, Japanese YWCA, (Asian Americans and Broadway Ave., Cokato, AD77000777 Hawaii MPS), 45–3600 Mamane St., Pacific Islanders in California, 1850–1970 (Authority: Section 60.13 of 36 CFR part 60) Honoka’a, MP100004873
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Honoka’s Public Library, (Honoka’a Town, Dated: December 9, 2019. www.usitc.gov). The public record for Hawaii MPS), 45–3380 Mamane St., Bldg. Julie H. Ernstein, this investigation may be viewed on the # 3, Honoka’a, MP100004874 Supervisory Archeologist, National Register Commission’s electronic docket (EDIS) MISSOURI of Historic Places/National Historic at https://edis.usitc.gov. Landmarks Program. SUPPLEMENTARY INFORMATION: St. Louis Independent City [FR Doc. 2019–27742 Filed 12–23–19; 8:45 am] Background.—This investigation is United Railways Spring Avenue Substation- BILLING CODE 4312–52–P being instituted, pursuant to section Trouble Station, 2423 North Spring Ave., 733(a) of the Tariff Act of 1930 (19 St. Louis, SG100004876 U.S.C. 1673b(a)), in response to a Standard Stamping Company Factory, 2000 INTERNATIONAL TRADE petition filed on December 18, 2019, by North Broadway, St. Louis, SG100004877 COMMISSION the Coalition Against Korean Cigarettes OHIO [Investigation No. 731–TA–1465 (‘‘CAKC’’), the coalition members are (Preliminary)] Xcaliber International, Pryor, Oklahoma Montgomery County and Cheyenne International, Grover, Summit Street Young Women’s Christian 4th Tier Cigarettes From Korea; North Carolina. Association (YWCA), (Twentieth-Century Institution of Antidumping Duty For further information concerning African American Civil Rights Movement Investigation and Scheduling of the conduct of this investigation and in Ohio), 236 South Paul Laurence Dunbar Preliminary Phase Investigation rules of general application, consult the St., Dayton, MP100004870 Commission’s Rules of Practice and AGENCY: United States International Summit County Procedure, part 201, subparts A and B Trade Commission. (19 CFR part 201), and part 207, Camp Crowell Hilaka Historic District, 4374 ACTION: Notice. subparts A and B (19 CFR part 207). Broadview Rd., Richfield, SG100004871 Participation in the investigation and UTAH SUMMARY: The Commission hereby gives public service list.—Persons (other than notice of the institution of an Summit County petitioners) wishing to participate in the investigation and commencement of investigation as parties must file an Park City Main Street Historic District preliminary phase antidumping duty entry of appearance with the Secretary (Boundary Increase II), Main St., Park City, investigation No. 731–TA–1465 to the Commission, as provided in BC100004881 (Preliminary) pursuant to the Tariff Act sections 201.11 and 207.10 of the Tooele County of 1930 (‘‘the Act’’) to determine Commission’s rules, not later than seven whether there is a reasonable indication days after publication of this notice in Kirk Hotel, The, 57 West Vine St., Tooele, that an industry in the United States is SG100004880 the Federal Register. Industrial users materially injured or threatened with and (if the merchandise under Washington County material injury, or the establishment of investigation is sold at the retail level) Toquerville Hall, 212 North Toquerville an industry in the United States is representative consumer organizations Blvd., Toquerville, SG100004878 materially retarded, by reason of have the right to appear as parties in imports of 4th tier cigarettes from Korea, Weber County Commission antidumping duty provided for in subheading 2402.20.80 investigation. The Secretary will Ogden Fire Station No. 2, 1585 25th St., of the Harmonized Tariff Schedule of prepare a public service list containing Ogden, SG100004879 the United States, that are alleged to be the names and addresses of all persons, Additional documentation has been received sold in the United States at less than fair or their representatives, who are parties for the following resource: value. Unless the Department of to this investigation upon the expiration Commerce (‘‘Commerce’’) extends the UTAH of the period for filing entries of time for initiation, the Commission appearance. Summit County must reach a preliminary determination Limited disclosure of business Park City Main Street Historic District in antidumping duty investigations in proprietary information (BPI) under an (Additional Documentation), Main St., 45 days, or in this case by February 3, administrative protective order (APO) Park City, AD79002511 2020. The Commission’s views must be and BPI service list.—Pursuant to transmitted to Commerce within five section 207.7(a) of the Commission’s Nominations submitted by Federal business days thereafter, or by February Preservation Officers: rules, the Secretary will make BPI 10, 2020. gathered in this investigation available The State Historic Preservation DATES: December 18, 2019. to authorized applicants representing Officer reviewed the following FOR FURTHER INFORMATION CONTACT: interested parties (as defined in 19 nominations and responded to the Lawrence Jones ((202) 205–3358), Office U.S.C. 1677(9)) who are parties to the Federal Preservation Officer within 45 of Investigations, U.S. International investigation under the APO issued in days of receipt of the nominations and Trade Commission, 500 E Street SW, the investigation, provided that the supports listing the properties in the Washington, DC 20436. Hearing- application is made not later than seven National Register of Historic Places. impaired persons can obtain days after the publication of this notice CALIFORNIA information on this matter by contacting in the Federal Register. A separate the Commission’s TDD terminal on 202– service list will be maintained by the Ventura County 205–1810. Persons with mobility Secretary for those parties authorized to Burro Flats Site (Boundary Decrease), impairments who will need special receive BPI under the APO. Address Restricted, Canoga Park vicinity, assistance in gaining access to the Conference.—The Commission’s BC100004883 Commission should contact the Office Director of Investigations has scheduled Burro Flats Site (Additional Documentation), of the Secretary at 202–205–2000. a conference in connection with this Address Restricted, Canoga Park vicinity, General information concerning the investigation for 9:30 a.m. on AD76000539 Commission may also be obtained by Wednesday, January 8, 2020, at the U.S. Authority: Section 60.13 of 36 CFR part 60. accessing its internet server (https:// International Trade Commission
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Building, 500 E Street SW, Washington, INTERNATIONAL TRADE not be excluded from entry. 19 U.S.C. DC. Requests to appear at the conference COMMISSION 1337(d)(1). A similar provision applies to cease and desist orders. 19 U.S.C. should be emailed to [Investigation No. 337–TA–1118] [email protected] (DO 1337(f)(1). NOT FILE ON EDIS) on or before Certain Movable Barrier Operator The Commission is soliciting Monday, January 6, 2020. Parties in Systems and Component Thereof; comments on public interest issues support of the imposition of Notice of Request for Statements on raised by the recommended relief antidumping duties in this investigation the Public Interest should the Commission find a violation, and parties in opposition to the specifically, whether the Commission AGENCY: imposition of such duties will each be U.S. International Trade should issue: (1) A limited exclusion Commission. collectively allocated one hour within order (‘‘LEO’’) against infringing which to make an oral presentation at ACTION: Notice. movable barrier operator systems and components thereof that are combined the conference. A nonparty who has SUMMARY: Notice is hereby given that into infringing products after testimony that may aid the the presiding administrative law judge importation that are imported into the Commission’s deliberations may request (‘‘ALJ’’) has issued an Initial United States, sold for importation, or permission to present a short statement Determination on Violation of Section sold in the United States after at the conference. 337 and Recommended Determination importation by respondents Nortek, Inc. Written submissions.—As provided in on Remedy and Bond in the above- of Providence, Rhode Island; Nortek sections 201.8 and 207.15 of the captioned investigation. The Security & Control, LLC of Carlsbad, Commission’s rules, any person may Commission is soliciting comments on California; and GTO Access Systems of submit to the Commission on or before public interest issues raised by the Tallahassee, Florida (collectively, January 13, 2020, a written brief recommended relief, should the ‘‘Nortek’’); and (2) cease and desist containing information and arguments Commission find a violation. This orders (‘‘CDO’’) against the Nortek pertinent to the subject matter of the notice is soliciting public interest respondents. investigation. Parties may file written comments from the public only. Parties The Commission is interested in are to file public interest submissions testimony in connection with their developing the record on the public pursuant to Commission rules. presentation at the conference. All interest in this investigation. The parties written submissions must conform with FOR FURTHER INFORMATION CONTACT: Carl are to file their public interest the provisions of section 201.8 of the Bretscher, Office of the General Counsel, submissions pursuant to 19 CFR Commission’s rules; any submissions U.S. International Trade Commission, 210.50(a)(4). Members of the public are 500 E Street SW, Washington, DC that contain BPI must also conform with hereby invited to file submissions of no 20436, telephone (202) 205–2382. more than five (5) pages, inclusive of the requirements of sections 201.6, Copies of non-confidential documents attachments, concerning the public 207.3, and 207.7 of the Commission’s filed in connection with this interest in light of the ALJ’s rules. The Commission’s Handbook on investigation are or will be available for Recommended Determination on Filing Procedures, available on the inspection during official business Remedy and Bond that issued in this Commission’s website at https:// hours (8:45 a.m. to 5:15 p.m.) in the investigation on November 25, 2019. _ www.usitc.gov/documents/handbook Office of the Secretary, U.S. Comments should address whether _ _ on filing procedures.pdf, elaborates International Trade Commission, 500 E issuance of an LEO or CDO in this upon the Commission’s procedures with Street SW, Washington, DC 20436, investigation, if a violation is found, respect to filings. telephone (202) 205–2000. General would affect the public health and In accordance with sections 201.16(c) information concerning the Commission welfare in the United States, and 207.3 of the rules, each document may also be obtained by accessing its competitive conditions in the United filed by a party to the investigation must internet server (https://www.usitc.gov). States economy, the production of like be served on all other parties to the The public record for this investigation or directly competitive articles in the investigation (as identified by either the may be viewed on the Commission’s United States, or United States public or BPI service list), and a Electronic Docket Information System consumers. certificate of service must be timely (‘‘EDIS’’) (https://edis.usitc.gov). In particular, the Commission is Hearing-impaired persons are advised filed. The Secretary will not accept a interested in comments that: that information on this matter can be document for filing without a certificate (i) Explain how the articles obtained by contacting the of service. potentially subject to the recommended Commission’s TDD terminal, telephone orders are used in the United States; Authority: This investigation is being (202) 205–1810. (ii) Identify any public health, safety, conducted under authority of title VII of the SUPPLEMENTARY INFORMATION: Section or welfare concerns in the United States Tariff Act of 1930; this notice is published 337 of the Tariff Act of 1930, as relating to the recommended orders; pursuant to section 207.12 of the amended (‘‘Section 337’’), provides that (iii) Identify like or directly Commission’s rules. if the Commission finds a violation, it competitive articles that complainants, By order of the Commission. shall direct that the concerned articles their licensees, or third parties make in Issued: December 18, 2019. be excluded from entry into the United the United States which could replace Lisa Barton, States, unless, after considering the the subject articles if they were to be effect of such exclusion upon the public excluded; Secretary to the Commission. health and welfare, competitive (iv) Indicate whether complainants, [FR Doc. 2019–27722 Filed 12–23–19; 8:45 am] conditions in the United States complainants’ licensees, and/or third BILLING CODE 7020–02–P economy, the production of like or party suppliers have the capacity to directly competitive articles in the replace the volume of articles United States, and United States potentially subject to the recommended consumers, it finds such articles should exclusion order and/or a cease and
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desist order within a commercially By order of the Commission. may also be obtained by accessing its reasonable time; and Issued: December 18, 2019. internet server at https://www.usitc.gov. (v) Explain how the LEO and CDO Lisa Barton, The public record for this investigation would impact consumers in the United Secretary to the Commission. may be viewed on the Commission’s States. [FR Doc. 2019–27712 Filed 12–23–19; 8:45 am] electronic docket (‘‘EDIS’’) at https:// Written submissions from the public BILLING CODE 7020–02–P edis.usitc.gov. Hearing-impaired must be filed no later than the close of persons are advised that information on business on Friday, January 17, 2020. this matter can be obtained by Persons filing written submissions INTERNATIONAL TRADE contacting the Commission’s TDD must file the original document COMMISSION terminal, telephone 202–205–1810. electronically on or before the deadline SUPPLEMENTARY INFORMATION: On [Investigation No. 337–TA–1068] stated above and submit eight (8) true September 6, 2017, the Commission paper copies to the Office of the Certain Microfluidic Devices; Notice of instituted this investigation based on a Secretary by noon the next day pursuant the Commission’s Final Determination complaint filed by Bio-Rad Laboratories, to section 210.4(f) of the Commission’s Finding a Violation of Section 337; Inc. of Hercules, California; and Rules of Practice and Procedure (19 CFR Issuance of a Limited Exclusion Order Lawrence Livermore National Security, 210.4(f)). Submissions should refer to and Cease and Desist Order; LLC of Livermore, California. 82 FR the investigation number (‘‘Inv. No. Termination of the Investigation 42115 (Sept. 6, 2017). The complaint 337–TA–1118’’) in a prominent place on (and supplement thereto) alleges the cover page and/or first page. (See AGENCY: U.S. International Trade violations of section 337 of the Tariff Handbook for Electronic Filing Commission. Act of 1930, as amended, 19 U.S.C. 1337 Procedures, https://www.usitc.gov/ ACTION: Notice. (‘‘section 337’’) based upon the documents/handbook_on_filing_ importation into the United States, the procedures.pdf.). Persons with SUMMARY: Notice is hereby given that sale for importation, or the sale within questions regarding filing should the U.S. International Trade the United States after importation of contact the Secretary (202–205–2000). Commission (‘‘Commission’’) has found certain microfluidic devices by reason Any person desiring to submit a a violation of section 337 in the above- of infringement of one or more claims of document to the Commission in captioned investigation. The the ’664 patent, the ’682 patent, the ’635 confidence must request confidential Commission has determined to issue patent, and U.S. Patent Nos. 9,089,844 treatment. All such requests should be tailored remedial orders that permit (‘‘the ’844 patent’’) and 9,126,160 (‘‘the directed to the Secretary to the researchers to continue their work in ’160 patent). Id. The Commission’s Commission and must include a full ongoing research projects using the notice of investigation named as the sole statement of the reasons why the infringing microfluidic devices as respondent 10X. Id. The Office of Unfair Commission should grant such explained in the accompanying opinion. Import Investigations was also named as treatment. See 19 CFR 201.6. Documents These remedial orders include: (1) A a party to this investigation. Id. for which confidential treatment by the limited exclusion order (‘‘LEO’’) Prior to the issuance of the final Commission is properly sought will be prohibiting the unlicensed entry of initial determination (‘‘ID’’) by the treated accordingly. All information, infringing microfluidic devices covered presiding administrative law judge (the including confidential business by certain claims of U.S. Patent Nos. ‘‘ALJ’’), the investigation was information and documents for which 9,500,664 (‘‘the ’664 patent’’); 9,636,682 terminated as to the ’844 patent in its confidential treatment is properly (‘‘the ’682 patent’’); and 9,649,635 (‘‘the entirety and as to certain claims of the sought, submitted to the Commission for ’635 patent’’) that are manufactured ’160, ’664, ’682, and ’635 patents. See purposes of this Investigation may be abroad for or on behalf of, or imported Order No. 12, unreviewed, Notice (Mar. disclosed to and used: (i) By the by or on behalf of 10X Genomics, Inc. 6, 2018); Order No. 16, unreviewed, Commission, its employees and Offices, of Pleasanton, California (‘‘10X’’) or any Notice (Mar. 26, 2018); Order No. 19, and contract personnel (a) for of its affiliated companies, parents, unreviewed, Notice (Apr. 16, 2018); developing or maintaining the records subsidiaries, or other related business Order No. 29, unreviewed, Notice (June of this or a related proceeding, or (b) in entities, or its successors or assigns; and 1, 2018). The ALJ’s final ID addressed internal investigations, audits, reviews, (2) a cease and desist order (‘‘CDO’’) the following claims: (i) Claim 20 of the and evaluations relating to the directed against 10X and its affiliated ’160 patent; (ii) claims 1, 2, 14, and 15 programs, personnel, and operations of companies, parents, subsidiaries, or of the ’664 patent; (iii) claims 14, 16, the Commission including under 5 other related business entities, or its and 17 of the ’682 patent; and (iv) U.S.C. Appendix 3; or (ii) by U.S. successors or assigns. This investigation claims 1, 13, 14, 16, and 21 of the ’635 government employees and contract is terminated. patent. personnel, solely for cybersecurity FOR FURTHER INFORMATION CONTACT: Ron On September 20, 2018, the ALJ purposes. All contract personnel will Traud, Office of the General Counsel, issued the final ID, which finds 10X in sign appropriate nondisclosure U.S. International Trade Commission, violation of section 337 as to the agreements. All non-confidential 500 E Street SW, Washington, DC remaining asserted claims of the ’664, written submissions will be available for 20436, telephone 202–205–3427. Copies ’682 patent, and ’635 patents. On public inspection at the Office of the of non-confidential documents filed in September 28, 2018, the ALJ issued her Secretary and on EDIS. connection with this investigation are or recommendations on remedy, bond, and The authority for the Commission’s will be available for inspection during the public interest. The ALJ determination is contained in Section official business hours (8:45 a.m. to 5:15 recommended that the Commission 337 of the Tariff Act of 1930, as p.m.) in the Office of the Secretary, U.S. issue a limited exclusion order directed amended (19 U.S.C. 1337), and in part International Trade Commission, 500 E to 10X’s infringing products and a cease 210 of the Commission’s Rules of Street SW, Washington, DC 20436, and desist order directed to 10X. The Practice and Procedure (19 CFR part telephone 202–205–2000. General ALJ also recommended a bond of 100 210). information concerning the Commission percent of entered value during the
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period of Presidential review. See 19 DEPARTMENT OF JUSTICE specifically authorized by DEA U.S.C. 1337(j)(3). regulations. DEA will evaluate the The private parties petitioned for the Drug Enforcement Administration application for registration as a bulk Commission to review certain of the [Docket No. DEA–562] manufacturer for compliance with all ALJ’s determinations. On December 4, applicable laws, treaties, and 2018, after considering the parties’ Bulk Manufacturer of Controlled regulations and to ensure adequate petitions and responses thereto, the Substances Application: Bulk safeguards against diversion are in Commission determined to review the Manufacturers of Marihuana: Stanley place. following issues: Brothers Bio Tec Inc. As this applicant has applied to (1) Whether 10X indirectly infringes become registered as a Bulk the ’682 and ’635 patents; ACTION: Notice of application. Manufacturer of Marihuana, the (2) Whether 10X’s Chip GB infringes application will be evaluated under the SUMMARY: The Drug Enforcement claims 1 and 14 of the ’664 patent; and criteria of 21 U.S.C. 823(a) as described Administration (DEA) is providing in 84 FR 44920, published on August (3) Whether 10X’s Chip SE infringes notice of an application it has received claim 20 of the ’160 patent and claim 1 27, 2019. from an entity applying to be registered In accordance with 21 CFR of the ’664 patent. to manufacture in bulk basic classes of 83 FR 63672 (Dec. 11, 2018). The 1301.33(a), DEA is providing notice that controlled substances listed in schedule on October 31, 2019, STANLEY Commission thereafter requested I. Prior to making decisions on this and briefing only on remedy, the public BROTHERS BIO TECH INC., 66 South other pending applications, DEA Logan Street, Suite 209, Denver, interest, and bonding. intends to promulgate regulations that On June 10, 2019, the Commission Colorado 80209–1809 applied to be govern the program of growing registered as a bulk manufacturer of the requested supplemental briefing on the marihuana for scientific and medical public interest. 84 FR 27802 (June 14, following basic class of controlled research under DEA registration. substances: 2019); 84 FR 31912 (July 3, 2019) DATES: Registered bulk manufacturers of (modifying briefing schedule). the affected basic classes, and Controlled Drug code Schedule Thereafter, the parties, members of the applicants therefore, may file written substance public, and a government agency comments on or objections to the submitted public interest briefing. issuance of the proposed registration on Marihuana ...... 7360 I On review, and consistent with the or before February 24, 2020. Tetrahydrocannabin- 7370 I simultaneously-issued Commission ols. opinion, the Commission has ADDRESSES: Written comments should determined to affirm with modification be sent to: Drug Enforcement The applicant noticed above applied the final ID’s finding of a violation of Administration, Attention: DEA Federal to become registered with DEA to grow section 337 with respect to claims 1, 2, Register Representative/DPW 8701 marihuana as a bulk manufacturer 14, and 15 of the ’664 patent, claims 14, Morrissette Drive, Springfield, Virginia subsequent to a 2016 DEA policy 16, and 17 of the ’682 patent, and claims 22152. To ensure proper handling of statement that provided information on 1, 13, 14, 16, and 21 of the ’635 patent. comments, please reference Docket No. how it intended to expand the number The Commission has further DEA–562 in all correspondence, of registrations, and described in general determined that the public interest including attachments. terms the way it would oversee those factors enumerated in subsections (d)(l) SUPPLEMENTARY INFORMATION: The additional growers. Before DEA and (f)(1) (19 U.S.C. 1337(d)(l), (f)(1)) do Controlled Substances Act (CSA) completes the evaluation and not preclude issuance of the above- prohibits the cultivation and registration process for applicants to referenced remedial orders. However, distribution of marihuana except by grow marihuana, DEA intends to the Commission has determined to persons who are registered under the propose regulations in the near future tailor the LEO and CDO to allow CSA to do so for lawful purposes. In that would supersede the 2016 policy research studies using the infringing accordance with the purposes specified statement and govern persons seeking to articles at issue as of the date of in 21 CFR 1301.33(a), DEA is providing become registered with DEA to grow issuance of the remedial orders to notice that the entity identified below marihuana as bulk manufacturers, continue to use those infringing articles. has applied for registration as a bulk consistent with applicable law, as The Commission has determined to manufacturer of schedule I controlled described in 84 FR 44920. impose a bond of three (3) percent of substances. In response, registered bulk Dated: December 6, 2019. entered value of the covered products manufacturers of the affected basic William T. McDermott, classes, and applicants therefore, may during the period of Presidential review Assistant Administrator. (19 U.S.C. 1337(j)). file written comments on or objections of the requested registration, as [FR Doc. 2019–27782 Filed 12–23–19; 8:45 am] This investigation is terminated. BILLING CODE 4410–09–P This action is taken under the provided in this notice. This notice does authority of section 337 of the Tariff Act not constitute any evaluation or of 1930, as amended (19 U.S.C. 1337), determination of the merits of the DEPARTMENT OF JUSTICE and in part 210 of the Commission’s application submitted. Rules of Practice and Procedure (19 CFR The applicant plans to manufacture Drug Enforcement Administration part 210). bulk active pharmaceutical ingredients (APIs) for product development and [Docket No. DEA–561] By order of the Commission. distribution to DEA registered Issued: December 18, 2019. researchers. If its application for Bulk Manufacturer of Controlled Lisa Barton, registration is granted, the registrant Substances Application: Kinetochem Secretary to the Commission. would not be authorized to conduct LLC [FR Doc. 2019–27759 Filed 12–23–19; 8:45 am] other activity under this registration ACTION: Notice of application. BILLING CODE 7020–02–P aside from those coincident activities
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DATES: Registered bulk manufacturers of applicants therefore, may file written Controlled the affected basic classes, and comments on or objections to the substance Drug code Schedule applicants therefore, may file written issuance of the proposed registration on comments on or objections to the or before February 24, 2020. Marihuana Extract 7350 1 issuance of the proposed registration on Marihuana ...... 7360 I Tetrahydrocannabi- or before February 24, 2020. ADDRESSES: Written comments should be sent to: Drug Enforcement nols ...... 7370 I ADDRESSES: Written comments should Administration, Attention: DEA Federal be sent to: Drug Enforcement Register Representative/DPW 8701 The applicant noticed above applied Administration, Attention: DEA Federal Morrissette Drive, Springfield, Virginia to become registered with DEA to grow Register Representative/DPW, 8701 22152. To ensure proper handling of marihuana as a bulk manufacturer Morrissette Drive, Springfield, Virginia subsequent to a 2016 DEA policy 22152. comments, please reference Docket No. DEA–559 in all correspondence, statement that provided information on SUPPLEMENTARY INFORMATION: In including attachments. how it intended to expand the number accordance with 21 CFR 1301.33(a), this of registrations, and described in general is notice that on October 25, 2019, SUPPLEMENTARY INFORMATION: The terms the way it would oversee those Kinetochem LLC, 111 W Cooperative Controlled Substances Act (CSA) additional growers. Before DEA Way, Suite 310–B, Georgetown, Texas prohibits the cultivation and completes the evaluation and 78626 applied to be registered as a bulk distribution of marihuana except by registration process for applicants to manufacturer of the following basic persons who are registered under the grow marihuana, DEA intends to classes of controlled substances: CSA to do so for lawful purposes. In propose regulations in the near future accordance with the purposes specified that would supersede the 2016 policy Controlled Drug code Schedule in 21 CFR 1301.33(a), DEA is providing statement and govern persons seeking to substance notice that the entity identified below become registered with DEA to grow marihuana as bulk manufacturers, Marihuana ...... 7360 I has applied for registration as a bulk Tetrahydrocannabin- 7370 I manufacturer of schedule I controlled consistent with applicable law, as ols. substances. In response, registered bulk described in 84 FR 44920. manufacturers of the affected basic Dated: December 6, 2019. The company plans to synthetically classes, and applicants therefore, may William T. McDermott, manufacture drug codes 7360 file written comments on or objections Assistant Administrator. of the requested registration, as (marihuana) and 7370 [FR Doc. 2019–27783 Filed 12–23–19; 8:45 am] (tetrahydrocannabinols), in bulk for provided in this notice. This notice does BILLING CODE 4410–09–P distribution and sale to its customers. not constitute any evaluation or No other activities for these drug codes determination of the merits of the are authorized for this registration. application submitted. DEPARTMENT OF JUSTICE Dated: December 6, 2019. The applicant plans to manufacture William T. McDermott, bulk active pharmaceutical ingredients Drug Enforcement Administration Assistant Administrator. (APIs) for product development and [Docket No. DEA–563] [FR Doc. 2019–27784 Filed 12–23–19; 8:45 am] distribution to DEA registered BILLING CODE 4410–09–P researchers. If its application for Bulk Manufacturer of Controlled registration is granted, the registrant Substances Application: Bulk would not be authorized to conduct Manufacturers of Marihuana: DEPARTMENT OF JUSTICE other activity under this registration Agronomed Pharmaceuticals aside from those coincident activities Drug Enforcement Administration specifically authorized by DEA ACTION: Notice of application. [Docket No. DEA–559] regulations. DEA will evaluate the SUMMARY: The Drug Enforcement application for registration as a bulk Administration (DEA) is providing Bulk Manufacturer of Controlled manufacturer for compliance with all notice of an application it has received Substances Application: Bulk applicable laws, treaties, and from an entity applying to be registered Manufacturers of Marihuana: Royal regulations and to ensure adequate to manufacture in bulk basic classes of Emerald Pharmaceuticals Research safeguards against diversion are in controlled substances listed in schedule and Development place. I. Prior to making decisions on this and As this applicant has applied to other pending applications, DEA ACTION: Notice of application. become registered as a Bulk intends to promulgate regulations that SUMMARY: The Drug Enforcement Manufacturer of Marihuana, the govern the program of growing Administration (DEA) is providing application will be evaluated under the marihuana for scientific and medical notice of an application it has received criteria of 21 U.S.C. 823(a) as described research under DEA registration. from an entity applying to be registered in 84 FR 44920, published on August DATES: Registered bulk manufacturers of to manufacture in bulk basic classes of 27, 2019. the affected basic classes, and controlled substances listed in schedule In accordance with 21 CFR applicants therefor, may file written I. Prior to making decisions on this and 1301.33(a), DEA is providing notice that comments on or objections to the other pending applications, DEA on September 24, 2019, Royal Emerald issuance of the proposed registration on intends to promulgate regulations that Pharmaceuticals Research and or before February 24, 2020. govern the program of growing Development, 7220 Trade Street, Suite ADDRESSES: Written comments should marihuana for scientific and medical 340, San Diego, California 92121–2324 be sent to: Drug Enforcement research under DEA registration. applied to be registered as a bulk Administration, Attention: DEA Federal DATES: Registered bulk manufacturers of manufacturer of the following basic Register Representative/DPW 8701 the affected basic classes, and classes of controlled substances: Morrissette Drive, Springfield, Virginia
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22152. To ensure proper handling of how it intended to expand the number 652, Washington, DC 20226, by email at comments, please reference ‘‘Docket No. of registrations, and described in general FederalRegisterNoticeATFF4473@ DEA–563’’ in all correspondence, terms the way it would oversee those atf.gov, or by telephone at 202–648– including attachments. additional growers. Before DEA 7173. SUPPLEMENTARY INFORMATION: The completes the evaluation and SUPPLEMENTARY INFORMATION: Written Controlled Substances Act (CSA) registration process for applicants to comments and suggestions from the prohibits the cultivation and grow marihuana, DEA intends to public and affected agencies concerning distribution of marihuana except by propose regulations in the near future the proposed collection of information persons who are registered under the that would supersede the 2016 policy are encouraged. Your comments should CSA to do so for lawful purposes. In statement and govern persons seeking to address one or more of the following accordance with the purposes specified become registered with DEA to grow four points: marihuana as bulk manufacturers, in 21 CFR 1301.33(a), DEA is providing —Evaluate whether the proposed consistent with applicable law, as notice that the entity identified below collection of information is necessary described in 84 FR 44920. has applied for registration as a bulk for the proper performance of the manufacturer of schedule I controlled Dated: December 6, 2019. functions of the agency, including substances. In response, registered bulk William T. McDermott, whether the information will have manufacturers of the affected basic Assistant Administrator. practical utility; classes, and applicants therefor, may file [FR Doc. 2019–27781 Filed 12–23–19; 8:45 am] —Evaluate the accuracy of the agency’s written comments on or objections of BILLING CODE 4410–09–P estimate of the burden of the the requested registration, as provided proposed collection of information, in this notice. This notice does not including the validity of the constitute any evaluation or DEPARTMENT OF JUSTICE methodology and assumptions used; determination of the merits of the [OMB Number 1140–0020] —Evaluate whether and if so how the application submitted. quality, utility, and clarity of the The applicant plans to manufacture Agency Information Collection information to be collected can be bulk active pharmaceutical ingredients Activities; Proposed eCollection enhanced; and (APIs) for product development and eComments Requested; Revision of a —Minimize the burden of the collection distribution to DEA registered Currently Approved Collection; of information on those who are to researchers. If its application for Firearms Transaction Record/Registro respond, including through the use of registration is granted, the registrant de Transaccio´ n de Armas de Fuego— appropriate automated, electronic, would not be authorized to conduct ATF Form 4473 (5300.9) mechanical, or other technological other activity under this registration collection techniques or other forms aside from those coincident activities AGENCY: Bureau of Alcohol, Tobacco, of information technology, e.g., specifically authorized by DEA Firearms and Explosives, Department of permitting electronic submission of regulations. DEA will evaluate the Justice. responses. application for registration as a bulk ACTION: 60-Day notice. manufacturer for compliance with all Overview of This Information applicable laws, treaties, and SUMMARY: The Department of Justice Collection regulations and to ensure adequate (DOJ), Bureau of Alcohol, Tobacco, (1) Type of Information Collection safeguards against diversion are in Firearms and Explosives (ATF), will (check justification or form 83): place. submit the following information Revision of a currently approved As this applicant has applied to collection request to the Office of collection. become registered as a Bulk Management and Budget (OMB) for (2) The Title of the Form/Collection: Manufacturer of Marihuana, the review and approval in accordance with Firearms Transaction Record/Registro application will be evaluated under the the Paperwork Reduction Act of 1995. de Transaccio´n de Armas de Fuego. criteria of 21 U.S.C. 823(a) as described The proposed collection is being revised (3) The agency form number, if any, in 84 FR 44920, published on August to include a Continuation Sheet, as well and the applicable component of the 27, 2019. as changes to the content and layout of Department sponsoring the collection: In accordance with 21 CFR the form. There is also a decrease in the Form number (if applicable): ATF Form 1301.33(a), DEA is providing notice that total respondents and burden hours 4473 (5300.9). on November 1, 2019, Agronomed associated with this information Component: Bureau of Alcohol, Pharmaceuticals, 740 Springdale Drive, collection (IC). The proposed IC is also Tobacco, Firearms and Explosives, U.S. Suite 130, Exton, Pennsylvania 19341– being published to obtain comments Department of Justice. 2876 applied to be registered as a bulk from the public and affected agencies. (4) Affected public who will be asked manufacturer of the following basic DATES: Comments are encouraged and or required to respond, as well as a brief class of controlled substances: will be accepted for 60 days until abstract: Primary: Individuals or February 24, 2020. households. Other (if applicable): Controlled FOR FURTHER INFORMATION CONTACT: If Business or other for-profit. substance Drug code Schedule you have additional comments, Abstract: The Firearms Transaction Marihuana ...... 7360 I regarding the estimated public burden Record/Registro de Transaccio´n de Tetrahydrocannabin- 7370 I or associated response time, Armas de Fuego allows Federal firearms ols. suggestions, or need a copy of the licensees to determine the eligibility of proposed information collection persons purchasing firearms. It also The applicant noticed above applied instrument with instructions, or alerts buyers to certain restrictions on to become registered with DEA to grow additional information, please contact: the receipt and possession of firearms. marihuana as bulk manufacturer Helen Koppe, ATF Firearms & (5) An estimate of the total number of subsequent to a 2016 DEA policy Explosives Industry Division either by respondents and the amount of time statement that provided information on mail at 99 New York Avenue NE, 6 N– estimated for an average respondent to
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respond: An estimated 17,189,101 Department of Justice, 950 Pennsylvania save members of the public time in respondents will utilize the form Avenue NW, Washington, DC 20009. reporting violations, and improve how annually, and it will take each SUPPLEMENTARY INFORMATION: Written the Division responds to those reports. respondent approximately 30 minutes to comments and suggestions from the The information the Division plans to complete their responses. public and affected agencies concerning collect using the reporting portal will (6) An estimate of the total public the proposed collection of information help the Division fulfill its enforcement burden (in hours) associated with the are encouraged. Your comments should responsibilities under the statutes collection: The estimated annual public address one or more of the following outlined above. burden associated with this collection is four points: 5. An estimate of the total number of respondents and the amount of time 8,594,551 hours, which is equal to —Evaluate whether the proposed estimated for an average respondent to 17,189,101 (# of respondents) * 1 (# of collection of information is necessary respond: There are an estimated 36,000 responses per respondent) * .5 (30 for the proper performance of the respondents for this information minutes). functions of the Civil Rights Division, (7) An Explanation of the Change in collection a year. The respondent including whether the information Estimates: The adjustments associated normally responds 1 time annually. The will have practical utility; with this information collection include total number of yearly responses is —Evaluate the accuracy of the agency’s a reduction in the total respondents to 36,000. It is estimated that it takes 10 estimate of the burden of the this IC by 1,086,139. Consequently, the minutes to learn about the law and the proposed collection of information, hourly burden for this IC has also Complaint Form and 20 minutes to including the validity of the decreased by 543,069 hours, since the complete the Complaint Form. methodology and assumptions used; last renewal in 2016. 6. An estimate of the total public —Evaluate whether and if so how the If additional information is required burden (in hours) associated with the quality, utility, and clarity of the contact: Melody Braswell, Department collection: Total burden hours are information to be collected can be Clearance Officer, United States estimated at 18,000. enhanced; and Department of Justice, Justice If additional information is required —Minimize the burden of the collection Management Division, Policy and contact: Melody Braswell, Department of information on those who are to Planning Staff, Two Constitution Clearance Officer, United States respond, including through the use of Square, 145 N Street NE, 3E.405A, Department of Justice, Justice appropriate automated, electronic, Washington, DC 20530. Management Division, Policy and mechanical, or other technological Dated: December 18, 2019. Planning Staff, Two Constitution collection techniques or other forms Square, 145 N Street NE, 3E.405A, Melody Braswell, of information technology, e.g., Washington, DC 20530. Department Clearance Officer for PRA, U.S. permitting electronic submission of Department of Justice. responses. Dated: December 18, 2019. Melody Braswell, [FR Doc. 2019–27719 Filed 12–23–19; 8:45 am] Overview of This Information BILLING CODE 4410–FY–P Department Clearance Officer for PRA, U.S. Collection Department of Justice. 1. Type of Information Collection: [FR Doc. 2019–27720 Filed 12–23–19; 8:45 am] DEPARTMENT OF JUSTICE New Collection. BILLING CODE 4410–FY–P 2. The Title of the Form/Collection: [OMB Number 1190–NEW] Reporting Portal for Civil Rights Agency Information Collection Violations. NATIONAL AERONAUTICS AND Activities; Proposed eCollection 3. The agency for number, if any, and SPACE ADMINISTRATION eComments Requested the applicable component of the Department sponsoring the collection: [NOTICE: 19–082] AGENCY: Civil Rights Division, There is no agency form number for Agency Information Collection Department of Justice. this collection. The applicable Activity; Request for Comments ACTION: 60-Day notice. component within the Department of Justice is the Civil Rights Division. AGENCY: National Aeronautics and SUMMARY: The Department of Justice, 4. Affected public who will be asked Space Administration (NASA). Civil Rights Division, is submitting the or required to respond, as well as a brief ACTION: Notice of information collection. following information collection request abstract: to the Office of Management and Budget This form will be made available SUMMARY: The National Aeronautics and (OMB) for review and approval in online to be used by individual Space Administration, as part of its accordance with the Paperwork complainants at their discretion and continuing effort to reduce paperwork Reduction Act of 1995. convenience. The use of the form is and respondent burden, invites the DATES: Comments are encouraged and voluntary. general public and other Federal will be accepted for 60 days until The Civil Rights Division of the U.S. agencies to take this opportunity to February 24, 2020. Department of Justice enforces the comment on proposed and/or FOR FURTHER INFORMATION CONTACT: If nation’s federal civil rights statutes. continuing information collections. you have additional comments Members of the public play a critical DATES: Comments are due by February especially on the estimated public role in this effort by reporting civil 24, 2020. burden or associated response time, rights violations to the Division. To ADDRESSES: All comments should be suggestions or need a copy of the facilitate this reporting process, the addressed to Claire Little, National proposed information collection Division is developing a streamlined Aeronautics and Space Administration, instrument with instructions or online Reporting Portal for Civil Rights 300 E Street SW, Washington, DC additional information, please contact Violations. This Portal is designed to 20546–0001 or call 202–358–2375. Daniel Yi, Senior Counsel for facilitate and enhance individual FOR FURTHER INFORMATION CONTACT: Innovation, Civil Rights Division, U.S. complainant’s reporting opportunities, Requests for additional information or
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copies of the information collection NASA collects, archives, and secures They will also become a matter of instrument(s) and instructions should information from individuals visiting public record. be directed to Claire Little, NASA the Occupational Health clinics Cheryl Parker, Clearance Officer, NASA Headquarters, requiring routine medical examination 300 E Street SW, JF0000, Washington, in compliance with the following NASA Federal Liaison Officer. DC 20546 or email claire.a.little@ regulations: [FR Doc. 2019–27776 Filed 12–23–19; 8:45 am] nasa.gov. • 2015 Joint Commission (JC) Standards BILLING CODE 7510–13–P SUPPLEMENTARY INFORMATION: for Ambulatory Care IM.01.01.01, IM.02.01.03, IM.02.02.01, IM.02.02.03 I. Abstract • NASA Procedural Requirements, NPR EXECUTIVE OFFICE OF THE 1800.1C. The Electronic Health Record System PRESIDENT is used by the NASA Occupational • NASA Records Retention Schedules Health Program to generate records of NRRS 1441.1 Office of National Drug Control Policy medical care, diagnosis, treatment, • 5 U.S.C. 552a, Privacy Act, 1974 • surveillance examinations (e.g., flight 42 U.S.C. 2472; 44 U.S.C. 3101; Public Submission for Review: Survey on the certification, special purpose and health Law 92–255 Treatment of Opioid Use Disorders; • maintenance), and exposure records NIST SP 800–53 revision 4, Correction (e.g., hazardous materials and ionizing Recommended Security Controls for radiation). Management and utilization Federal Information Systems AGENCY: Office of National Drug Control • of the Electronic Health Record System NIST SP 800–53A, Techniques and Policy, Executive Office of the provides necessary supportive clerical Procedures for Verifying the President. Effectiveness of Security Controls in services for the Occupational Health ACTION: 30-Day notice and request for Program. Occupational Health clinics Federal Information Systems • comments; correction. create, maintain and securely archive NPR 2810.1, Security of Information Technology. digital medical records and physical SUMMARY: The Office of National Drug examination records of (1) NASA civil II. Methods of Collection Control Policy published a document in service employees and applicants; (2) the Federal Register on December 12, other Agency civil service and military Electronically and optionally by paper. 2019 concerning the Paperwork employees working at NASA; (3) active Reduction Act; Proposed Collection; or retired astronauts and active III. Data Comment Request. The document astronaut family members; (4) Title: NASA Electronic Health Record contained an incorrect address and International Space Partner personnel, System (EHRS). contact information. their families, or other space flight OMB Number: 2700–xxxx. SUPPLEMENTARY INFORMATION: personnel on temporary or extended Type of review: New. duty at NASA; (5) onsite contractor Affected Public: Individuals. Correction personnel who receive job-related Estimated Annual Number of examinations under the NASA Activities: 63,260. In the Federal Register of December Occupational Health Program, have Estimated Number of Respondents 12, 2019 84 FR 67963, correct the work-related mishaps or accidents, or per Activity: 1. ADDRESSES caption to read: visit clinics for emergency or first-aid Annual Responses: 63,260. ADDRESSES: Interested persons are treatment; and (6) visitors to NASA Estimated Time per Response: 0.5 invited to submit written comments on Centers who use clinics for emergency hours. the proposed information collection to or first-aid treatment or who apply for Estimated Total Annual Burden the Office of Information and Regulatory use of NASA facilities. The legal Hours: 31,630. Affairs, Office of Management and medical record is the documentation of Estimated Total Annual Cost: Budget, 725 17th Street NW, health care services provided to an $819,217.00. Washington, DC 20503, Attention: Desk individual; it is used for clinical IV. Request for Comments Officer for the Office of National Drug decision making, following accurate Control Policy or sent via electronic recording of observations, actions and Comments are invited on: (1) Whether mail to [email protected] analysis of diagnostic tests. The legal the proposed collection of information or faxed to (202) 395–6974. medical record in this instance is digital is necessary for the proper performance recorded data collected and used for of the functions of NASA, including Correction providing healthcare at the NASA whether the information collected has In the Federal Register of December Occupational Health clinics. practical utility; (2) the accuracy of 12, 2019 84 FR 67963, correct the FOR Additionally, the medical record is used NASA’s estimate of the burden FURTHER INFORMATION CONTACT caption as a tool for evaluating the adequacy, (including hours and cost) of the to read: appropriateness and quality of care. proposed collection of information; (3) Such records contain standard clinical ways to enhance the quality, utility, and FOR FURTHER INFORMATION CONTACT: A information resulting from physical clarity of the information to be copy of this ICR, with applicable examinations, laboratory and other collected; and (4) ways to minimize the supporting documentation, may be relevant diagnostic tests, and medical burden of the collection of information obtained by contacting the Office of history surveys; screening examination on respondents, including automated Information and Regulatory Affairs, results; immunization records; collection techniques or the use of other Office of Management and Budget, 725 administration of medications forms of information technology. 17th Street NW, Washington, DC 20503, prescribed by private/personal or NASA Comments submitted in response to Attention: Desk Officer for the Office of physicians; consultation records; and this notice will be summarized and National Drug Control Policy or sent via hazardous exposure as well as other included in the request for OMB electronic mail oira_submission@ health hazard/abatement data. approval of this information collection. omb.eop.gov or faxed to (202) 395–6974.
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Dated: December 18, 2019. NUCLEAR REGULATORY • NRC’s Agencywide Documents Michael Passante, COMMISSION Access and Management System (ADAMS): You may obtain publicly- Acting General Counsel. [NRC–2019–0158] [FR Doc. 2019–27708 Filed 12–23–19; 8:45 am] available documents online in the BILLING CODE 3280–F5–P Information Collection: NRC Form 327, ADAMS Public Documents collection at Special Nuclear Material and Source https://www.nrc.gov/reading-rm/ Material Physical Inventory Summary adams.html. To begin the search, select EXECUTIVE OFFICE OF THE Reports, and NUREG/BR–0096, ‘‘Begin Web-based ADAMS Search.’’ For PRESIDENT Instructions and Guidance for problems with ADAMS, please contact Completing Physical Inventory the NRC’s Public Document Room (PDR) Office of National Drug Control Policy Summary Reports reference staff at 1–800–397–4209, 301– 415–4737, or by email to pdr.resource@ Submission for Review: Survey on AGENCY: Nuclear Regulatory nrc.gov. A copy of the collection of Practices and Policies Related to the Commission. information and related instructions Treatment of Opioid Use Disorders; ACTION: Notice of submission to the may be obtained without charge by Correction Office of Management and Budget; accessing ADAMS Accession request for comment. ML19161A296 and ML082620258. The AGENCY: Office of National Drug Control supporting statement is available in Policy. SUMMARY: The U.S. Nuclear Regulatory ADAMS under Accession No. ACTION: 30-Day Notice and request for Commission (NRC) has recently ML19318C417. comments; correction submitted a request for renewal of an • NRC’s PDR: You may examine and existing collection of information to the purchase copies of public documents at SUMMARY: The Office of National Drug Office of Management and Budget Control Policy published a document in the NRC’s PDR, Room O1–F21, One (OMB) for review. The information White Flint North, 11555 Rockville the Federal Register on December 12, collection is entitled, ‘‘NRC Form 327, 2019 concerning the Paperwork Pike, Rockville, Maryland 20852. Special Nuclear Material and Source • NRC’s Clearance Officer: A copy of Reduction Act; Proposed Collection; Material Physical Inventory Summary the collection of information and related Comment Request. The document Reports, and NUREG/BR–0096, instructions may be obtained without contained an incorrect address and Instructions and Guidance for charge by contacting the NRC’s contact information. Completing Physical Inventory Clearance Officer, David Cullison, SUPPLEMENTARY INFORMATION: Summary Reports.’’ Office of the Chief Information Officer, Correction DATES: Submit comments by January 27, U.S. Nuclear Regulatory Commission, 2020. Comments received after this date Washington, DC 20555–0001; telephone: In the Federal Register of December will be considered if it is practical to do 301–415–2084; email: 12, 2019 84 FR 67964, correct the so, but the Commission is able to ensure [email protected]. ADDRESSES caption to read: consideration only for comments B. Submitting Comments ADDRESSES: Interested persons are received on or before this date. invited to submit written comments on ADDRESSES: Submit comments directly The NRC cautions you not to include the proposed information collection to to the OMB reviewer at: OMB Office of identifying or contact information in the Office of Information and Regulatory Information and Regulatory Affairs comment submissions that you do not Affairs, Office of Management and (3150–0139), Attn: Desk Officer for the want to be publicly disclosed in your Budget, 725 17th Street NW, Nuclear Regulatory Commission, 725 comment submission. All comment Washington, DC 20503, Attention: Desk 17th Street, NW Washington, DC 20503; submissions are posted at https:// Officer for the Office of National Drug email: [email protected]. www.regulations.gov and entered into Control Policy or sent via electronic ADAMS. Comment submissions are not _ FOR FURTHER INFORMATION CONTACT: mail to oira [email protected] David Cullison, NRC Clearance Officer, routinely edited to remove identifying or faxed to (202) 395–6974. U.S. Nuclear Regulatory Commission, or contact information. If you are requesting or aggregating Correction Washington, DC 20555–0001; telephone: comments from other persons for 301–415–2084; email: In the Federal Register of December submission to the OMB, then you [email protected]. 12, 2019 84 FR 67964, correct the FOR should inform those persons not to FURTHER INFORMATION caption to read: SUPPLEMENTARY INFORMATION: include identifying or contact FOR FURTHER INFORMATION CONTACT: A I. Obtaining Information and information that they do not want to be copy of this ICR, with applicable Submitting Comments publicly disclosed in their comment supporting documentation, may be submission. Your request should state A. Obtaining Information obtained by contacting the Office of that comment submissions are not Information and Regulatory Affairs, Please refer to Docket ID NRC–2019– routinely edited to remove such Office of Management and Budget, 725 0158 when contacting the NRC about information before making the comment 17th Street NW, Washington, DC 20503, the availability of information for this submissions available to the public or Attention: Desk Officer for the Office of action. You may obtain publicly- entering the comment into ADAMS. available information related to this National Drug Control Policy or sent via II. Background electronic mail oira_submission@ action by any of the following methods: • omb.eop.gov or faxed to (202) 395–6974. Federal Rulemaking Website: Go to Under the provisions of the https://www.regulations.gov and search Paperwork Reduction Act of 1995 (44 Dated: December 18, 2019. for Docket ID NRC–2019–0158. A copy U.S.C. Chapter 35), the NRC recently Michael Passante, of the collection of information and submitted a request for renewal of an Acting General Counsel. related instructions may be obtained existing collection of information to [FR Doc. 2019–27709 Filed 12–23–19; 8:45 am] without charge by accessing Docket ID OMB for review entitled, ‘‘NRC Form BILLING CODE 3280–F5–P NRC–2019–0158 on this website. 327, Special Nuclear Material and
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Source Material Physical Inventory For the Nuclear Regulatory Commission. I. Obtaining Information and Summary Reports, and NUREG/BR– David C. Cullison, Submitting Comments 0096, Instructions and Guidance for NRC Clearance Officer, Office of the Chief A. Obtaining Information Completing Physical Inventory Information Officer. Summary Reports.’’ The NRC hereby [FR Doc. 2019–27693 Filed 12–23–19; 8:45 am] Please refer to Docket ID NRC–2019– informs potential respondents that an BILLING CODE 7590–01–P 0218 when contacting the NRC about agency may not conduct or sponsor, and the availability of information for this that a person is not required to respond action. You may obtain publicly- to, a collection of information unless it NUCLEAR REGULATORY available information related to this displays a currently valid OMB control COMMISSION action by any of the following methods: number. • Federal Rulemaking Website: Go to The NRC published a Federal [NRC–2019–0218] https://www.regulations.gov and search Register notice with a 60-day comment for Docket ID NRC–2019–0218. A copy Information Collection: Notice of of the collection of information and period on this information collection on Enforcement Discretion (NOED) for September 4, 2019 (84 FR 46568). related instructions may be obtained Operating Power Reactors and without charge by accessing Docket ID 1. The title of the information Gaseous Diffusion Plants (NRC collection: NRC Form 327, ‘‘Special NRC–2019–0218 on this website. Enforcement Policy) • Nuclear Material and Source Material NRC’s Agencywide Documents Physical Inventory Summary Reports, AGENCY: Nuclear Regulatory Access and Management System and NUREG/BR–0096, Instructions and Commission. (ADAMS): You may obtain publicly- Guidance for Completing Physical ACTION: Renewal of existing information available documents online in the Inventory Summary Reports.’’ collection; request for comments. ADAMS Public Documents collection at https://www.nrc.gov/reading-rm/ 2. OMB approval number: 3150–0139. SUMMARY: The U.S. Nuclear Regulatory adams.html. To begin the search, select 3. Type of submission: Extension. Commission (NRC) invites public ‘‘Begin Web-based ADAMS Search.’’ For 4. The form number if applicable: comment on the renewal of Office of problems with ADAMS, please contact NRC Form 327. Management and Budget (OMB) the NRC’s Public Document Room (PDR) 5. How often the collection is required approval for an existing collection of reference staff at 1–800–397–4209, 301– or requested: Certain licensees information. The information collection 415–4737, or by email to pdr.resource@ possessing strategic SNM are required to is entitled, ‘‘Notice of Enforcement nrc.gov. A copy of the collection of report inventories on NRC Form 327 Discretion (NOED) for Operating Power information and related instructions every 6 months. Licensees possessing Reactors and Gaseous Diffusion Plants may be obtained without charge by SNM of moderate strategic significance (NRC Enforcement Policy).’’ accessing ADAMS Accession No. must report every nine months. DATES: Submit comments by February ML19302F408. The supporting Licensees possessing SNM of low 24, 2020. Comments received after this statement is available in ADAMS under strategic significance must report date will be considered if it is practical Accession No. ML19308A020. • annually, except one licensee to do so, but the Commission is able to NRC’s PDR: You may examine and (enrichment facility) that must report its ensure consideration only for comments purchase copies of public documents at dynamic inventories every 2 months received on or before this date. the NRC’s PDR, Room O1–F21, One and its static inventory annually. White Flint North, 11555 Rockville ADDRESSES: You may submit comments 6. Who will be required or asked to Pike, Rockville, Maryland 20852. by any of the following methods: • respond: Fuel facility licensees • Federal Rulemaking Website: Go to NRC’s Clearance Officer: A copy of possessing SNM, i.e., enriched uranium, https://www.regulations.gov and search the collection of information and related plutonium, or U–233. for Docket ID NRC–2019–0218. For instructions may be obtained without 7. The estimated number of annual technical questions, contact the charge by contacting NRC’s Clearance responses: 68. individual listed in the FOR FURTHER Officer, David Cullison, Office of the Chief Information Officer, U.S. Nuclear 8. The estimated number of annual INFORMATION CONTACT section of this respondents: 6. document. Regulatory Commission, Washington, DC 20555–0001; telephone: 301–415– 9. An estimate of the total number of • Mail comments to: David Cullison, Office of the Chief Information Officer, 2084; email: Infocollects.Resource@ hours needed annually to comply with nrc.gov. the information collection requirement Mail Stop: T–6 A10M, U.S. Nuclear or request: 272 hours (4 hours per Regulatory Commission, Washington, B. Submitting Comments DC 20555–0001. response x 68 responses). Please include Docket ID NRC–2019– For additional direction on obtaining 10. Abstract: NRC Form 327 is 0218 in the subject line of your information and submitting comments, submitted by certain fuel cycle facility comment submission, in order to ensure see ‘‘Obtaining Information and licensees to account for SNM. The data that the NRC is able to make your Submitting Comments’’ in the is used by the NRC to assess licensee comment submission available to the SUPPLEMENTARY INFORMATION section of material control and accounting public in this docket. this document. programs and to confirm the absence of The NRC cautions you not to include (or detect the occurrence of) SNM theft FOR FURTHER INFORMATION CONTACT: identifying or contact information in or diversion. NUREG/BR–0096 provides David Cullison, Office of the Chief comment submissions that you do not guidance and instructions for Information Officer, U.S. Nuclear want to be publicly disclosed in your completing the form in accordance with Regulatory Commission, Washington, comment submission. The NRC will the requirements appropriate for a DC 20555–0001; telephone: 301–415– post all comment submissions at https:// particular licensee. 2084; email: Infocollects.Resource@ www.regulations.gov as well as enter the nrc.gov. Dated at Rockville, Maryland, this 18th day comment submissions into ADAMS, of December 2019. SUPPLEMENTARY INFORMATION: and the NRC does not routinely edit
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comment submissions to remove and the NRC staff may choose to not Week of December 30, 2019—Tentative identifying or contact information. enforce the applicable TS, TSR, or other If you are requesting or aggregating license or certificate condition. This There are no meetings scheduled for comments from other persons for enforcement discretion is designated as the week of December 30, 2019. submission to the NRC, then you should a NOED. Week of January 6, 2020—Tentative inform those persons not to include A licensee or certificate holder identifying or contact information that seeking the issuance of a NOED must There are no meetings scheduled for they do not want to be publicly justify, in accordance with NRC the week of January 6, 2020. disclosed in their comment submission. Enforcement Manual (ADAMS Week of January 13, 2020—Tentative Your request should state that the NRC Accession No. ML19193A023), the does not routinely edit comment safety basis for the request, including an There are no meetings scheduled for submissions to remove such information evaluation of the safety significance and the week of January 13, 2020. before making the comment potential consequences of the proposed submissions available to the public or request, a description of proposed Week of January 20, 2020—Tentative entering the comment into ADAMS. compensatory measures, a justification There are no meetings scheduled for for the duration of the request, the basis II. Background the week of January 20, 2020. for the licensee’s or certificate holder’s In accordance with the Paperwork conclusion that the request does not Week of January 27, 2020—Tentative Reduction Act of 1995 (44 U.S.C. have a potential adverse impact on the Tuesday, January 28, 2020 Chapter 35), the NRC is requesting public health and safety, and does not public comment on its intention to involve adverse consequences to the 9:00 a.m.—Discussion of Medical Uses request the OMB’s approval for the environment, and any other information of Radioactive Materials (Public information collection summarized the NRC staff deems necessary before Meeting) (Contact: Denise below. making a decision to exercise discretion. McGovern: 301–415–0681) 1. The title of the information collection: Notices of Enforcement III. Specific Requests for Comments This meeting will be webcast live at Discretion (NOEDs) for Operating Power The NRC is seeking comments that the web address—https://www.nrc.gov/. Reactors and Gaseous Diffusion Plants address the following questions: CONTACT PERSON FOR MORE INFORMATION: (GDP), (NRC Enforcement Policy). 1. Is the proposed collection of For more information or to verify the 2. OMB approval number: 3150–0136. information necessary for the NRC to status of meetings, contact Denise 3. Type of submission: Extension. properly perform its functions? Does the McGovern at 301–415–0681 or via email 4. The form number: N/A. information have practical utility? at [email protected]. The 5. How often the collection is required 2. Is the estimate of the burden of the schedule for Commission meetings is or requested: On Occasion. information collection accurate? subject to change on short notice. 6. Who will be required or asked to 3. Is there a way to enhance the The NRC Commission Meeting respond: Those licensees that quality, utility, and clarity of the Schedule can be found on the internet voluntarily request enforcement information to be collected? discretion through the NOED process. 4. How can the burden of the at: https://www.nrc.gov/public-involve/ 7. The estimated number of annual information collection on respondents public-meetings/schedule.html. responses: 8. be minimized, including the use of The NRC provides reasonable 8. The estimated number of annual automated collection techniques or accommodation to individuals with respondents: 4. other forms of information technology? disabilities where appropriate. If you 9. The estimated number of hours need a reasonable accommodation to needed annually to comply with the Dated at Rockville, Maryland, this 18th day of December 2019. participate in these public meetings or information collection requirement or need this meeting notice or the For the Nuclear Regulatory Commission. request: 680 (600 reporting + 80 transcript or other information from the recordkeeping). David C. Cullison, public meetings in another format (e.g., 10. Abstract: The NRC’s Enforcement NRC Clearance Officer, Office of the Chief Braille, large print), please notify Anne Policy includes the circumstances in Information Officer. Silk, NRC Disability Program Specialist, which the NRC may grant a NOED. On [FR Doc. 2019–27692 Filed 12–23–19; 8:45 am] at 301–287–0745, by videophone at occasion, circumstances arise when a BILLING CODE 7590–01–P 240–428–3217, or by email at power plant licensee’s compliance with [email protected]. Determinations on a Technical Specification (TS) Limiting requests for reasonable accommodation Condition for Operation or any other NUCLEAR REGULATORY will be made on a case-by-case basis. license condition would involve an COMMISSION Members of the public may request to unnecessary plant shutdown or [NRC–2019–0001] receive this information electronically. transient. Similarly, for a gaseous If you would like to be added to the diffusion plant, circumstances may arise Sunshine Act Meetings distribution, please contact the Nuclear where compliance with a Technical Regulatory Commission, Office of the Safety Requirement (TSR) or other TIME AND DATE: Weeks of December 23, Secretary, Washington, DC 20555 (301– condition would unnecessarily call for a 30, 2019, January 6, 13, 20, 27, 2020. 415–1969), or by email at total plant shutdown, or, compliance PLACE: Commissioners’ Conference [email protected] or Tyesha.Bush@ would unnecessarily place the plant in Room, 11555 Rockville Pike, Rockville, nrc.gov. a condition where safety, safeguards, or Maryland. security features were degraded or STATUS: Public. The NRC is holding the meetings inoperable. under the authority of the Government In these circumstances, a licensee or Week of December 23, 2019 in the Sunshine Act, 5 U.S.C. 552b. certificate holder may request that the There are no meetings scheduled for Dated at Rockville, Maryland, this 20th day NRC exercise enforcement discretion, the week of December 23, 2019. of December 2019.
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For the Nuclear Regulatory Commission. establishes comment deadline(s) DATES: Comments are due: December Richard J. Laufer, pertaining to each request. 27, 2019. Technical Coordinator, Office of the The public portions of the Postal ADDRESSES: Submit comments Secretary. Service’s request(s) can be accessed via electronically via the Commission’s [FR Doc. 2019–27905 Filed 12–20–19; 11:15 am] the Commission’s website (http:// Filing Online system at http:// BILLING CODE 7590–01–P www.prc.gov). Non-public portions of www.prc.gov. Those who cannot submit the Postal Service’s request(s), if any, comments electronically should contact can be accessed through compliance the person identified in the FOR FURTHER with the requirements of 39 CFR POSTAL REGULATORY COMMISSION INFORMATION CONTACT section by 3007.301.1 telephone for advice on filing [Docket Nos. MC2020–79 and CP2020–78] The Commission invites comments on alternatives. whether the Postal Service’s request(s) FOR FURTHER INFORMATION CONTACT: New Postal Products in the captioned docket(s) are consistent David A. Trissell, General Counsel, at with the policies of title 39. For 202–789–6820. AGENCY: Postal Regulatory Commission. request(s) that the Postal Service states ACTION: Notice. concern market dominant product(s), SUPPLEMENTARY INFORMATION: applicable statutory and regulatory Table of Contents SUMMARY: The Commission is noticing a requirements include 39 U.S.C. 3622, 39 recent Postal Service filing for the I. Introduction U.S.C. 3642, 39 CFR part 3010, and 39 II. Docketed Proceeding(s) Commission’s consideration concerning CFR part 3020, subpart B. For request(s) negotiated service agreements. This that the Postal Service states concern I. Introduction notice informs the public of the filing, competitive product(s), applicable The Commission gives notice that the invites public comment, and takes other statutory and regulatory requirements administrative steps. Postal Service filed request(s) for the include 39 U.S.C. 3632, 39 U.S.C. 3633, Commission to consider matters related DATES: Comments are due: December 39 U.S.C. 3642, 39 CFR part 3015, and to negotiated service agreement(s). The 30, 2019. 39 CFR part 3020, subpart B. Comment request(s) may propose the addition or ADDRESSES: Submit comments deadline(s) for each request appear in removal of a negotiated service electronically via the Commission’s section II. agreement from the market dominant or Filing Online system at http:// II. Docketed Proceeding(s) the competitive product list, or the www.prc.gov. Those who cannot submit modification of an existing product comments electronically should contact 1. Docket No(s).: MC2020–79 and currently appearing on the market the person identified in the FOR FURTHER CP2020–78; Filing Title: USPS Request dominant or the competitive product INFORMATION CONTACT section by to Add Priority Mail Contract 586 to list. telephone for advice on filing Competitive Product List and Notice of Section II identifies the docket alternatives. Filing Materials Under Seal; Filing number(s) associated with each Postal Acceptance Date: December 18, 2019; FOR FURTHER INFORMATION CONTACT: Service request, the title of each Postal Filing Authority: 39 U.S.C. 3642, 39 CFR David A. Trissell, General Counsel, at Service request, the request’s acceptance 3020.30 et seq., and 39 CFR 3015.5; 202–789–6820. date, and the authority cited by the Public Representative: Christopher C. Postal Service for each request. For each SUPPLEMENTARY INFORMATION: Mohr; Comments Due: December 30, request, the Commission appoints an Table of Contents 2019. officer of the Commission to represent I. Introduction This Notice will be published in the the interests of the general public in the II. Docketed Proceeding(s) Federal Register. proceeding, pursuant to 39 U.S.C. 505 Ruth Ann Abrams, (Public Representative). Section II also I. Introduction Acting Secretary. establishes comment deadline(s) The Commission gives notice that the [FR Doc. 2019–27794 Filed 12–23–19; 8:45 am] pertaining to each request. The public portions of the Postal Postal Service filed request(s) for the BILLING CODE 7710–FW–P Commission to consider matters related Service’s request(s) can be accessed via to negotiated service agreement(s). The the Commission’s website (http:// request(s) may propose the addition or POSTAL REGULATORY COMMISSION www.prc.gov). Non-public portions of the Postal Service’s request(s), if any, removal of a negotiated service [Docket Nos. MC2020–78 and CP2020–77] agreement from the market dominant or can be accessed through compliance with the requirements of 39 CFR the competitive product list, or the New Postal Products modification of an existing product 3007.301.1 currently appearing on the market AGENCY: Postal Regulatory Commission. The Commission invites comments on dominant or the competitive product ACTION: Notice. whether the Postal Service’s request(s) list. in the captioned docket(s) are consistent Section II identifies the docket SUMMARY: The Commission is noticing a with the policies of title 39. For number(s) associated with each Postal recent Postal Service filing for the request(s) that the Postal Service states Service request, the title of each Postal Commission’s consideration concerning concern market dominant product(s), Service request, the request’s acceptance negotiated service agreements. This applicable statutory and regulatory date, and the authority cited by the notice informs the public of the filing, requirements include 39 U.S.C. 3622, 39 Postal Service for each request. For each invites public comment, and takes other U.S.C. 3642, 39 CFR part 3010, and 39 request, the Commission appoints an administrative steps. CFR part 3020, subpart B. For request(s) officer of the Commission to represent 1 See Docket No. RM2018–3, Order Adopting 1 See Docket No. RM2018–3, Order Adopting the interests of the general public in the Final Rules Relating to Non-Public Information, Final Rules Relating to Non-Public Information, proceeding, pursuant to 39 U.S.C. 505 June 27, 2018, Attachment A at 19–22 (Order No. June 27, 2018, Attachment A at 19–22 (Order No. (Public Representative). Section II also 4679). 4679).
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that the Postal Service states concern Exchanges,’’ or the ‘‘Parties’’). The Plan rules.9 When an SRO has been named as competitive product(s), applicable replaces and supersedes the agreement a common member’s DEA, all other statutory and regulatory requirements between FINRA and the Bats Exchanges SROs to which the common member include 39 U.S.C. 3632, 39 U.S.C. 3633, dated September 30, 2016, entitled belongs are relieved of the responsibility 39 U.S.C. 3642, 39 CFR part 3015, and ‘‘Agreement between Financial Industry to examine the firm for compliance with 39 CFR part 3020, subpart B. Comment Regulatory Authority, Inc., Bats BZX the applicable financial responsibility deadline(s) for each request appear in Exchange, Inc., Bats BYS Exchange, Inc., rules. On its face, Rule 17d–1 deals only section II. Bats EDGA Exchange, Inc., and Bats with an SRO’s obligations to enforce EDGX Exchange, Inc. Pursuant to Rule member compliance with financial II. Docketed Proceeding(s) 17d–2 under the Securities Exchange responsibility requirements. Rule 17d–1 1. Docket No(s).: MC2020–78 and Act of 1934.’’ 3 does not relieve an SRO from its CP2020–77; Filing Title: USPS Request obligation to examine a common I. Introduction to Add First-Class Package Service member for compliance with its own Contract 106 to Competitive Product Section 19(g)(1) of the Securities rules and provisions of the federal List and Notice of Filing Materials Exchange Act of 1934 (‘‘Act’’),4 among securities laws governing matters other Under Seal; Filing Acceptance Date: other things, requires every self- than financial responsibility, including December 17, 2019; Filing Authority: 39 regulatory organization (‘‘SRO’’) sales practices and trading activities and U.S.C. 3642, 39 CFR 3020.30 et seq., and registered as either a national securities practices. 39 CFR 3015.5; Public Representative: exchange or national securities To address regulatory duplication in Christopher C. Mohr; Comments Due: association to examine for, and enforce these and other areas, the Commission December 27, 2019. compliance by, its members and persons adopted Rule 17d–2 under the Act.10 associated with its members with the This Notice will be published in the Rule 17d–2 permits SROs to propose Federal Register. Act, the rules and regulations joint plans for the allocation of thereunder, and the SRO’s own rules, Ruth Ann Abrams, regulatory responsibilities with respect unless the SRO is relieved of this to their common members. Under Acting Secretary. responsibility pursuant to Section 17(d) paragraph (c) of Rule 17d–2, the [FR Doc. 2019–27699 Filed 12–23–19; 8:45 am] or Section 19(g)(2) of the Act.5 Without Commission may declare such a plan BILLING CODE 7710–FW–P this relief, the statutory obligation of effective if, after providing for each individual SRO could result in a appropriate notice and comment, it pattern of multiple examinations of determines that the plan is necessary or SECURITIES AND EXCHANGE broker-dealers that maintain appropriate in the public interest and COMMISSION memberships in more than one SRO for the protection of investors; to foster [Release No. 34–87788; File No. 4–705] (‘‘common members’’). Such regulatory cooperation and coordination among the duplication would add unnecessary SROs; to remove impediments to, and Program for Allocation of Regulatory expenses for common members and foster the development of, a national Responsibilities Pursuant to Rule 17d– their SROs. market system and a national clearance 2; Notice of Filing and Order Section 17(d)(1) of the Act 6 was and settlement system; and is in Approving and Declaring Effective an intended, in part, to eliminate conformity with the factors set forth in Amended Proposed Plan for the unnecessary multiple examinations and Section 17(d) of the Act. Commission 7 Allocation of Regulatory regulatory duplication. With respect to approval of a plan filed pursuant to Rule Responsibilities Between the Financial a common member, Section 17(d)(1) 17d–2 relieves an SRO of those Industry Regulatory Authority, Inc., authorizes the Commission, by rule or regulatory responsibilities allocated by Cboe BZX Exchange, Inc., Cboe BYX order, to relieve an SRO of the the plan to another SRO. responsibility to receive regulatory Exchange, Inc., Cboe EDGA Exchange, II. The Plan Inc., and Cboe EDGX Exchange, Inc. reports, to examine for and enforce compliance with applicable statutes, On October 6, 2016, the Commission December 18, 2019. rules, and regulations, or to perform declared effective the Plan entered into Notice is hereby given that the other specified regulatory functions. between FINRA and the Bats Exchanges Securities and Exchange Commission To implement Section 17(d)(1), the for allocating regulatory responsibility (‘‘Commission’’) has issued an Order, Commission adopted two rules: Rule pursuant to Rule 17d–2.11 The Plan is pursuant to Section 17(d) of the 17d–1 and Rule 17d–2 under the Act.8 intended to reduce regulatory Securities Exchange Act of 1934 Rule 17d–1 authorizes the Commission duplication for firms that are common (‘‘Act’’),1 approving and declaring to name a single SRO as the designated members of FINRA and at least one of effective an amendment to the plan for examining authority (‘‘DEA’’) to the Bats Exchanges by allocating allocating regulatory responsibility examine common members for regulatory responsibility with respect to (‘‘Plan’’) filed on December 3, 2019, compliance with the financial certain applicable laws, rules, and pursuant to Rule 17d–2 of the Act,2 by responsibility requirements imposed by regulations that are common among the Financial Industry Regulatory the Act, or by Commission or SRO them. Included in the Plan is an exhibit Authority, Inc. (‘‘FINRA’’), Cboe BZX that lists every rule of each Bats Exchange, Inc. (‘‘BZX’’), Cboe BYX 3 See Securities Exchange Act Release No. 79057 Exchange for which FINRA bears (October 6, 2016), 81 FR 70728 (October 13, 2016). responsibility under the Plan for Exchange, Inc. (‘‘BYX’’), Cboe EDGA 4 15 U.S.C. 78s(g)(1). Exchange, Inc. (‘‘EDGA’’), and Cboe 5 15 U.S.C. 78q(d) and 15 U.S.C. 78s(g)(2), overseeing and enforcing with respect to EDGX Exchange, Inc. (‘‘EDGX’’) (each, a respectively. ‘‘Participating Organization,’’ or ‘‘Bats 6 15 U.S.C. 78q(d)(1). 9 See Securities Exchange Act Release No. 12352 Exchange,’’ and together, the 7 See Securities Act Amendments of 1975, Report (April 20, 1976), 41 FR 18808 (May 7, 1976). of the Senate Committee on Banking, Housing, and 10 See Securities Exchange Act Release No. 12935 ‘‘Participating Organizations,’’ ‘‘the Bats Urban Affairs to Accompany S. 249, S. Rep. No. 94– (October 28, 1976), 41 FR 49091 (November 8, 75, 94th Cong., 1st Session 32 (1975). 1976). 1 15 U.S.C. 78q(d). 8 17 CFR 240.17d–1 and 17 CFR 240.17d–2, 11 See Securities Exchange Act Release No. 79057 2 17 CFR 240.17d–2. respectively. (October 6, 2016), 81 FR 70728 (October 13, 2016).
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members of one or more of the Bats agreement covering such subjects time. Common Rules shall not include Exchanges that are also members of pursuant to the provisions of Rule 17d– any provisions regarding (i) notice, FINRA and the associated persons 2 under the Exchange Act and to file reporting or any other filings made therewith. such agreement with the Commission directly to or from any Bats Exchange, for its approval. (ii) incorporation by reference of any III. Proposed Amendment to the Plan Now, therefore, in consideration of Bats Exchange Rules that are not On December 3, 2019, the parties the mutual covenants contained Common Rules, (iii) exercise of submitted a proposed amendment to the hereinafter, FINRA and each Bats discretion in a manner that differs from Plan (‘‘Amended Plan’’). The primary Exchange hereby agree as follows: FINRA’s exercise of discretion purposes of the Amended Plan are to (1) 1. Definitions. Unless otherwise including, but not limited to exercise of allocate surveillance, investigation, and defined in this Agreement or the context exemptive authority, by any Bats enforcement responsibilities for Rule otherwise requires, the terms used in Exchange, (iv) prior written approval of 14e–4 under the Act and (2) amend the this Agreement shall have the same any Bats Exchange and (v) payment of Plan to reflect the name changes of the meaning as they have under the fees or fines to any Bats Exchange. Bats Exchanges. The text of the Exchange Act and the rules and (c) ‘‘Common Members’’ shall mean proposed Amended Plan is as follows regulations thereunder. As used in this those Bats Exchange members that are (additions are italicized; deletions are Agreement, the following terms shall also members of FINRA and the [bracketed]): have the following meanings: associated persons therewith. (a) ‘‘Bats Exchanges Rules’’ or (d) ‘‘Effective Date’’ shall have the Agreement Between Financial Industry ‘‘FINRA Rules’’ shall mean: (i) The rules meaning set forth in paragraph 13. Regulatory Authority, Inc., of each Bats Exchange, or (ii) the rules (e) ‘‘Enforcement Responsibilities’’ [BATS]CBOE BZX Exchange, Inc., of FINRA, respectively, as the rules of shall mean the conduct of appropriate [BATS]CBOE BYX EXCHANGE, INC., an exchange or association are defined proceedings, in accordance with [BATS]CBOE EDGA Exchange, Inc., in Exchange Act Section 3(a)(27). FINRA’s Code of Procedure and other and [BATS]CBOE EDGX Exchange, (b) ‘‘Common Rules’’ shall mean the applicable FINRA procedural rules, to Inc. Pursant to Rule 17d–2 Under the rules of each Bats Exchange that are determine whether violations of Securities Exchange Act of 1934 substantially similar to the applicable Common Rules have occurred, and if This Agreement, by and between the FINRA Rules and certain provisions of such violations are deemed to have Financial Industry Regulatory the Exchange Act and SEC rules set occurred, the imposition of appropriate Authority, Inc. (‘‘FINRA’’), [Bats]Cboe forth on Exhibit 1 in that examination or sanctions as specified under FINRA’s BZX Exchange, Inc. (‘‘BZX’’), [Bats]Cboe surveillance for compliance with such Code of Procedure and sanctions BYX Exchange, Inc. (‘‘BYX’’), [Bats]Cboe provisions and rules would not require guidelines. EDGA Exchange, Inc. (‘‘EDGA’’), and FINRA to develop one or more new (f) ‘‘Regulatory Responsibilities’’ shall [Bats]Cboe EDGX Exchange, Inc. examination or surveillance standards, mean the examination responsibilities, (‘‘EDGX’’) (collectively, the ‘‘Bats modules, procedures, or criteria in order surveillance responsibilities and Exchanges’’ and each a ‘‘Bats to analyze the application of the Enforcement Responsibilities relating to Exchange’’) is made this [30th] 2nd day provision or rule, or a Common compliance by the Common Members of [September]December, 201[6]9 (the Member’s activity, conduct, or output in with the Common Rules and the ‘‘Agreement’’), pursuant to Section 17(d) relation to such provision or rule; provisions of the Exchange Act and the of the Securities Exchange Act of 1934 provided, however, Common Rules rules and regulations thereunder, and (the ‘‘Exchange Act’’) and Rule 17d–2 shall not include the application of the other applicable laws, rules and thereunder, which permits agreements SEC, each Bats Exchange or FINRA rules regulations, each as set forth on Exhibit between self-regulatory organizations to as they pertain to violations of insider 1 attached hereto. allocate regulatory responsibility to trading activities, which is covered by a 2. Regulatory Responsibilities. FINRA eliminate regulatory duplication. FINRA separate 17d–2 Agreement by and shall assume Regulatory and the Bats Exchanges may be referred among [BATS Exchange, Inc., BATS–Y Responsibilities for Common Members. to individually as a ‘‘party’’ and together Exchange, Inc., Chicago Board Options Attached as Exhibit 1 to this Agreement as the ‘‘parties.’’ Upon approval by the Exchange, Incorporated, Chicago Stock and made part hereof, each Bats Securities and Exchange Commission Exchange, Inc., EDGA Exchange Inc., Exchange furnished FINRA with a (‘‘Commission’’ or ‘‘SEC’’) this EDGX Exchange Inc., Financial Industry current list of Common Rules and Agreement shall replace and supersede Regulatory Authority, Inc., NASDAQ certified to FINRA that such rules that the agreement among FINRA and the OMX BX, Inc., NASDAQ OMX PHLX are Bats Exchanges Rules are Bats Exchanges dated September 30, LLC, The NASDAQ Stock Market LLC, substantially similar to the 2016[between FINRA and BZX dated National Stock Exchange, Inc., New corresponding FINRA Rules (the August 25, 2008; the agreement between York Stock Exchange, LLC, NYSE Amex ‘‘Certification’’). FINRA hereby agrees FINRA and BYX dated September 3, LLC, and NYSE Arca Inc. effective that the rules listed in the Certification 2010; the agreement between FINRA December 16, 2011] Cboe BZX are Common Rules as defined in this and EDGA dated March 31, 2010; and Exchange, Inc., Cboe BYX Exchange, Agreement. Each year following the the agreement between FINRA and Inc., Chicago Stock Exchange, Inc., Cboe Effective Date of this Agreement, or EDGX dated March 31, 2010]. EDGA Exchange, Inc., Cboe EDGX more frequently if required by changes Whereas, FINRA and the Bats Exchange, Inc., Financial Industry in either the rules of any Bats Exchange Exchanges desire to reduce duplication Regulatory Authority, Inc., Nasdaq BX, or FINRA, the Bats Exchanges shall in the examination and surveillance of Inc., Nasdaq PHLX LLC, The Nasdaq submit an updated list of Common their Common Members (as defined Stock Market LLC, NYSE National, Inc., Rules to FINRA for review which shall herein) and in the filing and processing New York Stock Exchange LLC, NYSE add Bats Exchanges Rules not included of certain registration and membership American LLC, NYSE Arca Inc., in the current list of Common Rules that records; and Investors’ Exchange LLC and Long-Term qualify as Common Rules as defined in Whereas, FINRA and the Bats Stock Exchange, Inc. effective August 1, this Agreement; delete Bats Exchanges Exchanges desire to execute an 2019, as may be amended from time to Rules included in the current list of
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Common Rules that no longer qualify as 6. Notification of Violations. In the purposes of carrying out their respective Common Rules as defined in this event that FINRA becomes aware of regulatory obligations. The parties shall Agreement; and confirm that the apparent violations of any Bats not assert regulatory or other privileges remaining rules on the current list of Exchanges Rules, which are not listed as as against another with respect to Common Rules continue to be Bats Common Rules, discovered pursuant to documents or information that is Exchanges Rules that qualify as the performance of the Regulatory required to be shared pursuant to this Common Rules as defined in this Responsibilities assumed hereunder, Agreement. Agreement. Within 30 days of receipt of FINRA shall notify the Bats Exchanges (c) The sharing of documents or such updated list, FINRA shall confirm of those apparent violations for such information between the parties in writing whether the rules listed in response as the Bats Exchanges deem pursuant to this Agreement shall not be any updated list are Common Rules as appropriate. In the event that any of the deemed a waiver as against third parties defined in this Agreement. Bats Exchanges becomes aware of of regulatory or other privileges relating Notwithstanding anything herein to the apparent violations of any Common to the discovery of documents or contrary, it is explicitly understood that Rules, discovered pursuant to the information. the term ‘‘Regulatory Responsibilities’’ performance of the Retained 8. Statutory Disqualifications. When does not include, and each Bats Responsibilities, the applicable Bats FINRA becomes aware of a statutory Exchange shall retain full responsibility Exchange shall notify FINRA of those disqualification as defined in the for (unless otherwise addressed by apparent violations and such matters Exchange Act with respect to a Common separate agreement or rule) (collectively, shall be handled by FINRA as provided Member, FINRA shall determine the ‘‘Retained Responsibilities’’) the in this Agreement. With respect to pursuant to Sections 15A(g) and/or following: apparent violations of any Bats Section 6(c) of the Exchange Act the (a) Surveillance, examination, Exchanges Rules by any broker-dealer acceptability or continued applicability investigation and enforcement with subsidiary of Bats Global Markets, Inc., of the person to whom such respect to trading activities or practices FINRA shall not make referrals to the disqualification applies and keep the involving each Bats Exchange’s own Bats Exchanges pursuant to this Bats Exchanges advised of its actions in marketplace for rules that are not paragraph 6. Such apparent violations this regard for such subsequent Common Rules; shall be processed by, and enforcement proceedings as the Bats Exchanges may (b) registration pursuant to its proceedings in respect thereto will be initiate. applicable rules of associated persons conducted by, FINRA as provided in 9. Customer Complaints. The Bats (i.e., registration rules that are not this Agreement. Each party agrees to Exchanges shall forward to FINRA Common Rules); make available promptly all files, copies of all customer complaints (c) discharge of its duties and records and witnesses necessary to involving Common Members received obligations as a Designated Examining assist the other in its investigation or by the Bats Exchanges relating to Authority pursuant to Rule 17d–1 under proceedings. Apparent violations of FINRA’s Regulatory Responsibilities the Exchange Act; and Common Rules, FINRA Rules, federal under this Agreement. It shall be (d) any Bats Exchanges Rules that are securities laws, and rules and FINRA’s responsibility to review and not Common Rules, except for any Bats regulations thereunder, shall be take appropriate action in respect to Exchanges Rules for any broker-dealer processed by, and enforcement such complaints. subsidiary of [Bats Global Markets]Cboe proceedings in respect thereto shall be 10. Advertising. FINRA shall assume Trading, Inc., as provided in paragraph conducted by FINRA as provided responsibility to review the advertising 6. hereinbefore; provided, however, that in of Common Members subject to the 3. Common Members. Prior to the the event a Common Member is the Agreement, provided that such material Effective Date, each Bats Exchange shall subject of an investigation relating to a is filed with FINRA in accordance with furnish FINRA with a current list of transaction on a Bats Exchange, the Bats FINRA’s filing procedures and is Common Members, which shall be Exchange may in its discretion assume accompanied with any applicable filing updated no less frequently than once concurrent jurisdiction and fees set forth in FINRA Rules. each quarter. responsibility. 11. No Restrictions on Regulatory 4. No Charge. There shall be no charge 7. Continued Assistance. Action. Nothing contained in this to the Bats Exchanges by FINRA for (a) FINRA shall make available to the Agreement shall restrict or in any way performing the Regulatory Bats Exchanges all information obtained encumber the right of any party to Responsibilities under this Agreement by FINRA in the performance by it of conduct its own independent or except as otherwise agreed by the the Regulatory Responsibilities concurrent investigation, examination parties, either herein or in a separate hereunder with respect to the Common or enforcement proceeding of or against agreement. Members subject to this Agreement. In Common Members, as any party, in its 5. Reassignment of Regulatory particular, and not in limitation of the sole discretion, shall deem appropriate Responsibilities. Notwithstanding any foregoing, FINRA shall furnish the Bats or necessary. provision hereof, this Agreement shall Exchanges any information it obtains 12. Termination. This Agreement may be subject to any statute, or any rule or about Common Members which reflects be terminated by the Bats Exchanges or order of the Commission, or industry adversely on their financial condition. FINRA at any time upon the approval of agreement, restructuring the regulatory The Bats Exchanges shall make the Commission after one (1) year’s framework of the securities industry or available to FINRA any information written notice to the other party, except reassigning Regulatory Responsibilities coming to its attention that reflects as provided in paragraph 4. between self-regulatory organizations. adversely on the financial condition of 13. Effective Date. This Agreement To the extent such action is inconsistent Common Members or indicates possible shall be effective upon approval of the with this Agreement, such action shall violations of applicable laws, rules or Commission. supersede the provisions hereof to the regulations by such firms. 14. Arbitration. In the event of a extent necessary for them to be properly (b) The parties agree that documents dispute among the parties as to the effectuated and the provisions hereof in or information shared shall be held in operation of this Agreement, the Bats that respect shall be null and void. confidence, and used only for the Exchanges and FINRA hereby agree that
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any such dispute shall be settled by any liability, loss or damage resulting affecting the validity or enforceability of arbitration in Washington, DC in from or claimed to have resulted from any of the terms or provisions of this accordance with the rules of the any delays, inaccuracies, errors or Agreement in any other jurisdiction. American Arbitration Association then omissions with respect to the provision 20. Counterparts. This Agreement in effect, or such other procedures as the of Regulatory Responsibilities as may be executed in one or more parties may mutually agree upon. provided hereby or for the failure to counterparts, each of which shall be Judgment on the award rendered by the provide any such responsibility, except deemed an original, and such arbitrator(s) may be entered in any court with respect to such liability, loss or counterparts together shall constitute having jurisdiction. Each party damages as shall have been suffered by one and the same instrument. acknowledges that the timely and one or the other of FINRA or any Bats complete performance of its obligations Exchange and caused by the willful Exhibit 1 pursuant to this Agreement is critical to misconduct of the other party or their Cboe [Bats] BZX Exchange, Inc. the business and operations of the other respective directors, governors, officers (‘‘BZX’’), Cboe [Bats] BYX Exchange, parties. In the event of a dispute or employees. No warranties, express or Inc. (‘‘BYX’’), Cboe [Bats] EDGA between the parties, the parties shall implied, are made by FINRA or any Bats Exchange, Inc. (‘‘EDGA’’), and Cboe continue to perform their respective Exchange with respect to any of the [Bats] EDGX Exchange, Inc. (‘‘EDGX’’) obligations under this Agreement in responsibilities to be performed by each Rules Certification for 17d–2 good faith during the resolution of such of them hereunder. Agreement with FINRA dispute unless and until this Agreement 18. Relief from Responsibility. is terminated in accordance with its Pursuant to Sections 17(d)(1)(A) and Each Bats Exchange hereby certifies provisions. Nothing in this Section 14 19(g) of the Exchange Act and Rule 17d– that the requirements contained in the shall interfere with a party’s right to 2 thereunder, FINRA and the Bats rules listed below are identical to, or terminate this Agreement as set forth Exchanges join in requesting the substantially similar to, the comparable herein. Commission, upon its approval of this FINRA Rule, NASD Rule, Exchange Act 15. Notification of Members. The Bats Agreement or any part thereof, to relieve provision or SEC Rule identified Exchanges and FINRA shall notify the Bats Exchanges of any and all (‘‘Common Rules’’). Common Members of this Agreement responsibilities with respect to matters # Common Rules shall not include after the Effective Date by means of a allocated to FINRA pursuant to this provisions regarding (i) notice, reporting uniform joint notice. Agreement; provided, however, that this or any other filings made directly to or 16. Amendment. This Agreement may Agreement shall not be effective until from any Bats Exchange, (ii) be amended in writing duly approved the Effective Date. incorporations by reference of any Bats by each party. All such amendments 19. Severability. Any term or Exchange Rules that are not Common must be filed with and approved by the provision of this Agreement that is Rules (iii) exercise of discretion in a Commission before they become invalid or unenforceable in any manner that differs from FINRA’s effective. jurisdiction shall, as to such exercise of discretion including, but not 17. Limitation of Liability. Neither jurisdiction, be ineffective to the extent limited to exercise of exemptive FINRA nor any Bats Exchange nor any of such invalidity or unenforceability authority, by any Bats Exchanges, (iv) of their respective directors, governors, without rendering invalid or prior written approval of any Bats officers or employees shall be liable to unenforceable the remaining terms and Exchanges, and (v) payment of fees or the other parties to this Agreement for provisions of this Agreement or fines to any Bats Exchange.
FINRA Rule, NASD Rule, Exchange Act Provision BZX Rule BYX Rule EDGA Rule EDGX Rule or SEC Rule
Rule 2.5 Restrictions, In- Rule 2.5 Restrictions, In- Rule 2.5 Restrictions, In- Rule 2.5 Restrictions, In- FINRA Rule 12[5]40(a)(1)–(4) Continuing Education terpretation and Policy terpretation and Policy terpretation and Policy terpretation and Policy Requirements 1; FINRA Rule 1010(a); FINRA By- .02 Continuing Edu- .02 Continuing Edu- .02 Continuing Edu- .02 Continuing Edu- laws Article V, Sec. 2. cation Requirements #. cation Requirements #. cation Requirements #. cation Requirements #. Rule 2.5 Restrictions, In- Rule 2.5 Restrictions, In- Rule 2.5 Restrictions, In- Rule 2.5 Restrictions, In- FINRA By-Laws of the Corporation, Article V, Sec- terpretation and Policy terpretation and Policy terpretation and Policy terpretation and Policy tion 3 Notification by Member to the Corporation .04 Termination of Em- .04 Termination of Em- .04 Termination of Em- .04 Termination of Em- and Associated Person of Termination; Amend- ployment. ployment. ployment. ployment. ments to Notification. Rule 2.6(g) Application Rule 2.6(g) Application Rule 2.6(g) Application Rule 2.6(g) Application FINRA By-Laws of the Corporation, Article IV, Sec- Procedures for Member- Procedures for Mem- Procedures for Mem- Procedures for Mem- tion 1(c) Application for Membership. ship or to become an bership or to become bership or to become bership or to become Associated Person of a an Associated Person an Associated Person an Associated Person Member #. of a Member #. of a Member #. of a Member #. Rule 3.1 Business Conduct Rule 3.1 Business Con- Rule 3.1 Business Con- Rule 3.1 Business Con- FINRA Rule 2010 Standards of Commercial Honor of Members *. duct of Members *. duct of Members *. duct of Members *. and Principles of Trade.* Rule 3.2 Violations Prohib- Rule 3.2 Violations Pro- Rule 3.2 Violations Pro- Rule 3.2 Violations Pro- FINRA Rule 2010 Standards of Commercial Honor ited *. hibited *. hibited *. hibited *. and Principles of Trade and FINRA Rule 3110 Supervision.* 2 Rule 3.3 Use of Fraudulent Rule 3.3 Use of Fraudu- Rule 3.3 Use of Fraudu- Rule 3.3 Use of Fraudu- FINRA Rule 2020 Use of Manipulative, Deceptive Devices *. lent Devices *. lent Devices *. lent Devices *. or Other Fraudulent Devices.* Rule 3.5 Communications Rule 3.5 Communications Rule 3.5 Communications Rule 3.5 Communications FINRA Rule 2210 Communications with the Public. with the Public. with the Public. with the Public. with the Public. Rule 3.6 Fair Dealing with Rule 3.6 Fair Dealing Rule 3.6 Fair Dealing Rule 3.6 Fair Dealing FINRA Rule 2020 Use of Manipulative, Deceptive Customers. with Customers. with Customers. with Customers. or Other Fraudulent Devices.* 3 Rule 3.7(a) Recommenda- Rule 3.7(a) Rec- Rule 3.7(a) Rec- Rule 3.7(a) Rec- FINRA Rule 2111(a) Suitability. tions to Customers. ommendations to Cus- ommendations to Cus- ommendations to Cus- tomers. tomers. tomers. Rule 3.8(a) The Prompt Rule 3.8(a) The Prompt Rule 3.8(a) The Prompt Rule 3.8(a) The Prompt FINRA Rule 11860 COD Orders. Receipt and Delivery of Receipt and Delivery of Receipt and Delivery of Receipt and Delivery of Securities. Securities. Securities. Securities.
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FINRA Rule, NASD Rule, Exchange Act Provision BZX Rule BYX Rule EDGA Rule EDGX Rule or SEC Rule
Rule 3.8(b) The Prompt Rule 3.8(b) The Prompt Rule 3.8(b) The Prompt Rule 3.8(b) The Prompt SEC Regulation SHO. Receipt and Delivery of Receipt and Delivery of Receipt and Delivery of Receipt and Delivery of Securities. Securities. Securities. Securities. Rule 3.9 Charges for Serv- Rule 3.9 Charges for Rule 3.9 Charges for Rule 3.9 Charges for FINRA Rule 2122 Charges for Services Performed. ices Performed. Services Performed. Services Performed. Services Performed. Rule 3.10 Use of Informa- Rule 3.10 Use of Infor- Rule 3.10 Use of Infor- Rule 3.10 Use of Infor- FINRA Rule 2060 Use of Information Obtained in tion. mation. mation. mation. Fiduciary Capacity. Rule 3.11 Publication of Rule 3.11 Publication of Rule 3.11 Publication of Rule 3.11 Publication of FINRA Rule 5210 Publication of Transactions and Transactions and Transactions and Transactions and Transactions and Quotations. Quotations #. Quotations #. Quotations #. Quotations #. Rule 3.12 Offers at Stated Rule 3.12 Offers at Stat- Rule 3.12 Offers at Stat- Rule 3.12 Offers at Stat- FINRA Rule 5220 Offers at Stated Prices. Prices. ed Prices. ed Prices. ed Prices. Rule 3.13 Payment De- Rule 3.13 Payment De- Rule 3.13 Payments In- Rule 3.13 Payments In- FINRA Rule 5230 Payments Involving Publications signed to Influence Mar- signed to Influence volving Publications volving Publications that Influence the Market Price of a Security. ket Prices, Other than Market Prices, Other that Influence the Mar- that Influence the Mar- Paid Advertising. than Paid Advertising. ket Price of a Security. ket Price of a Security. Rule 3.14 Disclosure on Rule 3.14 Disclosure on Rule 3.14 Disclosure on Rule 3.14 Disclosure on FINRA Rule 2232(a) Customer Confirmations and Confirmations. Confirmations. Confirmations. Confirmations. SEC Rule 10b–10 Confirmation of Transactions. Rule 3.15 Disclosure of Rule 3.15 Disclosure of Rule 3.15 Disclosure of Rule 3.15 Disclosure of FINRA Rule 2262 Disclosure of Control Relation- Control. Control. Control. Control. ship With Issuer. Rule 3.16 Discretionary Rule 3.16 Discretionary Rule 3.16 Discretionary Rule 3.16 Discretionary NASD Rule 2510 Discretionary Accounts.4 Accounts. Accounts. Accounts. Accounts. Rule 3.17 Customer’s Se- Rule 3.17 Customer’s Se- Rule 3.17 Customer’s Se- Rule 3.17 Customer’s Se- FINRA Rule 2150(a) Improper Use of Customers’ curities or Funds. curities or Funds. curities or Funds. curities or Funds. Securities or Funds; Prohibition Against Guaran- tees and Sharing in Accounts—Improper Use. Rule 3.18 Prohibition Rule 3.18 Prohibition Rule 3.18 Prohibition Rule 3.18 Prohibition FINRA Rule 2150(b) Improper Use of Customers’ Against Guarantees. Against Guarantees. Against Guarantees. Against Guarantees. Securities or Funds; Prohibition Against Guaran- tees and Sharing in Accounts—Prohibition Against Guarantees. Rule 3.19 Sharing in Ac- Rule 3.19 Sharing in Ac- Rule 3.19 Sharing in Ac- Rule 3.19 Sharing in Ac- FINRA Rule 2150(c)(1) Improper Use of Cus- counts; Extent Permis- counts; Extent Permis- counts; Extent Permis- counts; Extent Permis- tomers’ Securities or Funds; Prohibition Against sible. sible. sible. sible. Guarantees and Sharing in Accounts—Sharing in Accounts; Extent Permissible. Rule 3.21[(a)–(f)] Cus- Rule 3.21[(a)–(f)] Cus- Rule 3.21[(a)–(f)] Cus- Rule 3.21[(a)–(f)] Cus- FINRA Rule 2265 Extended Hours Trading Risk tomer Disclosures. tomer Disclosures. tomer Disclosures. tomer Disclosures. Disclosure. Rule 3.22 Influencing or Rule 3.22 Influencing or Rule 3.20 Influencing or Rule 3.20 Influencing or FINRA Rule 3220 Influencing or Rewarding Em- Rewarding Employees Rewarding Employees Rewarding Employees Rewarding Employees ployees of Others. of Others. of Others. of Others. of Others. Rule 3.23 Telemarketing Rule 3.23 Telemarketing Rule 3.26 Telemarketing Rule 3.26 Telemarketing FINRA Rule 3230 Telemarketing. and Interpretations and and Interpretations and and Interpretations and and Interpretations and Policies .01. Policies .01. Policies .01. Policies .01. Rule 4.1 Requirements ..... Rule 4.1 Requirements ... Rule 4.1 Requirements ... Rule 4.1 Requirements ... Section 17 of the Exchange Act and the rules thereunder * 5, and FINRA Rule 4511(a) and (c) General Requirements. Rule 4.3 Record of Written Rule 4.3 Record of Writ- Rule 4.3 Record of Writ- Rule 4.3 Record of Writ- FINRA Rule 4513 Records of Written Customer Complaints. ten Complaints. ten Complaints. ten Complaints. Complaints. Rule 5.1 Written Proce- Rule 5.1 Written Proce- Rule 5.1 Written Proce- Rule 5.1 Written Proce- FINRA Rule 3110(b)(1) Supervision-Written Proce- dures. dures. dures. dures. dures.* Rule 5.2 Responsibility of Rule 5.2 Responsibility of Rule 5.2 Responsibility of Rule 5.2 Responsibility of FINRA Rule 3110 (a)(4), (b)(4) and (b)(7) Super- Members. Members. Members. Members. vision—Supervisory System/Written Proce- dures—Review of Correspondence and Internal Communications.* Rule 5.3 Records ...... Rule 5.3 Records ...... Rule 5.3 Records ...... Rule 5.3 Records ...... FINRA Rule 3110 Supervision.* Rule 5.4 Review of Activi- Rule 5.4 Review of Activi- Rule 5.4 Review of Activi- Rule 5.4 Review of Activi- FINRA Rule 3110(c) and (d) Supervision—Internal ties. ties. ties. ties. Inspections/Transaction Review and Investiga- tion.* Rule 5.6 Anti-Money Laun- Rule 5.6 Anti-Money Rule 5.6 Anti-Money Rule 5.6 Anti-Money FINRA Rule 3310 Anti-Money Laundering Compli- dering Compliance Pro- Laundering Compliance Laundering Compliance Laundering Compliance ance Program. gram #. Program #. Program #. Program #. Rule 9.3 Predispute Arbi- Rule 9.3 Predispute Arbi- Rule 9.3 Predispute Arbi- Rule 9.3 Predispute Arbi- FINRA Rule 2268 Requirements When Using tration Agreements. tration Agreements. tration Agreements. tration Agreements. Predispute Arbitration Agreements for Customer Accounts. Rule 11.18(e)(3) & (4) Rule 11.18(e)(3) & (4) Rule 11.16(e)(3) & (4) Rule 11.16(e)(3) & (4) FINRA Rule 6190(a)[(1) & (2)]& (b) Compliance Trading Halts Due to Ex- Trading Halts Due to Trading Halts Due to Trading Halts Due to with Regulation NMS Plan to Address Extraor- traordinary Market Vola- Extraordinary Market Extraordinary Market Extraordinary Market dinary Market Volatility. tility. Volatility. Volatility. Volatility. Rule 11.19(a) Short Rule 11.19(a) Short Rule 11.10(a)(5) Order Rule 11.10(a)(5) Order FINRA Rule 6182 Trade Reporting of Short Sales # ∧∧. Sales # ∧∧. Execution-Short Execution-Short Sales.∧∧ Sales # ∧∧. Sales # ∧∧. Rule 12.1 Market Manipu- Rule 12.1 Market Manip- Rule 12.1 Market Manip- Rule 12.1 Market Manip- FINRA Rule 6140(a) Other Trading Practices.** lation **. ulation **. ulation **. ulation **. Rule 12.2 Fictitious Trans- Rule 12.2 Fictitious Rule 12.2 Fictitious Rule 12.2 Fictitious FINRA Rule 6140(b) Other Trading Practices.** actions **. Transactions **. Transactions **. Transactions **. Rule 12.3 Excessive Sales Rule 12.3 Excessive Rule 12.3 Excessive Rule 12.3 Excessive FINRA Rule 6140(c) Other Trading Practices.** by a Member **. Sales by a Member **. Sales by a Member **. Sales by a Member **. Rule 12.4 Manipulative Rule 12.4 Manipulative Rule 12.4 Manipulative Rule 12.4 Manipulative FINRA Rule 6140(d) Other Trading Practices.** Transactions **. Transactions **. Transactions **. Transactions **. Rule 12.5 Dissemination of Rule 12.5 Dissemination Rule 12.5 Dissemination Rule 12.5 Dissemination FINRA Rule 6140(e) Other Trading Practices.** False Information **. of False Information **. of False Information **. of False Information **. Rule 12.6 Prohibition Rule 12.6 Prohibition Rule 12.6 Prohibition Rule 12.6 Prohibition FINRA Rule 5320 Prohibition Against Trading Against Trading Ahead Against Trading Ahead Against Trading Ahead Against Trading Ahead Ahead of Customer Orders.∧∧ of Customer Orders ∧∧. of Customer Orders ∧∧. of Customer Orders ∧∧. of Customer Orders ∧∧.
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FINRA Rule, NASD Rule, Exchange Act Provision BZX Rule BYX Rule EDGA Rule EDGX Rule or SEC Rule
Rule 12.9 Trade Shredding Rule 12.9 Trade Shred- Rule 12.9 Trade Shred- Rule 12.9 Trade Shred- FINRA Rule 5290 Order Entry and Execution Prac- ding. ding. ding. tices. Rule 12.11 Best Execu- Rule 12.11 Best Execu- Rule 12.11 Best Execu- Rule 12.11 Best Execu- FINRA Rule 5310 Best Execution and Interposi- tion ∧∧. tion ∧∧. tion ∧∧. tion ∧∧. tioning.∧∧ Rule 12.13 Trading Ahead Rule 12.13 Trading Rule 12.13 Trading Rule 12.13 Trading FINRA Rule 5280 Trading Ahead of Research Re- of Research Reports ∧∧. Ahead of Research Re- Ahead of Research Re- Ahead of Research Re- ports.∧∧ ports ∧∧. ports ∧∧. ports ∧∧. Rule 12.14(a) Front Run- Rule 12.14(a) Front Run- Rule 12.14(a) Front Run- Rule 12.14(a) Front Run- FINRA Rule 5270 Front Running of Block Trans- ning of Block Trans- ning of Block Trans- ning of Block Trans- ning of Block Trans- actions.∧∧ actions ∧∧. actions ∧∧. actions ∧∧. actions ∧∧. Rule 13.2 Failure to De- Rule 13.2 Failure to De- Rule 13.2 Short Sale Bor- Rule 13.2 Short Sale Bor- Regulation SHO Rules 200 and 203. liver and Failure to Re- liver and Failure to Re- rowing and Delivery rowing and Delivery ceive. ceive. Requirements. Requirements. Rule 13.3(a), (b)(i), (d) and Rule 13.3(a), (b)(i), (d) Rule 13.3(a), (b)(i), (d) Rule 13.3(a), (b)(i), (d) FINRA Rule 2251 Processing and Forwarding of Interpretation and Policy and Interpretation and and Interpretation and and Interpretation and Proxy and Other Issuer-Related Materials. .01 Forwarding of Proxy Policy .01 Forwarding Policy .01 Forwarding Policy .01 Forwarding and Other Issuer-Re- of Proxy and Other of Proxy and Other of Proxy and Other lated Materials; Proxy Issuer-Related Mate- Issuer-Related Mate- Issuer-Related Mate- Voting. rials; Proxy Voting. rials. rials. Rule 26.11 Restrictions on ...... Rule 26.11 Restrictions FINRA Rule 4330 Customer Protection—Permis- Pledge and Lending of on Pledge and Lending sible Uses of Customers’ Securities. Public Customers’ Secu- of Public Customers’ rities. Securities. 1 FINRA shall only have Regulatory Responsibilities to the extent that the allowance for additional time for a registered person to satisfy the regulatory element is consistently granted. 2 FINRA shall only have Regulatory Responsibilities regarding the first phrase of the Bats Exchanges rules regarding prohibitions from violating the Securities Ex- change Act of 1934 and the rules and regulations thereunder; responsibility for the remainder of the rule shall remain with the Bats Exchanges. 3 FINRA shall not have Regulatory Responsibilities regarding .01 of each Bats Exchange Rule 3.6. 4 FINRA shall not have Regulatory Responsibilities for the Bats Exchanges’ Rule to the extent the exception in NASD Rule 2510(d)(2) applies. 5 FINRA shall not have Regulatory Responsibilities regarding requirements to keep records ‘‘in conformity with . . . Exchange Rules;’’ responsibility for such re- quirement remains with the Bats Exchanges.
In addition, the following provisions SEC Rule 14e–4—Prohibited These rules may be cited by FINRA in both shall be part of this 17d–2 Agreement: Transactions in Connection with the context of this Agreement and the Partial Tender Offers ++ Regulatory Services Agreement. Securities Exchange Act of 1934 ++ FINRA shall perform the surveillance (‘‘SEA’’) [# FINRA shall not have Regulatory responsibilities for SEC Rule 14e– Responsibilities regarding notification or 4(a)(1)(ii)(D). Section 15(g) reporting to the Bats Exchanges and to the extent any exercise of discretion is the same.] IV. Solicitation of Comments SEC Rules Under the SEA * FINRA shall not have any Regulatory Interested persons are invited to SEC Rule 200 of Regulation SHO— Responsibilities for these rules as they pertain to violations of insider trading submit written data, views, and Definition of ‘‘Short Sale’’ and arguments concerning the foregoing. ∧∧ activities, which is covered by a separate Marking Requirements 17d–2 Agreement by and among [BATS Comments may be submitted by any of SEC Rule 201 of Regulation SHO— Exchange, Inc., BATS Y Exchange, Inc., the following methods: Circuit Breaker ∧∧ Chicago Board Options Exchange, Electronic Comments SEC Rule 203 of Regulation SHO— Incorporated, Chicago Stock Exchange, Inc., Borrowing and Delivery EDGA Exchange Inc., EDGX Exchange Inc., • Use the Commission’s internet Requirements ∧∧ Financial Industry Regulatory Authority, comment form (http://www.sec.gov/ Inc., NASDAQ OMX BX, Inc., NASDAQ SEA Rule 204 of Regulation SHO— rules/sro.shtml); or OMX PHLX LLC, The NASDAQ Stock Market • Close-Out Requirement ∧∧ LLC, National Stock Exchange, Inc., New Send an email to rule-comments@ SEC Rule 101 of Regulation M— York Stock Exchange, LLC, NYSE Amex LLC, sec.gov. Please include File Number 4– Activities by Distribution and NYSE Arca, Inc. effective December 16, 705 on the subject line. Participants ∧∧ 2011] Cboe BZX Exchange, Inc., Cboe BYX Paper Comments Exchange, Inc., Chicago Stock Exchange, SEC Rule 102 of Regulation M— Inc., Cboe EDGA Exchange, Inc., Cboe EDGX • Send paper comments in triplicate Activities by Issuers and Selling Exchange, Inc., Financial Industry Regulatory to Secretary, Securities and Exchange Security Holders During a Authority, Inc., Nasdaq BX, Inc., Nasdaq ∧∧ Commission, 100 F Street NE, Distribution PHLX LLC, The Nasdaq Stock Market LLC, Washington, DC 20549–1090. NYSE National, Inc., New York Stock SEC Rule 103 of Regulation M—Nasdaq All submissions should refer to File Passive Market Making ∧∧ Exchange LLC, NYSE American LLC, NYSE Arca Inc., Investors’ Exchange LLC and Long- Number 4–705. This file number should SEC Rule 104 of Regulation M— Term Stock Exchange, Inc. effective August be included on the subject line if email Stabilizing and Other Activities in 1, 2019, as may be amended from time to is used. To help the Commission ∧∧ Connection with an Offering time. process and review your comments SEC Rule 105 of Regulation M—Short ** FINRA shall not have Regulatory more efficiently, please use only one Selling in Connection With a Public Responsibilities for these rules as they method. The Commission will post all Offering ∧∧ pertain to trading practices involving comments on the Commission’s internet securities that do not meet the definition of SEC Rules 17a–3 / 17a–4—Records to be NMS stock as defined in Rule 600(b)(47) of website (http://www.sec.gov/rules/ made by Certain Exchange Members, Regulation NMS. As of the current date, Bats sro.shtml). Copies of the submission, all Brokers, and Dealers/Records to be Exchanges do not trade any non-NMS stock. subsequent amendments, all written Preserved by Certain Exchange ∧∧ FINRA shall perform the surveillance statements with respect to the proposed Members, Brokers, and Dealers * responsibilities for the double caret rules. plan that are filed with the Commission,
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and all written communications relating examination standards, modules, Amended Plan. However, should the to the proposed plan between the procedures, or criteria in order to Parties decide to add a rule of a Bats Commission and any person, other than analyze the application of the rule, or a Exchange to the Certification that is not those that may be withheld from the Common Member’s activity, conduct, or substantially similar to a FINRA rule; public in accordance with the output in relation to such rule. In delete a rule of a Bats Exchange from the provisions of 5 U.S.C. 552, will be addition, under the Amended Plan, Certification that is substantially similar available for website viewing and FINRA would assume regulatory to a FINRA rule; or leave on the printing in the Commission’s Public responsibility for certain provisions of Certification a Bats Exchange rule that is Reference Room, 100 F Street NE, the federal securities laws and the rules no longer substantially similar to a Washington, DC 20549, on official and regulations thereunder that are set FINRA rule, then such a change would business days between the hours of forth in the Certification. The Common constitute an amendment to the 10:00 a.m. and 3:00 p.m. Copies of the Rules covered by the Amended Plan are Amended Plan, which must be filed plan also will be available for inspection specifically listed in the Certification, as with the Commission pursuant to Rule and copying at the principal offices of may be amended by the Parties from 17d–2 under the Act.16 FINRA, BZX, BYX, EDGX, and EDGA. time to time. Under paragraph (c) of Rule 17d–2, All comments received will be posted According to the Amended Plan, the the Commission may, after appropriate without change. Persons submitting Bats Exchanges will review the notice and comment, declare a plan, or comments are cautioned that we do not Certification, at least annually, or more any part of a plan, effective. In this redact or edit personal identifying frequently if required by changes in instance, the Commission believes that information from comment submissions. either the rules of any one of the Bats appropriate notice and comment can You should submit only information Exchanges or FINRA, and, if necessary, take place after the proposed that you wish to make available submit to FINRA an updated list of amendment is effective. The primary publicly. All submissions should refer Common Rules to add rules of any Bats purposes of the amendment are to to File Number 4–705 and should be Exchange not included on the then- allocate surveillance, investigation, and submitted on or before January 16, 2020. current list of Common Rules that are enforcement responsibilities for Rule substantially similar to FINRA rules; V. Discussion 14e–4 under the Act, and to update the delete rules of any Bats Exchange names of the Bats Exchanges. By The Commission finds that the included in the then-current list of declaring it effective today, the proposed Amended Plan is consistent Common Rules that no longer qualify as Amended Plan can become effective and with the factors set forth in Section common rules; and confirm that the be implemented without undue delay. 17(d) of the Act 12 and Rule 17d–2(c) remaining rules on the list of Common The Commission notes that the prior thereunder 13 in that the proposed Rules continue to be rules of each Bats version of this plan immediately prior to Amended Plan is necessary or Exchange that qualify as common this proposed amendment was appropriate in the public interest and 14 rules. FINRA will then confirm in published for comment and the for the protection of investors, fosters writing whether the rules listed in any Commission did not receive any cooperation and coordination among updated list are Common Rules as comments thereon.17 Furthermore, the SROs, and removes impediments to and defined in the Amended Plan. Under Commission does not believe that the fosters the development of the national the Amended Plan, each Bats Exchange amendment to the plan raises any new market system. In particular, the will also provide FINRA with a current regulatory issues that the Commission Commission believes that the proposed list of Common Members and shall has not previously considered.18 Amended Plan should reduce update the list no less frequently than unnecessary regulatory duplication by once each quarter.15 The Commission VI. Conclusion allocating to FINRA certain examination believes that these provisions are This Order gives effect to the Plan and enforcement responsibilities for designed to provide for continuing filed with the Commission in File No. Common Members that would communication between the Parties to 4–705. The Parties shall notify all otherwise be performed by FINRA and ensure the continued accuracy of the members affected by the Plan of their at least one of the Bats Exchanges. scope of the proposed allocation of rights and obligations under the Plan. Accordingly, the proposed Amended regulatory responsibility. It is therefore ordered, pursuant to Plan promotes efficiency by reducing The Commission is hereby declaring Section 17(d) of the Act, that the Plan costs to Common Members. effective an Amended Plan that, among in File No. 4–705, between FINRA, BZX, Furthermore, because the Bats other things, allocates regulatory BYX, EDGA, and EDGX, filed pursuant Exchanges and FINRA will coordinate responsibility to FINRA for the to Rule 17d–2 under the Act, is their regulatory functions in accordance oversight and enforcement of all rules of approved and declared effective. with the Amended Plan, the Amended the Bats Exchanges that are substantially It is further ordered that BZX, BYX, Plan should promote investor similar to the rules of FINRA for EDGA, and EDGX are relieved of those protection. Common Members of FINRA and the The Commission notes that, under the Bats Exchanges. Therefore, 16 The Commission also notes that the addition to Amended Plan, the Bats Exchanges and modifications to the Certification need or deletion from the Certification of any federal FINRA have allocated regulatory not be filed with the Commission as an securities laws, rules, and regulations for which responsibility for those rules of the Bats amendment to the Amended Plan, FINRA would bear responsibility under the Exchanges, set forth in the Certification, provided that the Parties are only Amended Plan for examining, and enforcing compliance by, Common Members, also would that are substantially similar to the adding to, deleting from, or confirming constitute an amendment to the Amended Plan. applicable FINRA rules in that changes to the rules of the Bats 17 See Securities Exchange Act Release No. 79057 examination for compliance with such Exchanges in the Certification in (October 6, 2016), 81 FR 70728 (October 13, 2016). provisions and rules would not require conformance with the definition of 18 See, e.g., Securities Exchange Act Release No. FINRA to develop one or more new Common Rules provided in the 85189 (February 25, 2019), 84 FR 7153 (March 1, 2019) (order approving an amendment to add Rule 14e–4 to a plan between FINRA and Miami 12 15 U.S.C. 78q(d). 14 See paragraph 2 of the Amended Plan. International Securities Exchange, LLC, MIAX 13 17 CFR 240.17d–2(c). 15 See paragraph 3 of the Amended Plan. PEARL, LLC, and MIAX Emerald, LLC).
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responsibilities allocated to FINRA set forth in sections A, B, and C below, Current Rule 6.60–O(c)(2) sets forth under the Plan in File No. 4–705. of the most significant parts of such the current Sell Check, which is For the Commission, by the Division of statements. designed to protect sellers of calls and puts from presumptively erroneous Trading and Markets, pursuant to delegated A. Self-Regulatory Organization’s 19 executions based on the ‘‘Intrinsic authority. Statement of the Purpose of, and the Value’’ of an option. The Intrinsic Value J. Matthew DeLesDernier, Statutory Basis for, the Proposed Rule of an option series is measured as the Assistant Secretary. Change [FR Doc. 2019–27696 Filed 12–23–19; 8:45 am] difference between the strike price and 1. Purpose the consolidated last sale price. A sell BILLING CODE 8011–01–P The Exchange proposes to amend order in a call series creates an paragraph (c) of Rule 6.60–O to modify obligation to sell the underlying security SECURITIES AND EXCHANGE and enhance its Price Reasonability at the strike price and a sell order in a COMMISSION Checks for options orders to sell puts or put series creates an obligation to buy calls (the ‘‘Sell Check’’). As proposed, the underlying security at the strike [Release No. 34–87796; File No. SR– price. Thus, the Intrinsic Value for a call NYSEArca–2019–89] the Exchange would enhance the Sell Checks applied when the National Best option is equal to the consolidated last Self-Regulatory Organizations; NYSE Bid (‘‘NBB’’) is below a specified price sale price of the underlying security Arca, Inc.; Notice of Filing and and would exclude from the Sell Check minus the strike price; whereas the Intrinsic Value for a put option is equal Immediate Effectiveness of Proposed any Intermarket Sweep Orders, both of to the strike price minus the Rule Change To Amend Rule 6.60–O which changes would allow for a more consolidated last sale price of the (Price Protection—Orders) finely calibrated Sell Check. underlying security.9 Under the current December 18, 2019. Price Reasonability Checks Rule, the Exchange rejects or cancels Pursuant to Section 19(b)(1) 1 of the The Exchange has in place various options Limit Orders to sell a call or to Securities Exchange Act of 1934 price check mechanisms that are sell a put if the price of the order is (‘‘Act’’) 2 and Rule 19b–4 thereunder,3 designed to prevent incoming orders equal to or lower than its Intrinsic notice is hereby given that, on December from automatically executing at Value, minus a threshold percentage 5, 2019, NYSE Arca, Inc. (‘‘Exchange’’) potentially erroneous prices.4 In (‘‘percentage threshold’’), which is filed with the Securities and Exchange particular, the Exchange has Price determined by the Exchange and Commission (‘‘Commission’’) the Reasonability Checks (‘‘Price Checks’’) announced by Trader Update.10 The proposed rule change as described in for Limit Orders based on the principle percentage threshold buffer is an Items I and II below, which Items have that an option order is in error and important aspect of the Sell Check been prepared by the self-regulatory should be rejected (or canceled) when because there may be situations in organization. The Commission is the same result can be achieved on the which market participants willingly opt publishing this notice to solicit market for the underlying equity to execute certain trading strategies even comments on the proposed rule change security at a lesser cost.5 The Price if such trade or trades occur for a price from interested persons. Checks are based on the consolidated less than the Intrinsic Value of the last sale price of the security underlying options series.11 Absent this percentage I. Self-Regulatory Organization’s the option, once the security opens for threshold buffer, application of the Sell Statement of the Terms of Substance of trading (or reopens following a Trading Check could result in the rejection or the Proposed Rule Change Halt).6 The Exchange offers Price cancelation of certain options sell orders The Exchange proposes to amend Checks for buy and sell options orders.7 where market participants seek an Rule 6.60–O (Price Protection—Orders) The proposed change relates only to the execution. to modify and enhance certain of its Price Checks for sell options orders (i.e., 8 Proposed Low Price Intrinsic Value current price protection mechanisms. the Sell Check). Percentage Threshold The proposed rule change is available on the Exchange’s website at 4 See, e.g., Rules 6.60–O(a) (trading collars) and The Exchange proposes to modify the www.nyse.com, at the principal office of (b) (limit order price filter), 6.61–O(a) (price Sell Check to introduce a separate protection for Market Maker quotes). the Exchange, and at the Commission’s percentage threshold to better account 5 A Limit Order is an order to buy or sell a stated for sell orders in options series that are Public Reference Room. number of option contracts at a specified price, or better. See Rule 6.62–O(b). trading at relatively low prices so as to II. Self-Regulatory Organization’s 6 See Rule 6.60–O(c). avoid such orders potentially being Statement of the Purpose of, and 7 The Price Checks—or arbitrage checks—for buy (incorrectly) rejected or canceled. Statutory Basis for, the Proposed Rule orders operate as follows: Unless otherwise provided in Commentary .01 of the Rule, the Change 9 See Rule 6.60–O(c)(2). Exchange rejects or cancels any limit order to buy 10 In its filing with the Commission, the a put option if the price of the order is equal to or See Rule 6.60–O(c)(2)(A). The percentage self-regulatory organization included greater than the strike price of the option; and, the threshold for sell orders is currently set to twenty- Exchange rejects or cancels any limit order to buy five percent (25%). The Exchange refers to this statements concerning the purpose of, a call option if the price of the order is equal to or existing percentage threshold as the ‘‘Regular and basis for, the proposed rule change greater than the consolidated last sale price of the Intrinsic Value percentage threshold’’ to and discussed any comments it received underlying security, plus a dollar amount to be differentiate from the proposed threshold. See on the proposed rule change. The text determined by the Exchange and announced by proposed Rule 6.60–O(c)(2)(A). Trader Update. See Rule 6.60–O(c)(1)(A), (B). 11 For example, if the market participant is of those statements may be examined at 8 The proposed rule change would not impact the looking to close out a position, it may be financially the places specified in Item IV below. securities that are excluded from the Price Checks beneficial to pay a small premium and close out the The Exchange has prepared summaries, per Commentary .01 to the Rule, which currently position rather than carry such position to are options series for which the underlying security expiration and take delivery. See, e.g., Securities Exchange Act Release No. 85922 (May 23, 2019), 84 19 has a non-standard cash or stock deliverable as part 17 CFR 200.30–3(a)(34). of a corporate action; options series for which the FR 25093, 25094, fn10 (May 30, 2019) (SR– 1 15 U.S.C. 78s(b)(1). underlying security is identified as OTC; option NYSEArca–2019–35) (immediately effective filing 2 15 U.S.C. 78a. series on an index; and ByRDs. See Commentary .01 implementing Price Checks, including the Sell 3 17 CFR 240.19b–4. to Rule 6.60–O. Check).
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Specifically, the Exchange would apply The following examples illustrate this generally used when trying to sweep a this modified check to limit orders to proposed functionality. price level across multiple exchanges in sell when the NBB for the option series Assumptions: an effort to post the balance of an order is equal to or below a specified • Minimum Price is $1.00 without locking an away market, the minimum price, as determined and • (Regular) Intrinsic Value percentage Exchange believes it is appropriate to announced by the Exchange (the threshold is 25% exclude such orders from the Sell Check ‘‘Minimum Price’’).12 As proposed, if • Low Price Intrinsic Value so as not to interfere with the intended the Exchange receives an order to sell a percentage threshold is 100% functioning of such order type. put or a call in an option series where • Series A: XYZ DEC 136 Call Implementation the NBB ‘‘is equal to or below the • XYZ Stock is trading at $136.36 The Exchange will announce by Minimum Price,’’ such order would be Example 1: NBBO for Series A: (100) Trader Update the implementation date canceled or rejected ‘‘if the price of the $2.00 × $3.00 (100) of the proposed rule change. order is equal to or lower than its • The NBB of $2.00 is above the Intrinsic Value, minus a threshold Minimum Price (i.e., $1.00), thus, 2. Statutory Basis percentage’’ to be determined by the the (Regular) Intrinsic Value The Exchange believes that its Exchange and announced by Trader percentage threshold, per Rule proposal is consistent with Section 6(b) Update (the ‘‘Low Price Intrinsic Value 6.60–O(c)(2)(A), applies. of the Act,19 in general, and furthers the 13 • percentage threshold’’). The rule text The Intrinsic Value of Series A is objectives of Section 6(b)(5) of the Act,20 would also make clear that this Low $0.36 ($136.36–$136.00); and in particular, in that it is designed to • Price Intrinsic Value percentage The lowest acceptable price for a prevent fraudulent and manipulative threshold would be calculated as a sell in Series A is $0.27 (after acts and practices, to promote just and percentage of the Intrinsic Value.14 The applying the 25% percentage equitable principles of trade, to foster Exchange believes this proposed threshold ($0.09)). cooperation and coordination with modification would enable the Example 2: NBBO for Series A: (100) persons engaged in regulating, clearing, Exchange to apply a more finely $0.50 × $3.00 (100) settling, processing information with calibrated Sell Check (i.e., to options • The NBB of $0.50 is below the respect to, and facilitating transactions orders trading at or below a certain Minimum Price (i.e., $1.00), thus, in securities, to remove impediments to price), which is distinct from the the Low Price Intrinsic Value and perfect the mechanism of a free and Regular Intrinsic Value percentage percentage threshold, per proposed open market and a national market threshold, and should reduce the Rule 6.60–O(c)(2)(A)(i), applies. system and, in general, to protect possibility of such orders on lower- • The Intrinsic Value of Series A is investors and the public interest. priced options being improperly $0.36 ($136.36–$136.00); and In particular, the Exchange believes canceled or rejected.15 • The lowest acceptable price for a the proposed Sell Check as modified to As noted above, market participants sell in Series A is $0.00 (after account for lower-priced options and to may opt to willingly execute trading applying the 100% percentage exclude ISOs would protect investors strategies regardless of whether the threshold ($0.36)) (i.e., there is no and the public interest and maintain fair result is an execution for a price less intrinsic check in this case). and orderly markets by ensuring that than the Intrinsic Value of the options ISOs Excluded From Sell Checks properly entered orders are not series. The Low Price Intrinsic Value inadvertently rejected or canceled by The Exchange also proposes to modify percentage threshold is designed to the Exchange. In particular, the Low the Sell Check to exclude any allow greater flexibility to market Price Intrinsic Value percentage Intermarket Sweep Order or ISO.16 An participants submitting sell orders in threshold would allow for better ISO is a Limit Order for an options option series trading at lower prices. calibration of the Sell Check (i.e., to series that instructs the Exchange to This would allow participants options orders trading at or below a execute the order up to the price of its additional opportunities to execute certain price), which should reduce the limit, regardless of the NBBO.17 An OTP certain orders (rather than reject or possibility of such orders on lower- Holder may submit an ISO to sell only cancel), while still maintaining a priced options being improperly if it has simultaneously routed one or tolerance range. Thus, the proposal canceled or rejected. Under certain more additional ISOs, as necessary, to would protect investors by adding circumstances, market participants may execute against the full displayed size of flexibility and sensitivity to the Sell choose to execute trading strategies any better-priced protected quotations Check for orders in lower-priced options regardless of whether the result is an for the options series (i.e., the Protected and allow the balance of the Price execution for a price less than the Bid), with a price that is superior to the Checks to continue to operate as Intrinsic Value of the options series. The limit of the ISO.18 Because an ISO is intended. Low Price Intrinsic Value percentage threshold (which is distinct from the 16 See proposed Rule 6.60–O(c)(2). Regular Intrinsic Value percentage 12 See proposed Rule 6.60–O(c)(2)(A)(i) 17 See Rule 6.62–O(aa) (providing, in relevant threshold) is designed to allow greater (providing that the current Sell Check will apply to part, that an ISOs ‘‘may only be entered with a time- orders ‘‘provided the NBB for the option series is in-force of IOC, and the entering OTP Holder must flexibility to market participants greater than’’ the Minimum Price; otherwise the comply with the provisions of Rule 6.92–O(a)(8)’’). submitting sell orders in option series Low Price Intrinsic Value percentage threshold 18 See Rule 6.92–O(a)(8) (providing that an ISO is trading at lower prices. This would would apply). See also proposed Rule 6.60– ‘‘a limit order for an options series that, allow participants additional O(c)(2)(A)(i) [sic]. simultaneously with the routing of the ISO, one or 13 See proposed Rule 6.60–O(c)(2)(A)(i). more additional ISOs, as necessary, are routed to 14 See id. execute against the full displayed size of any simultaneously routed one or more additional ISOs 15 See id. The Exchange anticipates setting the Protected Bid, in the case of a limit order to sell, to buy (sell), as necessary, to execute against the full Minimum Price to $1.00 and the Low Price Intrinsic or any Protected Offer, in the case of a limit order displayed size of any Protected Bid (Protected Value percentage threshold to one hundred percent to buy, for the options series with a price that is Offer) for the options series with a price that is (100%) and whether and when these amounts superior to the limit price of the ISO.’’ See id. The superior to the limit price of the ISO). See id. change would depend upon the interest and/or rule further provides that an OTP Holder may 19 15 U.S.C. 78f(b). behavior of market participants. submit an ISO to the Exchange only if it has 20 15 U.S.C. 78f(b)(5).
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opportunities to execute certain orders C. Self-Regulatory Organization’s All submissions should refer to File (rather than reject or cancel), while still Statement on Comments on the Number SR–NYSEArca–2019–89. This maintaining a tolerance range. Thus, the Proposed Rule Change Received From file number should be included on the proposal would promote just and Members, Participants, or Others subject line if email is used. To help the equitable principles of trade and would No written comments were solicited Commission process and review your protect investors by adding flexibility or received with respect to the proposed comments more efficiently, please use and sensitivity to the Sell Check for rule change. only one method. The Commission will orders in lower-priced options and post all comments on the Commission’s allow the balance of the Price Checks to III. Date of Effectiveness of the internet website (http://www.sec.gov/ continue to operate as intended. Proposed Rule Change and Timing for rules/sro.shtml). Copies of the In addition, with regard to ISOs, the Commission Action submission, all subsequent Exchange believes it is appropriate to Because the foregoing proposed rule amendments, all written statements exclude such orders from the Sell Check change does not: (i) Significantly affect with respect to the proposed rule to ensure that the order type (as well as the protection of investors or the public change that are filed with the the Sell Check) operates as intended. interest; (ii) impose any significant Commission, and all written Moreover, modifying the rule to specify burden on competition; and (iii) become communications relating to the that ISOs would be excluded from the operative for 30 days from the date on proposed rule change between the Sell Check would add clarity and which it was filed, or such shorter time Commission and any person, other than transparency to Exchange rules. as the Commission may designate, it has those that may be withheld from the The Exchange is proposing the public in accordance with the modifications to the Sell Check for the become effective pursuant to Section 21 provisions of 5 U.S.C. 552, will be benefit of, and in consultation with, 19(b)(3)(A) of the Act and Rule 19b– 22 available for website viewing and OTP Holders and OTP Firms and 4(f)(6) thereunder. At any time within 60 days of the printing in the Commission’s Public believes the proposed rule change Reference Room, 100 F Street NE, would help to maintain a fair and filing of the proposed rule change, the Commission summarily may Washington, DC 20549 on official orderly market, and provide a valuable business days between the hours of service to investors. In particular, the temporarily suspend such rule change if it appears to the Commission that such 10:00 a.m. and 3:00 p.m. Copies of the proposed changes to the Sell Check are filing also will be available for responsive to member input regarding action is necessary or appropriate in the public interest, for the protection of inspection and copying at the principal certain orders being erroneously office of the Exchange. All comments rejected or canceled by the Sell Check investors, or otherwise in furtherance of the purposes of the Act. If the received will be posted without change. (either an ISO or a sell order on an Persons submitting comments are option series trading at a (relatively) low Commission takes such action, the cautioned that we do not redact or edit price). This proposal would thus Commission shall institute proceedings personal identifying information from facilitate transactions in securities and to determine whether the proposed rule comment submissions. You should perfect the mechanism of a free and change should be approved or submit only information that you wish open market by providing OTP Holders disapproved. to make available publicly. All and OTP Firms with enhanced IV. Solicitation of Comments submissions should refer to File functionality that will assist them with Number SR–NYSEArca–2019–89 and managing their portfolio and risk Interested persons are invited to should be submitted on or before profile. submit written data, views, and arguments concerning the foregoing, January 16, 2020. B. Self-Regulatory Organization’s including whether the proposed rule For the Commission, by the Division of Statement on Burden on Competition change is consistent with the Act. Trading and Markets, pursuant to delegated The Exchange does not believe that Comments may be submitted by any of authority.23 the proposed rule change will impose the following methods: J. Matthew DeLesDernier, any burden on competition that is not Electronic Comments Assistant Secretary. necessary or appropriate in furtherance • [FR Doc. 2019–27724 Filed 12–23–19; 8:45 am] of the purposes of the Act. The Use the Commission’s internet BILLING CODE 8011–01–P proposed rule change enhances the comment form (http://www.sec.gov/ existing Sell Check for option orders of rules/sro.shtml); or all OTP Holders submitted to the • Send an email to rule-comments@ SECURITIES AND EXCHANGE Exchange and is designed to ensure that sec.gov. Please include File Number SR– COMMISSION properly entered orders are not NYSEArca–2019–89 on the subject line. inadvertently rejected or canceled by Paper Comments [Release No. 34–87794; File No. SR– the Exchange—insofar as the Sell Check • NYSEAMER–2019–56] would exclude (and not interfere with Send paper comments in triplicate the operation of) ISO orders, and, would to: Secretary, Securities and Exchange Self-Regulatory Organizations; NYSE apply a modified/more finely calibrated Commission, 100 F Street NE, American LLC; Notice of Filing and percentage threshold to sell orders in Washington, DC 20549–1090. Immediate Effectiveness of Proposed option series trading at a relatively low Rule Change to Amend Rule 967NY 21 15 U.S.C. 78s(b)(3)(A). (Price Protection—Orders) price. 22 The Exchange further believes that 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 4(f)(6)(iii) requires a self-regulatory organization to December 18, 2019. because the proposed rule change give the Commission written notice of its intent to would be applicable to all OTP Holders file the proposed rule change, along with a brief Pursuant to Section 19(b)(1) 1 of the it would not impose any burden on description and text of the proposed rule change, Securities Exchange Act of 1934 at least five business days prior to the date of filing intra-market competition that is not of the proposed rule change, or such shorter time necessary or appropriate in furtherance as designated by the Commission. The Exchange 23 17 CFR 200.30–3(a)(12). of the purposes of the Act. has satisfied this requirement. 1 15 U.S.C. 78s(b)(1).
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(‘‘Act’’) 2 and Rule 19b–4 thereunder,3 potentially erroneous prices.4 In Value, minus a threshold percentage notice is hereby given that on December particular, the Exchange has Price (‘‘percentage threshold’’), which is 5, 2019, NYSE American LLC Reasonability Checks (‘‘Price Checks’’) determined by the Exchange and (‘‘Exchange’’) filed with the Securities for Limit Orders based on the principle announced by Trader Update.10 The and Exchange Commission that an option order is in error and percentage threshold buffer is an (‘‘Commission’’) the proposed rule should be rejected (or canceled) when important aspect of the Sell Check change described in Items I and II the same result can be achieved on the because there may be situations in below, which Items have been prepared market for the underlying equity which market participants willingly opt by the self-regulatory organization. The security at a lesser cost.5 The Price to execute certain trading strategies even Commission is publishing this notice to Checks are based on the consolidated if such trade or trades occur for a price solicit comments on the proposed rule last sale price of the security underlying less than the Intrinsic Value of the change from interested persons. the option, once the security opens for options series.11 Absent this percentage trading (or reopens following a Trading threshold buffer, application of the Sell I. Self-Regulatory Organization’s Halt).6 The Exchange offers Price Check could result in the rejection or Statement of the Terms of Substance of Checks for buy and sell options orders.7 cancelation of certain options sell orders the Proposed Rule Change The proposed change relates only to the where market participants seek an The Exchange proposes to amend Price Checks for sell options orders (i.e., execution. Rule 967NY (Price Protection—Orders) the Sell Check).8 to modify and enhance certain of its Current Rule 967NY(c)(2) sets forth Proposed Low Price Intrinsic Value current price protection mechanisms. the current Sell Check, which is Percentage Threshold The proposed rule change is available designed to protect sellers of calls and The Exchange proposes to modify the on the Exchange’s website at puts from presumptively erroneous Sell Check to introduce a separate www.nyse.com, at the principal office of executions based on the ‘‘Intrinsic percentage threshold to better account the Exchange, and at the Commission’s Value’’ of an option. The Intrinsic Value for sell orders in options series that are Public Reference Room. of an option series is measured as the trading at relatively low prices so as to avoid such orders potentially being II. Self-Regulatory Organization’s difference between the strike price and (incorrectly) rejected or canceled. Statement of the Purpose of, and the consolidated last sale price. A sell Specifically, the Exchange would apply Statutory Basis for, the Proposed Rule order in a call series creates an this modified check to limit orders to Change obligation to sell the underlying security at the strike price and a sell order in a sell when the NBB for the option series In its filing with the Commission, the put series creates an obligation to buy is equal to or below a specified self-regulatory organization included the underlying security at the strike minimum price, as determined and statements concerning the purpose of, price. Thus, the Intrinsic Value for a call announced by the Exchange (the and basis for, the proposed rule change option is equal to the consolidated last ‘‘Minimum Price’’).12 As proposed, if and discussed any comments it received sale price of the underlying security the Exchange receives an order to sell a on the proposed rule change. The text minus the strike price; whereas the put or a call in an option series where of those statements may be examined at Intrinsic Value for a put option is equal the NBB ‘‘is equal to or below the the places specified in Item IV below. to the strike price minus the Minimum Price,’’ such order would be The Exchange has prepared summaries, consolidated last sale price of the canceled or rejected ‘‘if the price of the set forth in sections A, B, and C below, underlying security.9 Under the current order is equal to or lower than its of the most significant parts of such Rule, the Exchange rejects or cancels Intrinsic Value, minus a threshold statements. options Limit Orders to sell a call or to percentage’’ to be determined by the A. Self-Regulatory Organization’s sell a put if the price of the order is Exchange and announced by Trader Statement of the Purpose of, and the equal to or lower than its Intrinsic Update (the ‘‘Low Price Intrinsic Value Statutory Basis for, the Proposed Rule percentage threshold’’).13 The rule text Change 4 See, e.g., Rules 967NY(a) (trading collars) and would also make clear that this Low (b) (limit order price filter), Rule 967.1NY(a) (price Price Intrinsic Value percentage 1. Purpose protection for Market Maker quotes). 5 A Limit Order is an order to buy or sell a stated threshold would be calculated as a The Exchange proposes to amend number of option contracts at a specified price, or paragraph (c) of Rule 967NY to modify better. See Rule 900.3NY(b). 10 See Rule 967NY(c)(2)(A). The percentage and enhance its Price Reasonability 6 See Rule 967NY(c). threshold for sell orders is currently set to twenty- Checks for options orders to sell puts or 7 The Price Checks—or arbitrage checks—for buy five percent (25%). The Exchange refers to this orders operate as follows: Unless otherwise existing percentage threshold as the ‘‘Regular calls (the ‘‘Sell Check’’). As proposed, provided in Commentary .01 of the Rule, the Intrinsic Value percentage threshold’’ to the Exchange would enhance the Sell Exchange rejects or cancels any limit order to buy differentiate from the proposed threshold. See Checks applied when the National Best a put option if the price of the order is equal to or proposed Rule 967NY(c)(2)(A). Bid (‘‘NBB’’) is below a specified price greater than the strike price of the option; and, the 11 For example, if the market participant is Exchange rejects or cancels any limit order to buy looking to close out a position, it may be financially and would exclude from the Sell Check a call option if the price of the order is equal to or beneficial to pay a small premium and close out the any Intermarket Sweep Orders, both of greater than the consolidated last sale price of the position rather than carry such position to which changes would allow for a more underlying security, plus a dollar amount to be expiration and take delivery. See, e.g., Securities finely calibrated Sell Check. determined by the Exchange and announced by Exchange Act Release No. 85925 (May 23, 2019), 84 Trader Update. See Rule 967NY(c)(1)(A), (B). FR 24831, 24832, fn14 (May 30, 2019) (SR– Price Reasonability Checks 8 The proposed rule change would not impact the NYSEAMER–2019–19) (immediately effective filing securities that are excluded from the Price Checks implementing Price Checks, including the Sell The Exchange has in place various per Commentary .01 to the Rule, which currently Check). price check mechanisms that are are options series for which the underlying security 12 See proposed Rule 967NY(c)(2)(A)(i) (providing designed to prevent incoming orders has a non-standard cash or stock deliverable as part that the current Sell Check will apply to orders of a corporate action; options series for which the ‘‘provided the NBB for the option series is greater from automatically executing at underlying security is identified as OTC; option than’’ the Minimum Price; otherwise the Low Price series on an index; and ByRDs. See Commentary .01 Intrinsic Value percentage threshold would apply). 2 15 U.S.C. 78a. to Rule 967NY. See also proposed Rule 967NY(c)(2)(A)(i) [sic]. 3 17 CFR 240.19b–4. 9 See Rule 967NY(c)(2). 13 See proposed Rule 967NY(c)(2)(A)(i).
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percentage of the Intrinsic Value.14 The • The Intrinsic Value of Series A is the Exchange. In particular, the Low Exchange believes this proposed $0.36 ($136.36 ¥ $136.00); and Price Intrinsic Value percentage modification would enable the • The lowest acceptable price for a threshold would allow for better Exchange to apply a more finely sell in Series A is $0.00 (after applying calibration of the Sell Check (i.e., to calibrated Sell Check (i.e., to options the 100% percentage threshold ($0.36)) options orders trading at or below a orders trading at or below a certain (i.e. there is no intrinsic check in this certain price), which should reduce the price), which is distinct from the case). possibility of such orders on lower- Regular Intrinsic Value percentage priced options being improperly ISOs Excluded From Sell Checks threshold, and should reduce the canceled or rejected. Under certain possibility of such orders on lower- The Exchange also proposes to modify circumstances, market participants may priced options being improperly the Sell Check to exclude any choose to execute trading strategies canceled or rejected.15 Intermarket Sweep Order or ISO.16 An regardless of whether the result is an As noted above, market participants ISO is a Limit Order for an options execution for a price less than the may opt to willingly execute trading series that instructs the Exchange to Intrinsic Value of the options series. The strategies regardless of whether the execute the order up to the price of its Low Price Intrinsic Value percentage result is an execution for a price less limit, regardless of the NBBO. An ATP threshold (which is distinct from the than the Intrinsic Value of the options Holder may submit an ISO to sell only Regular Intrinsic Value percentage series. The Low Price Intrinsic Value if it has simultaneously routed one or threshold) is designed to allow greater percentage threshold is designed to more additional ISOs, as necessary, to flexibility to market participants allow greater flexibility to market execute against the full displayed size of submitting sell orders in option series participants submitting sell orders in any better-priced protected quotations trading at lower prices. This would option series trading at lower prices. for the options series (i.e., the Protected allow participants additional This would allow participants Bid), with a price that is superior to the opportunities to execute certain orders additional opportunities to execute limit of the ISO.17 Because an ISO is (rather than reject or cancel), while still certain orders (rather than reject or generally used when trying to sweep a maintaining a tolerance range. Thus, the cancel), while still maintaining a price level across multiple exchanges in proposal would promote just and tolerance range. Thus, the proposal an effort to post the balance of an order equitable principles of trade and would would protect investors by adding without locking an away market, the protect investors by adding flexibility flexibility and sensitivity to the Sell Exchange believes it is appropriate to and sensitivity to the Sell Check for Check for orders in lower-priced options exclude such orders from the Sell Check orders in lower-priced options and and allow the balance of the Price so as not to interfere with the intended allow the balance of the Price Checks to Checks to continue to operate as functioning of such order type. continue to operate as intended. In addition, with regard to ISOs, the intended. Implementation The following examples illustrate this Exchange believes it is appropriate to proposed functionality. The Exchange will announce by exclude such orders from the Sell Check Assumptions: Trader Update the implementation date to ensure that the order type (as well as • Minimum Price is $1.00. of the proposed rule change. the Sell Check) operates as intended. • (Regular) Intrinsic Value percentage Moreover, modifying the rule to specify 2. Statutory Basis threshold is 25%. that ISOs would be excluded from the • Low Price Intrinsic Value The Exchange believes that its Sell Check would add clarity and percentage threshold is 100%. proposal is consistent with Section 6(b) transparency to Exchange rules. • Series A: XYZ DEC 136 Call. of the Act,18 in general, and furthers the The Exchange is proposing the • XYZ Stock is trading at $136.36. objectives of Section 6(b)(5) of the Act,19 modifications to the Sell Check for the Example 1: NBBO for Series A: (100) in particular, in that it is designed to benefit of, and in consultation with ATP $2.00 × $3.00 (100). prevent fraudulent and manipulative Holders and believes the proposed rule • The NBB of $2.00 is above the acts and practices, to promote just and change would help to maintain a fair Minimum Price (i.e., $1.00), thus, the equitable principles of trade, to foster and orderly market, and provide a (Regular) Intrinsic Value percentage cooperation and coordination with valuable service to investors. In threshold, per Rule 967NY(c)(2)(A), persons engaged in regulating, clearing, particular, the proposed changes to the applies. settling, processing information with Sell Check are responsive to member • The Intrinsic Value of Series A is respect to, and facilitating transactions input regarding certain orders being $0.36 ($136.36 ¥ $136.00); and in securities, to remove impediments to erroneously rejected or canceled by the • The lowest acceptable price for a and perfect the mechanism of a free and Sell Check (either an ISO or a sell order sell in Series A is $0.27 (after applying open market and a national market on an option series trading at a the 25% percentage threshold ($0.09)). system and, in general, to protect (relatively) low price). This proposal Example 2: NBBO for Series A: (100) investors and the public interest. would thus facilitate transactions in $0.50 × $3.00 (100). In particular, the Exchange believes securities and perfect the mechanism of • The NBB of $0.50 is below the the proposed Sell Check as modified to a free and open market by providing Minimum Price (i.e., $1.00), thus, the account for lower-priced options and to ATP Holders with enhanced Low Price Intrinsic Value percentage exclude ISOs would protect investors functionality that will assist them with threshold, per proposed Rule and the public interest and maintain fair managing their portfolio and risk 967NY(c)(2)(A)(i), applies. and orderly markets by ensuring that profile. properly entered orders are not B. Self-Regulatory Organization’s 14 See id. inadvertently rejected or canceled by 15 See id. The Exchange anticipates setting the Statement on Burden on Competition Minimum Price to $1.00 and the Low Price Intrinsic 16 The Exchange does not believe that Value percentage threshold to one hundred percent See proposed Rule 967NY(c)(2). (100%) and whether and when these amounts 17 See Rule 900.3NY(u). the proposed rule change will impose change would depend upon the interest and/or 18 15 U.S.C. 78f(b). any burden on competition that is not behavior of market participants. 19 15 U.S.C. 78f(b)(5). necessary or appropriate in furtherance
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of the purposes of the Act. The IV. Solicitation of Comments For the Commission, by the Division of proposed rule change enhances the Trading and Markets, pursuant to delegated existing Sell Check for option orders of Interested persons are invited to authority. all ATP Holders submitted to the submit written data, views, and J. Matthew DeLesDernier, Exchange and is designed to ensure that arguments concerning the foregoing, Assistant Secretary. properly entered orders are not including whether the proposed rule [FR Doc. 2019–27734 Filed 12–23–19; 8:45 am] inadvertently rejected or canceled by change is consistent with the Act. BILLING CODE 8011–01–P the Exchange—insofar as the Sell Check Comments may be submitted by any of would exclude (and not interfere with the following methods: the operation of) ISO orders, and, would Electronic Comments SECURITIES AND EXCHANGE apply a modified/more finely calibrated COMMISSION • Use the Commission’s internet percentage threshold to sell orders in [Release No. 34–87799; File No. SR–CBOE– option series trading at a relatively low comment form (http://www.sec.gov/ 2019–124] price. rules/sro.shtml); or The Exchange further believes that • Send an email to rule-comments@ Self-Regulatory Organizations; Cboe because the proposed rule change sec.gov. Please include File Number SR– Exchange, Inc.; Notice of Filing and would be applicable to all ATP Holders NYSEAMER–2019–56 on the subject Immediate Effectiveness of a Proposed it would not impose any burden on line. Rule Change To Amend Its Fees Schedule intra-market competition that is not Paper Comments necessary or appropriate in furtherance December 18, 2019. of the purposes of the Act. • Send paper comments in triplicate Pursuant to Section 19(b)(1) of the C. Self-Regulatory Organization’s to: Secretary, Securities and Exchange Securities Exchange Act of 1934 (the Statement on Comments on the Commission, 100 F Street NE, ‘‘Act’’),1 and Rule 19b–4 thereunder,2 Proposed Rule Change Received From Washington, DC 20549–1090. notice is hereby given that on December Members, Participants, or Others All submissions should refer to File 18, 2019, Cboe Exchange, Inc. (the ‘‘Exchange’’ or ‘‘Cboe Options’’) filed No written comments were solicited Number SR–NYSEAMER–2019–56. This file number should be included on the with the Securities and Exchange or received with respect to the proposed Commission (the ‘‘Commission’’) the rule change. subject line if email is used. To help the Commission process and review your proposed rule change as described in III. Date of Effectiveness of the comments more efficiently, please use Items I, II, and III below, which Items Proposed Rule Change and Timing for only one method. The Commission will have been prepared by the Exchange. Commission Action post all comments on the Commission’s The Commission is publishing this internet website (http://www.sec.gov/ notice to solicit comments on the Because the foregoing proposed rule rules/sro.shtml). Copies of the proposed rule change from interested change does not: (i) Significantly affect submission, all subsequent persons. the protection of investors or the public amendments, all written statements interest; (ii) impose any significant I. Self-Regulatory Organization’s with respect to the proposed rule burden on competition; and (iii) become Statement of the Terms of Substance of change that are filed with the operative for 30 days from the date on the Proposed Rule Change Commission, and all written which it was filed, or such shorter time Cboe Exchange, Inc. (the ‘‘Exchange’’ communications relating to the as the Commission may designate, it has or ‘‘Cboe Options’’) proposes to amend proposed rule change between the become effective pursuant to Section its Fees Schedule. The text of the Commission and any person, other than 19(b)(3)(A) of the Act 20 and Rule 19b– proposed rule change is provided in those that may be withheld from the 4(f)(6) thereunder.21 Exhibit 5. public in accordance with the At any time within 60 days of the The text of the proposed rule change provisions of 5 U.S.C. 552, will be is also available on the Exchange’s filing of the proposed rule change, the available for website viewing and Commission summarily may website (http://www.cboe.com/ printing in the Commission’s Public AboutCBOE/CBOELegal temporarily suspend such rule change if Reference Room, 100 F Street NE, it appears to the Commission that such RegulatoryHome.aspx), at the Washington, DC 20549 on official Exchange’s Office of the Secretary, and action is necessary or appropriate in the business days between the hours of public interest, for the protection of at the Commission’s Public Reference 10:00 a.m. and 3:00 p.m. Copies of the Room. investors, or otherwise in furtherance of filing also will be available for the purposes of the Act. If the inspection and copying at the principal II. Self-Regulatory Organization’s Commission takes such action, the office of the Exchange. All comments Statement of the Purpose of, and Commission shall institute proceedings received will be posted without change. Statutory Basis for, the Proposed Rule to determine whether the proposed rule Persons submitting comments are Change change should be approved or cautioned that we do not redact or edit In its filing with the Commission, the disapproved. personal identifying information from Exchange included statements comment submissions. You should concerning the purpose of and basis for 20 15 U.S.C. 78s(b)(3)(A). submit only information that you wish the proposed rule change and discussed 21 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– to make available publicly. All 4(f)(6)(iii) requires a self-regulatory organization to any comments it received on the give the Commission written notice of its intent to submissions should refer to File proposed rule change. The text of these file the proposed rule change, along with a brief Number SR–NYSEAMER–2019–56 and statements may be examined at the description and text of the proposed rule change, should be submitted on or before places specified in Item IV below. The at least five business days prior to the date of filing January 16, 2020.22 of the proposed rule change, or such shorter time as designated by the Commission. The Exchange 1 15 U.S.C. 78s(b)(1). has satisfied this requirement. 22 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4.
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Exchange has prepared summaries, set instances, could be seeking to avoid SPX Tier Appointment fee is intended forth in sections A, B, and C below, of being assessed another market’s to be assessed to Market-Maker TPHs the most significant aspects of such transaction fees. Orders that are initially who actually act as Market-Makers in statements. transmitted from the trading floor are SPX and engage in trading in SPX (as not attempting to avoid fees since they opposed to those who primarily execute A. Self-Regulatory Organization’s volume during the opening rotation on Statement of the Purpose of, and incur brokerage commission charges in VIX settlement days and subsequently Statutory Basis for, the Proposed Rule connection with manual handling. execute volume to close out of such Change Rather, orders that are generally transmitted from the floor are large, positions). The electronic Tier 1. Purpose complex orders that are primarily Appointment Surcharges for VIX and The Exchange proposes various executed on the Exchange, which only RUT similarly have a 1,000 contract 7 amendments to its Fees Schedule.3 are transmitted to away markets if, threshold. during their execution on the Exchange, 2. Statutory Basis SPX Select Market-Makers it is necessary to sweep some away Footnote 49 of the Fees Schedule markets. As such, the Exchange believes The Exchange believes the proposed currently provides that any appointed it’s appropriate to waive linkage fees for rule change is consistent with the SPX Select Market-Maker (‘‘SMM’’) will these orders. The Exchange lastly notes Securities Exchange Act of 1934 (the receive a monthly rebate of $8,000 if the that the proposed waiver is not novel. ‘‘Act’’) and the rules and regulations SMM provides continuous electronic Indeed, the Exchange maintained the thereunder applicable to the Exchange quotes in at least 99% of the SPX series proposed waiver prior to the migration and, in particular, the requirements of 8 90% of the time in a given month. to a new billing system on October 7, Section 6(b) of the Act. Specifically, SMMs are not obligated to satisfy the 2019, but had eliminated the waiver the Exchange believes the proposed rule heightened quoting standards described 5 change is consistent with the Section upon migration. After further 9 in the Fees Schedule. Rather, SMMs are evaluation, the Exchange now wishes to 6(b)(5) requirements that the rules of eligible to receive a rebate if they satisfy re-adopt the proposed waiver. The an exchange be designed to prevent the heightened standards. SMMs must Exchange notes the proposed waiver is fraudulent and manipulative acts and still comply with the continuous identical to the waiver in place pre- practices, to promote just and equitable quoting obligation and other obligations migration. principles of trade, to foster cooperation of Market-Makers described in Cboe and coordination with persons engaged Options Rules.4 The Exchange adopted Tier Appointment Fees in regulating, clearing, settling, processing information with respect to, the monthly rebate program to The Exchange currently assesses a and facilitating transactions in encourage SMMs to provide liquidity in SPX Tier Appointment Fee of $3,000 securities, to remove impediments to SPX. The Exchange now proposes to per month to any Market-Maker holding and perfect the mechanism of a free and eliminate the SMM rebate program. The a Market-Maker Electronic Access open market and a national market Exchange no longer believes additional Permit (‘‘EAP’’) (‘‘MM EAP’’) that trades system, and, in general, to protect liquidity by an SMM is necessary and any SPX (including SPXW) contracts at investors and the public interest, and notes the Exchange is not required to any time during the month. The does not unfairly discriminate between maintain such an incentive program. Exchange proposes to amend the Fees The Exchange also notes that Market- customers, issuers, brokers or dealers. Schedule to adopt a contract threshold. Additionally, the Exchange believes the Makers that were previously appointed Particularly, the Exchange proposes to as SMMs will still be required to proposed rule change is consistent with provide that the SPX Tier Appointment Section 6(b)(4) of the Act,10 which comply with the continuous quoting Fee will be assessed to any MM EAP obligation and other obligations of requires that Exchange rules provide for that executes at least 1,000 contracts in the equitable allocation of reasonable Market-Makers described in Cboe SPX (including SPXW) excluding Options Rules. dues, fees, and other charges among its contracts executed during the opening Trading Permit Holders and other Linkage rotation on the final settlement date of persons using its facilities. VIX options and futures with the The Exchange currently assesses The Exchange believes eliminating expiration used in the VIX settlement certain fees in connection with orders the SPX SMM Program is reasonable, calculation. The Exchange proposes to routed to other exchanges. The equitable and not unfairly exclude SPX and SPXW volume Exchange proposes to not pass through discriminatory because the Exchange is executed during opening rotation on the or otherwise charge customer (capacity not required to maintain such a rebate final settlement date of VIX options and code ‘‘C’’) orders (of any size) routed to program and no longer desires to do so. futures which have the expiration that other exchanges that were originally The Exchange believes that there is transmitted to the Exchange from the contribute to the VIX settlement, as such sufficient liquidity in SPX and does not trading floor through an Exchange- orders help to facilitate the calculation believe a rebate program is necessary to sponsored terminal (e.g., PULSe of a settlement price for VIX options and further incentivize liquidity. The Workstation). The primary objective of futures and the Exchange does not wish Exchange believes the proposed change to discourage the sending of such is not unfairly discriminatory because it linkage fees are to recoup some of the 6 costs associated with large electronic orders. The Exchange notes that the will apply equally to all SMMs. orders that are initially transmitted to The Exchange believes it’s reasonable 5 See Securities and Exchange Act Release No. to waive linkage fees for customer the Exchange by parties who, in many 87495 (November 8, 2019), 84 FR 63701 (November 18, 2019) (SR–CBOE–2019–106). exception to the SPX Tier Appointment for Floor 3 The Exchange originally filed the proposed fee 6 The Exchange notes that only electronic SPX Market-Makers. changes on December 2, 2019 (SR–CBOE–2019– and SPXW orders participate in the opening 7 114). On December 12, 2019, the Exchange rotation on the final settlement date of VIX options See Cboe Options Fees Schedule, Market-Maker withdrew that filing and submitted SR–CBOE– and futures. As open-outcry volume does not Tier Appointment Fees. 2019–120. On December 18, 2019, the Exchange facilitate the calculation of the settlement price for 8 15 U.S.C. 78f(b). withdrew that filing and submitted this filing. VIX options and futures, the Exchange does not 9 15 U.S.C. 78f(b)(5). 4 See e.g., Cboe Options Rule 5.51. believe it’s necessary to adopt a corresponding 10 15 U.S.C. 78f(b)(4).
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orders that were transmitted from the waiver is identical to the waiver in threshold also applies to MM EAP Tier trading floor through an Exchange place pre-migration. Appointment Fees in RUT and VIX.12 sponsored terminal (currently only The Exchange believes the proposed B. Self-Regulatory Organization’s PULSe workstation) as customers would change to adopt a contract threshold to Statement on Burden on Competition not be subject to linkage fees. The trigger the electronic SPX Tier The Exchange does not believe that proposed waiver would apply to all Appointment Surcharge is reasonable as similarly situated market participants. the proposed rule change will impose MM EAPs that trade below such The Exchange believes limiting the any burden on competition that is not threshold will not be subject to the MM exception to customer orders that were necessary or appropriate in furtherance EAP SPX Tier Appointment Fee. The originally transmitted from the trading of the purposes of the Act. Specifically, Exchange believes the proposed change floor through an exchange-sponsored the Exchange does not believe that the is reasonable as the SPX Tier terminal is equitable, reasonable and not proposed change will impose any unfairly discriminatory as the primary Appointment surcharge was intended to burden on intramarket competitions that objective of linkage fees are to recoup apply to TPHs who act as Market- is not necessary or appropriate in some of the costs associated with large Makers in SPX, not those that do not furtherance of the purposes of the Act electronic orders that are initially regularly trade SPX electronically. because the proposed changes will be transmitted to the Exchange by parties Additionally, while liquidity is applied equally to all similarly situated who, in many instances, could be important to open all series on the market participants. For example, seeking to avoid being assessed another Exchange, given the potential impact on although the proposed routing market’s transaction fees. As discussed the exercise settlement value exception only applies to Customers, as above, orders that are generally determined for expiring volatility index discussed, above, the Exchange believes transmitted from the floor are large, derivatives, it is very important to limiting the exception to customer complex orders that are primarily encourage a fair and orderly opening of orders is not unfairly discriminatory executed on the Exchange and the series that are used to calculate the because non-customer (e.g., broker- transmitted to away markets if, during final settlement value of expiring VIX dealer proprietary) orders originate from their execution on the Exchange, it is derivatives. Accordingly, the Exchange broker-dealers who are by and large necessary to sweep some away markets. does not wish to assess the SPX Tier more sophisticated than public The Exchange also believes limiting the Appointment fee to MM EAPs who do customers and can readily control the exception from Linkage Fees to not conduct significant electronic exchange to which their orders are customer orders is equitable, reasonable volume in SPX (or SPXW) other than routed. Moreover, as discussed, the and not unfairly discriminatory because volume executed during opening Commission has a long history of non-customer (e.g., broker-dealer rotation on the final settlement date of permitting differential treatment of proprietary) orders originate from VIX options and futures which have the customers and non-customer investors. broker-dealers who are by and large expiration that are used in the VIX The Exchange does not believe that more sophisticated than public settlement calculation and subsequent the proposed rule change regarding the customers (i.e., orders yielding capacity volume executed to close out of such SMM Program or the SPX Tier code ‘‘C’’) and can readily control the positions. The Exchange believes it’s Appointment Fee will impose any exchange to which their orders are equitable and not unfairly burden on intermarket competition that routed. While there may be some discriminatory to adopt a threshold for is not necessary or appropriate in customers who direct the exchange to off-floor Markets-Markets and not on- furtherance of the purposes of the Act which their orders are routed, generally, floor Market-Makers as only electronic because the proposed waiver applies to customers submit orders to their SPX and SPXW orders participate in the a product traded exclusively on the brokerages but do not or cannot specify opening rotation on the final settlement Exchange. Additionally, the Exchange the exchange to which its order is sent. date of VIX options and futures. As believes the proposed rule change Therefore, non-customer order flow can, open-outcry volume does not facilitate relating to linkage does not impose any burden on intermarket competition that in most cases, more easily route directly the calculation of the settlement price is not necessary or appropriate in to other markets if desired and thus for VIX options and futures, the furtherance of the purposes of the Act. avoid Linkage Fees. This includes the Exchange does not believe it’s necessary Particularly, the Exchange operates in a ability of broker-dealers to sweep better- to adopt a corresponding exception to highly competitive market. Members priced away markets in connection with the SPX Tier Appointment for on-floor have numerous alternative venues that routing large orders to the Exchange’s Market-Makers. The Exchange notes that they may participate on and director floor for handling by floor brokers. any TPH that electronically executes their order flow, including 15 other Moreover, the Commission has a long more than 1 contract but less than 1,000 options exchanges and off-exchange history of permitting differential contracts in SPX (including SPXW), venues. The Exchange represents a treatment of customers and non- excluding volume executed during small percentage of the overall market. customer investors. opening rotation on the final settlement Finally, as noted above, the proposed Based on publicly available information, date of VIX options and futures which no single options exchange has more waiver is not novel. Indeed, the have the expiration that are used in the than 24% of the market share.13 Exchange maintained the proposed VIX settlement calculation will no Therefore, no exchange possesses waiver prior to the migration to a new longer have to pay the Tier significant pricing power in the billing system on October 7, 2019, but Appointment Fee. As noted above, the execution of option order flow. Indeed, had eliminated the waiver upon Exchange is not proposing to change the participants can choose to send their migration.11 After further evaluation, amount assessed for the electronic SPX the Exchange has determined to re- Tier Appointment Fee. The proposed 12 See Cboe Options Fees Schedule, Market- adopt the proposed waiver, which change is equitable and not unfairly Maker Tier Appointment Fees. discriminatory because it will apply 13 See Cboe Global Markets U.S. Options Market 11 See Securities and Exchange Act Release No. uniformly to all TPHs. The Exchange Volume Summary (December 2, 2019), available at 87495 (November 8, 2019), 84 FR 63701 (November https://markets.cboe.com/us/options/market_ 18, 2019) (SR–CBOE–2019–106). lastly notes that a similar 1,000 contract statistics/.
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orders to other exchanges and off- action is necessary or appropriate in the submissions should refer to File exchange venues if they deem fee levels public interest, for the protection of Number SR–CBOE–2019–124 and at those other venues to be more investors, or otherwise in furtherance of should be submitted on or before favorable. Moreover, the Commission the purposes of the Act. If the January 16, 2020. has repeatedly expressed its preference Commission takes such action, the For the Commission, by the Division of for competition over regulatory Commission will institute proceedings Trading and Markets, pursuant to delegated intervention in determining prices, to determine whether the proposed rule authority.18 products, and services in the securities change should be approved or J. Matthew DeLesDernier, markets. Specifically, in Regulation disapproved. Assistant Secretary. NMS, the Commission highlighted the IV. Solicitation of Comments [FR Doc. 2019–27733 Filed 12–23–19; 8:45 am] importance of market forces in BILLING CODE 8011–01–P determining prices and SRO revenues Interested persons are invited to and, also, recognized that current submit written data, views, and regulation of the market system ‘‘has arguments concerning the foregoing, SECURITIES AND EXCHANGE been remarkably successful in including whether the proposed rule COMMISSION promoting market competition in its change is consistent with the Act. broader forms that are most important to Comments may be submitted by any of [Securities Act of 1933 Release No. 33– investors and listed companies.’’ 14 The the following methods: 10735 / December 18, 2019; Securities Exchange Act of 1934 Release No. 34– fact that this market is competitive has Electronic Comments 87785 / December 18, 2019] also long been recognized by the courts. • Use the Commission’s internet In NetCoalition v. Securities and Order Approving Public Company comment form (http://www.sec.gov/ Exchange Commission, the D.C. Circuit Accounting Oversight Board Budget stated as follows: ‘‘[n]o one disputes rules/sro.shtml); or • Send an email to rule-comments@ and Annual Accounting Support Fee that competition for order flow is for Calendar Year 2020 ‘fierce.’ . . . As the SEC explained, ‘[i]n sec.gov. Please include File Number SR– the U.S. national market system, buyers CBOE–2019–124 on the subject line. The Sarbanes-Oxley Act of 2002, as and sellers of securities, and the broker- Paper Comments amended (the ‘‘Sarbanes-Oxley Act’’),1 dealers that act as their order-routing • established the Public Company Send paper comments in triplicate Accounting Oversight Board (‘‘PCAOB’’) agents, have a wide range of choices of to Secretary, Securities and Exchange where to route orders for execution’; to oversee the audits of companies that Commission, 100 F Street NE, are subject to the securities laws, and [and] ‘no exchange can afford to take its Washington, DC 20549–1090. market share percentages for granted’ related matters, in order to protect the All submissions should refer to File because ‘no exchange possesses a interests of investors and further the Number SR–CBOE–2019–124. This file monopoly, regulatory or otherwise, in public interest in the preparation of number should be included on the the execution of order flow from broker informative, accurate, and independent 15 subject line if email is used. To help the audit reports. Section 982 of the Dodd- dealers’. . . .’’. Accordingly, the Commission process and review your Exchange does not believe its proposed Frank Wall Street Reform and Consumer comments more efficiently, please use Protection Act (the ‘‘Dodd-Frank Act’’) 2 fee changes imposes any burden on only one method. The Commission will competition that are not necessary or amended the Sarbanes-Oxley Act to post all comments on the Commission’s provide the PCAOB with explicit appropriate in furtherance of the internet website (http://www.sec.gov/ purposes of the Act. authority to oversee auditors of broker- rules/sro.shtml). Copies of the dealers registered with the Securities C. Self-Regulatory Organization’s submission, all subsequent and Exchange Commission (the Statement on Comments on the amendments, all written statements ‘‘Commission’’). The PCAOB is to Proposed Rule Change Received From with respect to the proposed rule accomplish these goals through Members, Participants, or Others change that are filed with the registration of public accounting firms The Exchange neither solicited nor Commission, and all written and standard setting, inspection, and received comments on the proposed communications relating to the disciplinary programs. The PCAOB is rule change. proposed rule change between the subject to the comprehensive oversight Commission and any person, other than of the Commission. III. Date of Effectiveness of the those that may be withheld from the Section 109 of the Sarbanes-Oxley Act Proposed Rule Change and Timing for public in accordance with the provides that the PCAOB shall establish Commission Action provisions of 5 U.S.C. 552, will be a reasonable annual accounting support The foregoing rule change has become available for website viewing and fee, as may be necessary or appropriate effective pursuant to Section 19(b)(3)(A) printing in the Commission’s Public to establish and maintain the PCAOB. of the Act 16 and paragraph (f) of Rule Reference Room, 100 F Street NE, Under Section 109(f) of the Sarbanes- 19b–4 17 thereunder. At any time within Washington, DC 20549 on official Oxley Act, the aggregate annual 60 days of the filing of the proposed rule business days between the hours of accounting support fee shall not exceed change, the Commission summarily may 10:00 a.m. and 3:00 p.m. Copies of the the PCAOB’s aggregate ‘‘recoverable temporarily suspend such rule change if filing also will be available for budget expenses,’’ which may include it appears to the Commission that such inspection and copying at the principal operating, capital, and accrued items. office of the Exchange. All comments The PCAOB’s annual budget and 14 See Securities Exchange Act Release No. 51808 received will be posted without change. accounting support fee are subject to (June 9, 2005), 70 FR 37496, 37499 (June 29, 2005). Persons submitting comments are approval by the Commission. In 15 NetCoalition v. SEC, 615 F.3d 525, 539 (D.C. cautioned that we do not redact or edit Cir. 2010) (quoting Securities Exchange Act Release addition, the PCAOB must allocate the No. 59039 (December 2, 2008), 73 FR 74770, 74782– personal identifying information from 83 (December 9, 2008) (SR–NYSEArca–2006–21)). comment submissions. You should 18 17 CFR 200.30–3(a)(12). 16 15 U.S.C. 78s(b)(3)(A). submit only information that you wish 1 15 U.S.C. 7201 et seq. 17 17 CFR 240.19b–4(f). to make available publicly. All 2 Public Law 111–203, 124 Stat. 1376 (2010).
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annual accounting support fee among proposed 2020 annual accounting SECURITIES AND EXCHANGE issuers and among brokers and dealers. support fee does not exceed the COMMISSION Section 109(b) of the Sarbanes-Oxley PCAOB’s aggregate recoverable budget Act directs the PCAOB to establish a expenses for 2020. [Release No. 34–87797; File No. SR– budget for each fiscal year in accordance The Commission directs the PCAOB NYSENAT–2019–31] with the PCAOB’s internal procedures, during 2020 to schedule monthly subject to approval by the Commission. meetings, as needed, with the Self-Regulatory Organizations; NYSE Rule 190 of Regulation P governs the Commission’s staff about the National, Inc.; Notice of Filing and Commission’s review and approval of transformation initiatives that are Immediate Effectiveness of Proposed PCAOB budgets and annual accounting expected to have a significant impact on Rule Change To Establish Fees for the support fees.3 This budget rule the 2021 PCAOB budget, including NYSE National Integrated Feed provides, among other things, a significant differences between actual timetable for the preparation and December 18, 2019. and budgeted amounts, and anticipated submission of the PCAOB budget and Pursuant to Section 19(b)(1) of the cost savings. Separately, the for Commission actions related to each Securities Exchange Act of 1934 Commission directs the PCAOB to budget, a description of the information (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 continue its written quarterly updates that should be included in each budget notice is hereby given that, on December on recent activities, including submission, limits on the PCAOB’s 4, 2019, NYSE National, Inc. (‘‘NYSE transformation initiatives, for the ability to incur expenses and obligations National’’ or ‘‘Exchange’’) filed with the PCAOB’s Office of Economic and Risk except as provided in the approved Securities and Exchange Commission Analysis, Office of Information budget, procedures relating to (‘‘Commission’’) the proposed rule Technology, and Division of supplemental budget requests, change as described in Items I, II, and Registration and Inspections. The requirements for the PCAOB to furnish III below, which Items have been PCAOB Board will make itself available on a quarterly basis certain budget- prepared by the Exchange. The to meet with the Commissioners on related information, and a list of Commission is publishing this notice to these and other topics. The PCAOB definitions that apply to the rule and to solicit comments on the proposed rule should also submit its 2019 annual general discussions of PCAOB budget change from interested persons. matters. report to the Commission by March 30, In accordance with the budget rule, in 2020. I. Self-Regulatory Organization’s March 2019 the PCAOB provided the The Commission understands that the Statement of the Terms of Substance of Commission with a narrative Office of Management and Budget the Proposed Rule Change description of its program issues and (‘‘OMB’’) has determined that the 2020 The Exchange proposes to establish outlook for the 2020 budget year. In budget of the PCAOB is subject to fees for the NYSE National Integrated response, the Commission provided the sequestration under the Budget Control Feed. The proposed rule change is PCAOB with economic assumptions and Act of 2011.4 For 2019, the PCAOB available on the Exchange’s website at general budgetary guidance for the 2020 sequestered $17.0 million. That amount www.nyse.com, at the principal office of budget year. The PCAOB subsequently will become available in 2020. For 2020, the Exchange, and at the Commission’s delivered a preliminary budget and the sequestration amount will be 5.9% Public Reference Room. budget justification to the Commission. or $16.8 million. Consequently, we Staff from the Commission’s Office of expect the PCAOB will have II. Self-Regulatory Organization’s the Chief Accountant and Office of approximately $0.2 million in excess Statement of the Purpose of, and Financial Management dedicated a funds available from the 2019 Statutory Basis for, the Proposed Rule substantial amount of time to the review sequestration for spending in 2020. Change and analysis of the PCAOB’s programs, Accordingly, the PCAOB has reduced its In its filing with the Commission, the projects, and budget estimates and accounting support fee for 2020 by self-regulatory organization included attended several meetings with staff of approximately $0.2 million. statements concerning the purpose of, the PCAOB to further develop the The Commission has determined that and basis for, the proposed rule change understanding of the PCAOB’s budget the PCAOB’s 2020 budget and annual and discussed any comments it received and operations. During the course of accounting support fee are consistent on the proposed rule change. The text this review, Commission staff relied with Section 109 of the Sarbanes-Oxley of those statements may be examined at upon representations and supporting Act. Accordingly, the places specified in Item IV below. documentation from the PCAOB. Based The Exchange has prepared summaries, It is ordered, pursuant to Section 109 on this review, the Commission issued set forth in sections A, B, and C below, of the Sarbanes-Oxley Act, that the a ‘‘passback’’ letter to the PCAOB on of the most significant parts of such PCAOB budget and annual accounting October 31, 2019. On November 19, statements. 2019, the PCAOB adopted its 2020 support fee for calendar year 2020 are budget and accounting support fee approved. A. Self-Regulatory Organization’s during an open meeting, and By the Commission. Statement of the Purpose of, and subsequently submitted that budget to Statutory Basis for, the Proposed Rule Vanessa A. Countryman, the Commission for approval. Change After considering the above, the Secretary. 1. Purpose Commission did not identify any [FR Doc. 2019–27697 Filed 12–23–19; 8:45 am] proposed disbursements in the 2020 BILLING CODE 8011–01–P The Exchange proposes to adopt the budget adopted by the PCAOB that are NYSE National Proprietary Market Data not properly recoverable through the 4 See ‘‘OMB Report to the Congress on the Joint Fee Schedule (‘‘Fee Schedule’’) and annual accounting support fee, and the Committee Reductions for Fiscal Year 2020,’’ March establish the fees for the NYSE National 18, 2019, Appendix, pg. 16 of 17 available at Commission believes that the aggregate https://www.whitehouse.gov/wp-content/uploads/ 2019/03/2020_JC_Sequestration_Report_3-18- 1 15 U.S.C. 78s(b)(1). 3 17 CFR 202.190. 19.pdf. 2 17 CFR 240.19b–4.
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Integrated Feed.3 In summary, the NYSE internalizers and wholesalers, all exchanges would reduce administrative National Integrated Feed is a NYSE competing for order flow. Based on burdens on NYSE National market data National-only market data feed that publicly-available information, no subscribers that also currently subscribe provides vendors and subscribers on a single exchange has more than 18% to market data feeds from NYSE, NYSE real-time basis with a unified view of market share (whether including or Arca, or NYSE American. events, in sequence, as they appear on excluding auction volume).9 1. Access Fee. For the receipt of the NYSE National matching engine. The recent growth of NYSE National’s access to the NYSE National Integrated The NYSE National Integrated Feed market share demonstrates this Feed, the Exchange proposes to charge includes depth-of-book order data, last competitive marketplace. Between $2,500 per month. This proposed sale data, security status updates (e.g., February 2017 and mid-May 2018, Access Fee would be charged to any trade corrections and trading halts), and NYSE National was non-operational, data recipient that receives a data feed stock summary messages. Because the and therefore had 0% of market share. of the NYSE National Integrated Feed. NYSE National Integrated Feed has a On May 21, 2018, NYSE National re- Data recipients that only use display unified view of events, in sequence, it launched on its current platform as an devices to view NYSE National also includes information about the affiliated exchange of New York Stock Integrated Feed market data and do not Exchange’s best bid or offer at any given Exchange, LLC (‘‘NYSE’’), NYSE Arca, separately receive a data feed would not time. Inc. (‘‘NYSE Arca, Inc.’’), and NYSE be charged an Access Fee. The proposed The Exchange currently does not American LLC (‘‘NYSE American’’). Access Fee is charged only once per charge any fees for the NYSE National Within four months, NYSE National firm. Integrated Feed market data product.4 began regularly executing 1% of 2. Redistribution Fee. For consolidated trading volume. By August redistribution of the NYSE National Background 2019, NYSE National began executing Integrated Feed, the Exchange proposes The Commission has repeatedly approximately 1.5% of consolidated to establish a fee of $1,500 per month. expressed its preference for competition trading volume on a more regular basis. The proposed Redistribution Fee would over regulatory intervention in By October 2019, the Exchange had be charged to any Redistributors of the determining prices, products, and 1.9% market share of executed volume NYSE National Integrated Feed, which services in the securities markets. In of equity trades.10 is defined to mean a vendor or any Regulation NMS, the Commission As NYSE National’s transaction person that provides a real-time NYSE highlighted the importance of market market share has increased, so has the National market data product externally forces in determining prices and SRO value of its market data. For example, in to a data recipient that is not its affiliate revenues, and also recognized that May 2018, when NYSE National re- or wholly-owned subsidiary, or to any current regulation of the market system launched trading operations, the system that an external data recipient ‘‘has been remarkably successful in Exchange had 12 customers for its NYSE uses, irrespective of the means of promoting market competition in its National Integrated Feed. As NYSE transmission or access. The proposed broader forms that are most important to National’s market share has increased, Redistribution Fee is charged only once investors and listed companies.’’ 5 the number of subscribers of the NYSE per Redistributor account. As the Commission itself recognized, National Integrated Feed has steadily 3. User Fees. The Exchange proposes the market for trading services in NMS increased and as of October 2019, the to charge a Professional User Fee (Per stocks has become ‘‘more fragmented Exchange has 56 customers that User) of $10 per month and a Non- and competitive.’’ 6 Equity trading is subscribe to the NYSE National Professional User Fee (Per User) of $1 currently dispersed across 13 Integrated Feed. In October 2019, per month. These user fees would apply exchanges,7 31 alternative trading customers of the NYSE National to each display device that has access to systems,8 and numerous broker-dealer Integrated Feed account for over 99% of the NYSE National Integrated Feed. the executed trade volume on the 4. Non-Display Use Fees. The 3 The proposed rule change establishing the Exchange. Exchange proposes to establish non- NYSE National Integrated Feed was immediately display fees for the NYSE National effective on May 31, 2018. See Securities Exchange Proposed NYSE National Integrated Integrated Feed that are based on the Act Release No. 83350 (May 31, 2018), 83 FR 26332 Feed Fees (June 6, 2018) (SR–NYSENAT–2018–09) (‘‘NYSE non-display use categories charged by National Integrated Feed Product Filing’’). The To reflect the value of NYSE NYSE, NYSE Arca, NYSE American, the NYSE National Integrated Feed Product Filing also National’s market data, as correlated to Consolidated Tape Association, and the established the NYSE National BBO and NYSE the Exchange’s increased transaction UTP Plan for non-display use.11 Non- National Trades market data feeds. volume market share, the Exchange 4 The Exchange also currently does not charge 11 See Endnote 1 to the NYSE Proprietary Market any fees for the NYSE National BBO and NYSE proposes to establish the fees listed Data Fees, available here: https://www.nyse.com/ National Trades market data products and proposes below for the NYSE National Integrated publicdocs/nyse/data/NYSE_Market_Data_Fee_ to adopt rule text on the Fee Schedule to reflect that Feed, operative on February 3, 2020. Schedule.pdf; Endnote 1 to the NYSE Arca Equites there are no fees charged for NYSE National BBO The Exchange proposes to charge fees Proprietary Market Data Fees, available here: and NYSE National Trades market data products. for the same categories of market data https://www.nyse.com/publicdocs/nyse/data/ 5 See Securities Exchange Act Release No. 51808 use as its affiliated exchanges (namely, NYSE_Arca_Equities_Fee_Schedule.pdf; Endnote 1 (June 9, 2005), 70 FR 37495, 37499 (June 29, 2005) to the NYSE American LLC Equities Proprietary (S7–10–04) (Final Rule) (‘‘Regulation NMS NYSE, NYSE Arca, and NYSE Market Data Fees, available here: https:// Adopting Release’’). American) currently charge. The www.nyse.com/publicdocs/nyse/data/NYSE_ 6 See Securities Exchange Act Release No. 51808, Exchange believes that adopting the American_Equities_Market_Data_Fee_ 84 FR 5202, 5253 (February 20, 2019) (File No. S7– same fee structure as its affiliated Schedule.pdf; Endnote 8 to the Schedule of Market 05–18) (Transaction Fee Pilot for NMS Stocks Final Data Charges for the Consolidated Tape Rule) (‘‘Transaction Fee Pilot’’). Association, available here: https:// 7 See Cboe Global Markets, U.S. Equities Market AtsIssueData. A list of alternative trading systems www.ctaplan.com/publicdocs/ctaplan/ Volume Summary, available at http:// registered with the Commission is available at notifications/trader-update/Schedule%20Of% markets.cboe.com/us/equities/market_share/. See https://www.sec.gov/foia/docs/atslist.htm. 20Market%20Data%20Charges%20-% generally https://www.sec.gov/fast-answers/ 9 See Cboe Global Markets, U.S. Equities Market 20January%201,%202015.pdf; and Non-Display divisionsmarketregmrexchangesshtml.html. Volume Summary, available at http:// Usage Fees as set forth in the UTP Plan Fee 8 See FINRA ATS Transparency Data, available at markets.cboe.com/us/equities/market_share/. Schedule and Non-Display Policy, available here: https://otctransparency.finra.org/otctransparency/ 10 See id. http://utpplan.com/DOC/Datapolicies.pdf. See, e.g.,
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display use would mean accessing, The Exchange proposes to adopt the fail to complete and submit the annual processing, or consuming the NYSE description of the three non-display use Non-Display Use Declaration by the National Integrated Feed, delivered categories in the Fee Schedule in December 31 due date, and would apply directly or through a Redistributor, for proposed endnote 1 on the Fee beginning January 1 of each year and for a purpose other than in support of a Schedule.12 each month thereafter until the data data recipient’s display or further Data recipients that receive the NYSE recipient has completed and submitted internal or external redistribution National Integrated Feed for Non- the annual Non-Display Use (‘‘Non-Display Use’’). Non-Display Use Display Use would be required to Declaration. would include trading uses such as high complete and submit a Non-Display Use In addition, if a data recipient’s use of frequency or algorithmic trading as well Declaration before they would be the NYSE National Integrated Feed data as any trading in any asset class, authorized to receive the feed. A firm changes at any time after the data automated order or quote generation subject to Category 3 Fees would be recipient submits a Non-Display Use and/or order pegging, price referencing required to identify each platform that Declaration, the data recipient must for algorithmic trading or smart order uses the NYSE National Integrated Feed inform the Exchange of the change by routing, operations control programs, for a Category 3 Non-Display Use basis, completing and submitting at the time investment analysis, order verification, such as ATSs and broker crossing of the change an updated declaration surveillance programs, risk systems not registered as ATSs, as part reflecting the change of use. management, compliance, and portfolio of the Non-Display Use Declaration. 6. Multiple Data Feed Fee. The management. 5. Non-Display Use Declaration Late Exchange proposes to establish a The Exchange proposes three Fee. Data recipients that receive the monthly fee, the ‘‘Multiple Data Feed categories of Non-Display Use of the NYSE National Integrated Feed for Non- Fee,’’ that would apply to data NYSE National Integrated Feed and Display Use would be required to recipients that take a data feed for a related fees applicable to each category. complete and submit a Non-Display Use market data product in more than two One, two, or three categories of Non- Declaration before they would be locations. Data recipients taking the Display Use may apply to a data authorized to receive the feed. NYSE NYSE National Integrated Feed in more recipient. National Integrated Feed data recipients than two locations would be charged • As proposed, the Category 1 Fee would be required to submit, by $200 per additional location per month. 14 would be $5,000 per month and would December 31 of each year, the Non- No new reporting would be required. apply when a data recipient’s Non- Display Use Declaration. The 7. Fee Waiver for Federal Agencies. Display Use of the NYSE National requirement to submit a Non-Display The Exchange proposes to adopt rule Integrated Feed is on its own behalf, not Use Declaration would apply to all real- text in the Fee Schedule with respect to on behalf of its clients. time NYSE National data feed product Federal agencies that subscribe to the • As proposed, Category 2 Fees recipients. The Exchange proposes to NYSE National Integrated Feed. The would be $5,000 per month and would charge a Non-Display Use Declaration proposed rule would provide that apply to a data recipient’s Non-Display Late Fee of $1,000 per month to any market data fees would not apply to any Use of the NYSE National Integrated data recipient that pays an Access Fee Federal agency for their use of NYSE Feed on behalf of its clients. for the NYSE National Integrated Feed National real-time proprietary market • As proposed, Category 3 Fees that has failed to timely complete and data products. The term ‘‘Federal would be $5,000 per month and would submit a Non-Display Use Declaration. agency’’ as used in the Fee Schedule apply to a data recipient’s Non-Display Specifically, with respect to the Non- would include all Federal agencies subject to the Federal Acquisition Use of the NYSE National Integrated Display Use Declaration due by Regulation (FAR),15 as well as any Feed for the purpose of internally December 31 of each year, the Non- Federal agency not subject to FAR that matching buy and sell orders within an Display Use Declaration Late Fee would has promulgated its own procurement organization, including matching apply to data recipients that fail to rules.16 More specifically, the Exchange customer orders for a data recipient’s complete and submit the Non-Display proposes to specify that access fees, own behalf and/or on behalf of its Use Declaration by the December 31 due professional user fees and non-display clients. This category would apply to date, and would apply beginning January 1 and for each month thereafter Non-Display Use in trading platforms, until the data recipient has completed 14 Data vendors currently report a unique Vendor such as, but not restricted to, alternative and submitted the annual Non-Display Account Number for each location at which they trading systems (‘‘ATSs’’), broker provide a data feed to a data recipient. The Use Declaration. The proposed Non- crossing networks, broker crossing Exchange considers each Vendor Account Number Display Use Declaration Late Fee would a location. For example, if a data recipient has five systems not filed as ATSs, dark pools, be set forth in endnote 2 on the Fee Vendor Account Numbers, representing five multilateral trading facilities, exchanges Schedule. Proposed endnote 2 would locations, for the receipt of the NYSE National and systematic internalization systems. Integrated Feed product, that data recipient will pay provide that a data recipient that pays A data recipient will be charged $5,000 the Multiple Data Feed fee with respect to three of an Access Fee and that fails to timely the five locations. per month for each platform on which complete and submit a Non-Display Use 15 FAR is the principal set of rules governing the it uses the Non-Display data internally Declaration must pay the Non-Display process by which the U.S. federal government to match buy and sell orders, up to a cap purchases goods and services. Use Declaration Late Fee.13 Proposed of $15,000 per month; even if the data 16 See 48 CFR 2.101. FAR defines ‘‘Federal endnote 2 to the Fee Schedule would recipient uses the NYSE National agency’’ as ‘‘any executive agency or any also provide that the annual Non- independent establishment in the legislative or Integrated Feed for more than three Display Use Declaration would be due judicial branch of the Government (except the platforms, it will not pay more than Senate, the House of Representatives, the Architect by December 31 of each year. Finally, $15,000 for such Category 3 use per of the Capitol, and any activities under the proposed endnote 2 would provide that month. Architect’s direction).’’ ‘‘Executive agency’’ is the Non-Display Use Declaration Late defined as ‘‘an executive department, a military Fee would apply to data recipients that department, or any independent establishment Securities Exchange Act Release Nos. 69278 (April within the meaning of 5 U.S.C. 101, 102, and 2, 2013), 78 FR 20973 (April 8, 2013) (SR–NYSE– 104(1), respectively, and any wholly owned 2013–25) and 72923 (Aug. 26, 2014), 79 FR 52079 12 See Fee Schedule, proposed endnote 1. Government corporation within the meaning of 31 (Sept. 2, 2014) (SR–NYSE–2014–43). 13 See Fee Schedule, proposed endnote 2. U.S.C. 9101.’’
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fees would not apply to Federal implementation costs related to the Based on current usage, at least 33 firms agencies for those products to which receipt of that product, and is intended would be subject to Category 1 Non- those fees apply.17 The proposed fee to encourage increased use of the Display Use fees, at least 14 firms would waiver is designed to allow the Exchange’s market data products by be subject to Category 2 Non-Display Exchange to provide Federal agencies defraying some of the development and Use fees, and at least 10 firms would be with NYSE National real-time implementation costs subscribers would subject to Category 3 Non-Display Use proprietary market data products at no ordinarily have to expend before using fees. Because the product has not been cost in support of Federal agencies’ a product. previously been subject to fees, the regulatory responsibilities. With the Application of Proposed Fees Exchange does not know the full impact adoption of the proposed fee waiver, the of the proposed fees on current data Exchange is not waiving any other The Exchange is not required to make recipients because subscribers may contractual rights, and all Federal the NYSE National Integrated Feed choose to reduce or eliminate their use agencies that subscribe to NYSE available or to offer any specific pricing of data. National real-time proprietary market alternatives to any customers, nor is any firm required to purchase the NYSE The Exchange determined the level of data products will be required to the fees to charge for the NYSE National execute the appropriate subscriber National Integrated Feed. Firms that choose to purchase the NYSE National Integrated Feed based on the value of agreement, which includes, among other the Exchange’s transaction services. As things, provisions against the Integrated Feed do so for the primary noted above, over an 18-month period, redistribution of data. goals of using it to increase their NYSE National has grown from 0% to 8. One-Month Free Trial. Finally, the revenues, reduce their expenses, and in Exchange proposes a one-month free some instances to compete directly with nearly 2% market share of consolidated trial for any firm that subscribes to a the Exchange (including for order flow). trading volume. During that same particular NYSE National market data Those firms are able to determine for period, the Exchange has had a steady product for the first time. As proposed, themselves whether or not the NYSE increase in the number of subscribers to a first-time subscriber would be any National Integrated Feed or any other the NYSE National Integrated feed. firm that has not previously subscribed similar products are attractively priced. The proposed fee structure is not to a particular NYSE National market The Exchange produces and novel as it is based on the fee structure data product listed on the Fee Schedule. disseminates the NYSE National currently in place for the NYSE As proposed, a first-time subscriber of a Integrated Feed as part of its market data American Integrated Feed.18 Both NYSE particular NYSE National market data offerings to support its transaction American and NYSE National trade all product would not be charged the execution services. Since May 2018, NMS Stocks. As noted above, in October Access Fee, Non-Display Fee, any when NYSE National relaunched 2019, NYSE National had 1.9% market applicable Professional and Non- trading, the Exchange has observed a share; for that same month, NYSE Professional User Fee, and direct correlation between the steady American had 0.29% market share.19 Redistribution Fee for that product for increase of subscribers to the NYSE Even though NYSE National’s market one calendar month. For example, a National Integrated Feed and the share is several times higher than NYSE firm that currently subscribes to NYSE increase in the Exchange’s transaction American’s, the Exchange is proposing National BBO for free would be eligible market share volume over the same fees for the NYSE National Integrated to receive a free one-month trial of the period. Feed that are based on the existing fee NYSE National Integrated Feed, whether Based on the reported usage of the structure and rates that data recipients in a display-only format or for non- NYSE National Integrated Feed, the already pay for the NYSE American Exchange believes that its data display use. On the other hand, if a firm Integrated Feed. Specifically, the fees subscribers use the order-by-order detail pays an Access Fee and receives the for the NYSE American Integrated information available in this market NYSE National Integrated Feed for non- Feed—which like the NYSE National data product to make trading decisions display use, it would not be eligible to Integrated Feed, includes top of book, that directly benefit the transaction receive a free one-month trial of the depth of book, trades, and security services that the Exchange offers. NYSE National Integrated Feed in a status messages—consist of an Access Specifically, subscribers of the NYSE display-only format (or vice-versa). The Fee of $2,500 per month, a Professional National Integrated Feed represent firms proposed free trial would be for the first User Fee (Per User) of $10 per month, that provide over 99% of the Exchange’s full calendar month following the date a Non-Professional User Fee (Per User) executed transaction volume. More than a subscriber is approved to receive trial of $2 per month, Non-Display Fees of half of the feed’s subscribers overall access to the particular NYSE National $5,000 per month for each of Categories (i.e., 33 of 56) report ‘‘Category 1’’ non- market data product. The Exchange 1, 2 and 3, and a Redistribution Fee of display use of the NYSE National would provide the one-month free trial $1,500 per month. NYSE American also Integrated Feed, which means that they for each particular product to each charges a Non-Display Use Declaration use the data for trading on their own subscriber once. Late Fee of $1,000 per month and a The Exchange believes that providing behalf. This figure confirms that a substantial portion of the NYSE a one-month free trial to NYSE National 18 See Securities Exchange Act Release Nos. market data products listed on the Fee National Integrated Feed’s subscribers 76525 (November 25, 2015), 80 FR 75148 Schedule would enable potential have analyzed whether it is in their (December 1, 2015) (SR–NYSEMKT–2015–95) (Notice of filing and immediate effectiveness of subscribers to determine whether a business interest to use the feed for their own trading, and have concluded that it proposed rule change to establish fees for NYSE particular NYSE National market data MKT Integrated Feed), and 76975 (January 26, product provides value to their business is. 2016), 81 FR 5139 (February 1, 2016) (SR– The 56 current subscribers to the models before fully committing to NYSEMKT–2016–11) (Notice of filing and NYSE National Integrated Feed would immediate effectiveness of proposed rule change expend development and be impacted by this proposed rule amending the fees for NYSE MKT Integrated Feed to add a Multiple Data Feed Fee). 17 Currently, pursuant to this proposed rule change. The scope of the fee impact for 19 See Cboe Global Markets, U.S. Equities Market change, the NYSE National Integrated Feed is the each data recipient would depend on Volume Summary, available at http:// only product to which fees would apply. that data recipient’s use of the data. markets.cboe.com/us/equities/market_share/.
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Multiple Data Feed Fee of $200 per flexibility to offer new and unique products were put by market month.20 market data to the public. The participants, and reported his The Exchange anticipates that there Commission has repeatedly expressed conclusions in a paper annexed may be current data recipients of the its preference for competition over hereto.26 Among other things, Professor NYSE National Integrated Feed that regulatory intervention in determining Jones concluded that: have subscribed only because it is free prices, products, and services in the • ‘‘The market [for exchange market and may choose to discontinue using securities markets. Specifically, in data] is characterized by robust the product once the fees are Regulation NMS, the Commission competition: exchanges compete with implemented. A data recipient that highlighted the importance of market each other in selling proprietary market chooses to discontinue the NYSE forces in determining prices and SRO data products. They also compete with National Integrated Feed may also revenues, and also recognized that consolidated data feeds and with data choose to shift order flow away from the current regulation of the market system provided by alternative trading systems Exchange. In today’s competitive ‘‘has been remarkably successful in (‘ATSs’). Barriers to entry are very low, environment, if data recipients were to promoting market competition in its so existing exchanges must also take both discontinue the product and shift broader forms that are most important to into account competition from new order flow away from the Exchange, the investors and listed companies.’’ 23 entrants, who generally try to build Exchange would reevaluate the fees and With respect to market data, the market share [as NYSE National has potentially file a separate proposed rule decision of the United States Court of done with its Integrated Feed] by change to amend its fees. However, in Appeals for the District of Columbia offering their proprietary market data advance of implementing the proposed Circuit in NetCoalition v. SEC upheld products for free for some period of fees, the Exchange cannot estimate with the Commission’s reliance on the time.’’ 27 precision the impact of the proposed existence of competitive market • ‘‘Although there are regulatory fees on the Exchange’s transaction mechanisms to evaluate the requirements for some market services business or the number of reasonableness and fairness of fees for participants to use consolidated data NYSE National Integrated Feed proprietary market data: products, there is no requirement for subscribers. In fact, the legislative history indicates that market participants to purchase any Although the Exchange is proposing the Congress intended that the market system proprietary market data product for to make this proposed rule change ‘‘evolve through the interplay of competitive regulatory purposes.’’ 28 operative on February 3, 2020, it is forces as unnecessary regulatory restrictions • ‘‘There are a variety of data making this filing now because the are removed’’ and that the SEC wield its products, and consumers of equity Exchange believes it is appropriate to regulatory power ‘‘in those situations where market data choose among them based provide market participants with early competition may not be sufficient,’’ such as on their needs. Like most producers, notice of these proposed changes, so in the creation of a ‘‘consolidated exchanges offer a variety of market data transactional reporting system.’’ 24 that they can begin determining whether products at different price levels. the value of the NYSE National The court agreed with the Advanced proprietary market data Integrated Feed to their businesses is Commission’s conclusion that products provide greater value to those such that they will choose to continue ‘‘Congress intended that ‘competitive who subscribe. As in any other market, using the product once it is no longer forces should dictate the services and each potential subscriber takes the provided for free. The Exchange practices that constitute the U.S. features and prices of available products believes that market participants should national market system for trading into account in choosing what market be able to begin such determinations equity securities.’ ’’ 25 data products to buy based on its before the Exchange begins charging In this competitive marketplace, the business model.’’ 29 fees (which is also consistent with the Exchange’s executed trading volume has • ‘‘Exchange equity market data fees free trial period proposed in this filing). grown from 0% market share to nearly are a small cost for the industry overall: 2% market share in less than two years the data demonstrates that total 2. Statutory Basis and the Exchange believes that it is exchange market data revenues are The Exchange believes that the reasonable to begin charging fees for the orders of magnitude smaller than (i) proposed rule change is consistent with NYSE National Integrated Feed. broker-dealer commissions, (ii) 21 the provisions of Section 6 of the Act, 1. The Proposed Fees Are Constrained investment bank earnings from equity in general, and Sections 6(b)(4) and by Significant Competitive Forces trading, and (iii) revenues earned by 6(b)(5) of the Act,22 in particular, in that third-party vendors.’’ 30 it provides an equitable allocation of a. Exchange Market Data Is Sold in a • ‘‘For proprietary exchange data reasonable fees among users and Competitive Market feeds, the main question is whether recipients of the data and is not In 2018, Charles M. Jones, the Robert there is a competitive market for designed to permit unfair W. Lear Professor of Finance and proprietary market data. More than 40 discrimination among customers, Economics of the Columbia University active exchanges and alternative trading issuers, and brokers. School of Business, conducted an systems compete vigorously in both the analysis of the market for equity market market for order flow and in the market The Proposed Rule Change Is data in the United States. He canvassed for market data. The two are closely Reasonable the demand for both consolidated and linked: an exchange needs to consider In adopting Regulation NMS, the exchange proprietary market data the negative impact on its order flow if Commission granted SROs and broker- products and the uses to which those it raises the price of its market data. dealers increased authority and 23 See Regulation NMS Adopting Release, 70 FR 26 See Exhibit 3A, Charles M. Jones, 20 See NYSE American LLC Equities Proprietary 37495, at 37499. Understanding the Market for U.S. Equity Market Market Data Fees at https://www.nyse.com/ 24 NetCoalition v. SEC, 615 F.3d 525, 535 (D.C. Data, August 31, 2018 (hereinafter ‘‘Jones Paper’’). publicdocs/nyse/data/NYSE_American_Equities_ Cir. 2010) (‘‘NetCoalition I’’) (quoting H.R. Rep. No. 27 Id. at 2. Market_Data_Fee_Schedule.pdf. 94–229 at 92 (1975), as reprinted in 1975 28 Id. 21 15 U.S.C. 78f(b). U.S.C.C.A.N. 323). 29 Id. 22 15 U.S.C. 78f(b)(4), (5). 25 Id. at 535. 30 Id.
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Furthermore, new entrants have been these specific customer activities and externality that is a key characteristic of frequent over the past 10 years or so, purchases. For example, pursuant to a platform market.38 and these venues often give market data Exchange Rule 7.41, transactions From this empirical evidence, away for free, [again, as NYSE National executed on the Exchange are processed Professor Rysman concludes: has done with its Integrated Feed] anonymously. • ‘‘[D]ata is more valuable when it serving as a check on pricing by more The Exchange and its affiliated reflects more trading activity and more established exchanges. These are all the exchanges have retained a third-party liquidity-providing orders. These standard hallmarks of a competitive expert, Marc Rysman, Professor of linkages alone are enough to make market.’’ 31 Economics at Boston University, to platform economics necessary for Professor Jones’ conclusions are analyze how platform economics understanding the pricing of market consistent with the demonstration of the data.’’ 39 applies to stock exchanges’ sale of • competitive constraints on the pricing of market data products and trading ‘‘[L]inkages running in the opposite market data demonstrated by analysis of services, and to explain how this affects direction, from data to trading, are also exchanges as platforms for market data the assessment of competitive forces very likely to exist. This is because and trading services, as shown below. affecting the exchanges’ data fees.34 market data from an exchange reduces uncertainty about the likelihood, price, b. Exchanges That Offer Market Data Professor Rysman was able to analyze exchange data that is not otherwise or timing of execution for an order on and Trading Services Function as Two- that exchange. This reduction in Sided Platforms publicly available in a manner that is consistent with the exchanges’ uncertainty makes trading on that An exchange may demonstrate that its confidentiality obligations to its exchange more attractive for traders that fees are constrained by competitive customers. As shown in his paper, subscribe to that exchange’s market forces by showing that the platform Professor Rysman surveyed the existing data. Increased trading by data theory of competition applies. economic literature analyzing stock subscribers, in turn, makes trading on As the United States Supreme Court the exchange in question more attractive recognized in Ohio v. American exchanges as platforms between market data and trading activities, and for traders that do not subscribe to the Express, platforms are firms that act as 40 explained the types of linkages between exchange’s market data.’’ intermediaries between two or more sets • The ‘‘mechanisms by which market market data access and trading activities of agents, and typically the choices data makes trading on an exchange more that must be present for an exchange to made on one side of the platform affect attractive for subscribers to market data function as a platform. In addition, the results on the other side of the . . . apply to a wide assortment of Professor Rysman undertook an platform via externalities, or ‘‘indirect market data products, including BBO, empirical analysis of customers’ trading network effects.’’ 32 Externalities are order book, and full order-by-order activities within the NYSE group of linkages between the different sides of depth of book data products at all exchanges in reaction to NYSE’s a platform such that one cannot exchanges.’’ 41 understand pricing and competition for introduction in 2015 of the NYSE • ‘‘[E]mpirical evidence confirms that goods or services on one side of the Integrated Feed, a full order-by-order stock exchanges are platforms for data platform in isolation; one must also depth of book data product similar to and trading.’’ 42 the NYSE National Integrated Feed that • ‘‘The platform nature of stock account for the influence of the other 35 sides. As the Supreme Court explained: is the subject of this fee filing. exchanges means that data fees cannot Professor Rysman’s analysis of this To ensure sufficient participation, two- be analyzed in isolation, without sided platforms must be sensitive to the confidential firm-level data shows that accounting for the competitive prices that they charge each side.... firms that purchased the NYSE dynamics in trading services.’’ 43 Raising the price on side A risks losing Integrated Feed market data product • ‘‘Competition is properly participation on that side, which decreases after its introduction were more likely to understood as being between platforms the value of the platform to side B. If the route orders to NYSE as opposed to one (i.e., stock exchanges) that balance the participants on side B leave due to this loss of the other NYSE-affiliated exchanges, needs of consumers of data and in value, then the platform has even less such as NYSE Arca or NYSE traders.’’ 44 value to side A—risking a feedback loop of American.36 Moreover, Professor • ‘‘Data fees, data use, trading fees, declining demand. . . . Two-sided platforms Rysman shows that the same is true for and order flow are all interrelated.’’ 45 therefore must take these indirect network • effects into account before making a change firms that did not subscribe to the NYSE ‘‘Competition for order flow can in price on either side.33 Integrated Feed: The introduction of the discipline the pricing of market data, NYSE Integrated Feed led to more and vice-versa.’’ 46 The Exchange and its affiliated • exchanges have long maintained that trading on NYSE (as opposed to other ‘‘As with platforms generally, they function as platforms between NYSE-affiliated exchanges) by firms that overall competition between exchanges consumers of market data and did not subscribe to the NYSE will limit their overall profitability, not Integrated Feed.37 This is the sort of margins on any particular side of the consumers of trading services. Proving 47 the existence of linkages between the platform.’’ The Exchange has observed a similar two sides of this platform requires an in- 34 See Exhibit 3B, Marc Rysman, Stock Exchanges correlation in connection with its depth economic analysis of both public as Platforms for Data and Trading, December 2, 2019 (hereinafter ‘‘Rysman Paper’’), ¶ 6. data and confidential exchange data 35 See Securities Exchange Act Release Nos. 38 Id. ¶ 91. about particular customers’ trading 74128 (January 23, 2015), 80 FR 4951 (January 29, 39 Id. ¶ 95. activities and market data purchases. 2015) (SR–NYSE–2015–03) (Notice of filing and 40 Id. ¶ 96. immediate effectiveness of proposed rule change to Exchanges, however, are prohibited 41 Id. establish NYSE Integrated Feed) and 76485 42 from publicly sharing details about (November 20, 2015), 80 FR 74158 (November 27, Id. ¶ 97. 2015) (SR–NYSE–2015–57) (Notice of filing and 43 Id. ¶ 98. 31 Id. at 39–40. immediate effectiveness of proposed rule change to 44 Id. 32 Ohio v. American Express, 138 S. Ct. 2274, establish fees for the NYSE Integrated Feed). 45 Id. 2280–81 (2018). 36 Rysman Paper ¶¶ 80–90. 46 Id. 33 Id. at 2281. 37 Id. ¶¶ 91–93. 47 Id. ¶ 100.
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offering of the NYSE National Integrated internalizers and wholesalers, all platforms ensures that no exchange Feed. Since May 2018, when the competing for order flow. Based on makes pricing decisions for one side of Exchange re-launched trading, the publicly-available information, no its platform without considering, and number of subscribers of the NYSE single exchange has more than 18% being constrained by, the effects that National Integrated Feed has grown market share.54 price will have on the other side of the from 12 to 56. Over this same period, Further, low barriers to entry mean platform. the Exchange has increased market that new exchanges may rapidly and In sum, the fierce competition for share from 0% to nearly 2%. The inexpensively enter the market and offer order flow thus constrains any exchange Exchange therefore believes that its additional substitute platforms to from pricing its market data at a proposed fees for the NYSE National compete with the Exchange.55 In supracompetitive price, and constrains Integrated Feed are subject to platform- addition to the 13 presently-existing the Exchange here in setting its fees for based competitive constraints on exchanges, three new ones are expected the NYSE National Integrated Feed. pricing. to enter the market in 2020: Long Term The proposed fees are therefore Stock Exchange (LTSE), which has been reasonable because in setting them, the c. Exchange Market Data Fees Are approved as an equities exchange but is Exchange is constrained by the Constrained by the Availability of not yet operational; 56 Members availability of numerous substitute Substitute Platforms Exchange (MEMX), which has recently platforms offering market data products Professor Rysman’s conclusions that filed its application to be approved as a and trading. Such substitutes need not exchanges function as platforms for registered equities exchange; 57 and be identical, but only substantially market data and transaction services Miami International Holdings (MIAX), similar to the product at hand. mean that exchanges do not set fees for which has announced its plan to More specifically, in setting fees for market data products without introduce equities trading on an existing the NYSE National Integrated Feed, the considering, and being constrained by, registered options exchange.58 Exchange is constrained by the fact that, the effect the fees will have on the Given Professor Rysman’s conclusion if its pricing across the platform is order-flow side of the platform. As the that exchanges are platforms for market unattractive to customers, customers D.C. Circuit recognized in NetCoalition data and trading, this fierce competition have their pick of an increasing number I, ‘‘[n]o one disputes that competition for order flow on the trading side of the of alternative platforms to use instead of for order flow is fierce.’’ 48 The court platform acts to constrain, or the Exchange. The Exchange believes further noted that ‘‘no exchange ‘‘discipline,’’ the pricing of market data that it has considered all relevant factors possesses a monopoly, regulatory or on the other side of the platform.59 And and has not considered irrelevant otherwise, in the execution of order due to the ready availability of factors in order to establish reasonable flow from broker dealers,’’ and that an substitutes and the low cost to move fees. The existence of numerous exchange ‘‘must compete vigorously for order flow to those substitute trading alternative platforms to the Exchange’s order flow to maintain its share of venues, an exchange setting market data platform ensures that the Exchange trading volume.’’ 49 fees that are not at competitive levels cannot set unreasonable market data Similarly, the Commission itself has would expect to quickly lose business to fees without suffering the negative recognized that the market for trading alternative platforms with more effects of that decision in the fiercely services in NMS stocks has become attractive pricing.60 Although the competitive market in which it operates ‘‘more fragmented and competitive.’’ 50 various exchanges may differ in their as a platform. The Commission’s Division of Trading strategies for pricing their market data and Markets has also recognized that products and their transaction fees for d. NYSE National Integrated Feed Is an with so many ‘‘operating equities trades—with some offering market data Optional Market Data Product exchanges and dozens of ATSs, there is for free along with higher trading costs, Subscribing to the NYSE National vigorous price competition among the and others charging more for market Integrated Feed is entirely optional. The U.S. equity markets and, as a result, data and comparatively less for Exchange is not required to make the [transaction] fees are tailored and trading—the fact that exchanges are NYSE National Integrated Feed frequently modified to attract particular available to any customers, nor is any types of order flow, some of which is otctransparency/AtsIssueData. A list of alternative customer required to purchase the highly fluid and price sensitive.’’ 51 trading systems registered with the Commission is NYSE National Integrated Feed. Unlike Indeed, today, equity trading is available at https://www.sec.gov/foia/docs/ some other data products (e.g., the currently dispersed across 13 atslist.htm. 54 consolidated quotation and last-sale 52 See Cboe Global Markets U.S. Equities Market exchanges, 31 alternative trading Volume Summary, available at http:// information feeds) that firms are 53 systems, and numerous broker-dealer markets.cboe.com/us/equities/market_share/. required to purchase in order to fulfil 55 See Jones Paper at 10–11. regulatory obligations,61 a customer’s 48 NetCoalition I, 615 F.3d at 544 (internal 56 See Securities Exchange Act Release No. 85828 decision whether to purchase the NYSE quotation omitted). (May 10, 2019) (File No. 10–234) (Findings, National Integrated Feed is entirely 49 Id. Opinion, and Order of the Commission in the 50 See Securities Exchange Act Release No. 51808, Matter of the Application of Long Term Stock discretionary. Most firms that choose to 84 FR 5202, 5253 (February 20, 2019) (File No. S7– Exchange, Inc. for Registration as a National subscribe to the NYSE National 05–18). Securities Exchange). 57 51 Commission Division of Trading and Markets, See Securities Exchange Act Release No. 87436 61 The Exchange notes that broker-dealers are not Memorandum to EMSAC, dated October 20, 2015, (October 31, 2019) (File No. 10–237) (Notice of required to purchase proprietary market data to available here: https://www.sec.gov/spotlight/ filing of application of MEMX LLC for registration comply with their best execution obligations. See In emsac/memo-maker-taker-fees-on-equities- as a national securities exchange under Section 6 the Matter of the Application of Securities Industry exchanges.pdf. of the Act). and Financial Markets Association for Review of 52 See Cboe Global Markets, U.S. Equities Market 58 See Press Release of Miami International Actions Taken by Self-Regulatory Organizations, Volume Summary, available at http:// Holdings Inc., dated May 17, 2019, available here: Release Nos. 34–72182; AP–3–15350; AP–3–15351 markets.cboe.com/us/equities/market_share/. See https://www.miaxoptions.com/sites/default/files/ (May 16, 2014). Similarly, there is no requirement _ _ _ _ generally https://www.sec.gov/fast-answers/ press release-files/MIAX Press Release in Regulation NMS or any other rule that divisionsmarketregmrexchangesshtml.html. 05172019.pdf. proprietary data be utilized for order routing 53 See FINRA ATS Transparency Data, available 59 Rysman Paper ¶ 98. decisions, and some broker-dealers and ATSs have at https://otctransparency.finra.org/ 60 See Jones Paper at 11. chosen not to do so.
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Integrated Feed do so for the primary National Integrated Feed at a for vendors and subscribers that goals of using it to increase their supracompetitive price. currently choose to integrate the data revenues, reduce their expenses, and in Further, in the case of products that themselves after receiving it from the some instances to compete directly with are also redistributed through market Exchange. Some vendors and the Exchange for order flow. Such firms data vendors such as Bloomberg and subscribers may not have the technology are able to determine for themselves Refinitiv, the vendors themselves or resources to integrate separate data whether the NYSE National Integrated provide additional price discipline for feeds in a timely and/or efficient Feed is necessary for their business proprietary data products because they manner, and thus the integration feature needs, and if so, whether or not it is control the primary means of access to of the product may be valuable to them. attractively priced. If the NYSE National certain end users. These vendors impose The Exchange believes the proposed Integrated Feed does not provide price discipline based upon their fees for the NYSE National Integrated sufficient value to firms based on the business models. For example, vendors Feed are also reasonable when uses those firms may have for it, such that assess a surcharge on data they sell compared to fees for comparable are able to refuse to offer proprietary products, such as the NYSE American firms may simply choose to conduct products that their end users do not or Integrated Feed.64 Even though NYSE their business operations in ways that will not purchase in sufficient numbers. National’s market share is several times do not use the NYSE National Integrated 62 Currently, only one vendor redistributes higher than NYSE American’s, the Feed. If they do not choose to use the the NYSE National Integrated Feed. Exchange is proposing fees for the NYSE NYSE National Integrated Feed, they Even in the absence of fees for the NYSE National Integrated Feed that are based could also choose not to direct order National Integrated Feed, vendors have on the existing fee structure and rates flow to the Exchange. not elected to make available the NYSE that data recipients already pay for the But even if such firms determine that National Integrated Feed and likely will NYSE American Integrated Feed. The the fees for NYSE National Integrated not unless their customers request it, Exchange believes that adopting the Feed are too high, customers can access and customers will not elect to pay the same fee structure as its affiliated much of the same data on the NYSE proposed fees unless the NYSE National exchanges would reduce administrative National Integrated Feed for free by Integrated Feed can provide value by burdens on NYSE National data subscribing to the NYSE National BBO sufficiently increasing revenues or subscribers that also currently subscribe feed (which includes best-bid-and-offer reducing costs in the customer’s to market data feeds from NYSE, NYSE information for NYSE National on a business in a manner that will offset the Arca, or NYSE American. real-time basis) and NYSE National fees. All of these factors operate as Access Fee. The Exchange believes Trades (which includes last-sale constraints on pricing proprietary data that is reasonable to charge access fees information on a real-time basis), both products. because of the value of the data to data of which are offered at no cost. NYSE In setting the proposed fees for the recipients in their profit-generating National top-of-book quotation NYSE National Integrated Feed, the activities. The Exchange believes that information and last-sale information is Exchange considered the the proposed monthly Access Fee of competitiveness of the market for $2,500 for the NYSE National Integrated also available on the consolidated SIP proprietary data and all of the Feed is reasonable because it is feeds. In this way, the NYSE National implications of that competition. The comparable to the monthly access fee BBO, NYSE National Trades, and SIP Exchange believes that it has considered for the NYSE American Integrated Feed, data products are all substitutes for a all relevant factors and has not which is also $2,500.65 significant portion of the data available considered irrelevant factors in order to Redistribution Fees. The Exchange on the NYSE National Integrated Feed. establish reasonable fees. The existence believes that it is reasonable to charge The availability of these substitute of alternatives to the Exchange’s redistribution fees because vendors products constrains the Exchange’s platform and the continued availability receive value from redistributing the ability to charge supracompetitive of the Exchange’s separate data feeds for data in their business products for their prices for the NYSE National Integrated free ensure that the Exchange cannot set customers. The Exchange believes that Feed. unreasonable fees when vendors and charging a Redistribution Fee is The only content available on NYSE subscribers can elect these alternatives reasonable because the vendors that National Integrated Feed that is not or choose not to purchase a specific would be charged such a fee profit by available on these other products is the proprietary data product if the attendant re-transmitting the Exchange’s market order-by-order look at the NYSE fees are not justified by the returns that data to their customers. This fee would National book, which provides any particular vendor or data recipient be charged only once per month to each information about depth of book on the would achieve through the purchase. vendor account that redistributes the Exchange. The Exchange has been a NYSE National Integrated Feed, 2. The Proposed Fees Are Reasonable vocal advocate for the creation of a ‘‘SIP regardless of the number of customers to Premium’’ product that would include The specific fees that the Exchange which that vendor redistributes the depth-of-book information on the proposes for the NYSE National data. Currently, there is only one vendor consolidated market data feeds.63 Integrated Feed are reasonable for the that redistributes the NYSE National Future products such as SIP Premium following additional reasons. Integrated Feed. Accordingly, this would include not only integrated Overall. The Exchange believes that proposed fee would have limited depth-of-book information from NYSE the proposed fees for the NYSE National impact. The Exchange believes the National, but all other exchanges as Integrated Feed are reasonable because proposed monthly Redistribution Fee of well, and would further constrain the they represent not only the value of the Exchange’s ability to price NYSE data available from the NYSE National 64 See NYSE American Integrated Feed, https:// BBO and NYSE National Trades data www.nyse.com/market-data/real-time/integrated- feeds but also the value of receiving the feed. 62 See generally Jones Paper at 8, 10–11. 65 See NYSE American LLC Equities Proprietary 63 See NYSE, ‘‘Stock Quotes and Trade Data: One data on an integrated basis. Receiving Market Data Fees at https://www.nyse.com/ Size Doesn’t Fit All’’ (August 22, 2019), posted at the data on an integrated basis provides publicdocs/nyse/data/NYSE_American_Equities_ https://www.nyse.com/equities-insights#20190822. greater efficiencies and reduced errors Market_Data_Fee_Schedule.pdf.
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$1,500 for the NYSE National Integrated in a more efficient and accurate manner non-trading activities and that the Feed is reasonable because it is and reduce errors and labor costs, number and range of these functions comparable to the monthly thereby benefiting recipients. The continue to grow through innovation Redistribution Fee for NYSE American Exchange believes that charging for non- and technology developments. Integrated Feed, which is also $1,500, trading uses is reasonable because data The Exchange also believes that, and the monthly External Distributor recipients can derive substantial value regarding Category 3 fees, it is Fee for Nasdaq BX, Inc.’s (‘‘Nasdaq BX’’) from such uses, for example, by reasonable to charge $5,000 per month BX TotalView Product, which is also automating tasks so that can be for each trading platform on which the $1,500.66 performed more quickly and accurately data recipient uses the Non-Display User Fees. The Exchange believes that and less expensively than if they were data, because such use of the data is having separate Professional and Non- performed manually. directly in competition with the Professional User fees for the NYSE Previously, the non-display use data Exchange and the Exchange should be National Integrated Feed is reasonable pricing policies of many exchanges permitted to recoup some of its lost because it will make the product more required customers to count, and the trading revenue by charging for the data affordable and result in greater exchanges to audit the count of, the that makes such competition possible. availability to Professional and Non- number of non-display devices used by The Exchange believes that it is Professional Users. Setting a modest a customer. As non-display use grew reasonable to cap such fees for Category Non-Professional User fee is reasonable more prevalent and varied, however, 3 use at $15,000 per month per data because it provides an additional exchanges received an increasing recipient, because a higher monthly fee method for Non-Professional Users to number of complaints about the may potentially dissuade competitors access the NYSE National Integrated impracticality and administrative from buying the NYSE National Feed by providing the same data that is burden associated with that approach. Integrated Feed for use by their trading available to Professional Users. The In response, the Exchange and its platforms. proposed monthly Professional User Fee affiliated exchanges developed a non- The proposed Non-Display Use fees (Per User) of $10 and monthly Non- display use pricing structure that does for the NYSE National Integrated Feed Professional User Fee (Per User) of $1 not require non-display devices to be are also reasonable because they take are reasonable because they are counted or those counts to be audited, into account the extra value of receiving comparable to per user fees for the and instead looks merely at the three the data for Non-Display Use on an NYSE American Integrated Feed. The following categories of potential use of integrated basis. The Exchange believes monthly Professional User Fee (Per non-display data: Use of the data on the that the proposed fees directly and User) for the NYSE American Integrated customer’s own behalf (Category 1), use appropriately reflect the significant Feed is $10, and the monthly Non- on behalf of clients (Category 2), and use value of using the NYSE National Professional User Fee (Per User) for the to internally match buy and sell orders Integrated Feed on a non-display basis NYSE American Integrated Feed is $2.67 within an organization (Category 3). in a wide range of computer-automated Non-Display Use Fees. The Exchange The Exchange believes that it is functions relating to both trading and believes the proposed Non-Display Use reasonable to segment the fee for non- non-trading activities and that the fees are reasonable, because they reflect display use into these three categories. number and range of these functions the value of the data to the data As noted above, the uses to which continue to grow through innovation recipients in their profit-generating customers can put the NYSE National and technology developments.69 activities and do not impose the burden Integrated Feed are numerous and Non-Display Use Declaration Late of counting non-display devices. varied, and the Exchange believes that Fee. The Exchange believes that it is The Exchange believes that the charging separate fees for these separate reasonable to require annual proposed Non-Display Use fees reflect categories of use is reasonable because submissions of the Non-Display Use the significant value of the non-display it reflects the actual value the customer Declaration so that the Exchange will data use to data recipients, which derives from the data, based upon how have current and accurate information purchase such data on an entirely many categories of use the customer about the use of the NYSE National voluntary basis. Non-display data can be makes of the data. Segmenting the fees Integrated Feed and can correctly assess used by data recipients for a wide for non-display data in this way avoids fees for the uses of the NYSE National variety of profit-generating purposes, the unreasonable result of customers Integrated Feed. Requiring annual including proprietary and agency that make only limited non-display use submissions of such declarations is trading and smart order routing, as well of the data paying the same fees as reasonable because it also allows users as by data recipients that operate order customers that use the data for to re-assess their own usage each year. matching and execution platforms that numerous different revenue-generating The Exchange believes that it is compete directly with the Exchange for and cost-saving purposes. reasonable to impose a late fee in order flow. The data also can be used for The Exchange believes that the connection with the submission of the a variety of non-trading purposes that proposed fees of $5,000 per month for Non-Display Use Declaration. In order indirectly support trading, such as risk each of Categories 1, 2, and 3 is to correctly assess fees for the non- management and compliance. Although reasonable. These fees are comparable to some of these non-trading uses do not the NYSE American Integrated Feed fees 69 See also Exchange Act Release No. 69157, directly generate revenues, they can for non-display use for the different March 18, 2013, 78 FR 17946, 17949 (March 25, nonetheless substantially reduce a categories of use, which is also $5,000 2013) (SR–CTA/CQ–2013–01) (‘‘[D]ata feeds have recipient’s costs by automating such per category.68 The Exchange believes become more valuable, as recipients now use them functions so that they can be carried out to perform a far larger array of non-display that the proposed fees directly and functions. Some firms even base their business appropriately reflect the significant models on the incorporation of data feeds into black 66 See Section 119(a) of Nasdaq BX Equity 7 value of using non-display data in a boxes and application programming interfaces that Pricing Schedule. wide range of computer-automated apply trading algorithms to the data, but that do not 67 See NYSE American LLC Equities Proprietary require widespread data access by the firm’s Market Data Fees at https://www.nyse.com/ functions relating to both trading and employees. As a result, these firms pay little for publicdocs/nyse/data/NYSE_American_Equities_ data usage beyond access fees, yet their data access Market_Data_Fee_Schedule.pdf. 68 See id. and usage is critical to their businesses.’’).
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display use of the NYSE National Making a new market data product Redistribution Fees. The Exchange Integrated Feed, the Exchange needs to available for free for a trial period is believes the proposed monthly fee of have current and accurate information consistent with offerings of other $1,500 for redistributing the NYSE about the use of the NYSE National exchanges. For example, Nasdaq BX National Integrated Feed is equitably Integrated Feed. The failure of data offers new subscribers of BX TotalView allocated because it would be charged recipients to submit the Non-Display a 30-day waiver of user fees.70 on an equal basis to those vendors that Use Declaration on time leads to No Charge Until February 3, 2020. choose to redistribute the feed. potentially incorrect billing and The Exchange believes it is reasonable User Fees. The Exchange believes that administrative burdens, including to continue to make the NYSE National the fee structure differentiating tracking and obtaining late Non-Display Integrated Feed available free of charge Professional User fees ($10 per month Use Declarations and correcting and through February 3, 2020 because per user) from Non-Professional User following up on payments owed in providing it at no charge would fees ($1 per month per user) for display connection with late Non-Display Use continue to provide an opportunity for device access to the NYSE National Declarations. The purpose of the late fee vendors and subscribers to determine Integrated Feed is equitable. This is to incent data recipients to submit the whether the NYSE National Integrated structure has long been used by the Non-Display Use Declaration promptly Feed suits their needs without incurring Exchange to reduce the price of data to to avoid the administrative burdens fees. As noted above, other exchanges Non-Professional Users and make it associated with the late submission of provide or have provided market data more broadly available.71 Offering the Non-Display Use Declarations. products free for a certain period of NYSE National Integrated Feed to Non- Multiple Data Feed Fee. The Exchange time. Professional Users with the same data as believes that it is reasonable to require For all of the foregoing reasons, the is available to Professional Users results data recipients to pay a modest Exchange believes that the proposed in greater equity among data recipients. additional fee for taking a data feed for fees for the NYSE National Integrated These user fees would be charged a market data product in more than two Fee are reasonable. uniformly to all display devices that locations, because such data recipients have access to the NYSE National can derive substantial value from being The Proposed Fees Are Equitably Integrated Feed. able to consume the product in as many Allocated Non-Display Use Fees. The Exchange locations as they want. In addition, The Exchange believes the proposed believes the proposed Non-Display Use there are administrative burdens fees for the NYSE National Integrated fees are equitably allocated because they associated with tracking each location at Feed are allocated fairly and equitable would require subscribers to pay fees which a data recipient receives the among the various categories of users of only for the uses they actually make of product. The Multiple Data Feed Fee is the feed, and any differences among the data. As noted above, non-display designed to encourage data recipients to categories of users are justified. data can be used by data recipients for better manage their requests for a wide variety of profit-generating additional data feeds and to monitor Overall. The Exchange believes that the proposed fees are equitably purposes (including trading, risk their usage of data feeds. The proposed management, and compliance) as well fee is designed to apply to data feeds allocated because they will apply to all data recipients that choose to subscribe as purposes that do not directly generate received in more than two locations so revenues but nonetheless substantially that each data recipient can have one to the NYSE National Integrated Feed. Any subscriber or vendor that chooses reduce the recipient’s costs by primary and one backup data location automating certain functions. The before having to pay a multiple data to subscribe to the NYSE National Integrated Feed is subject to the same Exchange believes that it is equitable to feed fee. charge non-display data subscribers a Fee Waiver for Federal Agencies. The Fee Schedule, regardless of what type of $5,000 fee for each category of use they Exchange believes the proposal to not business they operate or the use they make of such data—namely, using the charge the access fees, display fees for plan to make of the data feed. data on their own behalf (Category 1), professional users, and non-display fees Subscribers and vendors may choose to on behalf of their clients (Category 2), associated with its proprietary market continue to receive some or all of the and to internally match buy and sell data products to customers that are data on the NYSE National Integrated orders within an organization (Category Federal agencies is reasonable because it Feed through the existing separate feeds 3)—because this fee structure results in is designed to facilitate federal for free, or they can choose to pay for subscribers with greater uses of the data government regulation without giving the NYSE National Integrated Feed in paying higher fees, and subscribers with an undue advantage to one set of order to receive integrated data, or they commercial users over another. The or they can choose a combination of the fewer uses of the data paying lower fees. Exchange believes that it is reasonable two approaches, thereby allowing each This segmented fee structure is also to assess no fees to Federal agencies that vendor or subscriber to choose the best equitable because no subscriber of non- subscribe to the Exchange’s proprietary business solution for itself. display data would be charged a fee for market data products because Federal Access Fee. The Exchange believes a category of use in which it did not agencies do not use the Exchange’s the proposed monthly Access Fee of actually engage. proprietary market data for commercial $2,500 for the NYSE National Integrated The Exchange also believes that, gain, but only for regulatory purposes. Feed is equitably allocated because it regarding Category 3 fees, it is equitable One-Month Free Trial. The Exchange would be charged on an equal basis to to charge $5,000 per month for each believes the proposal to provide the all data recipients that receive a data 71 See, e.g., Securities Exchange Act Release No. NYSE National Integrated Free to new feed of the NYSE National Integrated 59544 (March 9, 2009), 74 FR 11162 (March 16, customers free-of-charge for their first Feed, regardless of what type of 2009) (SR–NYSE–2008–131) (establishing the $15 subscription month is reasonable business they operate or the use they Non-Professional User Fee (Per User) for NYSE because it would allow vendors and plan to make of the data feed. OpenBook); Securities Exchange Act Release No. 20002, File No. S7–433 (July 22, 1983), 48 FR 34552 subscribers to become familiar with the (July 29, 1983) (establishing Non-Professional fees feed and determine whether it suits 70 See Section 123(a)(4) of Nasdaq BX’s Equity 7 for CTA data); NASDAQ BX Equity 7 Pricing their needs without incurring fees. Pricing Schedule. Schedule, Section 123.
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trading platform on which the data commercial users over another. The separate feeds for free, or they can recipient uses the Non-Display data, Exchange believes that it is equitable to choose to pay for the NYSE National because such use of the data is directly waive fees for Federal agencies that Integrated Feed in order to receive in competition with the Exchange and subscribe to the Exchange’s proprietary integrated data, or they or they can the Exchange should be permitted to market data products because Federal choose a combination of the two recoup some of its lost trading revenue agencies do not use the Exchange’s approaches, thereby allowing each by charging for the data that makes such proprietary market data for commercial vendor or subscriber to choose the best competition possible. The Exchange gain, but only for regulatory purposes. business solution for itself. believes that it is equitable to cap such One-Month Free Trial. The Exchange Access Fee. The Exchange believes fees for Category 3 use at $15,000 per believes the proposal to provide the the proposed monthly Access Fee of month per data recipient, because a NYSE National Integrated Feed to new $2,500 for the NYSE National Integrated higher monthly fee may potentially customers free-of-charge for their first Feed is not unfairly discriminatory dissuade competitors from buying the subscription month is equitable because because it would be charged on an equal NYSE National Integrated Feed for use it applies to any first-time subscriber, basis to all data recipients that receive by their trading platforms. regardless of the use they plan to make a data feed of the NYSE National Non-Display Use Declaration Late of the feed. As proposed, any first-time Integrated Feed, regardless of what type Fee. The Exchange believes that the subscriber of the NYSE National of business they operate or the use they proposed fee of $1,000 per month for a Integrated Feed would not be charged plan to make of the data feed. late Non-Display Use Declaration is the Access Fee, Non-Display Fee, any Redistribution Fees. The Exchange equitably allocated because it applies to applicable Professional and Non- believes the proposed monthly fee of any data recipient that pays an Access Professional User Fee, and $1,500 for redistributing the NYSE Fee for the NYSE National Integrated Redistribution Fee for one calendar National Integrated Feed is not unfairly Feed but has failed to complete and month. The Exchange believes it is discriminatory because it would be submit a Non-Display Use Declaration. equitable to restrict the availability of charged on an equal basis to those In addition, the Exchange believes that this one-month free trial to customers vendors that choose to redistribute the it is equitable to charge a late fee to that have not previously subscribed to feed. subscribers who fail to timely submit the NYSE National Integrated Feed, User Fees. The Exchange believes that their Non-Display Use Declarations since customers who are current or the fee structure differentiating because their failure to do so leads to previous subscribers of the feed are Professional User fees ($10 per month potentially incorrect billing and already familiar with it and whether it per user) from Non-Professional User administrative burdens on the part of suits their needs. fees ($1 per month per user) for display the Exchange. The Exchange believes it No Charge Until February 3, 2020. device access to the NYSE National is equitable to defray these The Exchange believes that the proposal Integrated Feed is not unfairly administrative costs by imposing a late to continue to make the NYSE National discriminatory. This structure has long fee only on subscribers’ whose Integrated Feed available free of charge been used by the Exchange to reduce the declarations were late, as opposed to all through February 3, 2020 is equitable price of data to Non-Professional Users subscribers. because it applies equally to all and make it more broadly available.72 Multiple Data Feed Fee. The Exchange customers. Offering the NYSE National Integrated believes that the $200 per month per For all of the foregoing reasons, the Feed to Non-Professional Users with the location fee to data recipients taking the Exchange believes that the proposed same data as is available to Professional NYSE National Integrated Feed in more fees for the NYSE National Integrated Users results in greater equity among than two locations is equitable because Fee are equitably allocated. data recipients. These user fees would it would apply to all such customers, The Proposed Fees Are Not Unfairly be charged uniformly to all display regardless of what type of business they Discriminatory devices that have access to the NYSE operate or the use they make of the data National Integrated Feed. feed. In addition, the Exchange believes The Exchange believes the proposed fees for the NYSE National Integrated Non-Display Use Fees. The Exchange that it is equitable to charge a fee to believes the proposed Non-Display Use subscribers for taking a data feed in Feed are not unfairly discriminatory fees are not unfairly discriminatory more than two locations because there because any differences in the because they would require subscribers are administrative burdens on the part application of the fees are based on for non-display use to pay fees only for of the Exchange associated with tracking meaningful distinctions between the categories of use they actually make each location at which a data recipient customers, and those meaningful of the data. As noted above, non-display receives the product. The Exchange distinctions are not unfairly data can be used by data recipients for believes that it is equitable for it to discriminatory between customers. a wide variety of profit-generating defray these administrative costs by Overall. The Exchange believes that purposes (including trading, risk imposing a modest fee only on the proposed fees are not unfairly management, and compliance) as well subscribers who seek to take the feed in discriminatory because they would more than two locations, as opposed to apply to all data recipients that choose as purposes that do not directly generate all subscribers. to subscribe to the NYSE National revenues but nonetheless substantially Fee Waiver for Federal Agencies. The Integrated Feed. Any vendor or reduce the recipient’s costs by Exchange believes that the proposal to subscriber that chooses to subscribe to automating certain functions. The not charge the access fees, display fees the NYSE National Integrated Feed is 72 See e.g., Securities Exchange Act Release No. for professional users, and non-display subject to the same Fee Schedule, 59544 (March 9, 2009), 74 FR 11162 (March 16, fees associated with its proprietary regardless of what type of business they 2009) (SR–NYSE–2008–131) (establishing the $15 market data products to customers that operate or the use they plan to make of Non-Professional User Fee (Per User) for NYSE are Federal agencies is equitable the data feed. Vendors and subscribers OpenBook). See e.g., Securities Exchange Act Release No. 20002, File No. S7–433 (July 22, 1983), because it is designed to facilitate may choose to continue to receive some 48 FR 34552 (July 29, 1983) (establishing federal government regulation without or all of the data on the NYSE National nonprofessional fees for CTA data); NASDAQ BX giving an undue advantage to one set of Integrated Feed through the existing Equity 7 Pricing Schedule, Section 123.
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Exchange believes that it is not unfairly the Exchange believes that it is not B. Self-Regulatory Organization’s discriminatory to charge non-display unfairly discriminatory to charge a fee Statement on Burden on Competition data subscribers a $5,000 fee for each to subscribers for taking a data feed in The Exchange does not believe that category of use they make of such data— more than two locations because there the proposed fees will impose any namely, using the data on their own are administrative burdens on the part burden on competition that is not behalf (Category 1), on behalf of their of the Exchange associated with tracking necessary or appropriate in furtherance clients (Category 2), and to internally each location at which a data recipient of the purposes of the Act. match buy and sell orders within an receives the product. The Exchange Intramarket Competition. The organization (Category 3)—because this believes that it is not unfairly Exchange believes that the proposed fee structure results in subscribers with discriminatory for it to defray these fees do not put any market participants greater uses for the data paying higher administrative costs by imposing a at a relative disadvantage compared to fees, while subscribers with fewer uses modest fee only on subscribers who other market participants. As noted of the data pay lower fees. This seek to take the feed in more than two above, the proposed fee schedule would segmented fee structure is not unfairly locations, as opposed to all subscribers. apply to all subscribers of the NYSE discriminatory because no subscriber of Fee Waiver for Federal Agencies. The National Integrated Feed, and customers non-display data would be charged a fee Exchange believes that the proposal to may not only choose whether to for a category of use in which it did not not charge the access fees, display fees subscribe to the feed at all, but may actually engage. for professional users, and non-display tailor their subscriptions by choosing The Exchange also believes that, fees associated with its proprietary particular uses of the feed but not others regarding Category 3 fees, it is not market data products to customers that unreasonably discriminatory to charge (e.g., Category 1 only versus all three are Federal agencies is not unreasonably categories; display device access only $5,000 per month for each trading discriminatory because it is designed to platform on which the data recipient versus non-display use). facilitate federal government regulation The Exchange also believes that the uses the Non-Display data, because such without giving an undue advantage to proposed fees neither favor nor penalize use of the data is directly in competition one set of commercial users over with the Exchange and the Exchange one or more categories of market another. The Exchange believes that it is participants in a manner that would should be permitted to recoup some of not unfairly discriminatory to waive its lost trading revenue by charging for impose an undue market on fees for Federal agencies that subscribe competition. As shown above, to the the data that makes such competition to the Exchange’s proprietary market possible. The Exchange believes that it extent that particular proposed fees data products because Federal agencies apply to only a subset of subscribers is not unreasonably discriminatory to do not use the Exchange’s proprietary cap such fees for Category 3 use at (e.g., Category 2 fees apply only to those market data for commercial gain, but making non-display use on behalf of $15,000 per month per data recipient, only for regulatory purposes. because a higher monthly fee may clients; late fees apply only to customers One-Month Free Trial. The Exchange potentially dissuade competitors from who fail to timely submit their believes the proposal to provide the buying the NYSE National Integrated declarations), those distinctions are not NYSE National Integrated Feed to new Feed for use by their trading platforms. unfairly discriminatory and do unfairly Non-Display Use Declaration Late customers free-of-charge for their first burden one set of customers over Fee. The Exchange believes that the subscription month is not unfairly another. To the contrary, by tailoring the proposed fee of $1,000 per month for a discriminatory because it applies to any proposed fees in this manner, the late Non-Display Use Declaration is not first-time subscriber, regardless of the Exchange believes that it has eliminated unfairly discriminatory because it use they plan to make of the feed. As the potential burden on competition applies to any data recipient that pays proposed, any first-time subscriber of that might result from unfairly asking an Access Fee for the NYSE National the NYSE National Integrated Feed subscribers to pay fees for services they Integrated Feed but has failed to would not be charged the Access Fee, did not use, or late fees they did not complete and submit a Non-Display Use Non-Display Fee, any applicable actually incur. Declaration. In addition, the Exchange Professional and Non-Professional User Intermarket Competition. The believes that it is not unfairly Fee, and Redistribution Fee for one Exchange believes that the proposed discriminatory to charge a late fee to calendar month. The Exchange believes fees do not impose a burden on subscribers who fail to timely submit it is not unfairly discriminatory to competition or on other SROs that is not their Non-Display Use Declarations restrict the availability of this one- necessary or appropriate. As because their failure to do so leads to month free trial to customers that have demonstrated above and in Professor potentially incorrect billing and not previously subscribed to the NYSE Rysman’s attached [sic] paper, administrative burdens on the part of National Integrated Feed, since exchanges are platforms for market data the Exchange. Nor is it unfairly customers who are current or previous and trading. In setting the proposed discriminatory for the Exchange to subscribers of the feed are already fees, the Exchange was constrained by defray these administrative costs by familiar with it and whether it suits the availability of numerous substitute imposing a late fee only on subscribers’ their needs. platforms also offering market data whose declarations were late, as No Charge Until February 3, 2020. products and trading, and low barriers opposed to all subscribers. The Exchange believes that the proposal to entry mean new exchange platforms Multiple Data Feed Fee. The Exchange to continue to make the NYSE National are frequently introduced. The fact that believes that the $200 per month per Integrated Feed available free of charge exchanges are platforms ensures that no location fee to data recipients taking the through February 3, 2020 is not unfairly exchange can make pricing decisions for NYSE National Integrated Feed in more discriminatory because it applies one side of its platform without than two locations is not unfairly equally to all customers. considering, and being constrained by, discriminatory because it would apply For all of the foregoing reasons, the the effects that price will have on the to all such customers, regardless of what Exchange believes that the proposed other side of the platform. In setting fees type of business they operate or the use fees for the NYSE National Integrated for the NYSE National Integrated Feed, they make of the data feed. In addition, Fee are not unfairly discriminatory. the Exchange is constrained by the fact
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that, if its pricing across the platform is under Section 19(b)(2)(B) 75 of the Act to should be submitted on or before unattractive to customers, customers determine whether the proposed rule January 16, 2020. will have its pick of an increasing change should be approved or For the Commission, by the Division of number of alternative platforms to use disapproved. Trading and Markets, pursuant to delegated instead of the Exchange. Given this 76 IV. Solicitation of Comments authority. intense competition between platforms, J. Matthew DeLesDernier, no one exchange’s market data fees can Interested persons are invited to Assistant Secretary. impose an unnecessary burden on submit written data, views, and [FR Doc. 2019–27730 Filed 12–23–19; 8:45 am] arguments concerning the foregoing, competition, and the Exchange’s BILLING CODE 8011–01–P proposed fees do not do so here. including whether the proposed rule In addition, the Exchange believes change is consistent with the Act. that the proposed fees do not impose a Comments may be submitted by any of SECURITIES AND EXCHANGE burden on competition or on other the following methods: COMMISSION exchanges that is not necessary or Electronic Comments [Release No. 34–87790; File No. SR–MIAX– appropriate because of the availability 2019–49] of numerous substitute market data • Use the Commission’s internet products. Many other exchanges offer comment form (http://www.sec.gov/ Self-Regulatory Organizations; Miami proprietary data feeds like the NYSE rules/sro.shtml); or • International Securities Exchange LLC; National Integrated Feed, supplying Send an email to rule-comments@ Notice of Filing and Immediate depth of book order data, last sale data, sec.gov. Please include File Number SR– Effectiveness of a Proposed Rule security status updates, stock summary NYSENAT–2019–31 on the subject line. Change To Amend Its Fee Schedule messages, and the exchange’s best bid Paper Comments and offer at any given time, on a real- December 18, 2019. • time basis. Because market data users Send paper comments in triplicate Pursuant to Section 19(b)(1) of the can find suitable substitute feeds, an to Secretary, Securities and Exchange Securities Exchange Act of 1934 exchange that overprices its market data Commission, 100 F Street NE, (‘‘Act’’),1 and Rule 19b–4 thereunder,2 products stands a high risk that users Washington, DC 20549–1090. notice is hereby given that on December may substitute another platform, in All submissions should refer to File 5, 2019, Miami International Securities which case the platform would stand to Number SR–NYSENAT–2019–31. This Exchange LLC (‘‘MIAX Options’’ or lose both market data and trading fees. file number should be included on the ‘‘Exchange’’) filed with the Securities These competitive pressures ensure that subject line if email is used. To help the and Exchange Commission (‘‘SEC’’ or no one exchange’s market data fees can Commission process and review your ‘‘Commission’’) the proposed rule impose an unnecessary burden on comments more efficiently, please use change as described in Items I, II, and competition, and the Exchange’s only one method. The Commission will III below, which Items have been proposed fees do not do so here. post all comments on the Commission’s prepared by the Exchange. The internet website (http://www.sec.gov/ Commission is publishing this notice to C. Self-Regulatory Organization’s rules/sro.shtml). Copies of the solicit comments on the proposed rule Statement on Comments on the submission, all subsequent change from interested persons. Proposed Rule Change Received From amendments, all written statements Members, Participants, or Others I. Self-Regulatory Organization’s with respect to the proposed rule Statement of the Terms of Substance of No written comments were solicited change that are filed with the the Proposed Rule Change or received with respect to the proposed Commission, and all written rule change. communications relating to the The Exchange is filing a proposal to proposed rule change between the amend the MIAX Options Fee Schedule III. Date of Effectiveness of the Commission and any person, other than (the ‘‘Fee Schedule’’). Proposed Rule Change and Timing for The text of the proposed rule change those that may be withheld from the Commission Action is available on the Exchange’s website at public in accordance with the http://www.miaxoptions.com/rule- The foregoing rule change is effective provisions of 5 U.S.C. 552, will be filings, at MIAX’s principal office, and upon filing pursuant to Section available for website viewing and at the Commission’s Public Reference 19(b)(3)(A) 73 of the Act and printing in the Commission’s Public Room. subparagraph (f)(2) of Rule 19b–4 74 Reference Room, 100 F Street NE, thereunder, because it establishes a due, Washington, DC 20549, on official II. Self-Regulatory Organization’s fee, or other charge imposed by the business days between the hours of Statement of the Purpose of, and Exchange. 10:00 a.m. and 3:00 p.m. Copies of the Statutory Basis for, the Proposed Rule At any time within 60 days of the filing also will be available for Change filing of such proposed rule change, the inspection and copying at the principal In its filing with the Commission, the Commission summarily may office of the Exchange. All comments Exchange included statements temporarily suspend such rule change if received will be posted without change. concerning the purpose of and basis for it appears to the Commission that such Persons submitting comments are the proposed rule change and discussed action is necessary or appropriate in the cautioned that we do not redact or edit any comments it received on the public interest, for the protection of personal identifying information from proposed rule change. The text of these investors, or otherwise in furtherance of comment submissions. You should statements may be examined at the the purposes of the Act. If the submit only information that you wish places specified in Item IV below. The Commission takes such action, the to make available publicly. All Exchange has prepared summaries, set Commission shall institute proceedings submissions should refer to File Number SR–NYSENAT–2019–31, and 76 17 CFR 200.30–3(a)(12). 73 15 U.S.C. 78s(b)(3)(A). 1 15 U.S.C. 78s(b)(1). 74 17 CFR 240.19b–4(f)(2). 75 15 U.S.C. 78s(b)(2)(B). 2 17 CFR 240.19b–4.
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forth in sections A, B, and C below, of shares are no longer listed for trading on competitiveness and strengthen its the most significant aspects of such equity trading venues under the symbol market quality for all market statements. ‘‘CBS.’’ The Exchange has also participants. The Program, which determined not to add the merged A. Self-Regulatory Organization’s provides increased incentives in certain company, ViacomCBS, to the MIAX Statement of the Purpose of, and tiers in high volume select symbols, is Select Symbols list for business and Statutory Basis for, the Proposed Rule also reasonably designed to increase the Change competitive reasons. competitiveness of the Exchange with Accordingly, the Exchange is other options exchanges that also offer 1. Purpose amending its Fee Schedule to delete the increased incentives to higher volume The Exchange proposes to amend the symbol CBS from the list of MIAX symbols. list of MIAX Select Symbols 3 contained Select Symbols contained in the Program. This amendment is intended The Exchange also believes that its in the Priority Customer Rebate Program proposal is consistent with Section (the ‘‘Program’’) 4 of the Exchange’s Fee to eliminate any potential confusion and to make it clear to market participants 6(b)(5) of the Act because it will apply Schedule to delete the symbol ‘‘CBS’’ equally to all Priority Customer orders associated with CBS Corporation that CBS will not be a MIAX Select Symbol contained in the Program. in MIAX Select Symbols in the Program. (‘‘CBS’’). All similarly situated Priority Customer The Exchange initially created the list 2. Statutory Basis orders in MIAX Select Symbols are of MIAX Select Symbols on March 1, 2014,5 and has added and removed The Exchange believes that its subject to the same rebate schedule, and option classes from that list since that proposal to amend the Fee Schedule is access to the Exchange is offered on 8 time.6 Select Symbols are rebated consistent with Section 6(b) of the Act terms that are not unfairly slightly higher in certain Program tiers in general, and furthers the objectives of discriminatory. 9 than non-Select Symbols. The Exchange Section 6(b)(4) of the Act, in that it is an equitable allocation of reasonable B. Self-Regulatory Organization’s notes that on December 4, 2019, CBS Statement on Burden on Competition and Viacom Inc. announced the dues, fees and other charges among completion of a merger of the two Exchange members and issuers and The Exchange does not believe that companies, with CBS continuing as the other persons using its facilities, and the proposed rule change will result in 10 surviving company. Further, effective 6(b)(5) of the Act, in that it is designed any burden on competition that is not December 5, 2019, CBS announced that to promote just and equitable principles necessary or appropriate in furtherance it will change its name to ViacomCBS of trade, to remove impediments to and of the purposes of the Act. The Inc. (‘‘ViacomCBS’’) and change its perfect the mechanism of a free and proposed rule change is not a trading symbol to ‘‘VIAC.’’ 7 Options on open market and a national market competitive filing but rather is designed CBS were authorized to be listed for system, and, in general to protect to update the list of MIAX Select investors and the public interest and is trading on the Exchange pursuant to Symbols contained in the Program in not designed to permit unfair Rule 402, but are no longer listed for order to avoid potential confusion on discrimination between customers, trading since CBS is no longer the the part of market participants. registered stock symbol for the merged issuers, brokers and dealers. company, ViacomCBS, and as such, CBS In particular, the proposal to delete C. Self-Regulatory Organization’s the symbol CBS from the list of MIAX Statement on Comments on the 3 The term ‘‘MIAX Select Symbols’’ means Select Symbols contained in the Proposed Rule Change Received From options overlying AAL, AAPL, AIG, AMAT, AMD, Program is consistent with Section Members, Participants, or Others AMZN, BA, BABA, BB, BIDU, BP, C, CAT, CBS, 6(b)(4) of the Act because the proposed CELG, CLF, CVX, DAL, EBAY, EEM, FB, FCX, GE, Written comments were neither GILD, GLD, GM, GOOGL, GPRO, HAL, HTZ, INTC, changes will allow for continued benefit IWM, JCP, JNJ, JPM, KMI, KO, MO, MRK, NFLX, to investors by providing them an solicited nor received. NOK, ORCL, PBR, PFE, PG, QCOM, QQQ, RIG, S, updated list of MIAX Select Symbols III. Date of Effectiveness of the SPY, T, TSLA, USO, VALE, WBA, WFC, WMB, WY, contained in the Program on the Fee X, XHB, XLE, XLF, XLP, XOM and XOP. Schedule. Proposed Rule Change and Timing for 4 See section (1)(a)(iii) of the Fee Schedule for a Commission Action complete description of the Program. The Exchange believes that the 5 See Securities Exchange Act Release No. 71700 proposal to amend an option class that The foregoing rule change has become (March 12, 2014), 79 FR 15188 (March 18, 2014) qualifies for the credit for transactions effective pursuant to Section (SR–MIAX–2014–13). in MIAX Select Symbols is fair, 19(b)(3)(A)(ii) of the Act,12 and Rule 6 See Securities Exchange Act Release Nos. 85314 equitable and not unreasonably 19b–4(f)(2) 13 thereunder. At any time (March 14, 2019), 84 FR 10359 (March 20, 2019) discriminatory. The Exchange believes (SR–MIAX–2019–07); 81998 (November 2, 2017), 82 within 60 days of the filing of the that the Program itself is reasonably FR 51897 (November 8, 2017) (SR–MIAX–2017–45); proposed rule change, the Commission 81019 (June 26, 2017), 82 FR 29962 (June 30, 2017) designed because it incentivizes summarily may temporarily suspend (SR–MIAX–2017–29); 79301 (November 14, 2016), providers of Priority Customer 11 order 81 FR 81854 (November 18, 2016) (SR–MIAX– such rule change if it appears to the flow to send that Priority Customer 2016–42); 74291 (February 18, 2015), 80 FR 9841 Commission that such action is order flow to the Exchange in order to (February 24, 2015) (SR–MIAX–2015–09); 74288 necessary or appropriate in the public (February 18, 2015), 80 FR 9837 (February 24, 2015) receive a credit in a manner that enables (SR–MIAX–2015–08); 73328 (October 9, 2014), 79 the Exchange to improve its overall interest, for the protection of investors, FR 62230 (October 16, 2014) (SR–MIAX–2014–50); or otherwise in furtherance of the 72567 (July 8, 2014), 79 FR 40818 (July 14, 2014) purposes of the Act. If the Commission (SR–MIAX–2014–34); 72356 (June 10, 2014), 79 FR 8 15 U.S.C. 78f(b). 34384 (June 16, 2014) (SR–MIAX–2014–26); 71700 9 15 U.S.C. 78f(b)(4). takes such action, the Commission shall (March 12, 2014), 79 FR 15188 (March 18, 2014) 10 15 U.S.C. 78f(b)(1) and (b)(5). institute proceedings to determine (SR–MIAX–2014–13). 11 The term ‘‘Priority Customer’’ means a person whether the proposed rule should be 7 See press release ViacomCBS Announces or entity that (i) is not a broker or dealer in approved or disapproved. Completion of the Merger of CBS and Viacom securities, and (ii) does not place more than 390 (December 4, 2019), https://www.viacbs.com/press/ orders in listed options per day on average during 12 viacomcbs-announces-completion-of-the-merger-of- a calendar month for its own beneficial account(s). 15 U.S.C. 78s(b)(3)(A)(ii). cbs-and-viacom. See Exchange Rule 100. 13 17 CFR 240.19b–4(f)(2).
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IV. Solicitation of Comments For the Commission, by the Division of set forth in sections A, B, and C below, Trading and Markets, pursuant to delegated of the most significant parts of such Interested persons are invited to authority.14 statements. submit written data, views, and J. Matthew DeLesDernier, arguments concerning the foregoing, Assistant Secretary. A. Self-Regulatory Organization’s including whether the proposed rule Statement of the Purpose of, and [FR Doc. 2019–27729 Filed 12–23–19; 8:45 am] Statutory Basis for, the Proposed Rule change is consistent with the Act. BILLING CODE 8011–01–P Comments may be submitted by any of Change the following methods: 1. Purpose SECURITIES AND EXCHANGE The purpose of this filing is to modify Electronic Comments COMMISSION an incentive program (described below), • Use the Commission’s internet [Release No. 34–87789; File No. SR– which is designed to encourage Market comment form (http://www.sec.gov/ NYSEArca–2019–90] Makers to provide more competitive rules/sro.shtml); or prices and deeper liquidity in options Self-Regulatory Organizations; NYSE • Send an email to rule-comments@ on the NYSE FANG+ Index (‘‘NYSE Arca, Inc.; Notice of Filing and FANG+’’), which trades under the sec.gov. Please include File Number SR– Immediate Effectiveness of Proposed MIAX–2019–49 on the subject line. symbol FAANG. FAANG is an acronym Rule Change To Amend the NYSE Arca for the market’s five most popular and Paper Comments Options Fee Schedule Relating to the best-performing tech stocks, namely MM FAANG Credit Facebook, Apple, Amazon, Netflix and • Send paper comments in triplicate Alphabet’s Google. to Secretary, Securities and Exchange December 18, 2019. Pursuant to Section 19(b)(1) of the Currently, the Exchange offers a Commission, 100 F Street NE, $5,000 credit to Market Maker Washington, DC 20549–1090. Securities Exchange Act of 1934 (‘‘Act’’),1 and Rule 19b–4 thereunder,2 organizations—specifically, NYSE Arca All submissions should refer to File notice is hereby given that on December Options Market Makers or Lead Market Number SR–MIAX–2019–49. This file 9, 2019, NYSE Arca, Inc. (‘‘NYSE Arca’’ Makers—that execute at least 500 total monthly contract sides that open a number should be included on the or ‘‘Exchange’’) filed with the Securities position in FAANG on the Exchange subject line if email is used. To help the and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) the proposed rule (the ‘‘MM FAANG Credit’’ or ‘‘Credit’’). Commission process and review your The Credit, which is applied against all comments more efficiently, please use change as described in Items I, II, and III below, which Items have been Exchange fees charged to a Market only one method. The Commission will Maker, is currently capped at $50,000, post all comments on the Commission’s prepared by the Exchange. The Commission is publishing this notice to so if more than ten Market Maker internet website (http://www.sec.gov/ organizations qualify for a MM FAANG rules/sro.shtml). Copies of the solicit comments on the proposed rule change from interested persons. Credit in a calendar month, the MM submission, all subsequent FAANG Credit for each qualifying firm amendments, all written statements I. Self-Regulatory Organization’s will be a pro rata share of $50,000.3 with respect to the proposed rule Statement of the Terms of Substance of The Exchange proposes to continue to change that are filed with the the Proposed Rule Change provide $50,000 in Credits to encourage Commission, and all written The Exchange proposes to amend the Market Maker organizations to provide communications relating to the NYSE Arca Options Fee Schedule (‘‘Fee liquidity in FAANG, but provide for two proposed rule change between the Schedule’’) relating to the MM FAANG different qualifying levels with different Commission and any person, other than Credit. The Exchange proposes to monthly credits. As proposed, the those that may be withheld from the implement the fee change effective Exchange proposes to add an public in accordance with the December 9, 2019. The proposed rule alternative, higher monthly credit of provisions of 5 U.S.C. 552, will be change is available on the Exchange’s $10,000 for Market Maker Organizations available for website viewing and website at www.nyse.com, at the that execute at least 2,000 total monthly printing in the Commission’s Public principal office of the Exchange, and at contract sides that open a position in Reference Room, 100 F Street NE, the Commission’s Public Reference FAANG on the Exchange. This credit Washington, DC 20549 on official Room. would be capped at $25,000. business days between the hours of Accordingly, if more than two firms II. Self-Regulatory Organization’s qualify, they must share $25,000 pro 10:00 a.m. and 3:00 p.m. Copies of the Statement of the Purpose of, and rata. The Exchange also proposes to filing also will be available for Statutory Basis for, the Proposed Rule reduce the total credits available for inspection and copying at the principal Change firms that qualify for the current Credit offices of the Exchange. All comments from $50,000 to $25,000, and similarly received will be posted without change. In its filing with the Commission, the self-regulatory organization included reduce the fewest number of qualifying Persons submitting comments are statements concerning the purpose of, firms that would be entitled to the full cautioned that we do not redact or edit and basis for, the proposed rule change Credit from eleven to six. The Exchange personal identifying information from and discussed any comments it received believes that the proposed change comment submissions. You should on the proposed rule change. The text would incent firms that have submit only information that you wish of those statements may be examined at historically qualified for the Credit to to make available publicly. All the places specified in Item IV below. submissions should refer to File The Exchange has prepared summaries, 3 See Fee Schedule, NYSE Arca OPTIONS: Number SR–MIAX–2019–49, and TRADE-RELATED CHARGES FOR STANDARD OPTIONS, MM FAANG Credit, available here: should be submitted on or before 14 17 CFR 200.30–3(a)(12). https://www.nyse.com/publicdocs/nyse/markets/ January 16, 2020. 1 15 U.S.C. 78s(b)(1). arca-options/NYSE_Arca_Options_Fee_ 2 17 CFR 240.19b–4. Schedule.pdf.
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trade greater volume to earn the higher Proposed Fee Change the two alternatives (i.e., the higher). As (proposed) Credit. And, believes that the The Exchange proposes to modify the proposed, the Exchange’s maximum lower (existing) volume threshold existing Credit and add an alternative exposure under the Credit would should still attract firms (including that offers a higher credit for firms that continue to be $50,000, but this cap those that have never achieved the execute a higher number of total would be split between the two different Credit) to trade the requisite volume in monthly contract sides that open a qualifying rates. FAANG to earn the Credit. position in FAANG on the Exchange, as The Exchange believes the proposed The Exchange proposes to implement set forth in more detail below. With this modified MM FAANG Credit would the fee change effective December 9, proposed change, the total amount further the Exchange’s goal of 2019. available under the Credit would not be encouraging trading in this (relatively) changing. Rather, the Exchange would new index product, in particular by Background make available a higher per-firm credit encouraging Market Makers to provide for firms that provide more liquidity in increased liquidity in tighter markets, The Commission has repeatedly FAANG. The Exchange believes the which would in turn, benefit all market expressed its preference for competition proposed modifications would further participants through more opportunities over regulatory intervention in the Exchange’s goal of encouraging to trade. determining prices, products, and Market Makers to make a market in 2. Statutory Basis services in the securities markets. In these (relatively) new products, which Regulation NMS, the Commission would in turn, benefit market The Exchange believes that the highlighted the importance of market participants that are interested in proposed rule change is consistent with forces in determining prices and SRO trading FAANG. Section 6(b) of the Act,10 in general, and revenues and, also, recognized that To effect this change, the Exchange furthers the objectives of Sections current regulation of the market system proposes to modify the Credit to reduce 6(b)(4) and (5) of the Act,11 in particular, ‘‘has been remarkably successful in the cap on the credits available for the because it provides for the equitable promoting market competition in its existing qualification from $50,000 to allocation of reasonable dues, fees, and broader forms that are most important to $25,000. With this change, if more than other charges among its members, 4 investors and listed companies.’’ five (as opposed to more than ten) firms issuers and other persons using its There are currently 16 registered execute at least 500 total monthly facilities and does not unfairly options exchanges competing for order FAANG contract sides in a calendar discriminate between customers, flow. Based on publicly-available month, the Credit for each qualifying issuers, brokers or dealers. information, and excluding index-based firm would be a pro rata share of 7 The Proposed Rule Change Is options, no single exchange has more $25,000 (down from $50,000). The Reasonable than 16% of the market share of Exchange also proposes to make clear that the limitation of five firms executed volume of multiply-listed The Exchange operates in a highly qualifying for the MM FAANG Credit equity and ETF options trades.5 competitive market. The Commission applies to the $5,000 credit.8 Therefore, no exchange possesses The Exchange also proposes to add an has repeatedly expressed its preference significant pricing power in the alternative Credit to the same Market for competition over regulatory execution of multiply-listed equity & Maker organizations described above. intervention in determining prices, ETF options order flow. More As proposed, any such firm that products, and services in the securities specifically, in the first quarter of 2019, executes at least 2,000 total monthly markets. In Regulation NMS, the the Exchange had less than 10% market contract sides that open a position in Commission highlighted the importance share of executed volume of multiply- FAANG on the Exchange would qualify of market forces in determining prices 6 listed equity & ETF options trades. for a credit of $10,000; provided, and SRO revenues and, also, recognized With respect to FAANG, this index is however, that if more than two firms that current regulation of the market listed and traded only on the Exchange qualify for the proposed (higher) system ‘‘has been remarkably successful and NYSE American LLC (‘‘NYSE FAANG Credit in a calendar month, the in promoting market competition in its MM FAANG Credit for each qualifying broader forms that are most important to American’’). However, this index 12 product competes with market firm would be a pro rata share of investors and listed companies.’’ participants that choose to create their $25,000.9 As further proposed, a Market There are currently 16 registered own synthetic index product by trading Maker firm that qualified for both options exchanges competing for order in the basket of securities that comprise Credits would be eligible for only one of flow. Based on publicly-available the FAANG index. This proposed fee information, and excluding index-based change is designed to increase liquidity 7 See proposed Fee Schedule, NYSE Arca options, no single exchange has more for market participants that would like OPTIONS: TRADE-RELATED CHARGES FOR than 16% of the market share of STANDARD OPTIONS, MM FAANG Credit. executed volume of multiply-listed to trade FAANG by encouraging Market 8 See id. In light of the proposed changes, to make 13 Maker organizations to open more the Fee Schedule easier to navigate, the Exchange equity and ETF options trades. positions in FAANG on the Exchange. also proposes to describe each alternative credit in Therefore, no exchange possesses bullet points, with typographical edits to the significant pricing power in the current rule text for clarity, and to remove reference execution of multiply-listed equity & 4 See Securities Exchange Act Release No. 51808 to ‘‘$5,000’’ where it appears in the current rule and (June 9, 2005), 70 FR 37496, 37499 (June 29, 2005) to add the concept of a ‘‘specified minimum ETF options order flow. More (S7–10–04) (‘‘Reg NMS Adopting Release’’). number’’ of ‘‘eligible contract sides.’’ See id. specifically, in the third quarter of 2019, 5 The OCC publishes options and futures volume 9 See id. As with the current Credit, only those the Exchange had less than 10% market in a variety of formats, including daily and monthly FAANG transactions marked as ‘‘open’’ would be volume by exchange, available here: https:// eligible to be counted towards the MM FAANG 10 15 U.S.C. 78f(b). www.theocc.com/market-data/volume/default.jsp. Credit. To add clarity and transparency to the Fee 11 6 Based on OCC data, see id., the Exchange’s Schedule, the Exchange also proposes to add the 15 U.S.C. 78f(b)(4) and (5). market share in equity-based options declined from word ‘‘FAANG’’ prior to the word contracts to make 12 See Reg NMS Adopting Release, supra note 4, 9.57% for the month of January to 9.23% for the clear that this MM FAANG Credits applies only to at 37499. month of September. such contracts. See id. 13 See supra note 5.
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share of executed volume of multiply- market quality for all market Exchange and Market Maker listed equity & ETF options trades.14 participants. In the backdrop of the organizations are not obligated to try to The Exchange believes that the ever- competitive environment in which the achieve the MM FAANG Credit. In shifting market share among the Exchange operates, the proposed rule addition, Market Maker organizations exchanges from month to month change is a reasonable attempt by the have increased obligations with respect demonstrates that market participants Exchange to increase the depth of its to trading on the Exchange, and the can shift order flow, or discontinue or market and improve trading Exchange believes that making this this reduce use of certain categories of opportunities to better compete with Credit available to Market Maker products, in response to fee changes. other exchange offerings. organizations would more likely result Accordingly, competitive forces The Exchange cannot predict with in increased liquidity in FAANG on the constrain options exchange transaction certainty whether any firms would avail Exchange. To the extent that the fees. Stated otherwise, changes to themselves of this proposed fee change, proposed change attracts a variety of exchange transaction fees can have a as historically, whether or when a firm transactions to the Exchange, this direct effect on the ability of an qualifies for the MM FAANG Credit has increased order flow would continue to exchange to compete for order flow. varied month to month. Assuming make the Exchange a more competitive While FAANG lists and trades only historical behavior can be predictive of venue for, among other things, order on the Exchange and NYSE American, future behavior, the Exchange cannot execution. Thus, the Exchange believes this index product competes with predict the number of firms that may the proposed rule change would market participants that choose to create qualify for the alternative MM FAANG improve market quality for all market their own synthetic index product by Credit, but believes that firms would be participants on the Exchange and, as a trading in the basket of securities that encouraged to take advantage of the consequence, attract more order flow to comprise the FAANG index. This modified Credit. the Exchange thereby improving market- proposed fee change is designed to Finally, the Exchange believes that wide quality and price discovery. The increase liquidity for market the technical changes to the rule text resulting increased volume and participants that would like to trade (i.e., clarifying ‘‘FAANG contract sides’’ liquidity would provide more trading FAANG by encouraging Market Maker and including concept of a specified opportunities and tighter spreads to all organizations to open more positions in minimum number of ‘‘eligible contract market participants and thus would FAANG on the Exchange. sides’’) is reasonable as it would promote just and equitable principles of More specifically, the Exchange streamline the Fee Schedule, adding trade, remove impediments to and believes that the proposed modification clarity and transparency, thereby perfect the mechanism of a free and to the MM FAANG Credit is designed to making the Fee Schedule easier for open market and a national market generate additional order flow to the market participants to navigate.15 system and, in general, to protect Exchange by creating incentives to The Proposed Rule Change Is an investors and the public interest. Finally, the Exchange believes that it transact in FAANG, which increased Equitable Allocation of Credits and Fees liquidity would benefit all market is subject to significant competitive participants, including non-Market The Exchange believes the proposed forces, as described below in the Makers that are interested in trading rule change is an equitable allocation of Exchange’s statement regarding the FAANG. The Exchange believes that the its fees and credits. The proposal is burden on competition. proposed change would incent firms based on the amount and type of business transacted on the Exchange B. Self-Regulatory Organization’s that have historically qualified for the Statement on Burden on Competition Credit to trade greater volume to earn and Market Makers can opt to avail the higher (proposed) Credit. And, themselves of the MM FAANG Credit or In accordance with Section 6(b)(8) of believes that the lower (existing) volume not. To the extent that the proposed the Act, the Exchange does not believe threshold should still attract firms change attracts more FAANG that the proposed rule change would (including those that have never transactions to the Exchange, this impose any burden on competition that achieved the Credit) to trade the increased order flow would continue to is not necessary or appropriate in requisite volume in FAANG to earn the make the Exchange a more competitive furtherance of the purposes of the Act. Credit. To the extent that the proposed venue for, among other things, order Instead, as discussed above, the change attracts more FAANG execution. Thus, the Exchange believes Exchange believes that the proposed transactions to the Exchange, this the proposed rule change would changes would encourage the increased order flow would continue to improve market quality for all market submission of additional liquidity to a make the Exchange a more competitive participants on the Exchange and, as a public exchange, thereby promoting venue for order execution, which, in consequence, attract more order flow to market depth, price discovery and turn, promotes just and equitable the Exchange thereby improving market- transparency and enhancing order principles of trade and removes wide quality and price discovery. execution opportunities for all market participants. As a result, the Exchange impediments to and perfects the The Proposed Rule Change Is Not believes that the proposed change mechanism of a free and open market Unfairly Discriminatory and a national market system. furthers the Commission’s goal in The Exchange believes it is not To the extent the proposed change adopting Regulation NMS of fostering unfairly discriminatory to modify the continues to attract greater volume and integrated competition among orders, MM FAANG Credit because the liquidity (to the Floor or otherwise), the which promotes ‘‘more efficient pricing proposed modification would be Exchange believes the proposed change of individual stocks for all types of available to all similarly-situated market 16 would improve the Exchange’s overall orders, large and small.’’ participants on an equal and non- competitiveness and strengthen its Intramarket Competition. The discriminatory basis. proposed change is designed to attract The proposal is based on the amount 14 Based on OCC data, see supra note 6, in 2019, additional order flow to the Exchange the Exchange’s market share in equity-based and type of business transacted on the options declined from 9.57% for the month of 16 See Reg NMS Adopting Release, supra note 4, January to 9.23% for the month of September. 15 See supra notes 8, 9. at 37499.
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by improving quote quality. The because it is designed to increase Electronic Comments Exchange also believes the proposed liquidity for market participants that • Use the Commission’s internet Credit, as modified, is procompetitive as would like to trade FAANG by comment form (http://www.sec.gov/ it would further the Exchange’s goal of encouraging Market Maker rules/sro.shtml); or introducing (relatively) new products to organizations to open more positions in • Send an email to rule-comments@ the marketplace and encouraging FAANG on the Exchange. The Exchange sec.gov. Please include File Number SR– Market Makers to provide liquidity in believes that the proposed change could NYSEArca–2019–90 on the subject line. these products, which would in turn, promote competition between the benefit all market participants. Market Exchange and other execution venues, Paper Comments participants that do not wish to trade in by encouraging additional orders to be • Send paper comments in triplicate FAANG are not obliged to do so. To the sent to the Exchange for execution. The to Secretary, Securities and Exchange extent that there is an additional Exchange does not believe that the Commission, 100 F Street NE, competitive burden on market proposed change will impair the ability Washington, DC 20549–1090. participants that are not eligible for the of any market participants or competing modified MM FAANG Credit (i.e., non- order execution venues to maintain All submissions should refer to File Market Maker organizations), the their competitive standing in the Number SR–NYSEArca–2019–90. This Exchange believes that this is financial markets. file number should be included on the appropriate because the proposal would subject line if email is used. To help the C. Self-Regulatory Organization’s incent Market Makers to transact in Commission process and review your Statement on Comments on the FAANG, which would enhance the comments more efficiently, please use Proposed Rule Change Received From quality of the Exchange’s markets and only one method. The Commission will Members, Participants, or Others increases the volume of contracts traded post all comments on the Commission’s here. To the extent that this purpose is No written comments were solicited internet website (http://www.sec.gov/ achieved, all of the Exchange’s market or received with respect to the proposed rules/sro.shtml). Copies of the participants should benefit from the rule change. submission, all subsequent improved market liquidity. Enhanced amendments, all written statements III. Date of Effectiveness of the market quality and increased with respect to the proposed rule Proposed Rule Change and Timing for transaction volume that results from the change that are filed with the Commission Action anticipated increase in order flow Commission, and all written directed to the Exchange will benefit all The foregoing rule change is effective communications relating to the market participants and improve upon filing pursuant to Section proposed rule change between the competition on the Exchange. Further, 19(b)(3)(A)18 of the Act and Commission and any person, other than the proposed Credit would be applied to subparagraph (f)(2) of Rule 19b–419 those that may be withheld from the all similarly situated participants (i.e., thereunder, because it establishes a due, public in accordance with the Market Maker organizations), and, as fee, or other charge imposed by the provisions of 5 U.S.C. 552, will be such, the proposed change would not Exchange. available for website viewing and printing in the Commission’s Public impose a disparate burden on At any time within 60 days of the Reference Room, 100 F Street NE, competition either among or between filing of such proposed rule change, the Washington, DC 20549, on official classes of market participants. Commission summarily may business days between the hours of Finally, the Exchange believes that temporarily suspend such rule change if 10:00 a.m. and 3:00 p.m. Copies of the the technical changes to the rule text it appears to the Commission that such filing also will be available for (i.e., clarifying ‘‘FAANG contract sides’’ action is necessary or appropriate in the inspection and copying at the principal and including concept of a specified public interest, for the protection of office of the Exchange. All comments minimum number of ‘‘eligible contract investors, or otherwise in furtherance of received will be posted without change. sides’’) do not impose an undue burden the purposes of the Act. If the Persons submitting comments are on competition. Instead, the proposed Commission takes such action, the cautioned that we do not redact or edit changes would add clarity and Commission shall institute proceedings personal identifying information from transparency making the Fee Schedule under Section 19(b)(2)(B) 20 of the Act to comment submissions. You should easier for market participants to determine whether the proposed rule submit only information that you wish navigate.17 change should be approved or to make available publicly. All Intermarket Competition. While there disapproved. is limited intermarket competition with submissions should refer to File respect to FAANG, as it lists and trades IV. Solicitation of Comments Number SR–NYSEArca–2019–90, and only on the Exchange and NYSE should be submitted on or before Interested persons are invited to January 16, 2020. American, this index product competes submit written data, views, and with market participants that choose to arguments concerning the foregoing, For the Commission, by the Division of create their own synthetic index including whether the proposed rule Trading and Markets, pursuant to delegated 21 product by trading in the basket of change is consistent with the Act. authority. securities that comprise the FAANG Comments may be submitted by any of J. Matthew DeLesDernier, index on other exchanges. This the following methods: Assistant Secretary. proposed fee change would therefore [FR Doc. 2019–27728 Filed 12–23–19; 8:45 am] promote intermarket competition 18 15 U.S.C. 78s(b)(3)(A). BILLING CODE 8011–01–P 19 17 CFR 240.19b–4(f)(2). 17 See supra notes 8, 9. 20 15 U.S.C. 78s(b)(2)(B). 21 17 CFR 200.30–3(a)(12).
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SECURITIES AND EXCHANGE and discussed any comments it received ‘‘has been remarkably successful in COMMISSION on the proposed rule change. The text promoting market competition in its of those statements may be examined at broader forms that are most important to [Release No. 34–87795; File No. SR– the places specified in Item IV below. investors and listed companies.’’ 5 NYSEArca–2019–88] The Exchange has prepared summaries, As the Commission itself recognized, set forth in sections A, B, and C below, Self-Regulatory Organizations; NYSE the market for trading services in NMS of the most significant parts of such Arca, Inc.; Notice of Filing and stocks has become ‘‘more fragmented statements. Immediate Effectiveness of Proposed and competitive.’’ 6 Indeed, equity Rule Change, as Modified by Partial A. Self-Regulatory Organization’s trading is currently dispersed across 13 Amendment No. 1, To Amend the Fees Statement of the Purpose of, and exchanges,7 31 alternative trading for NYSE Arca BBO and NYSE Arca Statutory Basis for, the Proposed Rule systems,8 and numerous broker-dealer Trades Change internalizers and wholesalers, all December 18, 2019. 1. Purpose competing for order flow. Based on publicly-available information, no Pursuant to Section 19(b)(1) of the The Exchange proposes to decrease single exchange currently has more than Securities Exchange Act of 1934 the fees for certain NYSE Arca market 18% market share (whether including or (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 data products, as set forth on the NYSE excluding auction volume).9 notice is hereby given that, on December Arca Equities Proprietary Market Data 4, 2019, NYSE Arca, Inc. (‘‘NYSE Arca’’ Fee Schedule (‘‘Fee Schedule’’). The With the NYSE BQT market data or ‘‘Exchange’’) filed with the Securities purpose of these fee decreases, taken product, NYSE Arca and its affiliates and Exchange Commission together with fee decreases filed by the compete head to head with the Nasdaq (‘‘Commission’’) a proposed rule change Exchange’s affiliated exchanges, New Basic 10 and Cboe One Feed 11 market as described in Items I, II, and III below, York Stock Exchange LLC (‘‘NYSE’’) and data products. Similar to those market which Items have been prepared by the NYSE American, Inc. (‘‘NYSE data products, NYSE BQT, which was Exchange. On December 17, 2019, the American’’),4 will reduce the fees established in 2014,12 consists of certain Exchange filed Partial Amendment No. associated with the NYSE BQT elements from NYSE Arca BBO and 1 to the proposed rule change.3 The proprietary data product, which NYSE Arca Trades as well as from Commission is publishing this notice to competes directly with similar products market data products from the solicit comments on the proposed rule offered by both the Nasdaq and Cboe Exchange’s affiliates, NYSE, NYSE change, as modified by Partial families of U.S. equity exchanges. American, NYSE National, Inc. (‘‘NYSE Amendment No. 1, from interested Collectively, the proposed fee decreases persons. are intended to respond to the 5 See Securities Exchange Act Release No. 51808 competition posed by similar products (June 9, 2005), 70 FR 37495, 37499 (June 29, 2005) I. Self-Regulatory Organization’s offered by the other exchange groups. (S7–10–04) (Final Rule) (‘‘Regulation NMS Statement of the Terms of Substance of Specifically, the Exchange proposes to Adopting Release’’). the Proposed Rule Change (1) reduce the Access Fees by more than 6 See Securities Exchange Act Release No. 51808, 84 FR 5202, 5253 (February 20, 2019) (File No. S7– The Exchange proposes to (1) amend 86% for subscribers of NYSE Arca BBO 05–18) (Transaction Fee Pilot for NMS Stocks Final the fees for NYSE Arca BBO and NYSE and NYSE Arca Trades that receive a Rule) (‘‘Transaction Fee Pilot’’). Arca Trades by modifying the data feed and use those market data 7 See Cboe Global Markets, U.S. Equities Market products in a display-only format; (2) Volume Summary, available at https:// application of the Access Fee; (2) amend _ provide for a credit applicable to the markets.cboe.com/us/equities/market share/. See the fees for NYSE Arca Trades by generally https://www.sec.gov/fast-answers/ adopting a credit applicable to the Redistribution Fee for subscribers of divisionsmarketregmrexchangesshtml.html. Redistribution Fee; and (3) adopt a one- NYSE Arca Trades that use that market 8 See FINRA ATS Transparency Data, available at month free trial for all NYSE Arca data product for display purposes; and https://otctransparency.finra.org/otctransparency/ (3) adopt a one-month free trial for all AtsIssueData. A list of alternative trading systems market data products. The Exchange registered with the Commission is available at also proposes to remove certain obsolete NYSE Arca market data products. The https://www.sec.gov/foia/docs/atslist.htm. text. The Exchange proposes to Exchange also proposes non-substantive 9 See Cboe Global Markets U.S. Equities Market implement the proposed fee changes on changes to remove certain obsolete text Volume Summary, available at http:// February 3, 2020. The proposed rule from the Fee Schedule. All of the markets.cboe.com/us/equities/market_share/. 10 change is available on the Exchange’s proposed changes would decrease fees As described on the Nasdaq website, available for market data on the Exchange. here: http://www.nasdaqtrader.com/ website at www.nyse.com, at the Trader.aspx?id=nasdaqbasic, Nasdaq Basic is a principal office of the Exchange, and at The Exchange proposes to implement ‘‘low cost alternative’’ that provides ‘‘Best Bid and the Commission’s Public Reference these proposed fee changes on February Offer and Last Sale information for all U.S. 3, 2020. exchange-listed securities based on liquidity within Room. the Nasdaq market center, as well as trades reported II. Self-Regulatory Organization’s Background to the FINRA Trade Reporting Facility (‘‘TRF’’).’’ The Commission has repeatedly 11 As described on the Cboe website, available Statement of the Purpose of, and here: https://markets.cboe.com/us/equities/market_ Statutory Basis for, the Proposed Rule expressed its preference for competition data_services/cboe_one/, the Cboe One Feed is a Change over regulatory intervention in ‘‘market data product that provides cost-effective, high-quality reference quotes and trade data for In its filing with the Commission, the determining prices, products, and services in the securities markets. In market participants looking for comprehensive, self-regulatory organization included real-time market data’’ and provides a ‘‘unified statements concerning the purpose of, Regulation NMS, the Commission view of the market from all four Cboe equity and basis for, the proposed rule change highlighted the importance of market exchanges: BZX Exchange, BYX Exchange, EDGX forces in determining prices and SRO Exchange, and EDGY [sic] Exchange.’’ revenues, and also recognized that 12 See Securities Exchange Act Release Nos. 1 15 U.S.C. 78s(b)(1). 72750 (August 4, 2014), 79 FR 46494 (August 8, 2 17 CFR 240.19b–4. current regulation of the market system 2014) (notice—NYSE BQT); and 73553 (November 3 In Partial Amendment No. 1, the Exchange 6, 2014), 79 FR 67491 (November 13, 2014) provided an additional example in support of the 4 See SR–NYSE–2019–70 and SR–NYSEAmer– (approval order—NYSE BQT) (SR–NYSE–2014–40) proposed rule change. 2019–55. (‘‘NYSE BQT Filing’’).
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National’’) 13 and NYSE Chicago Because NYSE BQT is priced based (‘‘NYSE Arca Last Sale Information’’).20 (‘‘NYSE Chicago’’).14 Similar to both on the fees associated with the NYSE Arca Last Sale Information Nasdaq Basic and the Cboe One Feed, underlying ten market data feeds, the includes last sale information for all NYSE BQT provides investors with a Exchange and its affiliates propose to securities that are traded on the unified view of comprehensive last sale compete with the Cboe One Feed and Exchange. NYSE Arca Trades is made and BBO data in all Tape A, B, and C Nasdaq Basic by reducing fees for the available to its subscribers at the same securities that trade on the Exchange, underlying market data products that time as the information it contains is NYSE, NYSE American, NYSE National comprise NYSE BQT. Together with made available to the processor under and NYSE Chicago. Also, similar to NYSE and NYSE American, the the CTA Plan. Nasdaq Basic and the Cboe One Feed, Exchange similarly proposes to compete Currently, subscribers of each of the NYSE BQT is not intended to be used for subscribers to NYSE BQT by NYSE Arca BBO and NYSE Arca Trades for purposes of making order-routing or designing its fee decreases to be products that receive a data feed pay an trading decisions, but rather, provides attractive to subscribers of NYSE Arca Access Fee of $750 per month. The indicative prices for Tape A, B, and C BBO and NYSE Arca Trades that use Exchange proposes to reduce the Access securities.15 such products for display-only Fees for subscribers of NYSE Arca BBO Currently, to subscribe to NYSE BQT, purposes, which are more likely to be and NYSE Arca Trades that receive a subscribers are charged an access fee of subscribers that service retail investors. data feed and use those products in a $250 per month.16 Additionally, display-only format, including for subscribers must also subscribe to, and Access Fee—NYSE Arca BBO and NYSE internal use for Professional Users and pay applicable fees for NYSE Arca BBO, Arca Trades external distribution to both NYSE Arca Trades, NYSE BBO, NYSE NYSE Arca BBO is a NYSE Arca-only Professional and Non-Professional Users Trades, NYSE American BBO, NYSE market data product that allows a in a display-only format, from $750 per American Trades, NYSE National BBO, vendor to redistribute on a real-time month (per product) to $100 per month NYSE National Trades, NYSE Chicago basis the same best-bid-and-offer (per product). The Exchange proposes to BBO and NYSE Chicago Trades. Thus, information that NYSE Arca reports designate this access fee as a ‘‘Per User the charges for NYSE BQT are the $250 under the Consolidated Quotation Plan Access Fee.’’ A subscriber that receives Access Fee for NYSE BQT, plus a $1,500 (‘‘CQ Plan’’) for inclusion in the CQ a data feed and uses the market data access fee for each of NYSE BBO and product for any other purpose (such as 17 Plan’s consolidated quotation NYSE Trades, plus a $750 access fee information data stream (‘‘NYSE Arca non-display use), including if combined for each of NYSE Arca BBO and NYSE 19 with Per User use, would continue to 18 BBO Information’’). NYSE Arca BBO Arca Trades, plus a $750 access fee for Information includes the best bids and pay the $750 per month Access Fee.21 each of NYSE American BBO and NYSE A subscriber will be charged only one 17 offers for all securities that are traded on American Trades, for a total of $6,250 access fee for each of the NYSE Arca 18 the Exchange and for which NYSE Arca ($250 + $3,000 + $1,500 + $1,500). In reports quotes under the CQ Plan. NYSE BBO and NYSE Arca Trades products, addition, an NYSE BQT subscriber Arca BBO is available over a single data depending on the use of that product. would need to pay for the applicable feed, regardless of the markets on which The proposed rule change would Professional or Non-Professional User the securities are listed. NYSE Arca result in lower fees for subscribers of Fees for the underlying market data BBO is made available to its subscribers each of NYSE Arca BBO and NYSE Arca products, as applicable.19 no earlier than the information it Trades products that receive a data feed contains is made available to the and use such products for display-only 13 In 2018, NYSE BQT was amended to include purposes. The proposed Per User Access NYSE National BBO and NYSE National Trades. processor under the CQ Plan. See Securities Exchange Act Release No. 83359 NYSE Arca Trades is a NYSE Arca- Fee of $100 per month, lowered from (June 1, 2018), 83 FR 26507 (June 7, 2018) (SR– only market data product that allows a $750 per month, would result in a NYSE–2018–22). vendor to redistribute on a real-time reduction of more than 86% for 14 In 2019, NYSE BQT was amended to include subscribers that receive a data feed and NYSE Chicago BBO and NYSE Chicago Trades. See basis the same last sale information that Securities Exchange Act Release No. 87511 NYSE Arca reports to the Consolidated use the product in a display-only (November 12, 2019), 84 FR 63689 (November 18, Tape Association (‘‘CTA’’) for inclusion format. Additionally, the proposed rule 2019) (SR–NYSE–2019–60). in the CTA’s consolidated data stream change, together with the proposed rule 15 See NYSE BQT Filing, supra note 12. changes by NYSE and NYSE American 16 and certain other related data elements See NYSE Proprietary Market Data Fees, to similarly reduce the access fees to available here: https://www.nyse.com/publicdocs/ _ _ _ _ their BBO and Trades products, would nyse/data/NYSE Market Data Fee Schedule.pdf. Professional User Fees for each of NYSE Arca BBO 17 See id. and NYSE Arca Trades is $4 per month, and the also significantly lower access fees for 18 See Fee Schedule, available here: https:// Non-Professional User Fees for each of NYSE Arca display-only subscribers of NYSE BQT, www.nyse.com/publicdocs/nyse/data/NYSE_Arca_ BBO and NYSE Arca Trades is $0.25 per month. See from $6,250 per month to $850 per _ _ Equities Fee Schedule.pdf. Fee Schedule, available here: https:// month ($250 + $200 + $200 +$200), a 17 See NYSE American Equities Proprietary www.nyse.com/publicdocs/nyse/data/NYSE_Arca_ Market Data Fees, available here: https:// Equities_Fee_Schedule.pdf. The Professional User reduction of more than 86%. www.nyse.com/publicdocs/nyse/data/NYSE_ Fees for each of NYSE American BBO and NYSE The proposed rule change is intended American_Equities_Market_Data_Fee_ American Trades is $4 per month, and the Non- to encourage greater use of NYSE BQT Schedule.pdf. Professional User Fees for each of NYSE American by making it more affordable for data 18 There are currently no fees charged for the BBO and NYSE American Trades is $0.25 per recipients that receive a data feed of NYSE National BBO, NYSE National Trades, NYSE month. See NYSE American Equities Proprietary Chicago BBO, or NYSE Chicago Trades market data Market Data Fees, available here: https:// products. www.nyse.com/publicdocs/nyse/data/NYSE_ 20 See Securities Exchange Act Release Nos. 19 The Exchange is not proposing any changes to American_Equities_Market_Data_Fee_ 59308 (January 28, 2009), 74 FR 5955 (February 3, the User Fees. Currently, the Professional User Fees Schedule.pdf. 2009) (SR–NYSEArca–2009–05) (notice—NYSE for each of NYSE BBO and NYSE Trades is $4 per 19 See Securities Exchange Act Release Nos. Arca Trades); 59598 (March 18, 2009), 74 FR 12919 month, and the Non-Professional User Fees for each 61937 (April 16, 2010), 75 FR 21378 (April 23, (March 25, 2009) (SR–NYSEArca–2009–05) of NYSE BBO and NYSE Trades is $0.20 per month. 2010) (SR–NYSEArca–2010–23) (notice—NYSE (approval order—NYSE Arca Trades). See NYSE Proprietary Market Data Fees, available Arca BBO); and 62188 (May 27, 2010), 75 FR 31484 21 With the proposed adoption of the Per User here: https://www.nyse.com/publicdocs/nyse/data/ (June 3, 2010) (SR–NYSEArca–2010–23) (approval Access Fee, the Exchange proposes to rename the NYSE_Market_Data_Fee_Schedule.pdf. The order—NYSE Arca BBO). Access Fee as the General Access Fee.
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NYSE Arca Trades and NYSE Arca BBO Redistributors to make the NYSE BQT subscribers to determine whether a and use the products in a display-only market data product available to its particular NYSE Arca market data format and thereby, allow the Exchange customers. Specifically, if a data product provides value to their business to compete more effectively with Cboe recipient is interested in subscribing to models before fully committing to One Feed and Nasdaq Basic. The NYSE BQT and relies on a Redistributor expend development and Exchange believes the proposed rule to obtain market data products from the implementation costs related to the change would allow the Exchange to Exchange, that data recipient would receipt of that product, and is intended offer retail investors a competitively need its Redistributor to redistribute to encourage increased use of the priced alternative to other top-of-book NYSE BQT. Currently, Redistributors Exchange’s market data products by data products available in the that redistribute NYSE Arca market data defraying some of the development and marketplace. products do not necessarily also make implementation costs subscribers would NYSE BQT available. Because data Redistribution Fee—NYSE Arca Trades ordinarily have to expend before using recipients that use NYSE BQT do so for a product. The Exchange currently charges a display-only use, and therefore would Redistribution Fee of $750 per month use the NYSE Arca Trades market data Non-Substantive Changes for NYSE Arca Trades. A Redistributor product for display-only use, the In December 2017, the Exchange is a vendor or any other person that Exchange believes that this proposed fee amended the Fee Schedule to adopt provides a NYSE Arca data product to decrease for Redistributors of NYSE footnote 6 regarding a Decommission a data recipient or to any system that a Arca Trades would provide an incentive Extension Fee for receipt of the NYSE data recipient uses, irrespective of the for Redistributors to make NYSE BQT Arca Integrated Feed market data means of transmission or access. A available to its customers, which will product.23 The Decommission Redistributor is required to report to the increase the availability of NYSE BQT to Extension Fee was adopted to allow Exchange each month the number of a larger potential population of data existing subscribers at the time to Professional and Non-Professional Users recipients.22 receive these market data products in and data feed recipients that receive their legacy format as the Exchange was NYSE Arca Trades. As noted above, for One-Month Free Trial—All NYSE Arca Market Data Products transitioning to a newer distribution display use of NYSE Arca Trades, the protocol. The Decommission Extension Exchange currently charges a Per User The Exchange proposes a one-month Fee for NYSE Arca Integrated Feed Fee of $4 per month for each free trial for any firm that subscribes to expired on January 30, 2018. The Professional User and a Per User Fee of a particular NYSE Arca market data Exchange proposes to remove rule text $0.25 per month for each Non- product for the first time. As proposed, regarding the Decommission Extension Professional User. These user fees apply a first-time subscriber would be any Fee for NYSE Integrated Feed from to each display device that has access to firm that has not previously subscribed footnote 6 of the Fee Schedule, as that NYSE Arca Trades. to a particular NYSE Arca market data rule text is now obsolete because the The Exchange proposes to adopt a product listed on the Fee Schedule. As period of time during which the credit that would be applicable to proposed, a first-time subscriber of a Decommission Extension Fee for NYSE Redistributors that provide external particular NYSE Arca market data Integrated Feed was applicable has distribution of NYSE Arca Trades to product would not be charged the passed. The Exchange proposes to Professional and Non-Professional Users Access Fee, Non-Display Fee, any replace the text in footnote 6 with rule in a display-only format. As proposed, applicable Professional and Non- text regarding the proposed fee change such Redistributors would receive a Professional User Fee, and related to the Redistribution Fee for credit equal to the amount of the Redistribution Fee for that product for NYSE Arca Trades described above. monthly Professional User and Non- one calendar month. For example, a The Exchange also proposes a non- Professional User Fees for such external firm that currently subscribes to NYSE substantive amendment to move the text distribution, up to a maximum of the Arca BBO would be eligible to receive describing the Enterprise Fee on the Fee Redistribution Fee for NYSE Arca a free one-month trial of NYSE Arca Schedule to appear below the Non- Trades. For example, a Redistributor Trades, whether in a display-only Professional User Fee. The Exchange is that reports external Professional Users format or for non-display use. On the not making any substantive changes to and Non-Professional Users in a month other hand, a firm that currently pays an this fee. The Exchange believes that this totaling $750 or more would receive a Access Fee and receives NYSE Arca proposed non-substantive change will maximum credit of $750 for that month, BBO for non-display use would not be make the Fee Schedule easier to which could effectively reduce its eligible to receive a free one-month trial navigate, as the Enterprise Fee is related Redistribution Fee to zero. If that same of NYSE Arca BBO in a display-only to Per User fees. Redistributor were to report external format. The proposed free trial would be The Exchange also proposes two non- User quantities in a month totaling $500 for the first full calendar month substantive, clarifying amendments to of monthly usage, that Redistributor following the date a subscriber is footnote 4. First, the Exchange proposes would receive a credit of $500. approved to receive trial access to the to delete the term ‘‘clients’’ and replace Redistributors would have an incentive particular NYSE Arca market data it with the term ‘‘Professional Users and to increase their redistribution of NYSE product. The Exchange would provide Non-Professional Users.’’ This proposed Arca Trades because the credit they the one-month free trial for each change is consistent with the operation would be eligible to receive would particular product to each subscriber of the Enterprise Fee, which relates only increase if they report additional once. to the Professional User and Non- external User quantities. The Exchange believes that providing Professional Per User fees. Second, the By targeting this proposed credit to a one-month free trial to NYSE Arca Exchange proposes to insert ‘‘Arca’’ in Redistributors that provide external market data products listed on the Fee front of BBO and Trades to correctly distribution of NYSE Arca Trades in a Schedule would enable potential display-only product, the Exchange 23 See Securities Exchange Act Release No. 82344 believes that this proposed fee decrease 22 NYSE Arca does not charge a Redistribution (December 18, 2017), 82 FR 60784 (December 22, would provide an incentive for Fee for NYSE Arca BBO. 2017) (SR–NYSEArca–2017–142).
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note that the Enterprise Fee applies to discrimination among customers, the demand for both consolidated and the NYSE Arca BBO and NYSE Arca issuers, and brokers. exchange proprietary market data Trades market data products. The products and the uses to which those The Proposed Rule Change Is Exchange believes that these proposed products were put by market Reasonable changes would promote clarity and participants, and reported his transparency of the Fee Schedule, In adopting Regulation NMS, the conclusions in a paper annexed without making any substantive Commission granted SROs and broker- hereto.29 Among other things, Professor changes. dealers increased authority and Jones concluded that: flexibility to offer new and unique • ‘‘The market [for exchange market Applicability of Proposed Rule Change market data to the public. The data] is characterized by robust As noted above, the proposed rule Commission has repeatedly expressed competition: Exchanges compete with change is designed to reduce the overall its preference for competition over each other in selling proprietary market cost of NYSE BQT by reducing specified regulatory intervention in determining data products. They also compete with fees applicable to the underlying market prices, products, and services in the consolidated data feeds and with data data products that comprise NYSE BQT. securities markets. Specifically, in provided by alternative trading systems There is currently only one subscriber to Regulation NMS, the Commission (‘ATSs’). Barriers to entry are very low, NYSE BQT (a vendor), and the highlighted the importance of market so existing exchanges must also take Exchange believes that the proposed forces in determining prices and SRO into account competition from new rule change would provide an incentive revenues, and also recognized that entrants, who generally try to build both for data subscribers to subscribe to current regulation of the market system market share by offering their NYSE BQT and for Redistributors to ‘‘has been remarkably successful in proprietary market data products for subscribe to the product for purposes of promoting market competition in its free for some period of time.’’ 30 broader forms that are most important to • ‘‘Although there are regulatory providing external distribution of NYSE 26 BQT. investors and listed companies.’’ requirements for some market With respect to market data, the participants to use consolidated data Because the proposed rule change is decision of the United States Court of products, there is no requirement for targeted to potential customers of NYSE Appeals for the District of Columbia market participants to purchase any BQT, which is designed to be a product Circuit in NetCoalition v. SEC upheld proprietary market data product for for display-only data subscribers, the the Commission’s reliance on the regulatory purposes.’’ 31 proposed changes to the NYSE Arca existence of competitive market • ‘‘There are a variety of data BBO and NYSE Arca Trades Access Fee mechanisms to evaluate the products, and consumers of equity are narrowly construed with that reasonableness and fairness of fees for market data choose among them based purpose in mind. Accordingly, these proprietary market data: on their needs. Like most producers, proposed fee changes are not designed In fact, the legislative history exchanges offer a variety of market data for data subscribers that use NYSE Arca indicates that the Congress intended products at different price levels. BBO or NYSE Arca Trades for non- that the market system ‘‘evolve through Advanced proprietary market data display use, or for Redistributors that the interplay of competitive forces as products provide greater value to those redistribute NYSE Arca Trades to data unnecessary regulatory restrictions are who subscribe. As in any other market, subscribers that use that market data removed’’ and that the SEC wield its each potential subscriber takes the product for non-display uses. This regulatory power ‘‘in those situations features and prices of available products proposed rule change would not result where competition may not be into account in choosing what market in any changes to the market data fees sufficient,’’ such as in the creation of a data products to buy based on its for NYSE Arca BBO and NYSE Arca ‘‘consolidated transactional reporting business model.’’ 32 Trades for such data subscribers. system.’’ 27 • ‘‘Exchange equity market data fees The Exchange believes that five The court agreed with the are a small cost for the industry overall: current subscribers to the NYSE Arca Commission’s conclusion that The data demonstrates that total BBO and NYSE Arca Trades would meet ‘‘Congress intended that ‘competitive exchange market data revenues are the qualifications to be eligible for these forces should dictate the services and orders of magnitude smaller than (i) proposed fee changes. The Exchange practices that constitute the U.S. broker-dealer commissions, (ii) further believes that this proposed rule national market system for trading investment bank earnings from equity change has the potential to attract new equity securities.’ ’’ 28 trading, and (iii) revenues earned by 33 Redistributors for NYSE BQT, as well as 1. The Proposed Fees Are Constrained third-party vendors.’’ • ‘‘For proprietary exchange data new NYSE BQT subscribers that would by Significant Competitive Forces be subscribing to NYSE Arca BBO and feeds, the main question is whether NYSE Arca Trades for the first time. a. Exchange Market Data Is Sold in a there is a competitive market for Competitive Market proprietary market data. More than 40 2. Statutory Basis In 2018, Charles M. Jones, the Robert active exchanges and alternative trading The Exchange believes that the W. Lear of Professor of Finance and systems compete vigorously in both the proposed rule change is consistent with Economics of the Columbia University market for order flow and in the market the provisions of Section 6 of the Act,24 School of Business, conducted an for market data. The two are closely in general, and Sections 6(b)(4) and analysis of the market for equity market linked: An exchange needs to consider 6(b)(5) of the Act,25 in particular, in that data in the United States. He canvassed the negative impact on its order flow if it provides an equitable allocation of reasonable fees among users and 26 See Regulation NMS Adopting Release, 70 FR 29 See Exhibit 3A, Charles M. Jones, recipients of the data and is not 37495, at 37499. Understanding the Market for U.S. Equity Market 27 NetCoalition v. SEC, 615 F.3d 525, 535 (D.C. Data, August 31, 2018 (hereinafter ‘‘Jones Paper’’). designed to permit unfair 30 Cir. 2010) (‘‘NetCoalition I’’) (quoting H.R. Rep. No. Jones Paper at 2. 94–229 at 92 (1975), as reprinted in 1975 31 Id. 24 15 U.S.C. 78f(b). U.S.C.C.A.N. 323). 32 Id. 25 15 U.S.C. 78f(b)(4), (5). 28 Id. at 535. 33 Id.
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it raises the price of its market data. example, pursuant to Exchange Rule • ‘‘[D]ata is more valuable when it Furthermore, new entrants have been 7.41, transactions executed on the reflects more trading activity and more frequent over the past 10 years or so, Exchange are processed anonymously. liquidity-providing orders. These and these venues often give market data The Exchange and its affiliated linkages alone are enough to make away for free, serving as a check on exchanges have retained a third party platform economics necessary for pricing by more established exchanges. expert, Marc Rysman, Professor of understanding the pricing of market These are all the standard hallmarks of Economics Boston University, to data.’’ 42 a competitive market.’’ 34 analyze how platform economics • ‘‘[L]inkages running in the opposite Professor Jones’ conclusions are applies to stock exchanges’ sale of direction, from data to trading, are also consistent with the demonstration of the market data products and trading very likely to exist. This is because competitive constraints on the pricing of services, and to explain how this affects market data from an exchange reduces market data demonstrated by analysis of the assessment of competitive forces uncertainty about the likelihood, price, exchanges as platforms for market data affecting the exchanges’ data fees.37 or timing of execution for an order on and trading services, as shown below. Professor Rysman was able to analyze that exchange. This reduction in exchange data that is not otherwise uncertainty makes trading on that b. Exchanges That Offer Market Data publicly available in a manner that is exchange more attractive for traders that and Trading Services Function as Two- subscribe to that exchange’s market Sided Platforms consistent with the exchanges’ confidentiality obligations to customers. data. Increased trading by data An exchange may demonstrate that its As shown in his paper, Professor subscribers, in turn, makes trading on fees are constrained by competitive Rysman surveyed the existing economic the exchange in question more attractive forces by showing that the platform literature analyzing stock exchanges as for traders that do not subscribe to the theory of competition applies. platforms between market data and exchange’s market data.’’ 43 As the United States Supreme Court trading activities, and explained the • The ‘‘mechanisms by which market recognized in Ohio v. American types of linkages between market data data makes trading on an exchange more Express, platforms are firms that act as access and trading activities that must attractive for subscribers to market data intermediaries between two or more sets be present for an exchange to function . . . apply to a wide assortment of market of agents, and typically the choices as a platform. In addition, Professor data products, including BBO, order made on one side of the platform affect Rysman undertook an empirical book, and full order-by-order depth of the results on the other side of the analysis of customers’ trading activities book data products at all exchanges.’’ 44 platform via externalities, or ‘‘indirect within the NYSE group of exchanges in • ‘‘[E]mpirical evidence confirms that 35 network effects.’’ Externalities are reaction to NYSE’s introduction in 2015 stock exchanges are platforms for data linkages between the different ‘‘sides’’ of the NYSE Integrated Feed, a full and trading.’’ 45 • of a platform such that one cannot order-by-order depth of book data ‘‘The platform nature of stock understand pricing and competition for product.38 exchanges means that data fees cannot goods or services on one side of the Professor Rysman’s analysis of this be analyzed in isolation, without platform in isolation; one must also confidential firm-level data shows that accounting for the competitive account for the influence of the other firms that purchased the NYSE dynamics in trading services.’’ 46 • side. As the Supreme Court explained: Integrated Feed market data product ‘‘Competition is properly To ensure sufficient participation, two- after its introduction were more likely to understood as being between platforms sided platforms must be sensitive to the route orders to NYSE as opposed to one (i.e., stock exchanges) that balance the prices that they charge each side. . . . Raising of the other NYSE-affiliated exchanges, needs of consumers of data and the price on side A risks losing participation such as NYSE Arca or NYSE traders.’’ 47 • on that side, which decreases the value of the American.39 Moreover, Professor ‘‘Data fees, data use, trading fees, platform to side B. If the participants on side and order flow are all interrelated.’’ 48 B leave due to this loss in value, then the Rysman shows that the same is true for • firms that did not subscribe to the NYSE ‘‘Competition for order flow can platform has even less value to side A— discipline the pricing of market data, risking a feedback loop of declining Integrated Feed: The introduction of the 49 demand.... Two-sided platforms therefore NYSE Integrated Feed led to more and vice-versa.’’ • ‘‘As with platforms generally, must take these indirect network effects into trading on NYSE (as opposed to other overall competition between exchanges account before making a change in price on NYSE-affiliated exchanges) by firms that 36 will limit their overall profitability, not either side. did not subscribe to the NYSE The Exchange and its affiliated margins on any particular side of the Integrated Feed.40 This is the sort of exchanges have long maintained that platform.’’ 50 externality that is a key characteristic of they function as platforms between a platform market.41 c. Exchange Market Data Fees Are consumers of market data and From this empirical evidence, Constrained by the Availability of consumers of trading services. Proving Professor Rysman concludes: Substitute Platforms the existence of linkages between the Professor Rysman’s conclusions that two sides of this platform requires an in- 37 See Exhibit 3B, Marc Rysman, Stock Exchanges depth economic analysis of both public as Platforms for Data and Trading, December 2, exchanges function as platforms for data and confidential Exchange data 2019 (hereinafter ‘‘Rysman Paper’’), ¶ 7. market data and transaction services about particular customers’ trading 38 See Securities Exchange Act Release Nos. mean that exchanges do not set fees for activities and market data purchases. 74128 (January 23, 2015), 80 FR 4951 (January 29, 2015) (SR–NYSE–2015–03) (Notice of filing and 42 Id. ¶ 95. Exchanges, however, are prohibited immediate effectiveness of proposed rule change to 43 Id. ¶ 96. from sharing details about these specific establish NYSE Integrated Feed) and 76485 44 customer activities and purchases. For (November 20, 2015), 80 FR 74158 (November 27, Id. 2015) (SR–NYSE–2015–57) (Notice of filing and 45 Id. ¶ 97. immediate effectiveness of proposed rule change to 46 Id. ¶ 98. 34 Id. at 39–40. establish fees for the NYSE Integrated Feed). 47 Id. 35 Ohio v. American Express, 138 S. Ct. 2274, 39 Rysman Paper ¶¶ 79–89. 48 Id. 2280–81 (2018). 40 Id. ¶¶ 90–91. 49 Id. 36 Id. at 2281. 41 Id. ¶ 90. 50 Id. ¶ 100.
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market data products without approved as an equities exchange but is More specifically, in reducing considering, and being constrained by, not yet operational; 59 Members specified fees for the NYSE Arca BBO the effect the fees will have on the Exchange (MEMX), which has recently and NYSE Arca Trades market data order-flow side of the platform. And as filed its application to be approved as a products, the Exchange is constrained the D.C. Circuit recognized in registered equities exchange; 60 and by the fact that, if its pricing across the NetCoalition I, ‘‘[n]o one disputes that Miami International Holdings (MIAX), platform is unattractive to customers, competition for order flow is fierce.’’ 51 which has announced its plan to customers have their pick of an The court further noted that ‘‘no introduce equities trading on an existing increasing number of alternative exchange possesses a monopoly, registered options exchange.61 platforms to use instead of the regulatory or otherwise, in the execution Given Professor Rysman’s conclusion Exchange. The Exchange believes that it of order flow from broker dealers,’’ and that exchanges are platforms for market has considered all relevant factors and that an exchange ‘‘must compete data and trading, this fierce competition has not considered irrelevant factors in vigorously for order flow to maintain its for order flow on the trading side of the order to establish reasonable fees. The share of trading volume.’’ 52 platform acts to constrain, or existence of numerous alternative Similarly, the Commission itself has ‘‘discipline,’’ the pricing of market data platforms to the Exchange’s platform recognized that the market for trading on the other side of the platform.62 And ensures that the Exchange cannot set services in NMS stocks has become due to the ready availability of unreasonable market data fees without ‘‘more fragmented and competitive.’’ 53 substitutes and the low cost to move suffering the negative effects of that The Commission’s Division of Trading order flow to those substitute trading decision in the fiercely competitive and Markets has also recognized that venues, an exchange setting market data market for trading order flow. with so many ‘‘operating equities fees that are not at competitive levels d. The Availability of Substitute Market exchanges and dozens of ATSs, there is would expect to quickly lose business to Data Products Constrains Fees for NYSE vigorous price competition among the alternative platforms with more Arca BBO, NYSE Arca Trades, and U.S. equity markets and, as a result, attractive pricing.63 Although the NYSE BQT [transaction] fees are tailored and various exchanges may differ in their frequently modified to attract particular strategies for pricing their market data Even putting aside the facts that types of order flow, some of which is products and their transaction fees for exchanges are platforms and that pricing 54 highly fluid and price sensitive.’’ trades—with some offering market data decisions on the two sides of the Indeed, today, equity trading is for free along with higher trading costs, platform are intertwined, the Exchange currently dispersed across 13 and others charging more for market is constrained in setting the proposed exchanges,55 31 alternative trading market data fees by the availability of 56 data and comparatively less for systems, and numerous broker-dealer trading—the fact that exchanges are numerous substitute market data internalizers and wholesalers, all platforms ensures that no exchange products. competing for order flow. Based on makes pricing decisions for one side of The NYSE BQT market data product publicly-available information, no its platform without considering, and is subject to significant competitive single exchange currently has more than forces that constrain its pricing. 57 being constrained by, the effects that 18% market share. price will have on the other side of the Specifically, as described above, NYSE Further, low barriers to entry mean platform. BQT competes head-to-head with the that new exchanges may rapidly and In sum, the fierce competition for Nasdaq Basic product and the Cboe One inexpensively enter the market and offer order flow thus constrains any exchange Feed. These products each serve as additional substitute platforms to from pricing its market data at a reasonable substitutes for one another as compete with the Exchange.58 In supracompetitive price, and constrains they are each designed to provide addition to the 13 presently-existing the Exchange in setting its fees at issue investors with a unified view of real- exchanges, three new ones are expected here. time quotes and last-sale prices in all to enter the market in 2020: Long Term The proposed fees are therefore Tape A, B, and C securities. Each Stock Exchange (LTSE), which has been reasonable because in setting them, the product provides subscribers with consolidated top-of-book quotes and 51 NetCoalition I, 615 F.3d at 544 (internal Exchange is constrained by the quotation omitted). availability of numerous substitute trades from multiple U.S. equities 52 Id. platforms offering market data products markets. In the case of NYSE BQT, this 53 See Securities Exchange Act Release No. 51808, and trading. Such substitutes need not product provides top-of-book quotes 84 FR 5202, 5253 (February 20, 2019) (File No. S7– be identical, but only substantially and trades data from five NYSE- 05–18). similar to the product at hand. affiliated U.S. equities exchanges, which 54 Commission Division of Trading and Markets, together account for approximately 24% Memorandum to EMSAC, dated October 20, 2015, available here: https://www.sec.gov/spotlight/ 59 See Securities Exchange Act Release No. 85828 of consolidated U.S. equities trading emsac/memo-maker-taker-fees-on-equities- (May 10, 2019) (File No. 10–234) (Findings, volume as of October 2019.64 Cboe One exchanges.pdf. Opinion, and Order of the Commission in the Feed similarly provides top-of-book 55 See Cboe Global Markets, U.S. Equities Market Matter of the Application of Long Term Stock quotes and trades data from Cboe’s four Volume Summary, available at http:// Exchange, Inc. for Registration as a National markets.cboe.com/us/equities/market_share/. See Securities Exchange). U.S. equities exchanges. NYSE BQT, generally https://www.sec.gov/fast-answers/ 60 See Securities Exchange Act Release No. 87436 Nasdaq Basic, and Cboe One Feed are divisionsmarketregmrexchangesshtml.html. (October 31, 2019) (File No. 10–237) (Notice of all intended to provide indicative 56 See FINRA ATS Transparency Data, available filing of application of MEMX LLC for registration pricing and are not intended to be used at https://otctransparency.finra.org/ as a national securities exchange under Section 6 for order routing or trading decisions. otctransparency/AtsIssueData. A list of alternative of the Act). trading systems registered with the Commission is 61 See Press Release of Miami International In addition to competing with available at https://www.sec.gov/foia/docs/ Holdings Inc., dated May 17, 2019, available here: proprietary data products from Nasdaq atslist.htm. https://www.miaxoptions.com/sites/default/files/ _ _ _ _ 57 See Cboe Global Markets U.S. Equities Market press release-files/MIAX Press Release 64 See Cboe Global Markets, U.S. Equities Market Volume Summary, available at http:// 05172019.pdf. Volume Summary, available at https:// markets.cboe.com/us/equities/market_share/. 62 Rysman Paper ¶ 98. markets.cboe.com/us/equities/market_share/ 58 See Jones Paper at 10–11. 63 See Jones Paper at 11. market/2019-10-31/.
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and Cboe, NYSE BQT also competes whether to purchase any of the evident in the Exchange’s proposed with the consolidated data feed. Exchange’s proprietary market data pricing. However, the Exchange does not claim feeds is entirely discretionary. Most In setting the proposed fees, the that NYSE BQT is a substitute for firms that choose to subscribe to Exchange considered the consolidated data with respect to proprietary market data products from competitiveness of the market for requirements under the Vendor Display the Exchange and its affiliates do so for proprietary data and all of the Rule, which is Regulation NMS Rule the primary goals of using them to implications of that competition. The 603(c). increase their revenues, reduce their Exchange believes that it has considered The fact that this filing is proposing expenses, and in some instances all relevant factors and has not reductions in certain fees, fee credits, compete directly with the Exchange’s considered irrelevant factors in order to and free trial periods is itself trading services. Such firms are able to establish reasonable fees. The existence confirmation of the inherently determine for themselves whether or not of numerous alternatives to the competitive nature of the market for the the products in question or any other Exchange’s platform and, more sale of proprietary market data. For similar products are attractively priced. specifically, alternatives to the market example, Cboe recently filed proposed If market data products from the data products, including proprietary rule changes to reduce certain of its Exchange and its affiliates do not data from other sources, ensures that the Cboe One Feed fees and noted that it provide sufficient value to firms based Exchange cannot set unreasonable fees attracted two additional customers on the uses those firms may have for it, when vendors and subscribers can elect because of the reduced fees.65 such firms may simply choose to these alternatives or choose not to The Exchange notes that NYSE Arca conduct their business operations in purchase a specific proprietary data BBO, NYSE Arca Trades, and NYSE ways that do not use the products.67 A product if the attendant fees are not BQT are entirely optional. The clear illustration of this point is the fact justified by the returns that any Exchange and its affiliates are not that today, NYSE BQT has just one particular vendor or data recipient required to make the proprietary data subscriber. would achieve through the purchase. products that are the subject of this In addition, in the case of products proposed rule change available or to that are also redistributed through 2. The Proposed Fees Are Reasonable offer any specific pricing alternatives to market data vendors, such as Bloomberg The specific fees that the Exchange any customers, nor is any firm or and Refinitiv, the vendors themselves proposes for NYSE Arca Trades and investor required to purchase these data provide additional price discipline for NYSE Arca BBO are reasonable, for the products. Unlike some other data proprietary data products because they following additional reasons. products (e.g., the consolidated control the primary means of access to Overall. This proposed fee change is quotation and last-sale information certain end users. These vendors impose a result of the competitive environment, feeds) that firms are required to price discipline based upon their as the Exchange seeks to decrease purchase in order to fulfil regulatory business models. For example, vendors certain of its fees to attract subscribers obligations,66 a customer’s decision that assess a surcharge on data they sell that do not currently use the NYSE BQT are able to refuse to offer proprietary market data product. The Exchange is 65 See Securities Exchange Act Release Nos.86667 products that their end users do not or proposing the fee reductions at issue to (August 14, 2019) (SR-CboeBZX–2019–069); 86670 will not purchase in sufficient numbers. make the Exchange’s fees more (August 14, 2019) (SR–CboeBYX–2019–012); 86676 (August 14, 2019) (SR-CboeEDGA–2019–013); and Currently, only one vendor subscribes to competitive for a specific segment of 86678 (August 14, 2019) (SR–CboeEDGX–2019–048) NYSE BQT, and that vendor has limited market participants, thereby increasing (Notices of filing and Immediate effectiveness of redistribution of NYSE BQT. No other the availability of the Exchange’s data proposed rule change to reduce fees for the Cboe vendors currently subscribe to NYSE products, and expanding the options One Feed) (collectively ‘‘Cboe One Fee Filings’’). The Cboe One Fee Filings were in effect from BQT and likely will not unless their available to firms making data August 1, 2019 until September 30, 2019, when the customers request it, and customers will purchasing decisions based on their Commission suspended them and instituted not elect to pay the proposed fees unless business needs. The Exchange believes proceedings to determine whether to approve or such product can provide value by that this is consistent with the disapprove those proposals. See, e.g., Securities Exchange Act Release No. 87164 (September 30, sufficiently increasing revenues or principles contained in Regulation NMS 2019), 84 FR 53208 (October 4, 2019) (SR– reducing costs in the customer’s to ‘‘promote the wide availability of CboeBZX–2019–069). On October 1, 2019, the Cboe business in a manner that will offset the market data and to allocate revenues to equities exchanges refiled the Cboe One Fee Filings fees. All of these factors operate as on the basis that they had new customers subscribe SROs that produce the most useful data 68 as a result of the Cboe One Fee Filings, and constraints on pricing proprietary data for investors.’’ therefore its fee proposal had increased competition products. Access Fee. By adopting a reduced for top-of-book market data. See Securities Because of the availability of access fee to access U.S. equity market Exchange Act Release Nos. 87312 (October 15, substitutes, an exchange that overprices 2019), 84 FR 56235 (October 21, 2019) (SR- data that is used in display-only format CboeBZX–2019–086); 87305 (October 14, 2019), 84 its market data products stands a high and that serves as the foundation of FR 56210 (October 21, 2019) (SR–CboeBYX–2019– risk that users may substitute another NYSE BQT, the Exchange believes that 015); 87295 (October 11, 2019), 84 FR 55624 source of market data information for its more data recipients may choose to (October 17, 2019) (SR–CboeEDGX–2019–059); and own. Those competitive pressures 87294 (October 11, 2019), 84 FR 55638 (October 17, subscribe to these products, thereby 2019) (SR–CboeEDGZ–2019–015) (Notices of filing imposed by available alternatives are expanding the distribution of this and immediate effectiveness of proposed rule market data for the benefit of investors changes to re-file the Small Retail Broker comply with their best execution obligations. See In that participate in the national market Distribution Program) (‘‘Cboe One Fee Re-Filings’’). the Matter of the Application of Securities Industry On November 26, 2019, the Commission suspended and Financial Markets Association for Review of system and increasing competition the Cboe One Fee Re-Filings and instituted Actions Taken by Self-Regulatory Organizations, generally. In addition, the proposed proceedings to determine whether to approve or Release Nos. 34–72182; AP–3–15350; AP–3–15351 reduced access fee is reasonable when disapprove those proposals. See, e.g., Securities (May 16, 2014). Similarly, there is no requirement compared to similar fees for comparable Exchange Act Release No. 87629 (November 26, in Regulation NMS or any other rule that 2019) (SR–CboeBZX–2019–086) (Federal Register proprietary data be utilized for order routing products offered by other markets. For publication pending). decisions, and some broker-dealers and ATSs have 66 The Exchange notes that broker-dealers are not chosen not to do so. 68 See Regulation NMS Adopting Release, 70 FR required to purchase proprietary market data to 67 See generally Jones Paper at 8, 10–11. 37495, at 37503.
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example, NYSE Arca Trades provides proposed changes by the Exchange, contribute to reasonably ensuring that investors with alternative market data NYSE American, and NYSE, the the fees described there are clear and and is similar to the Nasdaq Last Sale Exchange is similarly seeking to accurate. Specifically, the proposed Data Feed; Nasdaq charges compete by decreasing the total access changes are reasonable because they redistributors a monthly fee of $1,500 fees for NYSE BQT from $6,250 to $850. would remove obsolete rule text and per month, which is higher than the This proposed rule change therefore dates from the Fee Schedule related to current access fee for NYSE Arca demonstrates the existence of an a Decommission Extension Fee that is Trades, and higher than the proposed effective, competitive market because no longer charged by the Exchange and access fee for display-only users.69 The this proposal resulted from a need to provide greater specificity regarding the Exchange also believes that offering a generate innovative approaches in application of the Enterprise Fee. reduced access fee for display-only use response to competition from other For all of the foregoing reasons, the expands the range of options for offering exchanges that offer market data for a Exchange believes that the proposed the Exchange’s market data products specific segment of market participants. fees are reasonable. and would allow data recipients greater Redistribution Fees. Similarly, the The Proposed Fees Are Equitably choice in selecting the most appropriate proposed reduction to the NYSE Arca Allocated level of data and fees for the Trades Redistribution Fee is reasonable Professional and Non-Professional Users because it is designed to provide an The Exchange believes the proposed they service. incentive for Redistributors to make fees for NYSE Arca Trades and NYSE The Exchange determined to charge NYSE BQT available so that data Arca BBO are allocated fairly and the $100 access fee for its proposed Per recipients can subscribe to NYSE BQT. equitably among the various categories User Access Fee because it constitutes a The Exchange further believes that the of users of the feed, and any differences substantial reduction of the current fee, proposed reduction to the NYSE Arca among categories of users are justified. Overall. As noted above, this with the intended purpose of increasing Trades Redistribution Fee is reasonable proposed fee change is a result of the use of NYSE BQT. NYSE BQT has been because it is designed to compete with competitive environment for market in place since 2014 but has only one a similar credit offered by the Cboe data products that provide indicative subscriber, which itself has limited family of equity exchanges.71 pricing information across a family of distribution of the product. The One-Month Free Trial. The Exchange exchanges. To respond to this Exchange believes that in order to believes that the proposed rule change competitive environment, the Exchange compete with other indicative pricing to provide the NYSE Arca market data seeks to amend its fees to access NYSE products such as Nasdaq Basic and Cboe products to new customers free-of- Arca Trades and NYSE Arca BBO in a One Feed, it needs to provide a charge for their first subscription month display-only format, which the meaningful financial incentive for data is reasonable because it would allow Exchange hopes will attract additional recipients to subscribe to NYSE BQT. vendors and subscribers to become Accordingly, the proposed reduction to subscribers for its NYSE BQT market familiar with the feeds and determine data product. The Exchange is the Access Fees for NYSE Arca Trades whether they suit their needs without and NYSE Arca BBO, together with the proposing the fee reductions to make incurring fees. Making a new market the Exchange’s fees more competitive proposed reduction to the Access Fees data product available for free for a trial for NYSE BBO, NYSE Trades, NYSE for a specific segment of market period is consistent with offerings of participants, thereby increasing the American BBO, and NYSE American other exchanges. For example, Nasdaq Trades, is reasonable because the availability of the Exchange’s data offers new subscribers its market data products, expanding the options reductions will make NYSE BQT a more products a 30-day waiver of user fees.72 attractive offering for data recipients available to firms making data Deletion of Obsolete Text. The purchasing decisions based on their and make it more competitive with Exchange believes that it is reasonable Nasdaq Basic and Cboe One Feed. For business needs, and generally increasing to delete references to obsolete rule text competition. example, the External Distribution Fee and dates from the Fee Schedule and to for Cboe One Feed is currently $5,000 Access Fee. The Exchange believes make non-substantive clarifying that the proposed Per User Access Fee (which is the sum of the External amendments. The Exchange believes Distribution fees for the four exchange is equitable as it would apply equally to that the proposed changes are all data recipients that choose to data products that are included in Cboe reasonable because they would result in One Feed) plus a Data Consolidation subscribe to NYSE Arca Trades or NYSE greater specificity and precision within Arca BBO in a display-only format. Fee of $1,000, for a total of $6,000. the Fee Schedule, which would Evidence of the competition among Because NYSE Arca Trades and NYSE Arca BBO are optional products, any exchange groups for these products has data products in response to the Enterprise Fee for previously been demonstrated via fee the Cboe One Feed adopted by Cboe family of data recipient could choose to subscribe changes. For example, following the exchanges. to NYSE Arca Trades or NYSE Arca introduction of the Cboe One Feed, 71 See, e.g., BZX Price List—U.S. Equities BBO for display-only use and be eligible Nasdaq responded by reducing its fees available at http://www.nasdaqtrader.com/ for the proposed reduced fee. The Trader.aspx?id=DPUSdata#db [sic]. BZX charges 70 Exchange does not believe that it is for the Nasdaq Basic product. With the $500 per month for internal distribution, and $2,500 per month for external distribution, of BZX inequitable that this proposed fee 69 See Section 139(d) of the Nasdaq Equity 7 Last Sale. BZX also charges $500 per month for reduction would be available only to Pricing Schedule. internal distribution, and $2,500 per month for data recipients that use NYSE Arca 70 See e.g. Securities Exchange Act Release No. external distribution, of BZX Top. Each external Trades or NYSE Arca BBO in a display- 83751 (July 31, 2018), 83 FR 38428 (August 6, 2018) distributor is eligible to receive a credit against its (SR–NASDAQ–2018–058) (Notice of Filing and monthly Distributor Fee for BZX Las [sic] Sale equal only format. Non-display data Immediate Effectiveness of Proposed Rule Change to the amount of its monthly User Fees up to a represents a different set of use cases To Lower Fees and Administrative Costs for maximum of the Distributor Fee for BZX Las [sic] than display-only usage; non-display Distributors of Nasdaq Basic, Nasdaq Last Sale, NLS Sale. See Cboe BZX U.S. Equities Exchange Fee data can be used by data recipients for Plus and the Nasdaq Depth-of-Book Products Schedule at http://markets.cboe.com/us/equities/ Through a Consolidated Enterprise License). membership/fee_schedule/bzx/. a wide variety of profit-generating Nasdaq filed the proposed fee change to lower the 72 See Section 112(b)(1) of Nasdaq’s Equity 7 purposes, including proprietary and Enterprise Fee for Nasdaq Basic and other market Pricing Schedule. agency trading and smart order routing,
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as well as by data recipients that operate Deletion of Obsolete Text. The does not believe that it is unfairly order matching and execution platforms Exchange believes that deleting obsolete discriminatory that this proposed fee that compete directly with the Exchange rule text and dates from the Fee reduction would be available only to for order flow. The data also can be used Schedule and make non-substantive data recipients that use NYSE Arca for a variety of non-trading purposes clarifying amendments is equitably Trades or NYSE Arca BBO in a display- that indirectly support trading, such as allocated because these proposed only format. Non-display data can be risk management and compliance. changes do not change fees, but rather, used by data recipients for a wide Although some of these non-trading result in greater specificity and variety of profit-generating purposes, uses do not directly generate revenues, precision within the Fee Schedule, including proprietary and agency they can nonetheless substantially which would contribute to reasonably trading and smart order routing, as well reduce the recipient’s costs by ensuring that the fees described there as by data recipients that operate order automating such functions so that they are clear and accurate. The Exchange matching and execution platforms that can be carried out in a more efficient also believes that the proposed changes compete directly with the Exchange for and accurate manner and reduce errors are equitable because all readers of the order flow. The data also can be used for and labor costs, thereby benefiting end Fee Schedule would benefit from the a variety of non-trading purposes that users. The Exchange believes that increased specificity and clarity that indirectly support trading, such as risk charging a different access fee for non- this proposed rule change would management and compliance. While display use is equitable because data provide. some of these non-trading uses do not recipients can derive substantial value For all of the foregoing reasons, the directly generate revenues, they can from such uses, for example, by Exchange believes that the proposed nonetheless substantially reduce the automating tasks so that can be fees for the NYSE Arca market data recipient’s costs by automating such performed more quickly and accurately products are equitably allocated. functions so that they can be carried out and less expensively than if they were The Proposed Fees Are Not Unfairly in a more efficient and accurate manner performed manually. Discriminatory and reduce errors and labor costs, Redistribution Fees. The Exchange thereby benefiting end users. The The Exchange believes the proposed Exchange therefore believes that there is believes the proposed change to provide fees are not unfairly discriminatory a credit to a Redistributor that externally a meaningful distinction between because any differences in the display and non-display users of market redistributes NYSE Arca Trades to application of the fees are based on Professional and Non-Professional Users data and that charging a different access meaningful distinctions between fee for non-display use is not unfairly in a display-only format in an amount customers, and those meaningful equal to the monthly Professional User discriminatory because data recipients distinctions are not unfairly can derive substantial value from such and Non-Professional User fees for such discriminatory between customers. external distribution, up to a maximum non-display uses, for example, by Overall. As noted above, this automating tasks so that can be of the Redistribution Fee, is equitably proposed fee change is a result of the allocated. The proposed change would performed more quickly and accurately competitive environment for market and less expensively than if they were apply equally to all Redistributors that data products that provide indicative performed manually. choose to externally redistribute the pricing information across a family of Redistribution Fees. The Exchange NYSE Arca Trades product, and would exchanges. To respond to this believes the proposed change to provide serve as an incentive for Redistributors competitive environment, the Exchange a credit to a Redistributor that externally to make NYSE Arca Trades more seeks to amend its fees to access NYSE redistributes NYSE Arca Trades to broadly available for use by both Arca Trades and NYSE Arca BBO in a Professional and Non-Professional Users Professional and Non-Professional display-only format, which the in a display-only format in an amount Users. This, in turn, could provide an Exchange hopes will attract more equal to the monthly Professional User incentive for Redistributors to make subscribers for its NYSE BQT market and Non-Professional User fees for such NYSE BQT available to their customers. data product. The Exchange is external distribution, up to a maximum One-Month Free Trial. The Exchange proposing the fee reductions to make of the Redistribution Fee, is not unfairly believes the proposal to provide the the Exchange’s fees more competitive discriminatory. The proposed credit NYSE Arca market data products to new for a specific segment of market would apply equally to all customers free-of-charge for their first participants, thereby increasing the Redistributors that choose to externally subscription month is equitable because availability of the Exchange’s data redistribute the NYSE Arca Trades it applies to any first-time subscriber, products, expanding the options product for display use, and would regardless of the use they plan to make available to firms making data serve as an incentive for Redistributors of the feed. As proposed, any first-time purchasing decisions based on their to make NYSE Arca Trades more subscriber would not be charged the business needs, and generally increasing broadly available for use by both Access Fee, Non-Display Fee, any competition. Professional and Non-Professional applicable Professional and Non- Access Fee. The Exchange believes Users. This, in turn, could provide an Professional User Fee, or Redistribution that the proposed Per User Access Fee incentive for Redistributors to make Fee for any of the NYSE Arca market is not unfairly discriminatory as it NYSE BQT available to their customers. data products for one calendar month. would apply equally to all data The Exchange believes that there is a The Exchange believes it is equitable to recipients that choose to subscribe to meaningful distinction between vendors restrict the availability of this one- NYSE Arca Trades or NYSE Arca BBO that distribute market data in a display- month free trial to customers that have in a display-only format. Because NYSE only format, as such vendors are more not previously subscribed to any NYSE Arca Trades and NYSE Arca BBO are likely to service the non-professional Arca market data product, since optional products, any data recipient community, and vendors that distribute customers who are current or previous could choose to subscribe to NYSE Arca market data for non-display use only, as subscribers are already familiar with the Trades or NYSE Arca BBO for display- users of non-display data are more products and whether they would suits only use and be eligible for the likely to be professionals that derive their needs. proposed reduced fee. The Exchange substantial value from such non-display
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uses. While this credit is not available B. Self-Regulatory Organization’s unattractive to customers, customers to vendors that redistribute NYSE Arca Statement on Burden on Competition will have its pick of an increasing Trades for non-display use only, such The Exchange does not believe that number of alternative platforms to use vendors would be eligible for this credit the proposed rule change will impose instead of the Exchange. Given this if they choose to expand their any burden on competition that is not intense competition between platforms, distribution of NYSE Arca Trades for necessary or appropriate in furtherance no one exchange’s market data fees can display use. NYSE BQT is targeted for of the purposes of the Act. impose an unnecessary burden on display use and the Exchange believes Intramarket Competition. The competition, and the Exchange’s that the proposed credit would increase Exchange believes that the proposed proposed fees do not do so here. In addition, the Exchange believes the number of Redistributors—whether fees do not put any market participants that the proposed fees do not impose a current vendors that redistribute on a at a relative disadvantage compared to burden on competition or on other non-display only basis or new other market participants. As noted exchanges that is not necessary or vendors—that would make NYSE BQT above, the proposed fee schedule would appropriate because of the availability available to their customers. apply to all subscribers of NYSE Arca of numerous substitute market data market data products, and customers One-Month Free Trial. The Exchange products. Specifically, as described may not only choose whether to believes that the proposed rule change above, NYSE BQT competes head-to- subscribe to the products at all, but also providing for a one-month free trial head with the Nasdaq Basic product and period to test is not unfairly may tailor their subscriptions to include the Cboe One Feed. These products each discriminatory because the financial only the products and uses that they serve as reasonable substitutes for one benefit of the fee waiver would be deem suitable for their business needs. another as they are each designed to The Exchange also believes that the available to all firms subscribing to a provide investors with a unified view of proposed fees neither favor nor penalize NYSE Arca market data product for the real-time quotes and last-sale prices in one or more categories of market first time on a free-trial basis. The all Tape A, B, and C securities. Each participants in a manner that would Exchange believes there is a meaningful product provides subscribers with impose an undue market on distinction between customers that are consolidated top-of-book quotes and competition. As shown above, to the subscribing to a market data for the first trades from multiple U.S. equities extent that particular proposed fees time, who may benefit from a period markets. NYSE BQT provides top-of- apply to only a subset of subscribers, within which to set up and test use of book quotes and trades data from five those distinctions are not unfairly the product before it becomes fee liable, NYSE-affiliated U.S. equities exchanges, discriminatory and do unfairly burden and users that are already receiving the while Cboe One Feed similarly provides one set of customers over another. To Exchange’s market data products and top-of-book quotes and trades data from the contrary, by tailoring the proposed are deriving value from such use. The Cboe’s four U.S. equities exchanges. fees in this manner, the Exchange Exchange believes that the limited NYSE BQT, Nasdaq Basic, and Cboe believes that it has eliminated the period of the free trial would not be One Feed are all intended to provide potential burden on competition that unfairly discriminatory to other users of indicative pricing and therefore, are might result, for instance, from unfairly the Exchange’s market data products reasonable substitutes for one another. asking vendors that distribute market because it is designed to provide a Additionally, market data vendors are data in a display-only format to pay the reasonable period of time to set up and also able to offer close substitutes to same fees as vendors that distribute test a new market data product. The NYSE BQT. Because market data users market data for non-display use to Exchange further believes that providing can find suitable substitute feeds, an professionals that derive substantial a free trial for a calendar month would exchange that overprices its market data value from such non-display uses. ease administrative burdens for data products stands a high risk that users Intermarket Competition. The recipients to subscribe to a new data may substitute another source of market Exchange believes that the proposed product and eliminate fees for a period data information for its own. These fees do not impose a burden on before such users are able to derive any competitive pressures ensure that no competition or on other exchanges that benefit from the data. one exchange’s market data fees can is not necessary or appropriate; indeed, impose an unnecessary burden on Deletion of Obsolete Text. The the Exchange believes the proposed fee competition, and the Exchange’s Exchange believes that deleting obsolete changes would have the effect of proposed fees do not do so here. rule text and dates from the Fee increasing competition. As Schedule and make non-substantive demonstrated above and in Professor C. Self-Regulatory Organization’s clarifying amendments is not unfairly Rysman’s attached [sic] paper, Statement on Comments on the discriminatory because these proposed exchanges are platforms for market data Proposed Rule Change Received From changes do not change fees, but rather, and trading. In setting the proposed Members, Participants, or Others result in greater specificity and fees, the Exchange is constrained by the No written comments were solicited precision within the Fee Schedule, availability of substitute platforms also which would contribute to reasonably or received with respect to the proposed offering market data products and rule change. ensuring that the fees described there trading, and low barriers to entry mean are clear and accurate. The Exchange new exchange platforms are frequently III. Date of Effectiveness of the also believes that the proposed changes introduced. The fact that exchanges are Proposed Rule Change and Timing for are not unfairly discriminatory because platforms ensures that no exchange can Commission Action all readers of the Fee Schedule would make pricing decisions for one side of The foregoing rule change is effective benefit from the increased specificity its platform without considering, and upon filing pursuant to Section and clarity that this proposed rule being constrained by, the effects that 19(b)(3)(A) 73 of the Act and change would provide. price will have on the other side of the subparagraph (f)(2) of Rule 19b–4 74 For all of the foregoing reasons, the platform. In setting fees at issue here, Exchange believes that the proposed the Exchange is constrained by the fact 73 15 U.S.C. 78s(b)(3)(A). fees are not unfairly discriminatory. that, if its pricing across the platform is 74 17 CFR 240.19b–4(f)(2).
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thereunder, because it establishes a due, 10:00 a.m. and 3:00 p.m. Copies of the the Commission shall either approve the fee, or other charge imposed by the filing also will be available for proposed rule change, disapprove the Exchange. inspection and copying at the principal proposed rule change, or institute At any time within 60 days of the office of the Exchange. All comments proceedings to determine whether the filing of such proposed rule change, the received will be posted without change. proposed rule change should be Commission summarily may Persons submitting comments are disapproved. The 45th day after temporarily suspend such rule change if cautioned that we do not redact or edit publication of the notice for this it appears to the Commission that such personal identifying information from proposed rule change is December 22, action is necessary or appropriate in the comment submissions. You should 2019. The Commission is extending this public interest, for the protection of submit only information that you wish 45-day time period. investors, or otherwise in furtherance of to make available publicly. All The Commission finds it appropriate the purposes of the Act. If the submissions should refer to File to designate a longer period within Commission takes such action, the Number SR–NYSEArca–2019–88, and which to take action on the proposed Commission shall institute proceedings should be submitted on or before rule change so that it has sufficient time under Section 19(b)(2)(B) 75 of the Act to January 16, 2020. to consider the proposed rule change. determine whether the proposed rule For the Commission, by the Division of Accordingly, the Commission, pursuant change should be approved or Trading and Markets, pursuant to delegated to Section 19(b)(2) of the Act,5 disapproved. authority.76 designates February 5, 2020, as the date IV. Solicitation of Comments J. Matthew DeLesDernier, by which the Commission shall either approve or disapprove, or institute Interested persons are invited to Assistant Secretary. [FR Doc. 2019–27726 Filed 12–23–19; 8:45 am] proceedings to determine whether to submit written data, views, and disapprove, the proposed rule change BILLING CODE 8011–01–P arguments concerning the foregoing, (File No. SR–NYSEAMER–2019–38). including whether the proposed rule change is consistent with the Act. For the Commission, by the Division of Comments may be submitted by any of SECURITIES AND EXCHANGE Trading and Markets, pursuant to delegated authority.6 the following methods: COMMISSION J. Matthew DeLesDernier, Electronic Comments [Release No. 34–87792; File No. SR– NYSEAMER–2019–38] Assistant Secretary. • Use the Commission’s internet [FR Doc. 2019–27725 Filed 12–23–19; 8:45 am] comment form (http://www.sec.gov/ Self-Regulatory Organizations; NYSE BILLING CODE 8011–01–P rules/sro.shtml); or American LLC; Notice of Designation • Send an email to rule-comments@ of a Longer Period for Commission sec.gov. Please include File Number SR– Action on a Proposed Rule Change To SECURITIES AND EXCHANGE NYSEArca–2019–88 on the subject line. Allow Certain Flexible Exchange COMMISSION Equity Options To Be Cash Settled Paper Comments [Release No. 34–87798; File No. SR–IEX– • Send paper comments in triplicate December 18, 2019. 2019–14] to Secretary, Securities and Exchange On October 17, 2019, NYSE American Commission, 100 F Street NE, LLC (‘‘NYSE American’’ or ‘‘Exchange’’) Self-Regulatory Organizations; Washington, DC 20549–1090. filed with the Securities and Exchange Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of All submissions should refer to File Commission (‘‘Commission’’), pursuant Proposed Rule Change To Amend IEX Number SR–NYSEArca–2019–88. This to Section 19(b)(1) of the Securities Rule 11.190(e) To Expand the file number should be included on the Exchange Act of 1934 (‘‘Act’’) 1 and Rule Exchange’s Existing Anti- subject line if email is used. To help the 19b–4 thereunder,2 a proposed rule Internalization Functionality and Make Commission process and review your change to amend Rule 903G and 906G Conforming and Clarifying Changes to comments more efficiently, please use to allow certain flexible exchange IEX Rule 11.190(e) and Other IEX Rules only one method. The Commission will (‘‘FLEX’’) equity options to be cash post all comments on the Commission’s settled. The proposed rule change was December 18, 2019. internet website (http://www.sec.gov/ published for comment in the Federal Pursuant to Section 19(b)(1) 1 of the 3 rules/sro.shtml). Copies of the Register on November 7, 2019. The Securities Exchange Act of 1934 (the submission, all subsequent Commission has received no comments ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 amendments, all written statements on the proposed rule change. notice is hereby given that, on (date), Section 19(b)(2) of the Act 4 with respect to the proposed rule provides the Investors Exchange LLC (‘‘IEX’’ or change that are filed with the that within 45 days of the publication of the ‘‘Exchange’’) filed with the Commission, and all written notice of the filing of a proposed rule Securities and Exchange Commission communications relating to the change, or within such longer period up (the ‘‘Commission’’) the proposed rule proposed rule change between the to 90 days as the Commission may change as described in Items I, II and III Commission and any person, other than designate if it finds such longer period below, which Items have been prepared those that may be withheld from the to be appropriate and publishes its by the self-regulatory organization. The public in accordance with the reasons for so finding, or as to which the Commission is publishing this notice to provisions of 5 U.S.C. 552, will be self-regulatory organization consents, solicit comments on the proposed rule available for website viewing and change from interested persons. printing in the Commission’s Public 76 17 CFR 200.30–3(a)(12). Reference Room, 100 F Street NE, 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b–4. 5 Id. Washington, DC 20549, on official 6 3 See Securities Exchange Act Release No. 87444 17 CFR 200.30–3(a)(31). business days between the hours of (November 1, 2019), 84 FR 60120 (November 7, 1 15 U.S.C. 78s(b)(1). 2019). 2 15 U.S.C. 78a. 75 15 U.S.C. 78s(b)(2)(B). 4 15 U.S.C. 78s(b)(2). 3 17 CFR 240.19b–4.
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I. Self-Regulatory Organization’s level. In order to utilize anti- refer to the unique User-supplied Statement of the Terms of Substance of internalization functionality, a User identifier included on an order message the Proposed Rule Change adds a unique User-determined ‘‘Anti- designating the order as subject to anti- Pursuant to the provisions of Section Internalization Group (‘‘AGID’’) internalization. Orders that have the 19(b)(1) under the Act,4 and Rule 19b– modifier’’ on a new order message. same AIQ identifier and originate from When a User designates an active order 9 4 thereunder,5 IEX is filing with the the same MPID or Exchange User, as with an AGID modifier, the order is 14 Commission a proposed rule change to specified by the User, will be part of prevented from executing against a amend IEX Rule 11.190(e) to expand the the same ‘‘AIQ group.’’ As with the resting opposite order designated with Exchange’s existing anti-internalization existing AGID modifier, orders within the same AGID modifier and originating functionality and make conforming and the same AIQ group will be prevented from the same MPID or Exchange User clarifying changes to IEX Rule 11.190(e) from executing against each other. (referred to in IEX Rule 11.190(e) as a and other IEX rules. The Exchange has In addition, a User can also specify ‘‘group type’’). Instead of executing, the designated this rule change as ‘‘non- the type of anti-internalization System 10 cancels the older of the orders controversial’’ under Section 19(b)(3)(A) functionality to be applied by including back to the User. Determination of of the Act 6 and provided the one of the following five AIQ modifiers ‘‘older’’ is based upon the time the order Commission with the notice required by on the order message, which specifies 7 is received by the System, including by how two orders subject to anti- Rule 19b–4(f)(6) thereunder. initial order entry, User revision (i.e., The text of the proposed rule change internalization would interact: cancel/replace), or returning to the 1. Cancel Oldest (‘‘CO’’). An active is available at the Exchange’s website at System from routing. www.iextrading.com, at the principal order marked with the CO AIQ modifier As provided in the supplementary will not execute against opposite side office of the Exchange, and at the material to IEX Rule 11.190(e), IEX’s Commission’s Public Reference Room. resting interest marked with any AIQ anti-internalization functionality does modifier within the same AIQ group. II. Self-Regulatory Organization’s not relieve or otherwise modify the duty The older order will be canceled back to Statement of the Purpose of, and of best execution owed to orders the originating User. In accordance with Statutory Basis for, the Proposed Rule received from public customers. As User instructions, the newer order will Change such, market participants using the be cancelled back to the originating User AGID modifier need to take appropriate In its filing with the Commission, the or remain on or post to the Order steps to ensure public customer orders Book.15 This option is the existing anti- self-regulatory organization included that do not execute because they were statements concerning the purpose of internalization functionality currently subject to anti-internalization ultimately offered by the Exchange, and the default and basis for the proposed rule change receive the same execution price (or and discussed any comments it received AIQ modifier. better) than they would have originally 2. Cancel Newest (‘‘CN’’). An active on the proposed rule change. The text obtained if execution of the order was of these statement may be examined at order marked with the CN AIQ modifier not inhibited by anti-internalization. will not execute against opposite side the places specified in Item IV below. Furthermore, Market Makers 11 and The self-regulatory organization has resting interest marked with any AIQ other Users must not use the AGID modifier within the same AIQ group. prepared summaries, set forth in modifier to evade the firm quotation Sections A, B, and C below, of the most The newer order will be cancelled back obligation, as specified in IEX Rule to the originating User. The older order significant aspects of such statements. 11.151(b). And the AGID modifier must will remain on the Order Book. be used in a manner consistent with just A. Self-Regulatory Organization’s 3. Cancel Both (‘‘CB’’). An active and equitable principles of trade.12 Statement of the Purpose of, and order marked with the CB AIQ modifier Statutory Basis for, the Proposed Rule Proposal will not execute against opposite side Change In order to provide additional resting interest marked with any AIQ 1. Purpose flexibility to Users, the Exchange modifier within the same AIQ group. proposes to expand the anti- The entire size of both orders will be The Exchange proposes to amend IEX cancelled back to the originating User. Rule 11.190(e) to expand its existing internalization functionality it offers by adding four additional anti- 4. Cancel Smallest (‘‘CS’’). An active anti-internalization functionality and order marked with the CS AIQ modifier make conforming and clarifying changes internalization modifiers, to be referred to as Anti-Internalization Qualifier will not execute against opposite side to IEX Rule 11.190(e) and other IEX resting interest marked with any AIQ rules. (‘‘AIQ’’) modifiers, each of which would implement anti-internalization in a modifier within the same AIQ group. If IEX currently offers optional anti- different manner.13 In order to provide both orders are equivalent in size, both internalization functionality to Users 8 additional clarity, the Exchange also orders will be cancelled back to the that enables a User to prevent two of its proposes to restructure the terminology originating User. If the orders are not orders from executing against each to identify orders subject to anti- equivalent in size, the smaller of the two other. Users can set anti-internalization internalization. As proposed, instead of orders will be cancelled back to the functionality to apply at the market using the term ‘‘AGID’’ or ‘‘AGID originating User and the larger order participant identifier (‘‘MPID’’) or User modifier’’ to identify orders that will not will remain on or post to the Order Book. 4 trade with each other, the Exchange will 15 U.S.C. 78s(b)(1). 5. Decrement Larger—Original Order 5 17 CFR 240.19b–4. introduce the term ‘‘AIQ identifier’’ to 6 15 U.S.C. 78s(b)(3)(A). Quantity (‘‘DLO’’). An active order 7 17 CFR 240.19b–4. 9 See IEX Rule 1.160(b). marked with the DLO AIQ modifier will 8 Pursuant to IEX Rule 1.160(qq), a User means 10 See IEX Rule 1.160(nn). any Member or Sponsored Participant who is 11 See IEX Rule 11.150. 14 A Member may elect to enable anti- authorized to obtain access to the System pursuant 12 See IEX Rule 11.190(e) Supplementary Material internalization functionality on an IEX Port Request to IEX Rule 11.130. Member is defined in IEX Rule .01–.03. Form, designating whether such functionality 1.160(s), and Sponsored Participant is defined in 13 The functionality currently offered by the AGID should be applied on an MPID or User basis. IEX Rule 1.160(ll). modifier will become one of the five AIQ modifiers. 15 See IEX Rule 1.160(p).
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not execute against opposite side resting The Exchange notes that, as with the order. As proposed, the subparagraph interest marked with any AIQ modifier current anti-internalization clarifies that the active order will be within the same AIQ group. If both functionality offered by IEX, use of the treated as older or newer based upon its orders are equivalent in size, both proposed new AIQ modifiers will not timestamp. As set forth in the new IEX orders will be cancelled back to the alleviate, or otherwise exempt, Users Rule 11.190(e), the AIQ modifier on the originating User. If the orders are not from their best execution obligations. As newer of the two orders will control the equivalent in size, the size of the larger such, market participants using the AIQ interaction between the two orders order will be decremented by the size of modifiers will continue to be obligated subject to anti-internalization. the smaller order, and the smaller order to take appropriate steps to ensure that • Replace the references to the ‘‘AGID will be cancelled back to the User. customer orders that do not execute modifier’’ with references to the ‘‘AIQ However, if the order with the newer because they were subject to anti- functionality’’ in Supplementary timestamp is marked with the DLO AIQ internalization ultimately receive the Materials .01–.03 to IEX Rule 11.190(e). • modifier and the older order is not, and same price, or a better price, than they Replace all references to ‘‘AGID if the newer order is smaller than the would have received had execution of modifiers’’ with ‘‘AIQ modifiers’’ in IEX older order, then both orders will be the orders not been inhibited by anti- Rules 11.231(b)(1), 11.350(c)(2)(C), canceled back to the originating User. In internalization.18 Further, as with 11.350(d)(2)(C), 11.350(e)(2)(D), addition, routable orders designated 11.350(f)(2)(F), and 11.350(f)(3)(B)(iii). current rule provisions, Market Makers • with the DLO AIQ modifier will be and other Users may not use AIQ Revise the rule text in Rule rejected.16 functionality to evade the firm quote 11.151(b) (‘‘Market Maker Obligations’’) If a User includes an AIQ group obligation, as specified in IEX Rule that refers to quotations that are identifier, but not an AIQ modifier on 11.151(b), and the AIQ functionality ‘‘designated with an AGID modifier an order, the Exchange will apply the must be used in a manner consistent which is the same as that of an active default Cancel Oldest AIQ modifier to with just and equitable principles of opposite side order and originating from the order. If the AIQ modifiers on two trade.19 For these reasons, the Exchange the same group type’’ to quotations that orders within the same AIQ group that believes the proposed new AIQ are ‘‘part of the same AIQ group’’ and would otherwise execute against each modifiers offer Users enhanced order replace ‘‘AGID modifiers’’ with ‘‘AIQ other are not the same (including processing functionality that may functionality’’ in the last sentence. Replace the text in Rule 11.220(7) application of the default Cancel Oldest prevent potentially undesirable (‘‘Priority of Orders—Anti- AIQ modifier), the AIQ modifier on the executions without negatively Internalization’’) that refers to orders order with the newer timestamp will impacting broker-dealer best execution ‘‘entered under the same AGID control the interaction between the two obligations. orders. Determination of ‘‘newer’’ and IEX also proposes to make several modifier’’ with ‘‘that are part of the ‘‘older’’ would be based upon each conforming and clarifying changes to same AIQ group’’. In addition, IEX order’s timestamp, as specified in IEX IEX Rule 11.190(e) and other IEX rules, proposes to add language referencing 17 Rule 11.220(a)(1)(C). as described below: IEX Rule 11.190(e) to specify that orders The proposed rule change is designed • Change the rule title of IEX Rule subject to anti-internalization that are to provide additional flexibility to Users 11.190(e) from ‘‘Anti-Internalization part of the same AIQ group will not in how they implement self-trade Group Identifier (‘‘AGID’’) Modifier’’ to execute against each other as set forth in prevention provided by the Exchange, ‘‘Anti-Internalization (‘‘AIQ’’) IEX Rule 11.190(e). and thereby better manage their order Functionality’’ to reflect the expanded flow and prevent undesirable 2. Statutory Basis new functionality. The Exchange believes that the executions or the potential for ‘‘wash • Add a new subparagraph (2) of IEX proposed rule change is consistent with sales’’ that may occur as a result of the Rule 11.190(e) to set forth the five AIQ Section 6(b) of the Act,20 in general, and speed of trading in today’s marketplace. modifiers to be offered by IEX, as furthers the objectives of Section Based on informal discussions with described above, and renumber existing 6(b)(5),21 in particular, in that it is Members, the Exchange believes that the subparagraphs (2)–(5) as (3)–(6). proposed additional types of anti- • Replace references to the ‘‘group designed to prevent fraudulent and internalization functionality will be type’’ with the term AIQ group in IEX manipulative acts and practices, to useful to Members in implementing Rule 11.190(e). promote just and equitable principles of their own compliance controls. And the • Revise the text of subparagraph (5) trade, to foster cooperation and additional AIQ functionality may assist of IEX Rule 11.190(e) (previously coordination with persons engaged in Users in complying with certain rules subparagraph (4)) regarding facilitating transactions in securities, and regulations of the Employee compatibility of Book Recheck and and to remove impediments to and Retirement Income Security Act treatment of an active order that has perfect the mechanism of a free and (‘‘ERISA’’) that preclude and/or limit been invited to Recheck against the open market and a national market managing broker-dealers of such Order Book to reflect the new AIQ system, and, in general, to protect accounts from trading as principal with modifiers. Previously, the subparagraph investors and the public interest. orders generated for those accounts. stated that if the active order that has Specifically, the Exchange believes that been invited to Recheck against the the proposed rule change is consistent 16 Due to technical complexities, the System is with the protection of investors and the not currently able to apply the DLO AIQ modifier Order Book is older than a resting order subject to anti-internalization, the active public interest because the addition of to routable orders. four new AIQ modifiers will provide 17 Existing rule text in IEX Rule 11.190(e) order will be cancelled in accordance provides that ‘‘older’’ is based upon the time the with the existing anti-internalization Exchange Users with additional order is received by the System, including by initial functionality that cancels the older flexibility with respect to how they order entry, User revision (i.e., cancel/replace), or implement self-trade protections returning to the System from routing. The Exchange provided by IEX. Users that prefer the proposes to describe the concept of ‘‘older’’ as well 18 See Supplementary Material .01 to IEX Rule as ‘‘newer’’ with reference to an order’s timestamp 11.190(e). in order to provide more clarity. No substantive 19 See Supplementary Material .02 and .03 to IEX 20 15 U.S.C. 78f(b). change is proposed. Rule 11.190(e). 21 15 U.S.C. 78f(b)(5).
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current anti-internalization Purpose section, are consistent with the continue to be eligible to use the functionality offered by the Exchange protection of investors and the public Exchange’s anti-internalization can continue to use it without any interest because they will simply functionality. While not every User modification (i.e., if the User does not conform terminology and provide engages in a business that might involve specify the AIQ modifier for two orders clarity and consistency on how the risks of self-matching against its own subject to anti-internalization, the Exchange’s anti-internalization orders, for the Users that do face that Exchange will cancel the older of the functionality works. risk, the proposed additional anti- two orders, as is currently done for Finally, the Exchange notes that the internalization functionality will help orders using the AGID modifier). And proposed additional anti-internalization the User with its own compliance with Users that prefer to implement anti- functionality is substantially similar to the securities laws and ERISA. Further, internalization in a different manner the anti-internalization interactions implementation of anti-internalization would be provided with the proposed offered by other national securities functionality impacts only a User’s new functionality that may better exchanges.23 Consequently, the orders, and not the orders of other support their trading strategies. Exchange does not believe that the Members. As noted in the Purpose section, IEX proposed rule change raises any new or Finally, the proposed conforming and believes that providing Users with more novel issues not already considered by clarifying rule changes, as discussed in flexibility and control over the the Commission. the Purpose section, are not designed to interactions of their orders will better B. Self-Regulatory Organization’s address any competitive issue, but prevent undesirable executions or the Statement on Burden on Competition rather to conform terminology and potential for ‘‘wash sales’’ that may provide clarity and consistency on the occur as a result of the speed of trading The Exchange does not believe that operation of the Exchange’s anti- in today’s marketplace. And the the proposed rule change will impose internalization functionality. additional AIQ functionality may better any burden on competition that is not assist Users in complying with certain necessary or appropriate in furtherance C. Self-Regulatory Organization’s ERISA rules and regulations that of the purposes of the Act. To the Statement on Comments on the preclude and/or limit managing broker- contrary, IEX believes that offering Proposed Rule Change Received From dealers of such accounts from trading as additional anti-internalization Members, Participants, or Others principal with orders generated for functionality may enhance its ability to An IEX employee exchanged informal those accounts. compete with other exchanges that offer email messages responding to a Member Further, the Exchange believes that such additional functionality. Further, that had inquired as to whether IEX providing enhanced AIQ functionality the proposed rule change is designed to would be expanding the types of AIQ may streamline certain regulatory enhance the anti-internalization functionality available. The email functions by reducing false positive functionality offered to Users by messages discussed the additional AIQ results that may occur on wash trading providing additional flexibility over the functionality that is the subject of this surveillance reports when two orders in manner in which their orders subject to proposed rule change. The Member the same AIQ group are executed, anti-internalization controls interact, provided feedback that was supportive notwithstanding that the transaction while assisting Users with compliance of the proposed rule change. may not constitute a wash trade.22 with the securities laws that prohibit The Exchange also believes that it is wash trading as well as ERISA III. Date of Effectiveness of the consistent with the Act to provide that requirements. The Exchange also notes Proposed Rule Change and Timing for the Cancel Oldest AIQ modifier is the that the proposed new functionality, Commission Action default modifier if a User does not like the current anti-internalization The Exchange has designated this rule include an AIQ modifier on an order functionality, is completely optional filing as non-controversial under subject to anti-internalization because and Users can determine on an order- Section 19(b)(3)(A) 24 of the Act and such functionality is less complex than by-order, MPID, or User basis whether Rule 19b–4(f)(6) 25 thereunder. Because the other AIQ modifiers since it simply to apply anti-internalization protections the proposed rule change does not: (i) cancels the older order. The Cancel to orders submitted to the Exchange. Significantly affect the protection of Oldest AIQ modifier is also identical to The Exchange does not believe that investors or the public interest; (ii) the current functionality, and therefore the proposed rule change will impose impose any significant burden on the Exchange believes that a User that any burden on intermarket competition competition; and (iii) become operative fails to include a specific modifier that is not necessary or appropriate in for 30 days from the date on which it would most likely expect the cancel furtherance of the purposes of the Act. was filed, or such shorter time as the oldest functionality to apply. As described above, competing Commission may designate, it has Additionally, the Exchange believes exchanges have similar anti- become effective pursuant to Section internalization functionality. Moreover, that it is consistent with the Act for the 19(b)(3)(A) of the Act and Rule 19b– there is no barrier to other national AIQ modifier on the newer order to 4(f)(6) thereunder. control the interaction between two securities exchanges adopting similar The Exchange believes that the orders subject to anti-internalization anti-internalization protections. proposed rule change meets the criteria The Exchange also does not believe that would otherwise execute, since the of subparagraph (f)(6) of Rule 19b–4 26 that the proposed rule change will newer order would likely represent the because, as discussed above, the impose any burden on intramarket User’s more current trading objective. additional functionality is based on Further, the Exchange believes that competition that is not necessary or similar rules of other exchange.27 Thus, the proposed conforming and clarifying appropriate in furtherance of the IEX does not believe that the proposed rule changes, as discussed in the purposes of the Act. All Users will changes raise any new or novel material 22 For example, the Exchange believes that 23 See, e.g., Cboe BZX Exchange, Inc. (‘‘Cboe 24 transactions that originate from unrelated BZX’’) Equities Rule 11.9(f); Cboe BYX Exchange, 15 U.S.C. 78s(b)(3)(A). algorithms or from separate and distinct trading Inc. (‘‘Cboe BYX’’) Equities Rule 11.9(f); CBOE 25 17 CFR 240.19b–4(f)(6). strategies within the same firm would generally be EDGA, Inc. (‘‘EDGA’’) Rule 11.10(d); CBOE EDGX, 26 17 CFR 240.19b–4(f)(6). considered bona fide self-trades. Inc. (‘‘EDGX’’) Rule 21.1(g). 27 See supra note 23.
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issues that have not already been Commission and any person, other than I. Self-Regulatory Organization’s considered by the Commission in those that may be withheld from the Statement of the Terms of Substance of connection with existing anti- public in accordance with the the Proposed Rule Change internalization functionality offered by provisions of 5 U.S.C. 552, will be The Exchange proposes to list and IEX and other national securities available for website viewing and trade shares of the AdvisorShares Pure exchanges. Accordingly, the Exchange printing in the Commission’s Public US Cannabis ETF under NYSE Arca has designated this rule filing as non- Reference Room, 100 F Street NE, Rule 8.600–E. The proposed change is controversial under Section 19(b)(3)(A) Washington, DC 20549, on official available on the Exchange’s website at 28 of the Act and paragraph (f)(6) of Rule business days between the hours of www.nyse.com, at the principal office of 29 19b–4 thereunder. 10:00 a.m. and 3:00 p.m. Copies of the the Exchange, and at the Commission’s At any time within 60 days of the filing also will be available for Public Reference Room. filing of the proposed rule change, the inspection and copying at the principal Commission summarily may office of the Exchange. All comments II. Self-Regulatory Organization’s temporarily suspend such rule change if received will be posted without change. Statement of the Purpose of, and it appears to the Commission that such Persons submitting comments are Statutory Basis for, the Proposed Rule action is necessary or appropriate in the cautioned that we do not redact or edit Change public interest, for the protection of personal identifying information from In its filing with the Commission, the investors, or otherwise in furtherance of comment submissions. You should self-regulatory organization included the purposes of the Act. If the submit only information that you wish statements concerning the purpose of, Commission takes such action, the to make available publicly. All and basis for, the proposed rule change Commission shall institute proceedings submissions should refer to File and discussed any comments it received under Section 19(b)(2)(B) 30 of the Act to Number SR–IEX–2019–14 and should on the proposed rule change. The text determine whether the proposed rule be submitted on or before January 16, of those statements may be examined at change should be approved or 2020. the places specified in Item IV below. disapproved. The Exchange has prepared summaries, For the Commission, by the Division of set forth in sections A, B, and C below, IV. Solicitation of Comments Trading and Markets, pursuant to delegated of the most significant parts of such authority.31 Interested persons are invited to statements. submit written data, views, and J. Matthew DeLesDernier, arguments concerning the foregoing, Assistant Secretary. A. Self-Regulatory Organization’s including whether the proposed rule [FR Doc. 2019–27731 Filed 12–23–19; 8:45 am] Statement of the Purpose of, and the change is consistent with the Act. Statutory Basis for, the Proposed Rule BILLING CODE 8011–01–P Comments may be submitted by any of Change the following methods: 1. Purpose Electronic Comments SECURITIES AND EXCHANGE The Exchange proposes to list and COMMISSION • Use the Commission’s internet trade shares (‘‘Shares’’) of the comment form (http://www.sec.gov/ AdvisorShares Pure US Cannabis ETF rules/sro.shtml); or [Release No. 34–87791; File No. SR– (the ‘‘Fund’’) under NYSE Arca Rule • Send an email to rule-comments@ NYSEArca–2019–77] 8.600–E, which provides generic criteria sec.gov. Please include File Number SR– applicable to the listing and trading of IEX–2019–14 on the subject line. Self-Regulatory Organizations; NYSE Managed Fund Shares on the Arca, Inc.; Notice of Filing of Proposed Exchange.4 Paper Comments Rule Change To List and Trade Shares AdvisorShares Investments, LLC (the • Send paper comments in triplicate of the AdvisorShares Pure US ‘‘Adviser’’) is the investment adviser for to Secretary, Securities and Exchange Cannabis ETF Under NYSE Arca Rule the Fund. AdvisorShares Trust (the Commission, 100 F Street NE, 8.600–E ‘‘Trust’’) and the Adviser manage the Washington, DC 20549–1090. Fund’s investments, subject to the December 18, 2019. All submissions should refer to File oversight and supervision by the Board Number SR–IEX–2019–14. This file Pursuant to Section 19(b)(1) 1 of the of Trustees (the ‘‘Board’’) of the Trust.5 number should be included on the Securities Exchange Act of 1934 subject line if email is used. To help the (‘‘Act’’) 2 and Rule 19b–4 thereunder,3 4 A Managed Fund Share is a security that Commission process and review your notice is hereby given that, on December represents an interest in an investment company registered under the Investment Company Act of comments more efficiently, please use 13, 2019, NYSE Arca, Inc. (‘‘NYSE 1940 (15 U.S.C. 80a–1) (the ‘‘1940 Act’’) organized only one method. The Commission will Arca’’ or ‘‘Exchange’’) filed with the as an open-end investment company or similar post all comments on the Commission’s Securities and Exchange Commission entity that invests in a portfolio of securities internet website (http://www.sec.gov/ (‘‘Commission’’) the proposed rule selected by its investment adviser consistent with its investment objectives and policies. In contrast, rules/sro.shtml). Copies of the change as described in Items I, II, and an open-end investment company that issues submission, all subsequent III below, which Items have been Investment Company Units, listed and traded on amendments, all written statements prepared by the self-regulatory the Exchange under NYSE Arca Rule 5.2–E(j)(3), with respect to the proposed rule organization. The Commission is seeks to provide investment results that correspond generally to the price and yield performance of a change that are filed with the publishing this notice to solicit specific foreign or domestic stock index, fixed Commission, and all written comments on the proposed rule change income securities index or combination thereof. communications relating to the from interested persons. 5 The Trust is registered under the 1940 Act. On proposed rule change between the August 19, 2019, the Trust filed with the Commission Post-Effective Amendment No. 145 to 31 17 CFR 200.30–3(a)(12). the Trust’s registration statement on Form N–1A 28 15 U.S.C. 78s(b)(3)(A). 1 15 U.S.C. 78s(b)(1). under the Securities Act of 1933 (15 U.S.C. 77a) 29 17 CFR 240.19b–4. 2 15 U.S.C. 78a. (‘‘Securities Act’’), and under the 1940 Act relating 30 15 U.S.C. 78s(b)(2)(B). 3 17 CFR 240.19b–4. Continued
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Foreside Fund Services, LLC appreciation. The Fund will seek to (‘‘ETFs’’) 8 and in U.S. exchange-listed (‘‘Distributor’’), a registered broker- achieve its investment objective by closed-end funds. dealer, will act as the distributor for the investing, under normal market The Fund may hold cash and cash Fund’s Shares. The Bank of New York conditions,6 at least 80% of its net assets equivalents.9 Mellon (‘‘BNY Mellon’’) will serve as in securities of companies that derive at The Fund may hold over-the-counter the administrator, custodian, and least 50% of their net revenue from the (‘‘OTC’’) total return swaps on U.S. and transfer agent (‘‘Transfer Agent’’) for the marijuana and hemp business in the foreign exchange-listed equity Fund. United States and in derivatives that securities. Commentary .06 to Rule 8.600–E have economic characteristics similar to Non-Principal Investments provides that, if the investment adviser such securities.7 to the investment company issuing The Fund may invest in U.S. Managed Fund Shares is affiliated with In addition to its investment in exchange-listed equity options and a broker-dealer, such investment adviser securities of companies that derive a equity index options. shall erect and maintain a ‘‘fire wall’’ significant portion of their revenue from The Fund may invest in Rule 144A between the investment adviser and the the marijuana and hemp business, and securities. broker-dealer with respect to access to in derivatives providing exposure to The Fund will not invest in securities information concerning the composition such securities, the Fund may invest in or other financial instruments that have and/or changes to such investment securities of companies that, in the not been described in this proposed rule company portfolio. In addition, opinion of the Advisor, may have change. Commentary .06 further requires that current or future revenues from personnel who make decisions on the cannabis-related business or that are Use of Derivatives by the Fund open-end fund’s portfolio composition registered with the United States Drug Investments in derivative instruments must be subject to procedures designed Enforcement Agency (DEA) specifically will be made in accordance with the to prevent the use and dissemination of for the purpose of handling marijuana 1940 Act and consistent with the Fund’s material non-public information for lawful research and development of investment objective and policies. regarding the open-end fund’s portfolio. cannabis or cannabinoid-related To limit the potential risk associated Commentary .06 to Rule 8.600–E is products. with such transactions, the Fund will similar to Commentary .03(a)(i) and (iii) According to the Registration enter into offsetting transactions or to NYSE Arca Rule 5.2–E(j)(3); however, Statement, the Fund will not invest segregate or ‘‘earmark’’ assets Commentary .06 in connection with the directly in or hold ownership in any determined to be liquid by the Adviser establishment and maintenance of a companies that engage in cannabis- in accordance with procedures ‘‘fire wall’’ between the investment related business unless permitted by established by the Trust’s Board and in adviser and the broker-dealer reflects national and local laws of the relevant accordance with the 1940 Act or as the applicable open-end fund’s jurisdiction, including U.S. federal and permitted by applicable Commission portfolio, not an underlying benchmark state laws. The Fund has represented guidance. These procedures have been index, as is the case with index-based that this restriction does not apply to adopted consistent with Section 18 of funds. the Fund’s investment in derivatives the 1940 Act and related Commission The Adviser is not registered as a instruments. All of the Fund’s guidance. In addition, the Fund has broker-dealer. The Adviser is not included appropriate risk disclosure in affiliated with any broker-dealers. In the investments, including derivatives instruments, would be made in its offering documents, including event (a) the Adviser becomes registered leveraging risk. Leveraging risk is the as a broker-dealer or newly affiliated accordance with all applicable laws, including U.S. federal and state laws. risk that certain transactions of the with a broker-dealer, or (b) any new Fund, including the Fund’s use of adviser is a registered broker-dealer or The Fund will concentrate at least 25% of its investments in the derivatives, may give rise to leverage, becomes affiliated with a broker-dealer, causing the Fund to be more volatile pharmaceuticals, biotechnology and life it will implement and maintain a ‘‘fire than if it had not been leveraged. wall’’ with respect to its relevant sciences industry group within the personnel or broker-dealer affiliate health care sector. Other Restrictions regarding access to information The Fund primarily may invest in The Fund’s investments, including concerning the composition and/or U.S. and foreign exchange-listed equity derivatives, will be consistent with the changes to the portfolio, and will be securities (described below), and in Fund’s investment objective and will subject to procedures, each designed to derivative instruments (described not be used to enhance leverage prevent the use and dissemination of below) intended to provide exposure to (although certain derivatives and other material non-public information such securities. investments may result in leverage). regarding such portfolio. The Fund may invest in the following That is, the Fund’s investments will not AdvisorShares Pure US Cannabis ETF types of U.S. and foreign exchange- be used to seek performance that is the listed equity securities: Common stock; multiple or inverse multiple (e.g., 2X or Principal Investments preferred stock; warrants; Real Estate According to the Registration Investment Trusts (REITs); and rights. 8 For purposes of this filing, the term ‘‘ETFs’’ Statement, the investment objective of includes Investment Company Units (as described The Fund may invest in U.S. in NYSE Arca Rule 5.2–E(j)(3)); Portfolio Depositary the Fund is to seek long-term capital exchange-listed exchange-traded funds Receipts (as described in NYSE Arca Rule 8.100– E); and Managed Fund Shares (as described in to the Fund (File Nos. 333–157876 and 811–22110) NYSE Arca Rule 8.600–E). All ETFs will be listed (‘‘Registration Statement’’). The description of the 6 The term ‘‘normal market conditions’’ is defined and traded in the U.S. on a national securities operation of the Trust and the Fund herein is based, in NYSE Arca Rule 8.600–E(c)(5). exchange. While the Fund may invest in inverse in part, on the Registration Statement. In addition, 7 The Fund’s investments in derivatives will ETFs, the Fund will not invest in leveraged (e.g., the Commission has issued an order granting include investments in both listed derivatives and 2X, ¥2X, 3X or ¥3X) ETFs. certain exemptive relief to the Trust under the 1940 over-the-counter (‘‘OTC’’) derivatives, as those 9 For purposes of this filing, ‘‘cash equivalents’’ Act. See Investment Company Act Release No. terms are defined in Commentary .01(d) and (e) to are the short-term instruments enumerated in 29291 (May 28, 2010) (File No. 812–13677). NYSE Arca Rule 8.600–E. Commentary .01(c) to NYSE Arca Rule 8.600–E.
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¥3X) of the Fund’s primary broad- Business Day, immediately prior to the Securities that are applicable to based securities benchmark index (as opening of business on the Exchange creations of Creation Units. Unless cash defined in Form N–1A).10 (currently 9:30 a.m. E.T.), the list of the redemptions are available or specified names and the required number of for the Fund, the redemption proceeds Impact on Arbitrage Mechanism shares of each Deposit Security to be for a Creation Unit generally consist of The Adviser believes there will be included in the current Fund Deposit Fund Securities as announced by the minimal, if any, impact to the arbitrage (based on information at the end of the Administrator on the Business Day of mechanism as a result of the Fund’s use previous Business Day) for the Fund. the request for redemption, plus cash in of derivatives. The Adviser understands Such Fund Deposit is applicable, an amount equal to the difference that market makers and participants subject to any adjustments as described between the NAV of the Shares being should be able to value derivatives as below, in order to effect creations of redeemed, as next determined after a long as the positions are disclosed with Creation Units of the Fund until such receipt of a request in proper form, and relevant information. The Adviser time as the next-announced the value of the Fund Securities, less the believes that the price at which Shares composition of the Deposit Securities is redemption transaction fee. In the event of the Fund trade will continue to be made available. that the Fund Securities have a value disciplined by arbitrage opportunities All orders to create Creation Units greater than the NAV of the Shares, a created by the ability to purchase or generally must be received by the compensating cash payment equal to the redeem Shares of the Fund at their net Distributor no later than 3:00 p.m. E.T. differential is required to be made by or asset value (‘‘NAV’’), which should on the date such order is placed in order through an Authorized Participant by ensure that Shares of the Fund will not for creation of Creation Units to be the redeeming shareholder. trade at a material discount or premium effected based on the NAV of the Fund In order to redeem Creation Units of in relation to their NAV. as determined on such date. the Fund, an Authorized Participant In addition, the Trust reserves the Creation of Creation Units must submit an order to redeem for one right to permit or require the or more Creation Units. An order to The Trust issues and sells Shares of substitution of an amount of cash (i.e., redeem Creation Units of a Fund using the Fund only in aggregations of 25,000 a ‘‘cash in lieu’’ amount) to be added to the Clearing Process generally must be Shares (each aggregation is called a the Cash Component to replace any received by the Administrator not later ‘‘Creation Unit’’) on a continuous basis Deposit Security which may, among than 3:00 p.m. E.T. on the Business Day through the Distributor at the NAV next other reasons, not be available in of the request for redemption in order determined after receipt of an order in sufficient quantity for delivery, or 11 for such order to be effected based on proper form on any Business Day. The which may not be eligible for transfer the NAV of the Fund as next size of a Creation Unit is subject to through the Clearing Process (defined determined. An order to redeem change. below), or which may not be eligible for Creation Units of the Fund using the The consideration for a purchase of trading by a Participating Party (defined NSCC Clearing Process made in proper Creation Units generally will consist of below). form but received by the Fund after 3:00 an in-kind deposit of a portfolio of To be eligible to place orders with the p.m. E.T. will be deemed received on securities and other investments (the Distributor to create Creation Units of the next Business Day immediately ‘‘Deposit Securities’’) for each Creation the Fund, an entity must be (1) a following the day on which such order Unit constituting a substantial ‘‘Participating Party,’’ i.e., a broker- request is transmitted. replication, or a representation, of the dealer or other participant in the securities included in the Fund’s clearing process through the Continuous Application of Generic Listing portfolio and an amount of cash Net Settlement System of the NSCC (the Requirements computed as described below (the ‘‘Clearing Process’’); or (2) a Depository The Exchange is submitting this ‘‘Cash Component’’). The Cash Trust Company (‘‘DTC’’) Participant; proposed rule change because the Component together with the Deposit which, in either case, must have portfolio for the Fund will not meet all Securities, as applicable, are referred to executed an agreement with the Trust, of the ‘‘generic’’ listing requirements of as the ‘‘Fund Deposit,’’ which the Distributor and the Transfer Agent Commentary .01 to NYSE Arca Rule represents the minimum initial and (‘‘Participant Agreement’’). A 8.600–E applicable to the listing of subsequent investment amount for a Participating Party and DTC Participant Managed Fund Shares. The Fund’s Creation Unit of the Fund. are collectively referred to as an portfolio will meet all such The Cash Component would be an ‘‘Authorized Participant.’’ requirements except for those set forth amount equal to the difference between Redemption of Creation Units in Commentary .01(e), as described the NAV of the Shares (per Creation below. Unit) and the ‘‘Deposit Amount,’’ which Shares may be redeemed only in The Fund will not comply with the is an amount equal to the aggregate Creation Units at their NAV next requirements set forth in Commentary market value of the Deposit Securities, determined after receipt of a redemption .01(e) to NYSE Arca Rule 8.600–E with and serves to compensate for any request in proper form by the respect to the Fund’s investments in differences between the NAV per Distributor and only on a Business Day. OTC total return swaps on U.S. and Creation Unit and the Deposit Amount. The Administrator, through NSCC, foreign exchange-listed equity The Administrator, through the will make available immediately prior securities.12 National Securities Clearing Corporation to the opening of business on the Specifically, the aggregate (‘‘NSCC’’), makes available on each Exchange (9:30 a.m. E.T.) on each 12 Commentary .01(e) to NYSE Arca Rule 8.600– Business Day, the securities (‘‘Fund E provides that a portfolio may hold OTC 10 The Fund’s broad-based securities benchmark Securities’’) that will be applicable derivatives, including forwards, options and swaps index will be identified in a future amendment to (subject to possible amendment or on commodities, currencies and financial the Registration Statement following the Fund’s correction) to redemption requests instruments (e.g., stocks, fixed income, interest first full calendar year of performance. rates, and volatility) or a basket or index of any of 11 A ‘‘Business Day’’ with respect to the Fund is received in proper form on that day. The the foregoing; however, on both an initial and any day on which the Exchange is open for Fund Securities received on redemption continuing basis, no more than 20% of the assets business. may not be identical to Deposit Continued
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gross notional value of the Fund’s The Adviser represents that of the bid-ask spread at the time of NAV investments in such OTC derivatives deviations from the generic calculation (the ‘‘Bid-Ask Price’’); 15 (iii) may exceed 20% of Fund assets, requirements are necessary for the Fund a calculation of the premium or calculated as the aggregate gross to achieve its investment objective in a discount of the Bid-Ask Price against notional value of such OTC manner that is cost-effective and that such NAV; and (iv) data in chart format derivatives.13 The Exchange proposes maximizes investors’ returns because displaying the frequency distribution of that up to 60% of the Fund’s assets OTC derivatives generally provide the discounts and premiums of the Bid-Ask (calculated as the aggregate gross Fund with more flexibility to negotiate Price against the NAV, within notional value) may be invested in such the exact exposure that the Fund appropriate ranges, for each of the four OTC derivatives. The proposed requires, and minimize trading costs previous calendar quarters. On each exception would allow the Fund to gain because OTC derivatives are not subject Business Day, before commencement of increased exposure to certain equity to costs of rolling that are associated trading in Shares in the Core Trading securities that have economic with listed derivatives. Session on the Exchange, the Fund will characteristics similar to securities The Adviser represents that it intends disclose on its website the Disclosed listed in the principal strategies, and to engage in strategies that utilize total Portfolio as defined in NYSE Arca Rule allow the Fund to obtain exposure, return swaps (which are traded OTC), as 8.600–E(c)(2) that forms the basis for the through the use of total return swaps, to described above, based on its Fund’s calculation of NAV at the end of certain equity securities that the Fund investment strategies. Depending on the Business Day.16 may not be able to invest in or choose market conditions, the exposure due to On a daily basis, the Fund will not to invest in directly, in furtherance these strategies may exceed 20% of the disclose the information required under of the Fund’s investment objective. As Fund’s assets. The Adviser represents NYSE Arca Rule 8.600–E(c)(2) to the stated above, the only OTC derivatives further that the swaps market is OTC, extent applicable. The website that the Fund may invest in are OTC and, as such, it is not possible to information will be publicly available at total return swaps on U.S. and foreign implement these strategies efficiently no charge. exchange-listed equity securities. using listed derivatives. In addition, use In addition, a basket composition file, The Adviser believes that it is of OTC swaps may be an important which includes the security names and important to provide the Fund with means to reduce risk in the Fund’s share quantities, if applicable, required additional flexibility to manage its equity investments, or, depending on to be delivered in exchange for the investments. OTC derivatives provide market conditions, to enhance returns of Fund’s Shares, together with estimates the Fund with flexibility as well as a such investments. If the Fund were and actual cash components, will be precise means to effectively gain limited to investing up to 20% of assets publicly disseminated daily prior to the exposure to U.S. and foreign exchange- in OTC derivatives, the Fund would opening of the Exchange via the NSCC. listed equities that the Fund otherwise have to exclude or underweight these The basket represents one Creation Unit would not be able to invest in or choose strategies and would be less diversified, of the Fund. Authorized Participants not to invest in directly. Generally, OTC concentrating risk in the other strategies may refer to the basket composition file derivatives can be customized to a it will utilize. for information regarding any security, greater degree and can provide equity The Exchange notes that, other than and any other instrument that may exposure with Fund assets, as well as Commentary .01(e), the Shares of the comprise the Fund’s basket on a given allow for control over the duration of Fund will conform to the initial and day. the exposure which can also mitigate continued listing criteria under NYSE Investors can also obtain the Trust’s trading costs. Therefore, while the Fund Arca Rule 8.600–E and will meet all Statement of Additional Information is able to invest 20% of the assets in the other requirements of NYSE Arca Rule (‘‘SAI’’), the Fund’s Shareholder Fund’s portfolio in OTC derivatives 8.600–E and Commentary .01 thereto. Reports, and the Fund’s Forms N–CSR pursuant to NYSE Arca Rule 8.600–E, The Adviser represents that the and Forms N–SAR, filed twice a year. Commentary .01(e), the Exchange proposed exception described above is The Fund’s SAI and Shareholder believes it is appropriate to apply a limit consistent with the Fund’s investment Reports will be available free upon of up to 60% of the Fund’s assets to the objective, and will further assist the request from the Trust, and those Fund’s investments in OTC total return Adviser to achieve such investment documents and the Form N–CSR, Form swaps on U.S. and foreign exchange- objective. N–PX and Form N–SAR may be viewed listed equity securities (calculated as the Availability of Information on-screen or downloaded from the aggregate gross notional value of such Commission’s website at www.sec.gov. OTC derivatives), that are used for The Fund’s website Intra-day and closing price equity investment exposure purposes, as (www.advisorshares.com) will include information regarding U.S. exchange- 14 the prospectus for the Fund that may be described above. listed equity options and equity index downloaded. The Fund’s website will options will be available from the include additional quantitative in the portfolio may be invested in OTC derivatives. exchange on which such instruments information updated on a daily basis For purposes of calculating this limitation, a are traded. Price information relating to portfolio’s investment in OTC derivatives will be including, for the Fund, (1) daily trading calculated as the aggregate gross notional value of volume, closing price and closing NAV the OTC derivatives. 15 The Bid-Ask Price of the Fund’s Shares will be 13 The Adviser monitors counterparty credit risk for the Fund; (ii) the reported midpoint determined using the mid-point of the highest bid exposure (including for OTC derivatives) and and the lowest offer on the Exchange as of the time evaluates counterparty credit quality on a as Modified by Amendment No. 4, To List and of calculation of the Fund’s NAV. The records continuous basis. Trade Shares of the iShares Commodity Multi- relating to Bid-Ask Prices will be retained by the 14 The Commission has previously approved an Strategy ETF Under NYSE Arca Rule 8.600–E); and Fund and its service providers. exception from requirements set forth in 87190 (October 1, 2019), 84 FR 53522 (October 7, 16 Under accounting procedures followed by the Commentary .01(e) relating to investments in OTC 2019) (SR–NYSEArca–2019–57) (Order Granting Fund, trades made on the prior Business Day (‘‘T’’) derivatives. See e.g., Securities Exchange Act Approval of Proposed Rule Change To List and will be booked and reflected in NAV on the current Release Nos. 86636 (August 12, 2019), 84 FR 42030 Trade Shares of the Franklin Liberty Systematic Business Day (‘‘T+1’’). Accordingly, the Fund will (August 16, 2019) (SR–NYSEArca–2018–98) (Notice Style Premia ETF, a Series of the Franklin be able to disclose at the beginning of the Business of Filing of Amendment No. 4 and Order Granting Templeton ETF Trust Under NYSE Arca Rule Day the portfolio that will form the basis for the Accelerated Approval of a Proposed Rule Change, 8.600–E). NAV calculation at the end of the Business Day.
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OTC swaps will be available from major halt or suspend trading in the Shares of as cross-market surveillances market data vendors. For U.S. and the Fund. Trading in Shares of the Fund administered by FINRA on behalf of the foreign exchange-listed equity will be halted if the circuit breaker Exchange, which are designed to detect securities, intraday price quotations will parameters in NYSE Arca Rule 7.12–E violations of Exchange rules and generally be available from broker- have been reached. Trading also may be applicable federal securities laws. The dealers and trading platforms (as halted because of market conditions or Exchange represents that these applicable). Price information for 144A for reasons that, in the view of the procedures are adequate to properly securities will be available from major Exchange, make trading in the Shares monitor Exchange trading of the Shares market data vendors. Price information inadvisable. These may include: (1) The in all trading sessions and to deter and for cash equivalents will be available extent to which trading is not occurring detect violations of Exchange rules and from major market data vendors. Price in the securities and/or the financial federal securities laws applicable to information regarding U.S. government instruments comprising the Disclosed trading on the Exchange. securities generally may be obtained Portfolio of the Fund; or (2) whether The surveillances referred to above from brokers and dealers who make other unusual conditions or generally focus on detecting securities markets in such securities or through circumstances detrimental to the trading outside their normal patterns, nationally recognized pricing services maintenance of a fair and orderly which could be indicative of through subscription agreements. market are present. Trading in the manipulative or other violative activity. Additionally, the Trade Reporting and Shares will be subject to NYSE Arca When such situations are detected, Compliance Engine (‘‘TRACE’’) of the Rule 8.600–E(d)(2)(D), which sets forth surveillance analysis follows and Financial Industry Regulatory Authority circumstances under which Shares of investigations are opened, where (‘‘FINRA’’) will be a source of price the Fund may be halted. appropriate, to review the behavior of all relevant parties for all relevant information for certain cash equivalents Trading Rules to the extent transactions in such trading violations. securities are reported to TRACE.17 The Exchange deems the Shares to be The Exchange or FINRA, on behalf of Information regarding market price equity securities, thus rendering trading the Exchange, or both, will and trading volume of the Shares will be in the Shares subject to the Exchange’s communicate as needed regarding continually available on a real-time existing rules governing the trading of trading in the Shares, certain exchange- basis throughout the day on brokers’ equity securities. Shares will trade on traded equity securities (including computer screens and other electronic the NYSE Arca Marketplace from 4:00 ETFs) and certain exchange-traded services. Information regarding the a.m. to 8:00 p.m. E.T. in accordance options with other markets and other previous day’s closing price and trading with NYSE Arca Rule 7.34–E (Trading entities that are members of the volume information for the Shares will Sessions). The Exchange has Intermarket Surveillance Group (‘‘ISG’’), be published daily in the financial appropriate rules to facilitate and the Exchange or FINRA, on behalf section of newspapers. transactions in the Shares during all of the Exchange, or both, may obtain Quotation and last sale information trading sessions. As provided in NYSE trading information regarding trading in for the Shares, ETFs, closed-end funds Arca Rule 7.6–E, the minimum price the Shares, certain exchange-traded and other U.S. exchange-traded equity variation (‘‘MPV’’) for quoting and entry equity securities (including ETFs) and securities will be available via the of orders in equity securities traded on certain exchange-traded options from Consolidated Tape Association (‘‘CTA’’) the NYSE Arca Marketplace is $0.01, such markets and other entities. In high-speed line. Exchange-traded with the exception of securities that are addition, the Exchange may obtain options quotation and last sale priced less than $1.00 for which the information regarding trading in the information for options cleared via the MPV for order entry is $0.0001. Shares, certain exchange-traded equity Options Clearing Corporation (‘‘OCC’’) With the exception of the securities (including ETFs) and certain are available via the Options Price requirements of Commentary .01(e) as exchange-traded options from markets Reporting Authority (‘‘OPRA’’). In described above under ‘‘Application of and other entities that are members of addition, the Portfolio Indicative Value Generic Listing Requirements,’’ the ISG or with which the Exchange has in (‘‘PIV’’), as defined in NYSE Arca Rule Shares of the Fund will conform to the place a comprehensive surveillance 8.600–E(c)(3), will be widely initial and continued listing criteria sharing agreement (‘‘CSSA’’). In disseminated by one or more major under NYSE Arca Rule 8.600–E. The addition, FINRA, on behalf of the market data vendors at least every 15 Exchange represents that for initial and Exchange, is able to access, as needed, seconds during the Core Trading continued listing, the Fund will be in trade information for certain cash Session. compliance with Rule 10A–3 under the equivalents held by the Fund reported Act, as provided by NYSE Arca Rule to FINRA’s TRACE. Trading Halts 5.3–E. A minimum of 100,000 Shares In addition, the Exchange also has a With respect to trading halts, the will be outstanding at the general policy prohibiting the Exchange may consider all relevant commencement of trading on the distribution of material, non-public factors in exercising its discretion to Exchange. The Exchange has obtained a information by its employees. representation from the issuer of the All statements and representations 17 Broker-dealers that are FINRA member firms Shares that the NAV per Share will be made in this filing regarding (a) the have an obligation to report transactions in calculated daily and that the NAV and description of the portfolio or reference specified debt securities to TRACE to the extent the Disclosed Portfolio will be made asset, (b) limitations on portfolio required under applicable FINRA rules. Generally, holdings or reference assets, or (c) the such debt securities will have at issuance a maturity available to all market participants at that exceeds one calendar year. For fixed income the same time. applicability of Exchange listing rules securities that are not reported to TRACE, (i) specified in this rule filing shall intraday price quotations will generally be available Surveillance constitute continued listing from broker-dealers and trading platforms (as The Exchange represents that trading requirements for listing the Shares on applicable) and (ii) price information will be available from feeds from market data vendors, in the Shares will be subject to the the Exchange. published or other public sources, or online existing trading surveillances The issuer has represented to the information services, as described above. administered by the Exchange, as well Exchange that it will advise the
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Exchange of any failure by the Fund to be listed and traded on the Exchange circumstances under which trading in comply with the continued listing pursuant to the initial and continued the Shares of the Fund may be halted. requirements, and, pursuant to its listing criteria in NYSE Arca Rule In addition, as noted above, investors obligations under Section 19(g)(1) of the 8.600–E. The Exchange has in place have ready access to information Act, the Exchange will monitor for surveillance procedures that are regarding the Fund’s holdings, the PIV, compliance with the continued listing adequate to properly monitor trading in the Disclosed Portfolio, and quotation requirements. If the Fund is not in the Shares in all trading sessions and to and last sale information for the Shares. compliance with the applicable listing deter and detect violations of Exchange The Exchange believes that while the requirements, the Exchange will rules and federal securities laws Fund is able to invest 20% of the assets commence delisting procedures under applicable to trading on the Exchange. in the Fund’s portfolio in OTC NYSE Arca Rule 5.5–E(m). The Adviser is not registered as a derivatives pursuant to Commentary .01(e) to NYSE Arca Rule 8.600–E, it is Information Bulletin broker-dealer nor is the Adviser affiliated with a broker-dealer. The appropriate to apply a limit of up to Prior to the commencement of Exchange or FINRA, on behalf of the 60% of the Fund’s assets to the Fund’s trading, the Exchange will inform its Exchange, or both, will communicate as investments in OTC total return swaps Equity Trading Permit (‘‘ETP’’) Holders needed regarding trading in the Shares, on U.S. and foreign exchange-listed in an Information Bulletin (‘‘Bulletin’’) certain exchange-traded equity equity securities (calculated as the of the special characteristics and risks securities (including ETFs) and certain aggregate gross notional value of such associated with trading the Shares of the exchange-traded options with other OTC derivatives) that are used for equity Fund. Specifically, the Bulletin will markets and other entities that are investment exposure purposes, as discuss the following: (1) The members of the ISG, and the Exchange described above. While the Fund will procedures for purchases and or FINRA, on behalf of the Exchange, or not invest directly in or hold ownership redemptions of Shares in Creation Units both, may obtain trading information in any companies that engage in (and that Shares are not individually regarding trading in the Shares, certain cannabis-related business unless redeemable); (2) NYSE Arca Rule 9.2– exchange-traded equity securities permitted by national and local laws of E(a), which imposes a duty of due (including ETFs) and certain exchange- the relevant jurisdiction, including U.S. diligence on its ETP Holders to learn the traded options from such markets and federal and state laws, the Adviser essential facts relating to every customer other entities. In addition, the Exchange believes that it is in the best interests of prior to trading the Shares; (3) the risks may obtain information regarding the Fund’s shareholders for the Fund to involved in trading the Shares during trading in the Shares, certain exchange- gain increased exposure to certain the Early and Late Trading Sessions traded equity securities (including equity securities that have economic when an updated PIV will not be ETFs) and certain exchange-traded characteristics similar to securities calculated or publicly disseminated; (4) options from markets and other entities listed in the principal strategies. The how information regarding the PIV and that are members of ISG or with which proposed exception would allow the the Disclosed Portfolio is disseminated; the Exchange has in place a Fund to gain increased exposure, (5) the requirement that ETP Holders comprehensive surveillance sharing through the use of total return swaps, to deliver a prospectus to investors agreement. In addition, FINRA, on certain equity securities that the Fund purchasing newly issued Shares prior to behalf of the Exchange, is able to access, may not be able to invest in or choose not to invest in directly, in furtherance or concurrently with the confirmation of as needed, trade information for certain of the Fund’s investment objective. All a transaction; and (6) trading cash equivalents held by the Fund Fund investments, including derivative information. reported to FINRA’s TRACE. In addition, the Bulletin will instruments (i.e., OTC total return reference that the Fund is subject to The proposed rule change is designed swaps on U.S. and foreign exchange- various fees and expenses described in to promote just and equitable principles listed equity securities), would be made the Registration Statement. The Bulletin of trade and to protect investors and the in accordance with all applicable laws, will discuss any exemptive, no-action, public interest in that the Exchange will including U.S. federal and state laws. and interpretive relief granted by the obtain a representation from the issuer In addition, the Fund’s investments in Commission from any rules under the of the Shares that the NAV per Share OTC derivatives used to gain increased Act. The Bulletin will also disclose that will be calculated daily and that the exposure in furtherance of the Fund’s the NAV for the Shares of the Fund will NAV and the Disclosed Portfolio will be investment objective, will be limited to be calculated after 4:00 p.m. E.T. each made available to all market 60% of the assets in the Fund’s trading day. participants at the same time. In portfolio, calculated as the aggregate addition, a large amount of information gross notional value of such OTC 2. Statutory Basis is publicly available regarding the Fund derivatives. While certain derivatives The basis under the Act for this and the Shares, thereby promoting can be traded on exchanges, total return proposed rule change is the requirement market transparency. The website for swaps (which can be customized) are under Section 6(b)(5) of the Act that an the Fund includes a form of the only available for trading on the OTC exchange have rules that are designed to prospectus for the Fund and additional market. Accordingly, the Adviser prevent fraudulent and manipulative data relating to NAV and other believes that OTC derivatives may acts and practices, to promote just and applicable quantitative information. frequently be a more efficient equitable principles of trade, to remove Trading in Shares of the Fund will be investment vehicle than listed impediments to, and perfect the halted if the circuit breaker parameters derivatives. Therefore, the Exchange mechanism of a free and open market in NYSE Arca Rule 7.12–E have been believes that increasing the percentage and, in general, to protect investors and reached or because of market conditions limit in Commentary .01(e), as described the public interest. or for reasons that, in the view of the above, applicable to the Fund’s The Exchange believes that the Exchange, make trading in the Shares investments in OTC total return swaps proposed rule change is designed to inadvisable, and trading in the Shares on U.S. and foreign exchange-listed prevent fraudulent and manipulative will be subject to NYSE Arca Rule equity securities would permit the Fund acts and practices in that the Shares will 8.600–E(d)(2)(D), which sets forth to satisfy its investment objective and
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reduce investment risks in a more cost- C. Self-Regulatory Organization’s provisions of 5 U.S.C. 552, will be effective manner and, therefore, would Statement on Comments on the available for website viewing and help protect investors and the public Proposed Rule Change Received From printing in the Commission’s Public interest. Members, Participants, or Others Reference Room, 100 F Street NE, The proposed rule change is designed No written comments were solicited Washington, DC 20549 on official business days between the hours of to perfect the mechanism of a free and or received with respect to the proposed 10:00 a.m. and 3:00 p.m. Copies of the open market and, in general, to protect rule change. filing also will be available for investors and the public interest in that III. Date of Effectiveness of the inspection and copying at the principal it will permit the listing and trading of Proposed Rule Change and Timing for office of the Exchange. All comments an actively-managed exchange-traded Commission Action received will be posted without change. product that, through permitted use of Within 45 days of the date of Persons submitting comments are an increased level of OTC derivatives cautioned that we do not redact or edit above that currently permitted by the publication of this notice in the Federal Register or up to 90 days (i) as the personal identifying information from generic listing requirements of Commission may designate if it finds comment submissions. You should Commentary .01 to NYSE Arca Rule such longer period to be appropriate submit only information that you wish 8.600–E, will enhance competition and publishes its reasons for so finding to make available publicly. All among market participants, to the or (ii) as to which the self-regulatory submissions should refer to File benefit of investors and the marketplace. organization consents, the Commission Number SR–NYSEArca–2019–77 and The Exchange believes that it is will: should be submitted on or before appropriate and in the public interest to (A) By order approve or disapprove January 16, 2020. allow the Fund to exceed the 20% limit the proposed rule change, or For the Commission, by the Division of in Commentary .01(e) to Rule 8.600–E of (B) institute proceedings to determine Trading and Markets, pursuant to delegated 18 portfolio assets that may be invested in whether the proposed rule change authority. OTC derivatives. Under Commentary should be disapproved. J. Matthew DeLesDernier, Assistant Secretary. .01(e), a series of Managed Fund Shares IV. Solicitation of Comments listed under the ‘‘generic’’ standards [FR Doc. 2019–27732 Filed 12–23–19; 8:45 am] may invest up to 20% of its assets Interested persons are invited to BILLING CODE 8011–01–P (calculated as the aggregate gross submit written data, views, and arguments concerning the foregoing, notional value) in OTC derivatives. including whether the proposed rule Because the Fund, in furtherance of its SMALL BUSINESS ADMINISTRATION change is consistent with the Act. investment objective, may invest a Comments may be submitted by any of [Disaster Declaration #16222 and #16223; substantial percentage of its investments the following methods: TENNESSEE Disaster Number TN–00116] in OTC total return swaps on U.S. and foreign exchange-listed equity Electronic Comments Administrative Declaration of a securities, the 20% limit in Commentary • Use the Commission’s internet Disaster for the State of Tennessee .01(e) to Rule 8.600–E could result in comment form (http://www.sec.gov/ AGENCY: U.S. Small Business the Fund being unable to fully pursue rules/sro.shtml); or Administration. • its investment objective while Send an email to rule-comments@ ACTION: Notice. attempting to sufficiently mitigate sec.gov. Please include File Number SR– investment risks. The inability of the NYSEArca–2019–77 on the subject line. SUMMARY: This is a notice of an Administrative declaration of a disaster Fund to adequately increase its Paper Comments exposure would effectively limit the for the State of Tennessee Dated 12/17/ • Fund’s ability to invest in certain Send paper comments in triplicate 2019. instruments, or could expose the Fund to: Secretary, Securities and Exchange Incident: Severe Storms associated to additional investment risk. Commission, 100 F Street NE, with the remnants of Tropical Storm Washington, DC 20549–1090. Olga. B. Self-Regulatory Organization’s All submissions should refer to File Incident Period: 10/26/2019. Statement on Burden on Competition Number SR–NYSEArc–2019–77. This DATES: Issued on 12/17/2019. file number should be included on the Physical Loan Application Deadline The Exchange does not believe that subject line if email is used. To help the Date: 02/18/2020. the proposed rule change will impose Commission process and review your Economic Injury (EIDL) Loan any burden on competition that is not comments more efficiently, please use Application Deadline Date: 09/17/2020. necessary or appropriate in furtherance only one method. The Commission will ADDRESSES: Submit completed loan of the purpose of the Act. The Exchange post all comments on the Commission’s applications to: U.S. Small Business notes that the proposed rule change will internet website (http://www.sec.gov/ Administration, Processing and permit the listing and trading of an issue rules/sro.shtml). Copies of the Disbursement Center, 14925 Kingsport of Managed Fund Shares that, through submission, all subsequent Road, Fort Worth, TX 76155. permitted use of an increased level of amendments, all written statements FOR FURTHER INFORMATION CONTACT: A. OTC derivatives above that currently with respect to the proposed rule Escobar, Office of Disaster Assistance, permitted by the generic listing change that are filed with the U.S. Small Business Administration, requirements of Commentary .01 to Commission, and all written 409 3rd Street SW, Suite 6050, NYSE Arca Rule 8.600–E will enhance communications relating to the Washington, DC 20416, (202) 205–6734. competition among market participants, proposed rule change between the SUPPLEMENTARY INFORMATION: Notice is to the benefit of investors and the Commission and any person, other than hereby given that as a result of the marketplace. those that may be withheld from the public in accordance with the 18 17 CFR 200.30–3(a)(12).
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Administrator’s disaster declaration, 20515). The focus of the meeting will be ‘‘special watch list’’ countries for applications for disaster loans may be the presentation of the 2019 religious freedom violations pursuant to filed at the address listed above or other Comprehensive Annual Report on Section 408(a) of the International locally announced locations. Public Diplomacy and International Religious Freedom Act of 1998 (Pub. L. The following areas have been Broadcasting. The meeting will also 105–292), as amended (the Act), notice determined to be adversely affected by feature a panel of experts on public is hereby given that, on December 18, the disaster: diplomacy programs in the field. 2019, the Secretary of State, under Primary Counties: Decatur, Humphreys, This meeting is open to the public, authority delegated by the President, McNairy, Montgomery. including the media and members and has designated each of the following as Contiguous Counties: staff of governmental and non- a ‘‘country of particular concern’’ (CPC) Tennessee: Benton, Carroll, governmental organizations. Any under section 402(b) of the Act, for Cheatham, Chester, Dickson, requests for a reasonable having engaged in or tolerated Hardeman, Hardin, Henderson, accommodation should be sent by email particularly severe violations of Hickman, Houston, Perry, to Kristy Zamary at ZamaryKK@ religious freedom: Burma, China, Robertson, Stewart, Wayne. state.gov by 5:00 p.m. on Thursday, Eritrea, Iran, the Democratic People’s Kentucky: Christian, Todd. January 16, 2020. Attendees should plan Republic of Korea, Pakistan, Saudi Mississippi: Alcorn. to arrive for the meeting by 9:45 a.m. to Arabia, Tajikistan, and Turkmenistan. The Interest Rates are: allow for a prompt start. The Secretary simultaneously The U.S. Advisory Commission on designated the following Presidential Percent Public Diplomacy appraises U.S. Actions for these CPCs: government activities intended to For Burma, the existing ongoing For Physical Damage: understand, inform, and influence restrictions referenced in 22 CFR 126.1, Homeowners with Credit Avail- foreign publics. The Advisory pursuant to section 402(c)(5) of the Act; able Elsewhere ...... 3.000 Commission may conduct studies, For China, the existing ongoing restriction Homeowners without Credit inquiries, and meetings, as it deems on exports to China of crime control or Available Elsewhere ...... 1.500 necessary. It may assemble and detection instruments or equipment, under Businesses with Credit Avail- disseminate information and issue the Foreign Relations Authorization Act, able Elsewhere ...... 7.750 Fiscal Years 1990 and 1991 (Pub. L. 101– Businesses without Credit reports and other publications, subject 246), pursuant to section 402(c)(5) of the Act; Available Elsewhere ...... 3.875 to the approval of the Chairperson, in For Eritrea, the existing ongoing Non-Profit Organizations with consultation with the Executive restrictions referenced in 22 CFR 126.1, Credit Available Elsewhere ... 2.750 Director. The Advisory Commission pursuant to section 402(c)(5) of the Act; Non-Profit Organizations with- may undertake foreign travel in pursuit For Iran, the existing ongoing travel out Credit Available Else- of its studies and coordinate, sponsor, or restrictions in section 221(c) of the Iran where ...... 2.750 oversee projects, studies, events, or Threat Reduction and Syria Human Rights For Economic Injury: other activities that it deems desirable Act of 2012 (TRA) for individuals identified Businesses & Small Agricultural and necessary in fulfilling its functions. under section 221(a)(1)(C) of the TRA in Cooperatives without Credit connection with the commission of serious Available Elsewhere ...... 3.875 For more information on the U.S. human rights abuses, pursuant to section Non-Profit Organizations with- Advisory Commission on Public 402(c)(5) of the Act; out Credit Available Else- Diplomacy, please visit https:// For the Democratic People’s Republic of where ...... 2.750 www.state.gov/bureaus-offices/under- Korea, the existing ongoing restrictions to secretary-for-public-diplomacy-and- which the Democratic People’s Republic of The number assigned to this disaster public-affairs/united-states-advisory- Korea is subject, pursuant to sections 402 and for physical damage is 16222 8 and for commission-on-public-diplomacy/. For 409 of the Trade Act of 1974 (the Jackson- more information on the upcoming Vanik Amendment), and pursuant to section economic injury is 16223 0. 402(c)(5) of the Act; The States which received an EIDL public meeting, contact the For Pakistan, a waiver as required in the Declaration # are Tennessee, Kentucky, Commission’s Executive Director, ‘‘important national interest of the United Mississippi. Vivian S. Walker, at WalkerVS@ States,’’ pursuant to section 407 of the Act; (Catalog of Federal Domestic Assistance state.gov or Senior Advisor, Shawn For Saudi Arabia, a waiver as required in Number 59008) Baxter, at [email protected]. the ‘‘important national interest of the United States,’’ pursuant to section 407 of the Act; Christopher Pilkerton, Vivian S. Walker, For Tajikistan, a waiver as required in the Acting Administrator. Executive Director, U.S. Advisory ‘‘important national interest of the United Commission on Public Diplomacy, States,’’ pursuant to section 407 of the Act; [FR Doc. 2019–27820 Filed 12–23–19; 8:45 am] Department of State. and BILLING CODE 8026–03–P [FR Doc. 2019–27758 Filed 12–23–19; 8:45 am] For Turkmenistan, a waiver as required in the ‘‘important national interest of the United BILLING CODE 4710–45–P States,’’ pursuant to section 407 of the Act. DEPARTMENT OF STATE In addition, the Secretary of State has designated the following countries as [Public Notice: 10978] DEPARTMENT OF STATE ‘‘special watch list’’ countries for [Public Notice 10987] U.S. Advisory Commission on Public engaging in or tolerating severe Diplomacy; Notice of Meeting Secretary of State’s Determination violations of religious freedom: Under the International Religious Comoros, Cuba, Nicaragua, Nigeria, The U.S. Advisory Commission on Freedom Act of 1998 and Frank R. Wolf Russia, Sudan, and Uzbekistan. Public Diplomacy will hold a public International Religious Freedom Act of The Secretary of State’s designation of meeting from 10:00 a.m. until 12:00 2016 ‘‘entities of particular concern’’ for p.m., Thursday, January 23, 2020, at the religious freedom violations. Pursuant U.S. Capital Visitor Center in Room SVC The Secretary of State’s designation of to Section 408(a) of the International 203–02 (First St NE, Washington, DC ‘‘countries of particular concern’’ and Religious Freedom Act of 1998 (Pub. L.
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105–292), notice is hereby given that, on prohibits, restricts, or otherwise limits, County, N.J. (the Line). The Line December 18, 2019, the Secretary of interchange of traffic with any third- traverses U.S. Postal Service Zip Code State, under authority delegated by the party carrier. 08349. President, has designated each of the CCET certifies that its projected W&W has certified that: (1) No local following as an ‘‘entity of particular annual revenues as a result of the common carrier freight traffic has concern’’ under section 301 of the Frank proposed transaction will not exceed $5 moved over the Line for at least two R. Wolf International Religious Freedom million and that the transaction will not years; (2) no overhead traffic has moved Act of 2016 (Pub. L. 114–281), for result in the creation of a Class II or over the Line for at least two years and, having engaged in particularly severe Class I rail carrier. therefore, there is no need to reroute any violations of religious freedom: al-Nusra This transaction may be traffic; (3) no formal complaint filed by Front, al-Qa’ida in the Arabian consummated on or after January 9, a user of rail service on the Line (or by Peninsula, al-Qa’ida, al-Shabab, Boko 2020, the effective date of the exemption a state or local government entity acting Haram, the Houthis, ISIS, ISIS- (30 days after the verified notice was on behalf of such user) regarding Khorasan, and the Taliban. filed). cessation of service over the Line either FOR FURTHER INFORMATION CONTACT: If the verified notice contains false or is pending with the Surface Howard Chyung, Office of International misleading information, the exemption Transportation Board (Board) or any Religious Freedom, U.S. Department of is void ab initio. Petitions to revoke the U.S. District Court or has been decided State, (Phone: (202) 647–3865 or Email: exemption under 49 U.S.C. 10502(d) in favor of a complainant within the [email protected]). may be filed at any time. The filing of two-year period; and (4) the a petition to revoke will not requirements at 49 CFR 1105.12 Daniel L. Nadel, automatically stay the effectiveness of (newspaper publication), 49 CFR Director, Office of International Religious the exemption. Petitions for stay must 1152.50(d)(1) (notice to governmental Freedom, Department of State. be filed no later than January 2, 2020 (at agencies), and 49 CFR 1105.7 and [FR Doc. 2019–27787 Filed 12–23–19; 8:45 am] least seven days before the exemption 1105.8 (environmental and historic BILLING CODE 4710–18–P becomes effective). report), have been met. All pleadings, referring to Docket No. As a condition to this exemption, any FD 36370, must be filed with the employee adversely affected by the SURFACE TRANSPORTATION BOARD Surface Transportation Board either via abandonment shall be protected under e-filing or in writing addressed to 395 E Oregon Short Line Railroad— [Docket No. FD 36370] Street SW, Washington, DC 20423–0001. Abandonment Portion Goshen Branch Between Firth & Ammon, in Bingham & CCET, LLC d/b/a Cincinnati Eastern In addition, a copy of each pleading Bonneville Counties, Idaho, 360 I.C.C. Railroad—Lease and Operation must be served on CCET’s 91 (1979). To address whether this Exemption—Norfolk Southern Railway representative, Robert A. Wimbish, condition adequately protects affected Company Fletcher & Sippel LLC, 29 North Wacker Drive, Suite 800, Chicago, IL 60606– employees, a petition for partial CCET, LLC d/b/a Cincinnati Eastern 3208. revocation under 49 U.S.C. 10502(d) Railroad (CCET), a Class III railroad, has According to CCET, this action is must be filed. filed a verified notice of exemption categorically excluded from Provided no formal expression of under 49 CFR 1150.41 to continue its environmental review under 49 CFR intent to file an offer of financial lease of, and its provision of railroad 1105.6(c) and from historic preservation assistance (OFA) has been received,1 common carrier service over, reporting requirements under 49 CFR this exemption will be effective on approximately 69.45 route miles of 1105.8(b). January 25, 2020, unless stayed pending railroad owned by Norfolk Southern Board decisions and notices are reconsideration. Petitions to stay that do Railway Company (NSR), from milepost available at www.stb.gov. not involve environmental issues must be filed by January 3, 2020.2 Formal CT 9.0 at Clare, Ohio, at its west end, Decided: December 18, 2019. to milepost CT 78.45 at Mineral Springs, expressions of intent to file an OFA By the Board, Scott M. Zimmerman, Acting under 49 CFR 1152.27(c)(2) and trail Ohio (the Line). Director, Office of Proceedings. use/rail banking requests under 49 CFR CCET states that it and NSR are Jeffrey Herzig, parties to an agreement under which 1152.29 must be filed by January 6, Clearance Clerk. CCET has acquired a leasehold interest 2020.3 Petitions to reopen or requests in, and operates, the Line, segments of [FR Doc. 2019–27674 Filed 12–23–19; 8:45 am] for public use conditions under 49 CFR which were leased to CCET in sequence BILLING CODE 4915–01–P 1152.28 must be filed by January 15, beginning in 2014.1 The verified notice indicates that recently, CCET and NSR 1 Persons interested in submitting an OFA must SURFACE TRANSPORTATION BOARD first file a formal expression of intent to file an agreed to amend the underlying lease offer, indicating the type of financial assistance they agreement, including an extension of [Docket No. AB 434 (Sub-No. 4X)] wish to provide (i.e., subsidy or purchase) and the term. demonstrating that they are preliminarily According to CCET, the amended Winchester & Western Railroad financially responsible. See 49 CFR 1152.27(c)(2)(i). lease agreement between CCET and NSR Company—Abandonment Exemption— 2 The Board will grant a stay if an informed in Cumberland County, N.J. decision on environmental issues (whether raised does not contain any provision that by a party or by the Board’s Office of Environmental Winchester & Western Railroad Co. Analysis (OEA) in its independent investigation) 1 See CCET, LLC—Lease & Operation cannot be made before the exemption’s effective Exemption—Rail Line of Norfolk S. Ry. in Adams (W&W) has filed a verified notice of date. See Exemption of Out-of-Serv. Rail Lines, 5 Cty., Ohio, FD 36079 (STB served Dec. 7, 2016); exemption under 49 CFR part 1152 I.C.C.2d 377 (1989). Any request for a stay should CCET, LLC—Lease & Operation Exemption—Rail subpart F—Exempt Abandonments to be filed as soon as possible so that the Board may Line of Norfolk S. Ry. in Clermont, Brown, & Adams abandon an approximately 0.5-mile line take appropriate action before the exemption’s Ctys., Ohio, FD 35900 (STB served Feb. 6, 2015); effective date. CCET, LLC—Lease & Operation Exemption—Rail of railroad, from approximately 3 Filing fees for OFAs and trail use requests can Line of Norfolk S. Ry., FD 35810 (STB served Apr. milepost 16.2 to milepost 16.7, in the be found at 49 CFR 1002.2(f)(25) and (27), 4, 2014). Township of Commercial, Cumberland respectively.
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2020, with the Surface Transportation petition under 49 U.S.C. 10502 for trail use. Any request for a public use Board, 395 E Street SW, Washington, DC exemption from the prior approval condition under 49 CFR 1152.28 or for 20423–0001. requirements of 49 U.S.C. 10903 to trail use/rail banking under 49 CFR A copy of any petition filed with abandon an approximately 2.29-mile 1152.29 will be due no later than Board should be sent to W&W’s rail line, previously known as the January 15, 2020.1 representative, Edward D. Greenberg, Fourth Street Industrial Track, All pleadings, referring to Docket No. GKG Law, P.C., The Foundry Building, extending from milepost GI 0.0 to AB 290 (Sub-No. 406X), must be filed 1055 Thomas Jefferson Street NW, Suite milepost GI 2.29 in the City of Fort with the Surface Transportation Board 500, Washington, DC 20007. Wayne, Allen County, Ind. (the Line). either via e-filing or in writing If the verified notice contains false or The Line traverses U.S. Postal Service addressed to 395 E Street SW, misleading information, the exemption Zip Codes 46805 and 46808. NSR states Washington, DC 20423–0001. In is void ab initio. that the Line previously included the addition, a copy of each pleading must W&W has filed a combined station of Fourth Street. be served on NSR’s representatives, environmental and historic report that NSR states that it is seeking to William A. Mullins and Crystal M. addresses the potential effects of the abandon the Line because it has been Zorbaugh, Baker & Miller PLLC, 2401 abandonment on the environment and dormant for nearly two decades. (NSR Pennsylvania Ave. NW, Suite 300, historic resources.4 OEA will issue an Pet. 11.) On October 23, 2019, the Board Washington, DC 20037. Replies to the environmental assessment (EA) by rejected a verified notice of exemption petition are due on or before January 15, December 31, 2019. The EA will be filed by NSR to abandon the Line, 2020. available to interested persons on the finding that the class exemption Persons seeking further information Board’s website, by writing to OEA, or procedure was inappropriate given the concerning abandonment procedures by calling OEA at (202) 245–0305. factual and legal questions raised by the may contact the Board’s Office of Public Assistance for the hearing impaired is verified notice of exemption, including Assistance, Governmental Affairs, and available through the Federal Relay questions regarding the Line’s Compliance at (202) 245–0238 or refer Service at (800) 877–8339. Comments classification. Norfolk S. Ry.—Aban. to the full abandonment regulations at on environmental and historic Exemption—in the City of Fort Wayne, 49 CFR part 1152. preservation matters must be filed Ind., AB 290 (Sub-No. 403X) (STB Questions concerning environmental within 15 days after the EA becomes served Oct. 23, 2019). In its petition, issues may be directed to the Board’s available to the public. NSR states that, on balance, the facts Office of Environmental Analysis (OEA) Environmental, historic preservation, suggest that the Line is a line of railroad at (202) 245–0305. Assistance for the public use, or trail use/rail banking governed by 49 U.S.C. 10901 rather than hearing impaired is available through conditions will be imposed, where excepted track governed by 49 U.S.C. the Federal Relay Service at 1–800–877– appropriate, in a subsequent decision. 10906. (NSR Pet. 11.) 8339. According to NSR, the Line does not Pursuant to the provisions of 49 CFR An environmental assessment (EA) (or contain any federally granted rights-of- 1152.29(e)(2), W&W shall file a notice of environmental impact statement (EIS), if way. Any documentation in NSR’s consummation with the Board to signify necessary) prepared by OEA will be possession will be made available that it has exercised the authority served upon all parties of record and promptly to those requesting it. granted and fully abandoned the Line. If upon any agencies or other persons who consummation has not been effected by The interest of railroad employees will be protected by the conditions set comment during its preparation. Other W&W’s filing a notice of consummation interested persons may contact OEA to by December 26, 2020, and there are no forth in Oregon Short Line Railroad— Abandonment Portion Goshen Branch obtain a copy of the EA (or EIS). EAs in legal or regulatory barriers to abandonment proceedings normally will consummation, the authority to Between Firth & Ammon, in Bingham & Bonneville Counties, Idaho, 360 I.C.C. be made available within 60 days of the abandon will automatically expire. filing of the petition. The deadline for Board decisions and notices are 91 (1979). submission of comments on the EA available at www.stb.gov. By issuing this notice, the Board is instituting an exemption proceeding generally will be within 30 days of its Decided: December 18, 2019. pursuant to 49 U.S.C. 10502(b). A final service. By the Board, Scott M. Zimmerman, Acting Board decisions and notices are Director, Office of Proceedings. decision will be issued by March 25, 2020. available at www.stb.gov. Kenyatta Clay, Any offer of financial assistance Decided: December 17, 2019. Clearance Clerk. (OFA) under 49 CFR 1152.27(b)(2) for By the Board, Allison C. Davis, Director, [FR Doc. 2019–27661 Filed 12–23–19; 8:45 am] continued rail service will be due no Office of Proceedings. BILLING CODE 4915–01–P later than 120 days after the filing of the Jeffrey Herzig, petition for exemption, or 10 days after Clearance Clerk. service of a decision granting the SURFACE TRANSPORTATION BOARD petition for exemption, whichever [FR Doc. 2019–27670 Filed 12–23–19; 8:45 am] [Docket No. AB 290 (Sub-No. 406X)] occurs sooner. Persons interested in BILLING CODE 4915–01–P submitting an OFA must first file a Norfolk Southern Railway Company— formal expression of intent to file an SURFACE TRANSPORTATION BOARD Abandonment Exemption—in the City offer by January 6, 2019, indicating the of Fort Wayne, Ind. type of financial assistance they wish to [Docket No. EP 290 (Sub-No. 5) (2020–1)] provide (i.e., subsidy or purchase) and On December 6, 2019, Norfolk Quarterly Rail Cost Adjustment Factor Southern Railway Company (NSR) filed demonstrating that they are with the Surface Transportation Board a preliminarily financially responsible. AGENCY: Surface Transportation Board. See 49 CFR 1152.27(c)(1)(i). 4 On December 11, 2019, W&W supplemented its Following authorization for 1 The filing fees for OFAs and trail use requests historic report with a letter from the New Jersey abandonment, the Line may be suitable can be found at 49 CFR 1002.2(f)(25) and (27), Historic Preservation Office. for other public use, including interim respectively.
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ACTION: Approval of rail cost adjustment January 10, 2020 to ensure sufficient Record of the Meeting factor. meeting space is available to If you cannot attend the NPOAG accommodate all attendees. SUMMARY: The Board has approved the meeting, a summary record of the first quarter 2020 Rail Cost Adjustment FOR FURTHER INFORMATION CONTACT: meeting will be made available under Factor (RCAF) and cost index filed by Keith Lusk, AWP–1SP, Special the NPOAG section of the FAA ATMP Programs Staff, Federal Aviation website at: http://www.faa.gov/about/ the Association of American Railroads. _ _ The first quarter 2020 RCAF Administration, Western-Pacific Region office org/headquarters offices/arc/ Headquarters, 777 South Aviation programs/air_tour_management_plan/ (Unadjusted) is 1.043. The first quarter _ _ 2020 RCAF (Adjusted) is 0.440. The first Boulevard, Suite 150, El Segundo, CA parks overflights group/minutes.cfm or quarter 2020 RCAF–5 is 0.414. 92045, telephone: (424) 405–7017, through the Special Programs Staff, Western-Pacific Region, 777 South DATES: Applicability Date: January 1, email: [email protected]. Aviation Boulevard, Suite 150, El 2020. SUPPLEMENTARY INFORMATION: Segundo, CA 90245, telephone: (424) FOR FURTHER INFORMATION CONTACT: Background 405–7017. Pedro Ramirez, (202) 245–0333. Issued in El Segundo, CA, on December 18, Assistance for the hearing impaired is The National Parks Air Tour 2019. available through the Federal Relay Management Act of 2000 (NPATMA), Keith Lusk, Service at (800) 877–8339. enacted on April 5, 2000, as Public Law Program Manager, Special Programs Staff, SUPPLEMENTARY INFORMATION: 106–181, required the establishment of Western-Pacific Region. Additional information is contained in the NPOAG within one year after its [FR Doc. 2019–27838 Filed 12–23–19; 8:45 am] the Board’s decision, which is available enactment. The Act requires that the on our website, http://www.stb.gov. NPOAG be a balanced group of BILLING CODE 4910–13–P Copies of the decision may be representatives of general aviation, purchased by contacting the Office of commercial air tour operations, DEPARTMENT OF TRANSPORTATION Public Assistance, Governmental environmental concerns, and Native Affairs, and Compliance at (202) 245– American tribes. The Administrator of Federal Aviation Administration 0238. the FAA and the Director of NPS (or By the Board, Board Members their designees) serve as ex officio [Docket Number: FAA–2019–0946] Begeman, Fuchs, and Oberman. members of the group. Representatives Pilot Records Improvement Act; Decided: December 18, 2019. of the Administrator and Director serve Agency Information Collection Kenyatta Clay, alternating 1-year terms as chairperson Activities: Requests for Comments; Clearance Clerk. of the advisory group. Clearance of a Renewed Approval of [FR Doc. 2019–27767 Filed 12–23–19; 8:45 am] The duties of the NPOAG include Information Collection: Pilot Records BILLING CODE 4915–01–P providing advice, information, and Improvement Act of 1996/Pilot Record recommendations to the FAA Database Administrator and the NPS Director on; AGENCY: Federal Aviation DEPARTMENT OF TRANSPORTATION implementation of Public Law 106–181; quiet aircraft technology; other Administration (FAA), DOT. Federal Aviation Administration measures that might accommodate ACTION: Notice and request for interests to visitors of national parks; comments. Notice of Meeting of the National Parks and at the request of the Administrator SUMMARY: In accordance with the Overflights Advisory Group and the Director, on safety, Paperwork Reduction Act of 1995, FAA environmental, and other issues related ACTION: Notice of meeting. invites public comments about our to commercial air tour operations over intention to request the Office of national parks or tribal lands. SUMMARY: The Federal Aviation Management and Budget (OMB) Administration (FAA) and the National Agenda for the January 29–30, 2020 approval to renew an information Park Service (NPS), in accordance with NPOAG Meeting collection. This collection involves the the National Parks Air Tour pilot/applicant’s name, home address Management Act of 2000, announce the The agenda for the meeting will which is provided by the applicant, and next meeting of the National Parks include, but is not limited to, an update his/her FAA certificate number. In most Overflights Advisory Group (NPOAG). on ongoing park specific air tour cases, the certificate number is one that This notification provides the date, planning projects and commercial air has been assigned by Airmen location, and agenda for the meeting. tour reporting. Certification. The information collected DATES: Date and Location: The NPOAG Attendance at the Meeting and is imperative to be able to identify the will meet on January 29–30, 2020. The Submission of Written Comments airman in order to process the required meeting will take place in the background check for the potential Orangewood 2 Conference Room at the Although this is not a public meeting, hiring air carrier employer. Clarion Hotel, 616 W Convention Way, interested persons may attend. Because DATES: Written comments should be Anaheim, CA 92802. The meeting will seating is limited, if you plan to attend submitted by February 24, 2020. be held from 1:00 p.m. to 4:00 p.m. on please contact the person listed under ADDRESSES: Please send written January 29 and from 8:30 a.m. to 4:00 FOR FURTHER INFORMATION CONTACT so comments: p.m. on January 30, 2020. This NPOAG that meeting space may be made to By Electronic Docket: meeting will be open to the public. accommodate all attendees. Written www.regulations.gov (Enter docket Because seating is limited, members of comments regarding the meeting will be number into search field). the public wishing to attend will need accepted directly from attendees or may By mail: FEDERAL AVIATION to contact the person listed under FOR be sent to the person listed under FOR ADMINISTRATION, ATTN: Aviation FURTHER INFORMATION CONTACT by FURTHER INFORMATION CONTACT. Data Systems Branch, AFS–620 (PRD/
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PRIA), PO Box 25082, Oklahoma City, are medical and airman certificate DEPARTMENT OF TRANSPORTATION OK 73125–0082. verifications and any closed By fax: 405–954–4655. enforcement and revocation data. The Maritime Administration FOR FURTHER INFORMATION CONTACT: air carrier information disclosed under [Docket No. MARAD–2019–0205] Christopher Morris by email at: PRIA are those concerning pilot [email protected] or by calling performance and training, disciplinary Request for Comments on the 405–954–4646. and removal from service, and drug and Approval of a Previously Approved SUPPLEMENTARY INFORMATION: alcohol testing records. Records from Information Collection: Merchant Public Comments Invited: You are the Department of Motor Vehicles of any Marine Medals and Awards asked to comment on any aspect of this particular State would include records AGENCY: Maritime Administration, DOT. information collection, including (a) of drug and alcohol convictions. Other ACTION: Notice and request for Whether the proposed collection of records collections such as financial comments. information is necessary for FAA’s statements, fingerprints and failed check performance; (b) the accuracy of the rides may be requested and received but SUMMARY: The Maritime Administration estimated burden; (c) ways for FAA to they are outside the purview and scope (MARAD) invites public comments on enhance the quality, utility and clarity of PRIA and would be requested using our intention to request the Office of of the information collection; and (d) other vehicles than the PRIA forms. Management and Budget (OMB) ways that the burden could be PRIA request forms can be received by approval to renew an information minimized without reducing the quality fax or mail; however, the most common collection. The information to be of the collected information. The agency collected will be used by MARAD method is by email attachment, one will summarize and/or include your personnel to process and verify requests comments in the request for OMB’s pilot/applicant per one form. Each for service awards. We are required to clearance of this information collection. 8060–10 form will include all publish this notice in the Federal OMB Control Number: 2120–0607. information needed to process the Register by the Paperwork Reduction Title: Pilot Records Improvement Act requested PRIA report. FAA Form 8060- Act of 1995. of 1996/Pilot Record Database. xx is being added to this collection to DATES: Comments must be submitted on Form Numbers: allow pilots to release their FAA-records or before February 24, 2020. FAA 8060–10 FAA RECORDS to a hiring aviation employer when they ADDRESSES: You may submit comments REQUEST (PRIA) cannot release the records themselves [identified by Docket No. MARAD– FAA 8060–10 AIRMAN NOTICE AND via the PRD website. Use of FAA Form 2019–0205] through one of the RIGHT TO RECEIVE COPY—FAA 8060-xx is not required if FAA Form following methods: RECORDS (PRIA) 8060–10 is used or if the pilot releases • Federal Rulemaking Portal: http:// FAA 8060–11 AIR CARRIER AND the records themselves via the PRD www.regulations.gov. Search using the OTHER RECORDS REQUEST (PRIA) website. above DOT docket number and follow FAA 8060–11A AIRMAN NOTICE AND Respondents: The PRIA representative the online instructions for submitting RIGHT TO RECEIVE COPY—AIR at each part 121, 125 and 135 air carrier comments. CARRIER AND OTHER RECORDS • is responsible for completing, Fax: 1–202–493–2251. (PRIA) • Mail or Hand Delivery: Docket forwarding, receiving and providing the FAA 8060–12 AUTHORIZATION FOR Management Facility, U.S. Department RELEASE OF DOT DRUG AND air carrier with the completed PRIA of Transportation, 1200 New Jersey ALCOHOL TESTING RECORDS report so the air carrier can make a more Avenue SE, West Building, Room W12– UNDER PRIA AND MAINTAINED informed hiring decision concerning 140, Washington, DC 20590, between 9 UNDER TITLE 49 CODE OF each pilot/applicant. One complete a.m. and 5 p.m., Monday through FEDERAL REGULATIONS (49 CFR) PRIA package is required for every Friday, except on Federal holidays. PART 40 pilot/applicant. The FAA processes Comments are invited on: (a) Whether FAA 8060–13 NATIONAL DRIVER approximately 24,120 PRIA packages the proposed collection of information REGISTER RECORDS REQUEST per year from respondents. is necessary for the Department’s (PRIA) Frequency: On occasion. performance; (b) the accuracy of the FAA FORM 8060–XX PILOT estimated burden; (c) ways for the CONSENT/REVOCATION FOR AIR Estimated Average Burden per Department to enhance the quality, CARRIER ACCESS TO PILOT Response: 98 hours. utility and clarity of the information RECORDS DATABASE Estimated Total Annual Burden: collection; and (d) ways that the burden Type of Review: Renewal of an 2,086,380 hours. could be minimized without reducing information collection. Issued in Oklahoma City, OK on December the quality of the collected information. Background: The Pilot Records 18, 2019. The agency will summarize and/or include your comments in the request Improvement Act of 1996 (PRIA) as Christopher Morris, amended, was enacted to ensure that for OMB’s clearance of this information part 121, 125 and 135 air carriers and air PRD/PRIA Program Manager, Regulatory collection. Support Division, Flight Standards Service, operators adequately investigate a FOR FURTHER INFORMATION CONTACT: Office of Aviation Safety AFS–620. pilot’s background before allowing that Deveeda Midgette, 202–366–2354, pilot to conduct commercial air carrier [FR Doc. 2019–27707 Filed 12–23–19; 8:45 am] Office of Sealift Support, Maritime flights for their company. Under PRIA, BILLING CODE 4910–13–P Administration, U.S. Department of a hiring employer cannot place a pilot Transportation, 1200 New Jersey into service until they obtain, reviews Avenue SE, Washington, DC 20590. and approve the pilot’s background and SUPPLEMENTARY INFORMATION: other safety-related records for the past Title: Merchant Marine Medals and 5 year period as specified in PRIA. The Awards. FAA information disclosed under PRIA OMB Control Number: 2133–0506.
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Type of Request: Renewal of a Office of Sealift Support, U.S. DEPARTMENT OF TRANSPORTATION previously approved collection. Department of Transportation, 1200 Abstract: This collection of New Jersey Avenue SE, Washington, DC Maritime Administration information provides a method of 20590, Email: William.g.mcdonald@ [Docket No. MARAD–2019–0202] awarding merchant marine medals and dot.gov. decorations to masters, officers, and Requested Administrative Waiver of crew members of U.S. ships in SUPPLEMENTARY INFORMATION: the Coastwise Trade Laws: Vessel C– recognition of their service in areas of Title: Voluntary Tanker Agreement. WEED (Motor Vessel); Invitation for danger during the operations by the OMB Control Number: 2133–0505. Public Comments Armed Forces of the United States in World War II, Korea, Vietnam, and Type of Request: Renewal of a AGENCY: Maritime Administration, DOT. Operation Desert Storm. Previously Approved Information ACTION: Notice. Respondents: Master, officers and Collection. crew members of U.S. ships. Background: This collection of SUMMARY: The Secretary of Affected Public: Individuals or information is used to gather Transportation, as represented by the Households. information on tanker operators who Maritime Administration (MARAD), is Estimated Number of Respondents: agree to contribute tanker capacity as authorized to grant waivers of the U.S.- 550. requested by the Maritime build requirements of the coastwise Estimated Number of Responses: 550. Administrator at such times and in such trade laws to allow the carriage of no Estimated Hours per Response: 1. amounts to meet essential needs of the more than twelve passengers for hire on Annual Estimated Total Annual Department of Defense (DOD) for the vessels, which are three years old or Burden Hours: 550. transportation of petroleum and more. A request for such a waiver has Frequency of Response: Annually, petroleum products in bulk by sea. The been received by MARAD. The vessel, (Authority: The Paperwork Reduction Act of Voluntary Tanker Agreement is a and a brief description of the proposed 1995; 44 U.S.C. Chapter 35, as amended; and voluntary emergency preparedness service, is listed below. 49 CFR 1.93.) agreement in accordance with Section DATES: Submit comments on or before By Order of the Maritime Administrator. 708, Defense Production Act, 1950, as January 27, 2020. Dated: December 18, 2019. amended (50 U.S.C. 4558). ADDRESSES: You may submit comments T. Mitchell Hudson, Jr., Respondents: U.S.-flag and U.S. identified by DOT Docket Number Secretary, Maritime Administration. citizen-owned vessels that are required MARAD–2019–0202 by any one of the [FR Doc. 2019–27680 Filed 12–23–19; 8:45 am] to respond under current statute and following methods: • Federal eRulemaking Portal: Go to BILLING CODE 4910–81–P regulation. http://www.regulations.gov.: Search Affected Public: Business or other for MARAD–2019–0202 and follow the profit. DEPARTMENT OF TRANSPORTATION instructions for submitting comments. Total Estimated Number of • Mail or Hand Delivery: Docket Maritime Administration Responses: 15. Management Facility is in the West Frequency of Collection: Annually. Building, Ground Floor of the U.S. [Docket No. MARAD–2019–0206] Department of Transportation. The Estimated Time per Respondent: 1 Hr. Request for Comments of a Previously Docket Management Facility location Approved Information Collection Total Estimated Number of Annual address is: U.S. Department of Burden Hours: 15. Transportation, MARAD–2019–0202, AGENCY: Maritime Administration, DOT. Public Comments Invited: Comments 1200 New Jersey Avenue SE, West ACTION: Notice and request for are invited on: Whether the proposed Building, Room W12–140, Washington, comments. collection of information is necessary DC 20590, between 9 a.m. and 5 p.m., for the proper performance of the Monday through Friday, except on SUMMARY: In compliance with the functions of the Department, including Federal holidays. Paperwork Reduction Act of 1995, this whether the information will have Note: If you mail or hand-deliver your notice announces that the Information practical utility; the accuracy of the comments, we recommend that you Collection Request (ICR) abstracted Department’s estimate of the burden of include your name and a mailing below is being forwarded to the Office the proposed information collection; address, an email address, or a of Management and Budget (OMB) for ways to enhance the quality, utility and telephone number in the body of your review and comments. A Federal clarity of the information to be document so that we can contact you if Register Notice with a 60-day comment collected; and ways to minimize the we have questions regarding your period soliciting comments on the burden of the collection of information submission. following information collection was on respondents, including the use of Instructions: All submissions received published on October 7, 2019. automated collection techniques or must include the agency name and DATES: Comments must be submitted on other forms of information technology. specific docket number. All comments or before January 27, 2020. (Authority: The Paperwork Reduction Act of received will be posted without change ADDRESSES: Send comments regarding 1995; 44 U.S.C. Chapter 35, as amended; and to the docket at www.regulations.gov, the burden estimate, including 49 CFR 1.93) including any personal information suggestions for reducing the burden, to provided. For detailed instructions on Dated: December 18, 2019. the Office of Management and Budget, submitting comments, see the section Attention: Desk Officer for the Office of By Order of the Maritime Administrator. entitled Public Participation. the Secretary of Transportation, 725 T. Mitchell Hudson, Jr., FOR FURTHER INFORMATION CONTACT: 17th Street NW, Washington, DC 20503. Secretary, Maritime Administration. Bianca Carr, U.S. Department of FOR FURTHER INFORMATION CONTACT: [FR Doc. 2019–27681 Filed 12–23–19; 8:45 am] Transportation, Maritime William McDonald, 202–366–0688, BILLING CODE 4910–81–P Administration, 1200 New Jersey
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Avenue SE, Room W23–453, Will my comments be made available to ACTION: Notice. Washington, DC 20590. Telephone 202– the public? 366–9309, Email [email protected]. SUMMARY: The Secretary of Yes. Be aware that your entire Transportation, as represented by the SUPPLEMENTARY INFORMATION: As comment, including your personal Maritime Administration (MARAD), is described by the applicant the intended identifying information, will be made authorized to grant waivers of the U.S.- service of the vessel C–WEED is: publicly available. build requirements of the coastwise —Intended Commercial use of Vessel: May I submit comments confidentially? trade laws to allow the carriage of no ‘‘Local day charters’’ more than twelve passengers for hire on If you wish to submit comments vessels, which are three years old or —Geographic Region Including Base of under a claim of confidentiality, you Operations: ‘‘Rhode Island, more. A request for such a waiver has should submit three copies of your been received by MARAD. The vessel, Connecticut, New York (excluding complete submission, including the New York Harbor), New Jersey, and a brief description of the proposed information you claim to be confidential service, is listed below. Delaware, Maryland, Virginia, North business information, to the Department DATES: Submit comments on or before Carolina, South Carolina, Georgia, of Transportation, Maritime January 27, 2020. Florida’’ (Base of Operations: Miami, Administration, Office of Legislation FL) and Regulations, MAR–225, W24–220, ADDRESSES: You may submit comments ′ —Vessel length and type: 70 motor 1200 New Jersey Avenue SE, identified by DOT Docket Number vessel Washington, DC 20590. Include a cover MARAD–2019–0201 by any one of the following methods: The complete application is available letter setting forth with specificity the • basis for any such claim and, if possible, Federal eRulemaking Portal: Go to for review identified in the DOT docket http://www.regulations.gov. Search as MARAD–2019–0202 at http:// a summary of your submission that can be made available to the public. MARAD–2019–0201 and follow the www.regulations.gov. Interested parties instructions for submitting comments. may comment on the effect this action Privacy Act • Mail or Hand Delivery: Docket may have on U.S. vessel builders or Management Facility is in the West businesses in the U.S. that use U.S.-flag In accordance with 5 U.S.C. 553(c), DOT solicits comments from the public Building, Ground Floor of the U.S. vessels. If MARAD determines, in Department of Transportation. The accordance with 46 U.S.C. 12121 and to better inform its rulemaking process. DOT posts these comments, without Docket Management Facility location MARAD’s regulations at 46 CFR part address is: U.S. Department of 388, that the issuance of the waiver will edit, to www.regulations.gov, as described in the system of records Transportation, MARAD–2019–0201, have an unduly adverse effect on a U.S.- 1200 New Jersey Avenue SE, West vessel builder or a business that uses notice, DOT/ALL–14 FDMS, accessible through www.dot.gov/privacy. To Building, Room W12–140, Washington, U.S.-flag vessels in that business, a DC 20590, between 9 a.m. and 5 p.m., waiver will not be granted. Comments facilitate comment tracking and response, we encourage commenters to Monday through Friday, except on should refer to the vessel name, state the Federal holidays. commenter’s interest in the waiver provide their name, or the name of their organization; however, submission of Note: If you mail or hand-deliver your application, and address the waiver comments, we recommend that you criteria given in section 388.4 of names is completely optional. Whether or not commenters identify themselves, include your name and a mailing MARAD’s regulations at 46 CFR part address, an email address, or a 388. all timely comments will be fully considered. If you wish to provide telephone number in the body of your Public Participation comments containing proprietary or document so that we can contact you if we have questions regarding your How do I submit comments? confidential information, please contact the agency for alternate submission submission. Please submit your comments, instructions. Instructions: All submissions received including the attachments, following the must include the agency name and (Authority: 49 CFR 1.93(a), 46 U.S.C. 55103, specific docket number. All comments instructions provided under the above 46 U.S.C. 12121) heading entitled ADDRESSES. Be advised received will be posted without change * * * * * that it may take a few hours or even to the docket at www.regulations.gov, days for your comment to be reflected Dated: December 18, 2019. including any personal information on the docket. In addition, your By Order of the Maritime Administrator. provided. For detailed instructions on comments must be written in English. T. Mitchell Hudson, Jr., submitting comments, see the section entitled Public Participation. We encourage you to provide concise Secretary, Maritime Administration. FOR FURTHER INFORMATION CONTACT: comments and you may attach [FR Doc. 2019–27683 Filed 12–23–19; 8:45 am] Bianca Carr, U.S. Department of additional documents as necessary. BILLING CODE 4910–81–P There is no limit on the length of the Transportation, Maritime attachments. Administration, 1200 New Jersey DEPARTMENT OF TRANSPORTATION Avenue SE, Room W23–453, Where do I go to read public comments, Washington, DC 20590. Telephone 202– and find supporting information? Maritime Administration 366–9309, Email [email protected]. Go to the docket online at http:// SUPPLEMENTARY INFORMATION: As www.regulations.gov, keyword search [Docket No. MARAD–2019–0201] described by the applicant the intended service of the vessel ADAGIO is: MARAD–2019–0202 or visit the Docket Requested Administrative Waiver of Management Facility (see ADDRESSES for the Coastwise Trade Laws: Vessel —Intended Commercial Use of Vessel: hours of operation). We recommend that ADAGIO (Sailboat); Invitation for ‘‘Vessel will be used for local day you periodically check the Docket for Public Comments charters. 2, 4, and 6 hour trips new submissions and supporting departing from marina in Biloxi, MS material. AGENCY: Maritime Administration, DOT. and arriving at the same location.’’
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—Geographic Region Including Base of Administration, Office of Legislation ADDRESSES: You may submit comments Operations: ‘‘Mississippi’’ (Base of and Regulations, MAR–225, W24–220, identified by DOT Docket Number Operations: Marina Del Ray, CA) 1200 New Jersey Avenue SE, MARAD–2019–0204 by any one of the —Vessel Length and Type: 30′ sailboat Washington, DC 20590. Include a cover following methods: • The complete application is available letter setting forth with specificity the Federal eRulemaking Portal: Go to for review identified in the DOT docket basis for any such claim and, if possible, http://www.regulations.gov. Search as MARAD–2019–0201 at http:// a summary of your submission that can MARAD–2019–0204 and follow the www.regulations.gov. Interested parties be made available to the public. instructions for submitting comments. • Mail or Hand Delivery: Docket may comment on the effect this action Privacy Act may have on U.S. vessel builders or Management Facility is in the West businesses in the U.S. that use U.S.-flag In accordance with 5 U.S.C. 553(c), Building, Ground Floor of the U.S. vessels. If MARAD determines, in DOT solicits comments from the public Department of Transportation. The accordance with 46 U.S.C. 12121 and to better inform its rulemaking process. Docket Management Facility location MARAD’s regulations at 46 CFR part DOT posts these comments, without address is: U.S. Department of 388, that the issuance of the waiver will edit, to www.regulations.gov, as Transportation, MARAD–2019–0204, have an unduly adverse effect on a U.S.- described in the system of records 1200 New Jersey Avenue SE, West vessel builder or a business that uses notice, DOT/ALL–14 FDMS, accessible Building, Room W12–140, Washington, U.S.-flag vessels in that business, a through www.dot.gov/privacy. To DC 20590, between 9 a.m. and 5 p.m., waiver will not be granted. Comments facilitate comment tracking and Monday through Friday, except on should refer to the vessel name, state the response, we encourage commenters to Federal holidays. commenter’s interest in the waiver provide their name, or the name of their Note: If you mail or hand-deliver your application, and address the waiver organization; however, submission of comments, we recommend that you criteria given in section 388.4 of names is completely optional. Whether include your name and a mailing MARAD’s regulations at 46 CFR part or not commenters identify themselves, address, an email address, or a 388. all timely comments will be fully telephone number in the body of your considered. If you wish to provide document so that we can contact you if Public Participation comments containing proprietary or we have questions regarding your How do I submit comments? confidential information, please contact submission. the agency for alternate submission Instructions: All submissions received Please submit your comments, instructions. must include the agency name and including the attachments, following the specific docket number. All comments instructions provided under the above (Authority: 49 CFR 1.93(a), 46 U.S.C. 55103, 46 U.S.C. 12121) received will be posted without change heading entitled ADDRESSES. Be advised to the docket at www.regulations.gov, that it may take a few hours or even Dated: December 18, 2019. including any personal information days for your comment to be reflected By Order of the Maritime Administrator. provided. For detailed instructions on on the docket. In addition, your T. Mitchell Hudson, Jr., submitting comments, see the section comments must be written in English. Secretary, Maritime Administration. entitled Public Participation. We encourage you to provide concise [FR Doc. 2019–27682 Filed 12–23–19; 8:45 am] FOR FURTHER INFORMATION CONTACT: comments and you may attach BILLING CODE 4910–81–P Bianca Carr, U.S. Department of additional documents as necessary. Transportation, Maritime There is no limit on the length of the Administration, 1200 New Jersey attachments. DEPARTMENT OF TRANSPORTATION Avenue SE, Room W23–453, Where do I go to read public comments, Washington, DC 20590. Telephone 202– Maritime Administration and find supporting information? 366–9309, Email [email protected]. SUPPLEMENTARY INFORMATION: As Go to the docket online at http:// [Docket No. MARAD–2019–0204] described by the applicant the intended www.regulations.gov., keyword search service of the vessel GYPSY GIRL is: MARAD–2019–0201 or visit the Docket Requested Administrative Waiver of Management Facility (see ADDRESSES for the Coastwise Trade Laws: Vessel —Intended Commercial Use of Vessel: hours of operation). We recommend that GYPSY GIRL (Motor Vessel); Invitation ‘‘Personal use and possible Fishing you periodically check the Docket for for Public Comments charter service’’ —Geographic Region Including Base of new submissions and supporting Operations: ‘‘Florida’’ (Base of material. AGENCY: Maritime Administration, DOT. ACTION: Notice. Operations: Key Largo, FL) Will my comments be made available to —Vessel Length and Type: 31′ motor the public? SUMMARY: The Secretary of vessel Yes. Be aware that your entire Transportation, as represented by the The complete application is available comment, including your personal Maritime Administration (MARAD), is for review identified in the DOT docket identifying information, will be made authorized to grant waivers of the U.S.- as MARAD–2019–0204 http:// publicly available. build requirements of the coastwise www.regulations.gov. Interested parties trade laws to allow the carriage of no may comment on the effect this action May I submit comments confidentially? more than twelve passengers for hire on may have on U.S. vessel builders or If you wish to submit comments vessels, which are three years old or businesses in the U.S. that use U.S.-flag under a claim of confidentiality, you more. A request for such a waiver has vessels. If MARAD determines, in should submit three copies of your been received by MARAD. The vessel, accordance with 46 U.S.C. 12121 and complete submission, including the and a brief description of the proposed MARAD’s regulations at 46 CFR part information you claim to be confidential service, is listed below. 388, that the issuance of the waiver will business information, to the Department DATES: Submit comments on or before have an unduly adverse effect on a U.S.- of Transportation, Maritime January 27, 2020. vessel builder or a business that uses
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U.S.-flag vessels in that business, a facilitate comment tracking and Monday through Friday, except on waiver will not be granted. Comments response, we encourage commenters to Federal holidays. should refer to the vessel name, state the provide their name, or the name of their Note: If you mail or hand-deliver your commenter’s interest in the waiver organization; however, submission of comments, we recommend that you application, and address the waiver names is completely optional. Whether include your name and a mailing criteria given in section 388.4 of or not commenters identify themselves, address, an email address, or a MARAD’s regulations at 46 CFR part all timely comments will be fully telephone number in the body of your 388. considered. If you wish to provide document so that we can contact you if comments containing proprietary or Public Participation we have questions regarding your confidential information, please contact submission. How do I submit comments? the agency for alternate submission Please submit your comments, instructions. Instructions: All submissions received must include the agency name and including the attachments, following the (Authority: 49 CFR 1.93(a), 46 U.S.C. 55103, instructions provided under the above 46 U.S.C. 12121) specific docket number. All comments received will be posted without change heading entitled ADDRESSES. Be Dated: December 18, 2019. advised that it may take a few hours or to the docket at www.regulations.gov, By Order of the Maritime Administrator. even days for your comment to be including any personal information reflected on the docket. In addition, T. Mitchell Hudson, Jr., provided. For detailed instructions on your comments must be written in Secretary, Maritime Administration. submitting comments, see the section English. We encourage you to provide [FR Doc. 2019–27684 Filed 12–23–19; 8:45 am] entitled Public Participation. concise comments and you may attach BILLING CODE 4910–81–P FOR FURTHER INFORMATION CONTACT: additional documents as necessary. Bianca Carr, U.S. Department of There is no limit on the length of the DEPARTMENT OF TRANSPORTATION Transportation, Maritime attachments. Administration, 1200 New Jersey Where do I go to read public comments, Maritime Administration Avenue SE, Room W23–453, and find supporting information? Washington, DC 20590. Telephone 202– Go to the docket online at http:// [Docket No. MARAD–2019–0200] 366–9309, Email [email protected]. www.regulations.gov., keyword search Requested Administrative Waiver of SUPPLEMENTARY INFORMATION: As MARAD–2019–0204 or visit the Docket the Coastwise Trade Laws: Vessel described by the applicant the intended Management Facility (see ADDRESSES for LOKAHI (Sail Catamaran); Invitation for service of the vessel LOKAHI is: hours of operation). We recommend that Public Comments you periodically check the Docket for —Intended Commercial use of Vessel: new submissions and supporting AGENCY: Maritime Administration, DOT. ‘‘The vessel will be used for charter and carriage of passengers. Under the material. ACTION: Notice. direction of a captain and crew, the Will my comments be made available to SUMMARY: The Secretary of vessel will navigate the inshore the public? Transportation, as represented by the waters of Hawaii providing Yes. Be aware that your entire Maritime Administration (MARAD), is excursions and sailing experiences to comment, including your personal authorized to grant waivers of the U.S.- paying customers as part of the local identifying information, will be made build requirements of the coastwise tourism trade.’’ publicly available. trade laws to allow the carriage of no —Geographic Region Including Base of May I submit comments confidentially? more than twelve passengers for hire on Operations: ‘‘Hawaii’’ (Base of vessels, which are three years old or Operations: Honolulu, HI) If you wish to submit comments more. A request for such a waiver has —Vessel Length and Type: 44′ sail under a claim of confidentiality, you been received by MARAD. The vessel, catamaran should submit three copies of your and a brief description of the proposed complete submission, including the service, is listed below. information you claim to be confidential The complete application is available business information, to the Department DATES: Submit comments on or before for review identified in the DOT docket of Transportation, Maritime January 27, 2020. as MARAD–2019–0200 at http:// Administration, Office of Legislation ADDRESSES: You may submit comments www.regulations.gov. Interested parties and Regulations, MAR–225, W24–220, identified by DOT Docket Number may comment on the effect this action 1200 New Jersey Avenue SE, MARAD–2019–0200 by any one of the may have on U.S. vessel builders or Washington, DC 20590. Include a cover following methods: businesses in the U.S. that use U.S.-flag letter setting forth with specificity the • Federal eRulemaking Portal: Go to vessels. If MARAD determines, in basis for any such claim and, if possible, http://www.regulations.gov. Search accordance with 46 U.S.C. 12121 and a summary of your submission that can MARAD–2019–0200 and follow the MARAD’s regulations at 46 CFR part be made available to the public. instructions for submitting comments. 388, that the issuance of the waiver will • Mail or Hand Delivery: Docket have an unduly adverse effect on a U.S.- Privacy Act Management Facility is in the West vessel builder or a business that uses In accordance with 5 U.S.C. 553(c), Building, Ground Floor of the U.S. U.S.-flag vessels in that business, a DOT solicits comments from the public Department of Transportation. The waiver will not be granted. Comments to better inform its rulemaking process. Docket Management Facility location should refer to the vessel name, state the DOT posts these comments, without address is: U.S. Department of commenter’s interest in the waiver edit, to www.regulations.gov, as Transportation, MARAD–2019–0200, application, and address the waiver described in the system of records 1200 New Jersey Avenue SE, West criteria given in section 388.4 of notice, DOT/ALL–14 FDMS, accessible Building, Room W12–140, Washington, MARAD’s regulations at 46 CFR part through www.dot.gov/privacy. To DC 20590, between 9 a.m. and 5 p.m., 388.
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Public Participation comments containing proprietary or if we have questions regarding your confidential information, please contact submission. How do I submit comments? the agency for alternate submission Instructions: All submissions received Please submit your comments, instructions. must include the agency name and including the attachments, following the (Authority: 49 CFR 1.93(a), 46 U.S.C. 55103, specific docket number. All comments instructions provided under the above 46 U.S.C. 12121) received will be posted without change heading entitled ADDRESSES. Be advised to the docket at www.regulations.gov, that it may take a few hours or even * * * * * Dated: December 18, 2019. including any personal information days for your comment to be reflected provided. For detailed instructions on By Order of the Maritime Administrator. on the docket. In addition, your submitting comments, see the section comments must be written in English. T. Mitchell Hudson, Jr., entitled Public Participation. We encourage you to provide concise Secretary, Maritime Administration. comments and you may attach FOR FURTHER INFORMATION CONTACT: [FR Doc. 2019–27686 Filed 12–23–19; 8:45 am] Bianca Carr, U.S. Department of additional documents as necessary. BILLING CODE 4910–81–P There is no limit on the length of the Transportation, Maritime attachments. Administration, 1200 New Jersey DEPARTMENT OF TRANSPORTATION Avenue SE, Room W23–453, Where do I go to read public comments, Washington, DC 20590. Telephone 202– and find supporting information? Maritime Administration 366–9309, Email [email protected]. Go to the docket online at http:// SUPPLEMENTARY INFORMATION: As www.regulations.gov, keyword search [Docket No. MARAD–2019–0197] described by the applicant the intended MARAD–2019–0200 or visit the Docket service of the vessel PALADIN is: Management Facility (see ADDRESSES for Requested Administrative Waiver of the Coastwise Trade Laws: Vessel —Intended Commercial Use of Vessel: hours of operation). We recommend that ‘‘Recreational Charters’’ you periodically check the Docket for PALADIN (Motor Vessel); Invitation for —Geographic Region Including Base of new submissions and supporting Public Comments Operations: ‘‘Florida, Georgia, North material. AGENCY: Maritime Administration, DOT. Carolina, South Carolina’’ (Base of Will my comments be made available to ACTION: Notice. Operations: Miami, FL) the public? —Vessel Length and Type: 81′ motor SUMMARY: The Secretary of vessel Yes. Be aware that your entire Transportation, as represented by the comment, including your personal Maritime Administration (MARAD), is The complete application is available identifying information, will be made authorized to grant waivers of the U.S.- for review identified in the DOT docket publicly available. build requirements of the coastwise as MARAD–2019–0197 at http:// May I submit comments confidentially? trade laws to allow the carriage of no www.regulations.gov. Interested parties more than twelve passengers for hire on may comment on the effect this action If you wish to submit comments vessels, which are three years old or may have on U.S. vessel builders or under a claim of confidentiality, you more. A request for such a waiver has businesses in the U.S. that use U.S.-flag should submit three copies of your been received by MARAD. The vessel, vessels. If MARAD determines, in complete submission, including the and a brief description of the proposed accordance with 46 U.S.C. 12121 and information you claim to be confidential service, is listed below. MARAD’s regulations at 46 CFR part business information, to the Department 388, that the issuance of the waiver will of Transportation, Maritime DATES: Submit comments on or before January 27, 2020. have an unduly adverse effect on a U.S.- Administration, Office of Legislation vessel builder or a business that uses ADDRESSES: and Regulations, MAR–225, W24–220, You may submit comments U.S.-flag vessels in that business, a 1200 New Jersey Avenue SE, identified by DOT Docket Number waiver will not be granted. Comments Washington, DC 20590. Include a cover MARAD–2019–0197 by any one of the should refer to the vessel name, state the letter setting forth with specificity the following methods: • commenter’s interest in the waiver basis for any such claim and, if possible, Federal eRulemaking Portal: Go to application, and address the waiver a summary of your submission that can http://www.regulations.gov. Search criteria given in section 388.4 of be made available to the public. MARAD–2019–0197 and follow the MARAD’s regulations at 46 CFR part instructions for submitting comments. 388. Privacy Act • Mail or Hand Delivery: Docket In accordance with 5 U.S.C. 553(c), Management Facility is in the West Public Participation DOT solicits comments from the public Building, Ground Floor of the U.S. How do I submit comments? to better inform its rulemaking process. Department of Transportation. The DOT posts these comments, without Docket Management Facility location Please submit your comments, edit, to www.regulations.gov, as address is: U.S. Department of including the attachments, following the described in the system of records Transportation, MARAD–2019–0197, instructions provided under the above notice, DOT/ALL–14 FDMS, accessible 1200 New Jersey Avenue SE, West heading entitled ADDRESSES. Be advised through www.dot.gov/privacy. To Building, Room W12–140, Washington, that it may take a few hours or even facilitate comment tracking and DC 20590, between 9 a.m. and 5 p.m., days for your comment to be reflected response, we encourage commenters to Monday through Friday, except on on the docket. In addition, your provide their name, or the name of their Federal holidays. comments must be written in English. organization; however, submission of Note: If you mail or hand-deliver your We encourage you to provide concise names is completely optional. Whether comments, we recommend that you include comments and you may attach or not commenters identify themselves, your name and a mailing address, an email additional documents as necessary. all timely comments will be fully address, or a telephone number in the body There is no limit on the length of the considered. If you wish to provide of your document so that we can contact you attachments.
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Where do I go to read public comments, DEPARTMENT OF TRANSPORTATION Avenue SE, Room W23–453, and find supporting information? Washington, DC 20590. Telephone 202– Maritime Administration 366–9309, Email [email protected]. Go to the docket online at http:// www.regulations.gov., keyword search [Docket No. MARAD–2019–0198] SUPPLEMENTARY INFORMATION: As described by the applicant the intended MARAD–2019–0197 or visit the Docket Requested Administrative Waiver of Management Facility (see ADDRESSES for service of the vessel PERSUADER TOO the Coastwise Trade Laws: Vessel is: hours of operation). We recommend that PERSUADER TOO (Sailboat); Invitation —Intended Commercial Use of Vessel: you periodically check the Docket for for Public Comments new submissions and supporting ‘‘I intend to occasionally charter for material. AGENCY: Maritime Administration, DOT. two hour periods (twice a day) on ACTION: Notice. weekends only from Jun—Sep. Maybe Will my comments be made available to day trips if required or private the public? SUMMARY: The Secretary of charters if I have interested Yes. Be aware that your entire Transportation, as represented by the customers.’’ comment, including your personal Maritime Administration (MARAD), is —Geographic Region Including Base of identifying information, will be made authorized to grant waivers of the U.S.- Operations: ‘‘Virginia’’ (Base of publicly available. build requirements of the coastwise Operations: Virginia Beach) trade laws to allow the carriage of no —Vessel Length and Type: 57’ sailboat May I submit comments confidentially? more than twelve passengers for hire on vessels, which are three years old or The complete application is available If you wish to submit comments more. A request for such a waiver has for review identified in the DOT docket under a claim of confidentiality, you been received by MARAD. The vessel, as MARAD–2019–0198 at http:// should submit three copies of your and a brief description of the proposed www.regulations.gov. Interested parties complete submission, including the service, is listed below. may comment on the effect this action information you claim to be confidential DATES: may have on U.S. vessel builders or business information, to the Department Submit comments on or before January 27, 2020. businesses in the U.S. that use U.S.-flag of Transportation, Maritime vessels. If MARAD determines, in ADDRESSES: You may submit comments Administration, Office of Legislation accordance with 46 U.S.C. 12121 and identified by DOT Docket Number and Regulations, MAR–225, W24–220, MARAD’s regulations at 46 CFR part MARAD–2019–0198 by any one of the 1200 New Jersey Avenue SE, 388, that the issuance of the waiver will following methods: Washington, DC 20590. Include a cover have an unduly adverse effect on a U.S.- • Federal eRulemaking Portal: Go to letter setting forth with specificity the vessel builder or a business that uses http://www.regulations.gov. Search basis for any such claim and, if possible, U.S.-flag vessels in that business, a MARAD–2019–0198 and follow the a summary of your submission that can waiver will not be granted. Comments instructions for submitting comments. be made available to the public. should refer to the vessel name, state the • Mail or Hand Delivery: Docket commenter’s interest in the waiver Privacy Act Management Facility is in the West application, and address the waiver Building, Ground Floor of the U.S. criteria given in section 388.4 of In accordance with 5 U.S.C. 553(c), Department of Transportation. The MARAD’s regulations at 46 CFR part DOT solicits comments from the public Docket Management Facility location 388. to better inform its rulemaking process. address is: U.S. Department of DOT posts these comments, without Transportation, MARAD–2019–0198, Public Participation edit, to www.regulations.gov, as 1200 New Jersey Avenue SE, West How do I submit comments? described in the system of records Building, Room W12–140, Washington, notice, DOT/ALL–14 FDMS, accessible DC 20590, between 9 a.m. and 5 p.m., Please submit your comments, through www.dot.gov/privacy. To Monday through Friday, except on including the attachments, following the facilitate comment tracking and Federal holidays. instructions provided under the above response, we encourage commenters to Note: If you mail or hand-deliver your heading entitled ADDRESSES. Be advised provide their name, or the name of their comments, we recommend that you that it may take a few hours or even organization; however, submission of include your name and a mailing days for your comment to be reflected names is completely optional. Whether address, an email address, or a on the docket. In addition, your or not commenters identify themselves, telephone number in the body of your comments must be written in English. all timely comments will be fully document so that we can contact you if We encourage you to provide concise considered. If you wish to provide we have questions regarding your comments and you may attach comments containing proprietary or submission. additional documents as necessary. confidential information, please contact Instructions: All submissions received There is no limit on the length of the the agency for alternate submission must include the agency name and attachments. instructions. specific docket number. All comments (Authority: 49 CFR 1.93(a), 46 U.S.C. 55103, received will be posted without change Where do I go to read public comments, 46 U.S.C. 12121) to the docket at www.regulations.gov, and find supporting information? * * * * * including any personal information Go to the docket online at http:// provided. For detailed instructions on Dated: December 18, 2019. www.regulations.gov., keyword search submitting comments, see the section MARAD–2019–0198 or visit the Docket By Order of the Maritime Administrator. entitled Public Participation. Management Facility (see ADDRESSES for T. Mitchell Hudson, Jr., FOR FURTHER INFORMATION CONTACT: hours of operation). We recommend that Secretary, Maritime Administration. Bianca Carr, U.S. Department of you periodically check the Docket for [FR Doc. 2019–27687 Filed 12–24–19; 8:45 am] Transportation, Maritime new submissions and supporting BILLING CODE 4910–81–P Administration, 1200 New Jersey material.
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Will my comments be made available to ACTION: Notice. trips available in Florida Keys, Miami, the public? Fort Lauderdale and Naples.’’ SUMMARY: The Secretary of Yes. Be aware that your entire —Geographic Region Including Base of Transportation, as represented by the Operations: ‘‘Florida’’ (Base of comment, including your personal Maritime Administration (MARAD), is identifying information, will be made Operations: Naples, FL) authorized to grant waivers of the U.S.- —Vessel Length and Type: 58′ sailing publicly available. build requirements of the coastwise catamaran May I submit comments confidentially? trade laws to allow the carriage of no more than twelve passengers for hire on The complete application is available If you wish to submit comments vessels, which are three years old or for review identified in the DOT docket under a claim of confidentiality, you more. A request for such a waiver has as MARAD–2019–0199 at http:// should submit three copies of your been received by MARAD. The vessel, www.regulations.gov. Interested parties complete submission, including the and a brief description of the proposed may comment on the effect this action information you claim to be confidential service, is listed below. may have on U.S. vessel builders or business information, to the Department businesses in the U.S. that use U.S.-flag DATES: of Transportation, Maritime Submit comments on or before vessels. If MARAD determines, in Administration, Office of Legislation January 27, 2020. accordance with 46 U.S.C. 12121 and and Regulations, MAR–225, W24–220, ADDRESSES: You may submit comments MARAD’s regulations at 46 CFR part 1200 New Jersey Avenue SE, identified by DOT Docket Number 388, that the issuance of the waiver will Washington, DC 20590. Include a cover MARAD–2019–0199 by any one of the have an unduly adverse effect on a U.S.- following methods: letter setting forth with specificity the • vessel builder or a business that uses basis for any such claim and, if possible, Federal eRulemaking Portal: Go to U.S.-flag vessels in that business, a a summary of your submission that can http://www.regulations.gov. Search waiver will not be granted. Comments be made available to the public. MARAD–2019–0199 and follow the should refer to the vessel name, state the instructions for submitting comments. commenter’s interest in the waiver Privacy Act • Mail or Hand Delivery: Docket application, and address the waiver In accordance with 5 U.S.C. 553(c), Management Facility is in the West criteria given in section 388.4 of DOT solicits comments from the public Building, Ground Floor of the U.S. MARAD’s regulations at 46 CFR part to better inform its rulemaking process. Department of Transportation. The 388. DOT posts these comments, without Docket Management Facility location edit, to www.regulations.gov, as address is: U.S. Department of Public Participation described in the system of records Transportation, MARAD–2019–0199, How do I submit comments? notice, DOT/ALL–14 FDMS, accessible 1200 New Jersey Avenue SE, West Please submit your comments, through www.dot.gov/privacy. To Building, Room W12–140, Washington, including the attachments, following the facilitate comment tracking and DC 20590, between 9 a.m. and 5 p.m., instructions provided under the above response, we encourage commenters to Monday through Friday, except on heading entitled ADDRESSES. Be advised provide their name, or the name of their Federal holidays. that it may take a few hours or even organization; however, submission of Note: If you mail or hand-deliver your days for your comment to be reflected names is completely optional. Whether comments, we recommend that you on the docket. In addition, your or not commenters identify themselves, include your name and a mailing comments must be written in English. all timely comments will be fully address, an email address, or a We encourage you to provide concise considered. If you wish to provide telephone number in the body of your comments and you may attach comments containing proprietary or document so that we can contact you if additional documents as necessary. confidential information, please contact we have questions regarding your There is no limit on the length of the the agency for alternate submission submission. attachments. instructions. Instructions: All submissions received must include the agency name and (Authority: 49 CFR 1.93(a), 46 U.S.C. 55103, Where do I go to read public comments, specific docket number. All comments and find supporting information? 46 U.S.C. 12121) received will be posted without change Go to the docket online at http:// * * * * * to the docket at www.regulations.gov, including any personal information www.regulations.gov., keyword search Dated: December 18, 2019. provided. For detailed instructions on MARAD–2019–0199 or visit the Docket By Order of the Maritime Administrator. submitting comments, see the section Management Facility (see ADDRESSES for T. Mitchell Hudson, Jr., entitled Public Participation. hours of operation). We recommend that Secretary, Maritime Administration. FOR FURTHER INFORMATION CONTACT: you periodically check the Docket for [FR Doc. 2019–27688 Filed 12–23–19; 8:45 am] Bianca Carr, U.S. Department of new submissions and supporting BILLING CODE 4910–81–P Transportation, Maritime material. Administration, 1200 New Jersey Will my comments be made available to Avenue SE, Room W23–453, the public? DEPARTMENT OF TRANSPORTATION Washington, DC 20590. Telephone 202– Yes. Be aware that your entire Maritime Administration 366–9309, Email [email protected]. comment, including your personal SUPPLEMENTARY INFORMATION: As identifying information, will be made [Docket No. MARAD–2019–0199] described by the applicant the intended publicly available. service of the vessel LADY SUSAN is: Requested Administrative Waiver of May I submit comments confidentially? the Coastwise Trade Laws: Vessel —Intended Commercial Use of Vessel: LADY SUSAN (Sailing Catamaran); ‘‘To run the vessel in If you wish to submit comments Invitation for Public Comments calypsosailing.com charter program. under a claim of confidentiality, you Available with a captain for up to 6 should submit three copies of your AGENCY: Maritime Administration, DOT. passengers. Day trip and overnight complete submission, including the
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information you claim to be confidential requesting to speak during the meeting (e) Advise and recommend activities business information, to the Department must submit a written copy of their to improve the global enforcement of air of Transportation, Maritime remarks to DOT by January 8, 2020. transportation of lithium batteries, and Administration, Office of Legislation Requests to submit written materials to the effectiveness of those regulations. and Regulations, MAR–225, W24–220, be reviewed during the meeting must be (f) Provide a forum for feedback on 1200 New Jersey Avenue SE, received no later than January 8, 2020. potential U.S. positions to be taken at Washington, DC 20590. Include a cover ADDRESSES: The meeting will be held at international forums. letter setting forth with specificity the DOT Headquarters, West Building, 1200 (g) Guide activities to increase basis for any such claim and, if possible, New Jersey Avenue SE, Washington, DC awareness of relevant requirements. a summary of your submission that can 20590–0001. The meeting will also be (h) Review methods to decrease the be made available to the public. webcast. Information for accessing the risk posed by undeclared hazardous Privacy Act webcast will be posted on Committee materials. website. The Lithium Battery Safety A final agenda will be posted on the In accordance with 5 U.S.C. 553(c), Advisory Committee website is located Lithium Battery Safety Advisory DOT solicits comments from the public at: https://www.phmsa.dot.gov/hazmat/ Committee website at least one week in to better inform its rulemaking process. rulemakings/lithium-battery-safety- advance of the meeting. DOT posts these comments, without advisory-committee. The E-Gov website III. Public Participation edit, to www.regulations.gov, as is located at https:// described in the system of records www.regulations.gov. Mailed written The meeting will be open to the notice, DOT/ALL–14 FDMS, accessible comments intended for the committee public on a first-come, first served basis, through www.dot.gov/privacy. To should be sent to Docket Management as space is limited. Members of the facilitate comment tracking and Facility; U.S. Department of public who wish to attend in person response, we encourage commenters to Transportation (DOT), 1200 New Jersey must RSVP to the person listed in the provide their name, or the name of their Avenue SE, West Building, Room W12– FOR FURTHER INFORMATION CONTACT organization; however, submission of 140, Washington, DC 20590–0001. Hand section with your name and affiliation. names is completely optional. Whether delivered written comments should be DOT is committed to providing equal or not commenters identify themselves, delivered to the DOT dockets facility access to this meeting for all all timely comments will be fully located in Room W12–140 on the participants. If you need alternative considered. If you wish to provide ground level of the DOT West Building, formats or services because of a comments containing proprietary or 1200 New Jersey Avenue SE, disability, such as sign language, confidential information, please contact Washington, DC. interpretation, or other ancillary aids, the agency for alternate submission FOR FURTHER INFORMATION CONTACT: please contact the person listed in the instructions. Aaron Wiener or Kevin Leary, PHMSA, FOR FURTHER INFORMATION CONTACT (Authority: 49 CFR 1.93(a), 46 U.S.C. 55103, U.S. Department of Transportation. section no later than January 8, 2020. 46 U.S.C. 12121) Telephone: (202) 366–8553. Fax: (202) There will be five (5) minutes allotted Dated: December 18, 2019. 366–3753. Email: lithiumbatteryFACA@ for oral comments from members of the By Order of the Maritime Administrator. dot.gov. Any committee related request public joining the meeting. To T. Mitchell Hudson, Jr., should be sent to the person listed in accommodate as many speakers as possible, the time for each commenter Secretary, Maritime Administration. this section. SUPPLEMENTARY INFORMATION: may be limited. Individuals wishing to [FR Doc. 2019–27685 Filed 12–23–19; 8:45 am] reserve speaking time during the BILLING CODE 4910–81–P I. Background meeting must submit a request at the The Lithium Battery Safety Advisory time of registration, as well as the name, address, and organizational affiliation of DEPARTMENT OF TRANSPORTATION Committee was created under the Federal Advisory Committee Act the proposed speaker. If the number of Pipeline and Hazardous Materials (FACA, Pub. L. 92–463), in accordance registrants requesting to make Safety Administration with Section 333(d) of the FAA statements is greater than can be Reauthorization Act of 2018 (Pub. L. reasonably accommodated during the [Docket No.: PHMSA–2019–0098] 115–254). meeting, PHMSA may conduct a lottery to determine the speakers. Speakers are Lithium Battery Safety Advisory II. Agenda requested to submit a written copy of Committee; Notice of Public Meeting At the meeting, the agenda will cover their prepared remarks for inclusion in AGENCY: Pipeline and Hazardous the following topics as specifically the meeting records and for circulation Materials Safety Administration outlined in section 333(d) of Public Law to Lithium Battery Safety Advisory (PHMSA), U.S. Department of 115–254: Committee members. All prepared Transportation (DOT). (a) Facilitate communication amongst remarks submitted on time will be ACTION: Notice of public meeting. manufactures of lithium batteries and accepted and considered as part of the products containing lithium batteries, record. Any member of the public may SUMMARY: This notice announces a air carriers, and the Federal government. present a written statement to the meeting of the Lithium Battery Safety (b) Discuss the effectiveness, and the committee at any time. Advisory Committee. economic and social impacts of lithium Copies of the meeting minutes, and DATES: The meeting will be held on battery transportation regulations. committee presentations will be January 22–23, 2020, from 9:00 to 5:00 (c) Provide the Secretary with available on the Lithium Battery Safety p.m. Eastern Standard Time. Requests to information regarding new technologies Advisory Committee website. attend the meeting must be received by and transportation safety practices. Presentations will also be posted on the January 8, 2020. Requests for (d) Provide a forum to discuss E-Gov website in docket number accommodations for a disability must be Departmental activities related to PHMSA [PHMSA–2019–0098], within received by January 8, 2020. Persons lithium battery transportation safety. 30 days following the meeting.
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Written comments: Persons who wish DEPARTMENT OF THE TREASURY the NMTC Program, an entity must be to submit written comments on the certified as a qualified Community meetings may submit them to docket Community Development Financial Development Entity (CDE) and submit [PHMSA–2019–0098] in the following Institutions Fund an allocation application to the CDFI ways: Fund. Nonprofit entities and for-profit Announcement Type: Notice and entities may be certified as CDEs by the 1. E-Gov Website: This site allows the Request for Public Comment public to enter comments on any CDFI Fund. In order to be certified as a Federal Register notice issued by any SUMMARY: The U.S. Department of the CDE, an entity must be a domestic agency. Treasury, as part of its continuing effort corporation or partnership, that: (1) Has 2. Fax to reduce paperwork and respondent a primary mission of serving or burden, invites the general public and providing investment capital for low- 3. Mail other Federal agencies to take this income communities or low-income 4. Hand Delivery: Delivery accepted opportunity to comment on proposed persons; and (2) maintains between 9:00 a.m. and 5:00 p.m., and/or continuing information accountability to residents of low- Monday through Friday, except on collections, as required by the income communities through their Federal holidays. Paperwork Reduction Act of 1995. representation on any governing or Instructions: Identify the docket Currently, the Community advisory board of the entity. number [PHMSA–2019–0098] at the Development Financial Institutions Current Actions: Renewal of Existing beginning of your comments. Note that Fund (CDFI Fund), U.S. Department of Information Collection. all comments received will be posted the Treasury, is soliciting comments without change to the E-Gov website, concerning the New Markets Tax Credit Type of Review: Regular Review. including any personal information Program (NMTC Program) Community Affected Public: CDEs and entities provided. Anyone can search the Development Entity (CDE) Certification seeking CDE certification, including electronic form of all comments Application. business or other for-profit institutions, received into any of our dockets by the DATES: Written comments must be nonprofit entities, and State, local and name of the individual submitting the received on or before February 24, 2020 Tribal entities. comment (or signing the comment, if to be assured of consideration. Estimated Number of Respondents: submitted on behalf of an association, ADDRESSES: Submit your comments via 300. business, labor union, etc.). Therefore, email to Tanya McInnis, Certification, consider reviewing DOT’s complete Estimated Annual Time per Compliance Monitoring and Evaluation Privacy Act Statement in the Federal Respondent: 4 hours. (CCME) Program Manager, CDFI Fund, Register published on April 11, 2000, at [email protected]. Estimated Total Annual Burden (65 FR 19477), or view the Privacy Hours: 1,200 hours. Notice on the E-Gov website before FOR FURTHER INFORMATION CONTACT: submitting comments. Tanya McInnis, CCME Program Requests for Comments: Comments Manager, CDFI Fund, U.S. Department submitted in response to this notice will Docket: For docket access or to read of the Treasury, 1500 Pennsylvania be summarized and/or included in the background documents or comments, go Avenue NW, Washington, DC 20220 or request for OMB approval. All to the E-Gov website at any time or visit by facsimile to (202) 653–0375 (not a comments will become a matter of the DOT dockets facility listed in the toll free number). Other information public record and may be published on ADDRESSES category, between 9:00 a.m. regarding the CDFI Fund and its the CDFI Fund website at http:// and 5:00 p.m., Monday through Friday, programs may be obtained through the www.cdfifund.gov. Comments are except Federal holidays. CDFI Fund’s website at http:// invited on: (a) Whether the collection of If you wish to receive confirmation of www.cdfifund.gov. information is necessary for the proper receipt of your written comments, SUPPLEMENTARY INFORMATION: performance of the functions of the please include a self-addressed, CDFI Fund, including whether the stamped postcard with the following Title: New Markets Tax Credit Program Community Development information shall have practical utility; statement: ‘‘Comments on [PHMSA– (b) the accuracy of the CDFI Fund’s 2019–0098]’’. The docket clerk will date Entity (CDE) Certification Application. OMB Number: 1559–0014. estimate of the burden of the collection stamp the postcard prior to returning it of information; (c) ways to enhance the to you via the U.S. mail. Abstract: Title I, subtitle C, section 121 of the Community Renewal Tax quality, utility, and clarity of the Privacy Act Statement Relief Act of 2000 (the Act), as enacted information to be collected; (d) ways to in the Consolidated Appropriations Act, minimize the burden of the collection of DOT may solicit comments from the 2001 (Pub. L. 106–554, December 21, information on respondents, including public regarding certain general notices. 2000), amended the Internal Revenue through the use of technology; and (e) DOT posts these comments, without Code (IRC) by adding IRC 45D and estimates of capital or start-up costs and edit, including any personal information created the NMTC Program. The costs of operation, maintenance, and the commenter provides, to the E-Gov Department of the Treasury, through the purchase of services to provide website, as described in the system of CDFI Fund, administers the NMTC information. records notice (DOT/ALL–14 FDMS). Program, which provides an incentive to Authority: 26 U.S.C. 45D; 31 U.S.C. 321; 26 Signed in Washington, DC, on December investors in the form of tax credits over CFR 1.45D–1. 19, 2019. seven years, expected to stimulate the William S. Schoonover, provision of private investment capital Jodie L. Harris, Associate Administrator for Hazardous that, in turn, will facilitate economic Director, Community Development Financial Materials Safety. and community development in low- Institutions Fund. [FR Doc. 2019–27779 Filed 12–23–19; 8:45 am] income communities. In order to qualify [FR Doc. 2019–27788 Filed 12–23–19; 8:45 am] BILLING CODE 4910–9X–P for an allocation of tax credits through BILLING CODE 4810–70–P
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DEPARTMENT OF THE TREASURY Community Development Entity and of technology; and (e) estimates of submit an allocation application to the capital or start-up costs and costs of Community Development Financial CDFI Fund. Upon receipt of such operation, maintenance, and purchase Instutitons Fund applications, the CDFI Fund conducts a of services required to provide competitive review process to evaluate information. ANNOUNCEMENT TYPE: Notice and applications for the receipt of NMTC Request for Public Comment. Authority: 12 U.S.C. 4701 et seq.; 26 U.S.C. allocations. Entities selected to receive 45D. SUMMARY: The U.S. Department of the an NMTC allocation must enter into an Treasury, as part of its continuing effort Allocation Agreement with the CDFI Jodie L. Harris, to reduce paperwork and respondent Fund. The Allocation Agreement Director, Community Development Financial burden, invites the general public and contains the terms and conditions, Institutions Fund. other Federal agencies to take this including all reporting requirements, [FR Doc. 2019–27786 Filed 12–23–19; 8:45 am] opportunity to comment on proposed associated with the receipt of a NMTC BILLING CODE 4810–70–P and/or continuing information allocation. The CDFI Fund requires each collections, as required by the Allocatee to use an electronic data Paperwork Reduction Act of 1995, collection and submission system, DEPARTMENT OF THE TREASURY Public Law 104–13 (44 U.S.C. known as the Allocation and Qualified Office of Foreign Assets Control 3506(c)(2)(A)). Currently, the Equity Investment Tracking System Community Development Financial (AQEI), to report on the information Notice of OFAC Sanctions Actions Institutions Fund (CDFI Fund), U.S. related to its receipt of a Qualified Department of the Treasury, is soliciting Equity Investment. The previous name AGENCY: Office of Foreign Assets comments concerning the New Markets for this data collection system was the Control, Department of the Treasury. Tax Credit (NMTC) Program Allocation Allocation Tracking System or ATS. The ACTION: Notice. and Qualified Equity Investment CDFI Fund developed the AQEI to, Tracking System (AQEI). among other things: (1) Enhance the SUMMARY: The U.S. Department of the DATES: Written comments must be Allocatee’s ability to report to the CDFI Treasury’s Office of Foreign Assets received on or before February 24, 2020 Fund timely information regarding the Control (OFAC) is publishing the names to be assured of consideration. issuance of its Qualified Equity of persons whose property and interests in property have been unblocked and ADDRESSES: Submit your comments via Investments; (2) enhance the CDFI who have been removed from the list of email to Tanya McInnis, Certification, Fund’s ability to monitor the issuance of Specially Designated Nationals and Compliance Monitoring and Evaluation Qualified Equity Investments to ensure that no Allocatee exceeds its allocation Blocked Persons. Additionally, OFAC is (CCME) Program Manager, CDFI Fund, publishing an update to the identifying authority and to ensure that Qualified at [email protected]. information of a person currently Equity Investments are issued within FOR FURTHER INFORMATION CONTACT: included in the list of Specially the timeframes required by the Tanya McInnis, CCME Program Designated Nationals and Blocked Allocation Agreement and IRC § 45D; Manager, CDFI Fund, U.S. Department Persons. of the Treasury, 1500 Pennsylvania and (3) provide the CDFI Fund with DATES: SUPPLEMENTARY INFORMATION Avenue NW, Washington, DC 20220 or basic investor data that can be See by facsimile to (202) 653–0375 (not a aggregated and analyzed in connection section for effective date(s). toll free number). Other information with NMTC Program evaluation efforts. FOR FURTHER INFORMATION CONTACT: regarding the CDFI Fund and its Current Actions: Renewal of Existing OFAC: Associate Director for Global programs may be obtained through the Information Collection. Targeting, tel: 202–622–2420; Assistant CDFI Fund’s website at http:// Type of Review: Regular Review. Director for Licensing, tel.: 202–622– Affected Public: NMTC Program www.cdfifund.gov. 2480; Assistant Director for Regulatory Allocatees. Affairs, tel.: 202–622–4855; or Assistant SUPPLEMENTARY INFORMATION: Estimated Number of Respondents: Director for Sanctions Compliance & Title: Allocation and Qualified Equity 156. Evaluation, tel.: 202–622–2490. Investment Tracking System. Estimated Annual Time per SUPPLEMENTARY INFORMATION: OMB Number: 1559–0024. Respondent: 18 hours. Abstract: Title I, subtitle C, section Estimated Total Annual Burden Electronic Availability 121 of the Community Renewal Tax Hours: 2,808 hours. The Specially Designated Nationals Relief Act of 2000 (the Act), as enacted Requests for Comments: Comments and Blocked Persons List (SDN List) and by section 1(a)(7) of the Consolidated submitted in response to this notice will additional information concerning Appropriations Act, 2001 (Pub. L. 106– be summarized and/or included in the OFAC sanctions programs are available 554, December 21, 2000), amended the request for OMB approval. All on OFAC’s website (https:// Internal Revenue Code (IRC) by adding comments will become a matter of www.treasury.gov/ofac). IRC § 45D, New Markets Tax Credit. public record. Comments are invited on: Pursuant to IRC § 45D, the Department (a) Whether the collection of Notice of OFAC Actions of the Treasury, through the CDFI Fund, information is necessary for the proper On December 19, 2019, OFAC administers the NMTC Program, which performance of the functions of the determined that the property and provides an incentive to investors in the agency, including whether the interests in property subject to U.S. form of tax credits over seven years and information has practical utility; (b) the jurisdiction of the following persons are stimulates the provision of private accuracy of the agency’s estimate of the unblocked, and they have been removed investment capital that, in turn, burden of the collection of information; from the SDN List under the relevant facilitates economic and community (c) ways to enhance the quality, utility, sanctions authorities listed below. development in low-income and clarity of the information collected; communities. In order to qualify for an (d) ways to minimize the burden of the Individuals allocation of NMTC authority, an entity collection of information on 1. HERNANDEZ ORTEGA, Cesar must be certified as a qualified respondents, including through the use Alejandro, c/o LIZZY MUNDO
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INTERIOR, Guadalajara, Mexico; c/o Cali, Colombia; c/o COMPANIA 12. BERMUDEZ DURAN, Felipe, CUMBRES SOLUCIONES ADMINISTRADORA DE VIVIENDA Camino a San Mateo 41 Edif. INMOBILIARIAS S.A. DE C.V., S.A., Cali, Colombia; DOB 01 Apr 1955; Mackenzie—1003, Lomas Verdes, Zapopan, Jalisco, Mexico; DOB 28 Oct Cedula No. 16588924 (Colombia) Naucalpan, Estado de Mexico C.P. 1975; POB Guadalajara, Jalisco, Mexico; (individual) [SDNT]. 53020, Mexico; Puerto de Palo No. 128, Passport 140022479 (Mexico); C.U.R.P. 7. MOSQUERA PEREZ, Victor Col. Residencial Colon, Toluca, Estado HEOC751028HJCRRS09 (Mexico) Alfonso (a.k.a. ‘‘NEGRO MOSQUERA’’), de Mexico C.P. 50120, Mexico; DOB 03 (individual) [SDNT]. Colombia; DOB 14 Sep 1984; POB Jul 1988; R.F.C. BEDF880703 (Mexico); 2. ZARATE MORENO, Rutdy Alirio Turbo, Antioquia, Colombia; citizen C.U.R.P. BEDF880703HDFRRL09 (a.k.a. ‘‘RUNCHO’’), c/o Colombia; Cedula No. 8358401 (Mexico) (individual) [SDNT]. IMPORTACIONES Y EXPORTACIONES (individual) [SDNTK] (Linked To: LOS 13. GALLON HENAO, Pedro David; ZAFIRO S.L., Madrid, Spain; Calle 68 URABENOS). DOB 12 Aug 1970; POB Medellin, No. 60–10, Bogota, Colombia; DOB 19 8. PLATA MCNULTY, Jorge Alberto; Colombia; Cedula No. 98551360 Mar 1968; Cedula No. 80368114 DOB 01 Jun 1968; POB Panama; citizen (Colombia) (individual) [SDNTK]. (Colombia); Matricula Mercantil No Panama; Cedula No. 8–294–311 Entities 513926 (Colombia) (individual) (Panama); Passport 1412335 (Panama) 1. NAVIERA MARITIMA DE AROSA, [SDNTK]. (individual) [SDNTK] (Linked To: S.A., Paseo de Pereda 36, Apartado 141, 3. ESPITIA ORTIZ, Mauricio Arturo EUROCAMBIO INVESTMENT S.A.; (a.k.a. SPITIA, Mauricio), c/o ESVA Santander 39004, Spain [CUBA]. Linked To: THEA HOLDING & CO., 2. IMPORTACIONES Y S.C.S., Cali, Colombia; c/o M S INC.; Linked To: EURO FINANCING, CONSTRUCTORES LTDA., Cali, EXPORTACIONES ZAFIRO S.L., Calle CORP.; Linked To: GCH & SONS CO., Gran Via, 31, Madrid 28013, Spain; Colombia; c/o SPITIA VALENCIA INC.; Linked To: BEAUTY STATION, LTDA., Cali, Colombia; c/o C.I.F. B83065458 (Spain) [SDNTK]. S.A.; Linked To: INVERSIONES TROL 3. ARQUITECTOS UNIDOS LTDA., ARQUITECTOS UNIDOS LTDA., Cali, PANAMA S.A.; Linked To: Colombia; Carrera 25 F No. 7–15 Oeste, Calle 22N No. 5A–75, Cali, Colombia; INVERSIONES OMEGA Cali, Colombia; Carrera 42 No. 8–36, NIT # 805022512–4 (Colombia) [SDNT]. INTERNACIONAL S.A.; Linked To: Cali, Colombia; Spain; c/o GRUPO 4. ESVA S.C.S. (a.k.a. FLEXX GYM), INMOBILIARIA DAVITOV S.A.; Linked INVERSOR PRINCIPE DE VERGARA Carrera 42 No. 8–36, Cali, Colombia; To: BERLIN INDUSTRIES, CORP.). S.L., Madrid, Spain; Calle Ayala 64 3 Iz., NIT # 805019977–4 (Colombia) [SDNT]. 9. PEREZ FABREGA, Margarita Ines; Madrid 28001, Spain; DOB 29 Dec 1959; 5. GRUPO INVERSOR PRINCIPE DE POB Barranquilla, Colombia; Cedula No. DOB 14 Aug 1976; POB Panama; citizen VERGARA S.L., Calle Jarilla, 5—Pis 4 B, 16634827 (Colombia); Passport Panama; Cedula No. 9–700–1662 Madrid 28043, Spain; C.I.F. B84758374 AJ424421 (Colombia) (individual) (Panama); Passport 1412336 (Panama) (Spain) [SDNT]. 6. M S CONSTRUCTORES LTDA., [SDNT]. (individual) [SDNTK] (Linked To: 4. GRAJALES POSSO, Maria Nancy, EUROCAMBIO INVESTMENT S.A.; Calle 22N No. 5AN–75, Cali, Colombia; c/o CASA GRAJALES S.A., La Union, Linked To: GCH & SONS CO., INC.; NIT # 800206430–1 (Colombia) [SDNT]. 7. SPITIA VALENCIA LTDA., Calle 9 Valle, Colombia; c/o FREXCO S.A., La Linked To: THEA HOLDING & CO., No. 44–59, Cali, Colombia; NIT # Union, Valle, Colombia; c/o GRAJALES INC.; Linked To: BEAUTY STATION, 805006598–1 (Colombia) [SDNT]. S.A., La Union, Valle, Colombia; c/o S.A.; Linked To: BERLIN INDUSTRIES, 8. PLAZA REAL LTDA., Avenida 4 INVERSIONES LOS POSSO LTDA. CORP.; Linked To: INVERSIONES TROL Oeste No. 6–103, Cali, Colombia; NIT # S.C.S., La Union, Valle, Colombia; c/o PANAMA S.A.; Linked To: INVERSIONES OMEGA 890331686–1 (Colombia) [SDNT]. PLAZA REAL LTDA., Cali, Colombia; 9. COMERCIALIZADORA DE Cedula No. 29613013 (Colombia) INTERNACIONAL S.A.). 10. CHEAITELLI SAHELI, Guiseppe CAPITALES LIMITADA, Carrera 48C (individual) [SDNT]. No. 15 Sur-68, Medellin, Colombia; 5. GALLEGO VALENCIA, John Jairo Ali; DOB 10 Feb 1966; POB Maicao, La Guajira, Colombia; Cedula No. 84046545 Carrera 43C No. 70–73, Piso 2, Medellin, (a.k.a. ‘‘DON JOTA’’; a.k.a. Colombia; NIT # 811032525–4 ‘‘FREDERICO’’), c/o LAVADERO EL (Colombia) (individual) [SDNTK] (Linked To: THEA HOLDING & CO., (Colombia) [SDNT]. CASTILLO, Medellin, Colombia; c/o 10. TECNICAR DIAGNOSTICENTRO INC.; Linked To: C M F COMERCIALIZADORA DE CAPITALES S.A. (f.k.a. TECNICAR INTERNACIONAL, INC.; Linked To: LIMITADA, Medellin, Colombia; c/o DIAGNOSTICENTRO E.U.), Carrera 48 GCH & SONS CO., INC.; Linked To: TECNICAR DIAGNOSTICENTRO S.A., No. 25AA Sur-13 Barrio Las Vegas, Envigado, Colombia; DOB 30 Jul 1950; POLYTON (ASIA) LIMITED). Envigado, Colombia; NIT # 811046795– POB Medellin, Colombia; Cedula No. 11. LIBIEN TELLA, Naim, Paseo San 7 (Colombia) [SDNT]. 70126377 (Colombia); Passport Carlos 319, Fracc. San Carlos, Metepec, 11. DE EXPOMINERIA S.A.S. (a.k.a. AC312064 (Colombia) (individual) Mexico 52140, Mexico; Vicente DE EXPOMINERIA S.A.), Calle 40, 81 a [SDNT]. Guerrero 304, Toluca, Mexico 50110, 15, Medellin, Colombia; NIT # 6. ROSALES DIAZ, Hector Emilio, c/ Mexico; Paseo Tollocan 613 Oriente, 900328871–2 (Colombia) [SDNTK]. o CONCRETOS CALI S.A., Cali, Colonia Valle Verde, Toluca, Mexico, 12. JOYERIA MVK, Calle 100 # 10–29, Colombia; c/o INVERSIONES GEMINIS Mexico; DOB 30 May 1970; POB Toluca, Turbo, Antioquia, Colombia; NIT # S.A., Cali, Colombia; c/o Mexico, Mexico; R.F.C. LITN–700530– 8358401–7 (Colombia) [SDNTK]. ADMINISTRACION INMOBILIARIA 6N0 (Mexico); C.U.R.P. 13. C M F INTERNACIONAL, INC., BOLIVAR S.A., Cali, Colombia; c/o LITN700530HMCBLM01 (Mexico); Panama; RUC # 669832–1–462619 INVERSIONES VILLA PAZ S.A., Cali, I.F.E. LBTLNM70053015000 (Mexico) (Panama) [SDNTK]. Colombia; c/o INVERSIONES EL (individual) [SDNTK] (Linked To: 14. GCH & SONS CO., INC. (a.k.a. PENON S.A., Cali, Colombia; c/o AEROLINEAS AMANECER, S.A. DE GCH AND SONS CO. INC.), Panama INDUSTRIA AVICOLA PALMASECA C.V.; Linked To: DIARIO AMANECER; City, Panama; RUC # 1164157–1– S.A., Cali, Colombia; c/o Linked To: UNOMASUNO; Linked To: 574556 (Panama) [SDNTK]. CONSTRUCTORA DIMISA LTDA., Cali, VALGO GRUPO DE INVERSION S.A. 15. POLYTON (ASIA) LIMITED, 20–F Colombia; c/o MERCAVICOLA LTDA., DE C.V.). China Overseas Building, 139 Hennesy
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Road, Wan Chai, Hong Kong; Business PANAMA S.A.; Linked To: Guatemala; Gender Male; Cedula No. L– Registration Document # 38365991 EUROCAMBIO, S.A.; Linked To: 1225277 (Guatemala); NIT #844191K (Hong Kong) [SDNTK]. BEAUTY STATION, S.A.). (Guatemala); C.U.I. 1678215981801 16. THEA HOLDING & CO., INC. Dated: December 19, 2019. (Guatemala) (individual) [SDNTK] (Linked To: JC CAR AUDIO; Linked To: (a.k.a. THEA HOLDING AND CO., INC.), Gregory T. Gatjanis, Panama; RUC # 1166577–1–575203 STAR MARKET MELANYE). Designated Associate Director, Office of Global Targeting, pursuant to section 805(b)(2) of the (Panama) [SDNTK]. Office of Foreign Assets Control. 17. AEROLINEAS AMANECER, S.A. Foreign Narcotics Kingpin Designation DE C.V. (a.k.a. AEROAMANECER), [FR Doc. 2019–27821 Filed 12–23–19; 8:45 am] Act (‘‘Kingpin Act’’), 21 U.S.C. Hangar 6 Zona C., Aviacion Gral. S/N, BILLING CODE 4810–AL–P 1904(b)(2), for materially assisting in, or Toluca, Mexico 50200, Mexico; Paseo providing financial or technological support for or to, or providing goods or Tollocan 802 Poniente, Toluca de Lerdo, DEPARTMENT OF THE TREASURY Estado de Mexico 50000, Mexico; Folio services in support of, the international Mercantil No. 3613–17 (Mexico) Office of Foreign Assets Control narcotics trafficking activities of Erik [SDNTK]. Salvador SUNIGA RODRIGUEZ, a 18. DIARIO AMANECER, Paseo Notice of OFAC Sanctions Actions foreign person identified as a significant Tollocan 613 Ote., Col. Valle Verde, foreign narcotics trafficker pursuant to Toluca, Estado de Mexico C.P. 50130, AGENCY: Office of Foreign Assets the Kingpin Act. Mexico; Gabino Barreda No. 86, Col. Control, Department of the Treasury. 2. JUI ESCOBAR, Wildin Tulio (Latin: ´ San Rafael, Del. Cuauhtemoc, Mexico, ACTION: Notice. JUI ESCOBAR, Wildin Tulio), 6 Calle 5– 181, Tecun Uman Zona 2, Ayutla, San Distrito Federal C.P. 06470, Mexico; SUMMARY: The U.S. Department of the website www.diarioamanecer.com.mx Marcos, Guatemala; Kilometro 252 y Treasury’s Office of Foreign Assets medio, Tecun Uman, San Marcos, [SDNTK]. Control (OFAC) is publishing the names 19. UNOMASUNO (a.k.a. UNO MAS Guatemala; DOB 03 Nov 1968; POB of persons that have been placed on Coatepeque, Quetzaltenango, UNO), Gabino Barreda No. 86, Col. San OFAC’s Specially Designated Nationals Rafael, Del. Cuauhtemoc, Mexico, Guatemala; nationality Guatemala; and Blocked Persons List based on Gender Male; Cedula No. L–1220608 Distrito Federal C.P. 06470, Mexico; OFAC’s determination that one or more website www.unomasuno.com.mx (Guatemala); Passport 00020608K applicable legal criteria were satisfied. (Guatemala); NIT #7690495 [SDNTK]. All property and interests in property 20. GRUPO MPV, Km 14.1 Carretera (Guatemala); Driver’s License No. subject to U.S. jurisdiction of these 1112170002060K (Guatemala); C.U.I. El Salvador, Centro Comercial Paseo persons are blocked, and U.S. persons San Sebastian Local 92, Guatemala City, 2891761150920 (Guatemala) are generally prohibited from engaging (individual) [SDNTK] (Linked To: Guatemala; Registration ID 55544 in transactions with them. (Guatemala) [SDNTK]. MULTISERVICIOS Y FINCA EL DATES: See SUPPLEMENTARY INFORMATION Additionally, on December 19, 2019, ENCANTO). Designated pursuant to section for effective date(s). OFAC updated the SDN List for the section 805(b)(2) of the Foreign following person, whose property and FOR FURTHER INFORMATION CONTACT: Narcotics Kingpin Designation Act interests in property continue to be OFAC: Associate Director for Global (‘‘Kingpin Act’’), 21 U.S.C. 1904(b)(2), blocked under the relevant sanctions Targeting, tel.: 202–622–2420; Assistant for materially assisting in, or providing authority listed below. Director for Licensing, tel.: 202–622– financial or technological support for or 2480; Assistant Director for Regulatory to, or providing goods or services in Individual Affairs, tel.: 202–622–4855; or Assistant support of, the international narcotics From Director for Sanctions Compliance & trafficking activities of Erik Salvador Evaluation, tel.: 202–622–2490. SUNIGA RODRIGUEZ, a foreign person MARTINEZ LASSO, Vielka Judith; SUPPLEMENTARY INFORMATION: identified as a significant foreign DOB 09 Nov 1967; POB El Higo, San narcotics trafficker pursuant to the Carlos, Panama; Cedula No. 8–283–646 Electronic Availability Kingpin Act. (Panama) (individual) [SDNTK] (Linked The Specially Designated Nationals 3. PARADA RODRIGUEZ, Alex To: THEA HOLDING & CO., INC.; and Blocked Persons List (SDN List) and Oswaldo (Latin: PARADA RODRI´GUEZ, Linked To: INVERSIONES OMEGA additional information concerning Alex Oswaldo) (a.k.a. ‘‘LA PANTERA’’), INTERNACIONAL S.A.; Linked To: OFAC sanctions programs are available 1 Calle 2 Ave. 1–15, Zona 1, Tecun GCH & SONS CO., INC.; Linked To: on OFAC’s website (https:// Uman, Ayutla, San Marcos, Guatemala; EURO FINANCING, CORP.; Linked To: www.treasury.gov/ofac). DOB 15 Aug 1969; POB Tiquisate, EUROCAMBIO INVESTMENT S.A.; Escuintla, Guatemala; nationality Linked To: INVERSIONES TROL Notice of OFAC Actions Guatemala; Gender Male; Cedula No. L– PANAMA S.A.; Linked To: On December 19, 2019, OFAC 1220627 (Guatemala); NIT #66865883 EUROCAMBIO, S.A.; Linked To: determined that the property and (Guatemala); C.U.I. 1916038210506 BEAUTY STATION, S.A.). interests in property subject to U.S. (Guatemala) (individual) [SDNTK] (Linked To: SUNIGA RODRIGUEZ To jurisdiction of the following persons are blocked under the relevant sanctions DRUG TRAFFICKING ORGANIZATION; MARTINEZ LASSO, Vielka Judith; authorities listed below. Linked To: CEVICHERIA LA CONCHA). DOB 09 Nov 1967; POB El Higo, San Designated pursuant to section 805(b)(2) Carlos, Panama; Cedula No. 8–283–646 Individuals of the Foreign Narcotics Kingpin (Panama) (individual) [SDNTK] (Linked 1. CRUZ OVALLE, Juan Carlos (a.k.a. Designation Act (‘‘Kingpin Act’’), 21 To: INVERSIONES OMEGA ‘‘EL HIELERO’’), 5 Calle, 1–35, Zona 1, U.S.C. 1904(b)(2), for materially INTERNACIONAL S.A.; Linked To: Tecun Uman, Ayutla, San Marcos, assisting in, or providing financial or EURO FINANCING, CORP.; Linked To: Guatemala; DOB 11 Sep 1975; alt. DOB technological support for or to, or EUROCAMBIO INVESTMENT S.A.; 06 Nov 1975; POB Puerto Barrios, providing goods or services in support Linked To: INVERSIONES TROL Izabal, Guatemala; nationality of, the international narcotics trafficking
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activities of the SUNIGA RODRIGUEZ 3. MULTISERVICIOS Y FINCA EL continuing information collections, as DRUG TRAFFICKING ORGANIZATION, ENCANTO, Kilometro 252 y medio, required by the Paperwork Reduction a foreign person identified as a Tecun Uman, San Marcos, Guatemala; Act of 1995. Currently, the IRS is significant foreign narcotics trafficker NIT #769049–5 (Guatemala); Trade soliciting comments concerning the pursuant to the Kingpin Act. License No. 333575–429–295 requirements relating to the relief and 4. SUNIGA RODRIGUEZ, Erik (Guatemala) [SDNTK]. Designated procedures for spouses of U.S. Salvador (Latin: SUN˜ IGA RODRI´GUEZ, pursuant to section 805(b)(3) of the servicemembers who are working in or Erik Salvador) (a.k.a. ZUNIGA Kingpin Act, 21 U.S.C. 1904(b)(3), for claiming residence or domicile in a U.S. RODRIGUEZ, Erick Salvador (Latin: being owned, controlled, or directed by, territory. ´ ˜ ´ ZUNIGA RODRIGUEZ, Erick Salvador); or acting for or on behalf of, Wildin DATES: Written comments should be a.k.a. ‘‘EL POCHO’’), Caserio Las Tulio JUI ESCOBAR, a foreign person received on or before February 24, 2020 Delicias, Ayutla, San Marcos, designated pursuant to the Kingpin Act. to be assured of consideration. Guatemala; DOB 19 Nov 1975; POB La 4. RANCHO LA DORADA, 2o ADDRESSES: Direct all written comments Nueva Concepcion, Escuintla, Callejon, Caserio las Delicias, Ayutla, to Philippe Thomas, Internal Revenue Guatemala; nationality Guatemala; San Marcos, Guatemala; NIT #1198063– Service, Room 6529, 1111 Constitution Gender Male; Cedula No. L1225520 K (Guatemala) [SDNTK]. Designated Avenue NW, Washington, DC 20224. (Guatemala); Passport 199573956 pursuant to section 805(b)(3) of the (Guatemala); NIT #7174713 Requests for additional information or Kingpin Act, 21 U.S.C. 1904(b)(3), for copies of the regulations should be (Guatemala); Driver’s License No. being owned, controlled, or directed by, 1995739560513 (Guatemala); C.U.I. directed to R. Joseph Durbala, at Internal or acting for or on behalf of, a Jose Juan Revenue Service, Room 6129, 1111 1995739560513 (Guatemala) SUNIGA RODRIGUEZ, foreign person (individual) [SDNTK]. Identified as a Constitution Avenue NW, Washington, designated pursuant to the Kingpin Act. DC 20224, or through the internet, at significant foreign narcotics trafficker 5. STAR MARKET MELANYE, 3A. [email protected]. pursuant to section 805(b)(1) of the Avenida 2–10 Zona 1, Tecun Uman, Kingpin Act, 21 U.S.C. 1904(b)(1). Ayutla, San Marcos, Guatemala; NIT SUPPLEMENTARY INFORMATION: 5. SUNIGA RODRIGUEZ, Jose Juan #844191–K (Guatemala) [SDNTK]. Title: Relief for Certain Spouses of ˜ ´ (Latin: SUNIGA RODRIGUEZ, Jose Designated pursuant to section 805(b)(3) Military Personnel. Juan), 1 Avenida 1–51, zona 1, Ayutla, of the Kingpin Act, 21 U.S.C. 1904(b)(3), OMB Number: 1545–2169. San Marcos, Guatemala; DOB 17 Dec for being owned, controlled, or directed Document Number(s): Notices: 2010– 1972; POB Guatemala City, Guatemala, by, or acting for or on behalf of, a Juan 30, 2011–16, and 2012–41. Abstract: The Military Spouses Guatemala; nationality Guatemala; Carlos CRUZ OVALLE, foreign person Residency Relief Act (‘‘MSRRA’’) was Gender Male; Cedula No. L–1227200 designated pursuant to the Kingpin Act. (Guatemala); Passport 164629459 6. SUNIGA RODRIGUEZ DRUG signed into law on November 11, 2009 (Guatemala); NIT #1198063K TRAFFICKING ORGANIZATION (Latin: (Pub. L. 111–97). MSRRA applies to the (Guatemala); C.U.I. 1646294590101 SUN˜ IGA RODRIGUEZ DRUG 2009 and subsequent tax years. This (Guatemala) (individual) [SDNTK] TRAFFICKING ORGANIZATION) (a.k.a. collection provides guidance to (Linked To: RANCHO LA DORADA). ‘‘LOS POCHOS DTO’’), Ayutla, San taxpayers who claim the benefits of the Designation Act (‘‘Kingpin Act’’), 21 Marcos, Guatemala [SDNTK]. Identified tax provisions under MSRRA for the U.S.C. 1904(b)(2), for materially as a significant foreign narcotics 2009 and subsequent tax years. These assisting in, or providing financial or trafficker pursuant to section 805(b)(1) documents provide civilian spouses technological support for or to, or of the Kingpin Act, 21 U.S.C. 1904(b)(1). working in a U.S. territory but claiming providing goods or services in support a tax residence in one of the 50 States of, the international narcotics trafficking Dated: December 19, 2019. or the District of Columbia (‘‘U.S. activities of Erik Salvador SUNIGA Andrea M. Gacki, mainland’’) under MSRRA with an RODRIGUEZ, a foreign person identified Director, Office of Foreign Assets Control. extension of time for paying the tax due as a significant foreign narcotics [FR Doc. 2019–27817 Filed 12–23–19; 8:45 am] the Internal Revenue Service (‘‘IRS’’) trafficker pursuant to the Kingpin Act. BILLING CODE 4810–AL–P (Internal Revenue Code § 6161). Additionally, these documents provide Entities civilian spouses working on the U.S. 1. CEVICHERIA LA CONCHA, Aldea DEPARTMENT OF THE TREASURY mainland but claiming a tax residence Sanjon San Lorenzo, Tecun Uman, in a U.S. territory under MSRRA with Ayutla, San Marcos, Guatemala; NIT Internal Revenue Service guidance on filing claims for refund of #6686588–3 (Guatemala) [SDNTK]. federal income taxes that their Proposed Extension of Information Designated pursuant to section 805(b)(3) employers withheld and remitted to the Collection Request Submitted for of the Kingpin Act, 21 U.S.C. 1904(b)(3), IRS or estimated tax payments the Public Comment; Comment Request for being owned, controlled, or directed taxpayers paid to the IRS. Relating to Relief for Certain Spouses by, or acting for or on behalf of, Alex Current Actions: There is no change to of Military Personnel Oswaldo PARADA RODRIGUEZ, a the burden previously approved by foreign person designated pursuant to AGENCY: Internal Revenue Service (IRS), OMB. This form is being submitted for the Kingpin Act. Treasury. renewal purposes only. 2. JC CAR AUDIO, 05 Calle, Zona 1, ACTION: Notice and request for Type of Review: Extension of a Tecun Uman, San Marcos, Guatemala; comments. currently approved collection. NIT #844191–K (Guatemala) [SDNTK]. Affected Public: Individuals or Designated pursuant to section 805(b)(3) SUMMARY: The Internal Revenue Service, households. of the Kingpin Act, 21 U.S.C. 1904(b)(3), as part of its continuing effort to reduce Estimated Number of Respondents: for being owned, controlled, or directed paperwork and respondent burden, 6,200. by, or acting for or on behalf of, Juan invites the public and other Federal Estimated Time per Respondent: 1 hr. Carlos CRUZ OVALLE, a foreign person agencies to take this opportunity to Estimated Total Annual Burden designated pursuant to the Kingpin Act. comment on proposed and/or Hours: 6,200.
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The following paragraph applies to all proposed collection of information, DEPARTMENT OF VETERANS the collections of information covered including the validity of the AFFAIRS by this notice: methodology and assumptions used; An agency may not conduct or • Enhance the quality, utility, and Joint Biomedical Laboratory Research sponsor, and a person is not required to clarity of the information to be and Development and Clinical Science respond to, a collection of information collected; and Research and Development Services unless the collection of information • Minimize the burden of the Scientific Merit Review Board, displays a valid OMB control number. AMENDED Notice of Meetings Books or records relating to a collection of information on those who collection of information must be are to respond, including using appropriate automated, electronic, The Department of Veterans Affairs retained if their contents may become (VA) gives notice under Federal material in the administration of any mechanical, or other technological collection techniques or other forms of Advisory Committee Act that the internal revenue law. Generally, tax subcommittees of the Joint Biomedical returns and tax return information are information technology, e.g., by Laboratory Research and Development confidential, as required by 26 U.S.C. permitting electronic submissions of and Clinical Science Research and 6103. responses. Development Services Scientific Merit Desired Focus of Comments: The Comments submitted in response to this Review Board (JBL/CS SMRB) will be Internal Revenue Service (IRS) is notice will be summarized and/or particularly interested in comments included in the ICR for OMB approval held on the dates below from 8:00 a.m. that: of the extension of the information to 5:00 p.m. (unless otherwise listed) at • Evaluate whether the proposed collection; they will also become a the 20 F Conference Center, 20 F Street collection of information is necessary matter of public record. NW, Washington, DC 20001, the for the proper performance of the Phoenix Park Hotel, 520 North Capital Approved: December 10, 2019. functions of the agency, including Street NW, Washington, DC 20001, and whether the information will have R. Joseph Durbala, at the Office of Research and practical utility; IRS Tax Analyst. Development, 1100 First Street NE, • Evaluate the accuracy of the [FR Doc. 2019–27751 Filed 12–23–19; 8:45 am] Washington, DC 20002: agency’s estimate of the burden of the BILLING CODE 4830–01–P
Meeting Date(s)
BL/CS R&D Surgery Subcommittee ...... November 12, 2019. BL/CS R&D Pulmonary Medicine Subcommittee ...... November 13, 2019. BL/CS R&D Infectious Diseases-B Subcommittee ...... November 14, 2019. BL/CS R&D Oncology-A/D Subcommittee ...... November 14, 2019. BL/CS R&D Hematology Subcommittee ...... November 15, 2019. BL/CS R&D Oncology-C Subcommittee ...... November 15, 2019. BL/CS R&D Cellular & Molecular Medicine Subcommittee ...... November 18, 2019. BL/CS R&D Oncology-B/E Subcommittee ...... November 18, 2019. BL/CS R&D Mental Health & Behavioral Sciences-P ...... November 19, 2019. BL/CS R&D Immunology & Dermatology-A Subcommittee ...... November 20, 2019. BL/CS R&D Mental Health & Behavioral Sciences-C Subcommittee ...... November 20, 2019. BL/CS R&D Cardiovascular Studies-A Subcommittee ...... November 21, 2019. BL/CS R&D Endocrinology-A Subcommittee ...... November 21, 2019. BL/CS R&D Neurobiology-C Subcommittee ...... November 21, 2019. BL/CS R&D Neurobiology-E Subcommittee ...... November 22, 2019. BL/CS R&D Endocrinology-B Subcommittee ...... November 25, 2019. BL/CS R&D Mental Health & Behavioral Sciences-A Subcommittee ...... December 3, 2019. BL/CS R&D Nephrology Subcommittee ...... December 3, 2019. BL/CS R&D Neurobiology-B Subcommittee ...... December 3, 2019. BL/CS R&D Infectious Diseases-A Subcommittee ...... December 4, 2019. BL/CS R&D Neurobiology-F Subcommittee ...... December 4, 2019. BL/CS R&D Cardiovascular Studies-B Subcommittee ...... December 5, 2019. BL/CS R&D Gastroenterology Subcommittee ...... December 5, 2019. BL/CS R&D Neurobiology-P Subcommittee ...... December 5, 2019. BL/CS R&D Neurobiology-R Subcommittee ...... December 5, 2019. BL/CS R&D Neurobiology-A Subcommittee ...... December 6, 2019. BL/CS R&D Neurobiology-D Subcommittee ...... December 6, 2019. BL/CS R&D Gulf War Research Subcommittee ...... December 6, 2019. BL/CS R&D VA Psychiatrist Development Award Subcommittee ...... January 8, 2019. Joint Biomedical Laboratory Research and Development and Clinical Science Research and Development Services Sci- January 8, 2019. entific Merit Review Board. BL/CS R&D Eligibility Subcommittee ...... January 17, 2020.
The purpose of the subcommittees is submitted for review include various discussion, and evaluation of initial and to provide advice on the scientific medical specialties within the general renewal research proposals. However, quality, budget, safety and mission areas of biomedical, behavioral and the JBL/CS SMRB teleconference relevance of investigator-initiated clinical science research. meeting will be open to the public. research proposals submitted for VA The subcommittee meetings will be Members of the public who wish to merit review evaluation. Proposals closed to the public for the review, attend the open JBL/CS SMRB
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teleconference may dial 1–800–767– the studies, the disclosure of which the subcommittee members should 1750, participant code 50064#. Members would constitute a clearly unwarranted contact Holly Krull, Ph.D., Manager, of the public who wish to make a invasion of personal privacy. Merit Review Program (10X2B), statement at the JBL/CS SMRB meeting Additionally, premature disclosure of Department of Veterans Affairs, 810 must notify Dr. Holly Krull via email at research information could significantly Vermont Avenue NW, Washington, DC [email protected] by January 6, 2019. obstruct implementation of proposed 20420, at (202) 632–8522 or email at These subcommittee meetings will be agency action regarding the research [email protected]. closed to the public for the review, proposals. As provided by subsection discussion, and evaluation of initial and 10(d) of Public Law 92–463, as amended Dated: December 18, 2019. renewal research proposals, which by Public Law 94–409, closing the LaTonya L. Small, involve reference to staff and consultant subcommittee meetings is in accordance Federal Advisory Committee Management critiques of research proposals. with Title 5 U.S.C. 552b(c)(6) and (9)(B). Officer. Discussions will deal with scientific Those who would like to obtain a [FR Doc. 2019–27711 Filed 12–23–19; 8:45 am] merit of each proposal and copy of the minutes from the closed BILLING CODE 8320–01–P qualifications of personnel conducting subcommittee meetings and rosters of
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Part II
Regulatory Information Service Center
Introduction to the Fall 2019 Regulatory Plan
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REGULATORY INFORMATION Agenda,’’ (February 24, 2017). Within through other means, and that both the SERVICE CENTER the Office of Management and Budget, public and Congress have adequate the Office of Information and Regulatory notice of agency intentions. Recently, Introduction to the Fall 2019 Affairs (OIRA) implements Federal the President signed Executive Order Regulatory Plan regulatory policy and has led efforts to 13891 titled ‘‘Promoting the Rule of Law This Fall 2019 Regulatory Plan implement these presidential directives, through Improved Agency Guidance.’’ continues to reflect a fundamental shift working with agencies to identify This E.O. emphasizes that Americans of the Regulatory state. Starting with deregulatory actions and eliminate deserve an open and fair regulatory confidence in private markets and regulatory burdens. process that imposes new obligations on the public only when consistent with individual choices, this Administration Regulatory Transparency is reassessing existing regulatory applicable law and after an agency burdens. This year marks year three in This Administration continues to follows appropriate procedures. The the Administration’s efforts under work to make sure that the public is E.O. makes it the policy of the executive Executive Order 13771, ‘‘Reducing adequately informed about upcoming branch to require that agencies treat Regulation and Controlling Regulatory regulatory activity. Through the past guidance documents as non-binding Costs’’ (January 30, 2017) to continue to few agenda cycles, OIRA has both in law and in practice, take public lower the burden of regulation on the emphasized to the agencies that the input into account when appropriate in American people. This Administration Agenda and Plan should only contain formulating guidance documents, and also approaches the imposition of new items the Agencies truly believe are make guidance documents readily regulatory requirements with care to going to be pursued in the near future. available to the public. On April 11, ensure that regulations are consistent For too long, the Agenda has contained 2019, OMB also issued Memorandum with law, understandable to the public old actions that agencies are not actively M–19–14, ‘‘Guidance on Compliance and not hidden in indecipherable text or pursuing. with the Congressional Review Act.’’ implementing guidance, correct a This Administration has also taken Memorandum M–19–14 updates substantial market failure, and are net steps to make sure that agencies uphold existing OMB guidance to agencies with beneficial to the public. Furthermore, the law governing the quality of the data regard to both OIRA and agency the Plan, along with the Unified Agenda and evidence they use to justify their responsibilities under the Congressional of Regulatory and Deregulatory Actions policy and program choices. In a recent Review Act (CRA) by (1) clarifying that (‘‘Agenda’’), identifies the Memorandum, OMB reminded agencies guidance documents fall within the Administration’s priorities in a manner that they must ensure that information definition of ‘‘rule’’ under the CRA and that continues to be transparent and that is likely to have a clear and (2) making the process by which OIRA accessible to the public. substantial impact on important public makes ‘‘major determinations’’ more policies or important private sector consistent and thorough, including Federal Regulatory and Deregulatory decisions is communicated through the receipt of adequate agency Policy transparently, clearly articulates the analysis on whether a rule is major. The 2019 Plan both sets a new underlying assumptions and Conclusion direction in regulatory policy and uncertainties, and prioritizes increased preserves many longstanding regulatory access to the data and models The agency plans herein discussed best practices. Stressing that, where underlying such information.1 In push against the inertia of steadily statutorily permitted, ‘‘it is essential to addition, OMB’s guidance on expanding regulatory burdens and manage the costs associated with the implementing The Foundations for represent this Administration’s governmental imposition of private Evidence-Based Policymaking Act of commitment to reducing regulations expenditures required to comply with 2018 emphasizes the importance of that no longer benefit our society. The Federal regulations,’’ in E.O. 13771 increasing transparency and trust about plans also send a clear message that the President Trump directed all Federal the data brought to bear in decision- public can invest and plan for the future agencies to issue two deregulatory making and the need to align evidence without the looming threat of being actions for each new regulation building with Administration priorities, surprised by burdensome and implemented and to reduce net new including regulatory and deregulatory unnecessary new regulations. OIRA regulatory costs to zero. He also created activities.2 looks forward to working with the regulatory reform officers and regulatory In addition, this Administration has agencies and all interested stakeholders reform taskforces in each agency in E.O. taken several significant steps to make to deliver meaningful regulatory reform 13777 ‘‘Enforcing the Regulatory Reform sure that regulation is not created to the American people.
DEPARTMENT OF AGRICULTURE
Regulation Sequence No. Title Identifier No. Rulemaking stage
1 ...... Establishment of a Domestic Hemp Production Program ...... 0581–AD82 Final Rule Stage. 2 ...... Importation, Interstate Movement, and Release Into the Environment of Certain 0579–AE47 Final Rule Stage. Genetically Engineered Organisms. 3 ...... Revision of Categorical Eligibility in the Supplemental Nutrition Assistance Pro- 0584–AE62 Proposed Rule Stage. gram (SNAP).
1 OMB M–19–15. Memorandum for the Heads of 2 OMB M 19–23. Memorandum for the heads of www.whitehouse.gov/wp-content/uploads/2019/07/ Executive Departments and Agencies: ‘‘Improving Executive Departments and Agencies. Phase 1 M-19-23.pdf. Federal Data Strategy https:// Implementation of the Information Quality Act.’’ Implementation of the Foundations for Evidence- strategy.data.gov/action-plan/; https:// April 24, 2019 https://www.whitehouse.gov/wp- Based Policymaking Act of 2018: Leaning Agendas, strategy.data.gov/practices/. content/uploads/2019/04/M-19-15.pdf. Personnel, and Planning Guidance. https://
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DEPARTMENT OF AGRICULTURE—Continued
Regulation Sequence No. Title Identifier No. Rulemaking stage
4 ...... Supplemental Nutrition Assistance Program (SNAP): Standardization of State 0584–AE69 Proposed Rule Stage. Heating and Cooling Standard Utility Allowances. 5 ...... Supplemental Nutrition Assistance Program: Requirements for Able-Bodied 0584–AE57 Final Rule Stage. Adults Without Dependents. 6 ...... Prior Label Approval System: Expansion of Generic Label Approval ...... 0583–AD78 Proposed Rule Stage. 7 ...... Alaska Roadless Rule ...... 0596–AD37 Proposed Rule Stage. 8 ...... National Environmental Policy Act Procedures ...... 0596–AD31 Final Rule Stage. 9 ...... Servicing Regulation for the Rural Utilities Service (RUS) Telecommunications 0572–AC41 Final Rule Stage. Programs. 10 ...... OneRD Guaranteed Loan Regulation ...... 0572–AC43 Final Rule Stage. 11 ...... Rural Broadband Grant, Loan, and Loan Guarantee Program ...... 0572–AC46 Final Rule Stage.
DEPARTMENT OF COMMERCE
Regulation Sequence No. Title Identifier No. Rulemaking stage
12 ...... Fishery Disaster Determinations and Assistance Under the Magnuson Stevens 0648–BI97 Proposed Rule Stage. Act and Interjurisdictional Fisheries Act. 13 ...... NOAA Mitigation Policy ...... 0648–BJ32 Proposed Rule Stage. 14 ...... Taking and Importing Marine Mammals: Taking Marine Mammals Incidental to 0648–BB38 Final Rule Stage. Geophysical Surveys Related to Oil and Gas Activities in the Gulf of Mexico. 15 ...... Magnuson-Stevens Fisheries Conservation and Management Act; Traceability In- 0648–BH87 Final Rule Stage. formation Program for Seafood. 16 ...... Trademark Fee Adjustment ...... 0651–AD42 Proposed Rule Stage. 17 ...... Setting and Adjusting Patent Fees During Fiscal Year 2020 ...... 0651–AD31 Final Rule Stage.
DEPARTMENT OF DEFENSE
Regulation Sequence No. Title Identifier No. Rulemaking stage
18 ...... Family Advocacy Program ...... 0790–AI49 Proposed Rule Stage. 19 ...... Limitations on Terms of Consumer Credit Extended to Service Members and De- 0790–AK79 Proposed Rule Stage. pendents, Amendment. 20 ...... Department of Defense (DoD)-Defense Industrial Base (DIB) Cybersecurity (CS) 0790–AK86 Final Rule Stage. Activities. 21 ...... Contractor Purchasing System Review Threshold (DFARS Case 2017–D038) ..... 0750–AJ48 Final Rule Stage. 22 ...... Covered Telecommunications Equipment or Services (DFARS Case 2018–D022) 0750–AJ84 Final Rule Stage. 23 ...... Prompt Payments of Small Business Subcontractors (DFARS Case 2018–D068) 0750–AK25 Final Rule Stage. 24 ...... Performance-Based Payments (DFARS Case 2019–D002) ...... 0750–AK37 Final Rule Stage. 25 ...... Nonmanufacturer Rule for 8(a) Participants (DFARS Case 2019–D004) ...... 0750–AK39 Final Rule Stage. 26 ...... Revised Eligibility Criteria at Arlington National Cemetery ...... 0702–AB08 Proposed Rule Stage. 27 ...... Natural Disaster Procedures: Preparedness, Response, and Recovery Activities 0710–AA78 Proposed Rule Stage. of the Corps of Engineers. 28 ...... Compensatory Mitigation for Losses of Aquatic Resources—Review and Ap- 0710–AA83 Proposed Rule Stage. proval of Mitigation Banks and In-Lieu Fee Programs. 29 ...... Reissuance and Modification of Nationwide Permits ...... 0710–AA84 Proposed Rule Stage. 30 ...... Policy for Domestic, Municipal, and Industrial Water Supply Uses of Reservoir 0710–AA72 Final Rule Stage. Projects Operated by the Department of the Army, U.S. Army Corps of Engi- neers. 31 ...... Revised Definition of ‘‘Waters of the United States’’ ...... 0710–AA80 Final Rule Stage.
DEPARTMENT OF EDUCATION
Regulation Sequence No. Title Identifier No. Rulemaking stage
32 ...... Nondiscrimination on the Basis of Sex in Education Programs or Activities Re- 1870–AA14 Final Rule Stage. ceiving Federal Financial Assistance. 33 ...... EDGAR Revisions ...... 1875–AA14 Proposed Rule Stage. 34 ...... Ensuring Student Access to High Quality and Innovative Postsecondary Edu- 1840–AD38 Proposed Rule Stage. cational Programs. 35 ...... Eligibility of Faith-Based Entities and Activities—Title IV Programs ...... 1840–AD40 Proposed Rule Stage. 36 ...... TEACH Grants ...... 1840–AD44 Proposed Rule Stage.
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DEPARTMENT OF ENERGY
Regulation Sequence No. Title Identifier No. Rulemaking stage
37 ...... Energy Conservation Standards for Manufactured Housing ...... 1904–AC11 Proposed Rule Stage. 38 ...... Procedures, Interpretations, and Policies for Consideration of New or Revised 1904–AD38 Final Rule Stage. Energy Conservation Standards for Consumer Products. 39 ...... Notice of Proposed Rulemaking to Consider Establishing a New Product Class 1904–AE35 Final Rule Stage. for Residential Dishwashers.
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Regulation Sequence No. Title Identifier No. Rulemaking stage
40 ...... Equal Participation of Faith-Based Organizations in HHS’s Programs and Activi- 0991–AC13 Proposed Rule Stage. ties: Implementation of Executive Order 13931. 41 ...... Establishment of Safeguards and Program Integrity Requirements for HHS-Fund- 0991–AC15 Proposed Rule Stage. ed Extramural Research Involving Human Fetal Tissue. 42 ...... Revisions to the Safe Harbors Under the Anti-Kickback Statute and Beneficiary 0936–AA10 Proposed Rule Stage. Inducements Civil Monetary Penalties Rules Regarding Beneficiary Inducement. 43 ...... HIPAA Privacy: Changes To Support, and Remove Barriers to, Coordinated Care 0945–AA00 Proposed Rule Stage. and Individual Engagement. 44 ...... Nondiscrimination in Health and Health Education Programs or Activities ...... 0945–AA11 Final Rule Stage. 45 ...... 21st Century Cures Act: Interoperability, Information Blocking, and the ONC 0955–AA01 Final Rule Stage. Health IT Certification Program. 46 ...... Coordinating Care and Information Sharing in the Treatment of Substance Use 0930–AA32 Final Rule Stage. Disorders. 47 ...... Requirements for Tobacco Product Manufacturing Practice ...... 0910–AH91 Proposed Rule Stage. 48 ...... Nutrient Content Claims, Definition of Term: Healthy ...... 0910–AI13 Proposed Rule Stage. 49 ...... Modified Risk Tobacco Product Applications ...... 0910–AI38 Proposed Rule Stage. 50 ...... Importation of Prescription Drugs ...... 0910–AI45 Proposed Rule Stage. 51 ...... Removing Financial Disincentives to Living Organ Donation ...... 0906–AB23 Proposed Rule Stage. 52 ...... Medicaid Fiscal Accountability (CMS–2393–P) ...... 0938–AT50 Proposed Rule Stage. 53 ...... Modernizing and Clarifying the Physician Self-Referral Regulations (CMS–1720– 0938–AT64 Proposed Rule Stage. P). 54 ...... Medicare Coverage of Innovative Technologies (CMS–3372–P) ...... 0938–AT88 Proposed Rule Stage. 55 ...... International Pricing Index Model For Medicare Part B Drugs (CMS–5528–P) ...... 0938–AT91 Proposed Rule Stage. 56 ...... Proposed Changes to the Medicare Advantage and the Medicare Prescription 0938–AT97 Proposed Rule Stage. Drug Benefit Program for Contract Year 2021 (CMS–4190–P). 57 ...... HHS Notice of Benefit and Payment Parameters for 2021 (CMS–9916–P) ...... 0938–AT98 Proposed Rule Stage. 58 ...... Organ Procurement Organizations (OPOs) (CMS–3380–P) ...... 0938–AU02 Proposed Rule Stage. 59 ...... Transparency in Coverage (CMS–9915–P) ...... 0938–AU04 Proposed Rule Stage. 60 ...... Medicaid and CHIP Managed Care (CMS–2408–F) ...... 0938–AT40 Final Rule Stage. 61 ...... Exchange Program Integrity (CMS–9922–F) ...... 0938–AT53 Final Rule Stage. 62 ...... Strengthening Work in TANF ...... 0970–AC79 Proposed Rule Stage. 63 ...... Adoption and Foster Care Analysis and Reporting System ...... 0970–AC72 Final Rule Stage. 64 ...... Head Start Service Duration Requirements ...... 0970–AC73 Final Rule Stage.
DEPARTMENT OF HOMELAND SECURITY
Regulation Sequence No. Title Identifier No. Rulemaking stage
65 ...... Strengthening the H–1B Nonimmigrant Visa Classification Program ...... 1615–AC13 Proposed Rule Stage. 66 ...... Collection and Use of Biometrics by U.S. Citizenship and Immigration Services ... 1615–AC14 Proposed Rule Stage. 67 ...... Removing H–4 Dependent Spouses From the Classes of Aliens Eligible for Em- 1615–AC15 Proposed Rule Stage. ployment Authorization. 68 ...... U.S. Citizenship and Immigration Services Fee Schedule and Changes to Certain 1615–AC18 Proposed Rule Stage. Other Immigration Benefit Request Requirements. 69 ...... Removal of 30-Day Processing Provision for Asylum Applicant-Related Form I– 1615–AC19 Proposed Rule Stage. 765 Employment Authorization Applications. 70 ...... Electronic Processing of Immigration Benefit Requests ...... 1615–AC20 Proposed Rule Stage. 71 ...... Improvements to the Medical Certification for Disability Exceptions Processing .... 1615–AC23 Proposed Rule Stage. 72 ...... Procedures for Asylum Applications and Reasonable Fear Determinations ...... 1615–AC24 Proposed Rule Stage. 73 ...... Asylum Application, Interview, and Employment Authorization for Applicants ...... 1615–AC27 Proposed Rule Stage. 74 ...... Enhancing the Integrity of the Affidavit of Support ...... 1615–AC39 Proposed Rule Stage. 75 ...... Removal of International Entrepreneur Parole Program ...... 1615–AC04 Final Rule Stage. 76 ...... Removal of Certain International Convention on Standards of Training, Certifi- 1625–AC48 Proposed Rule Stage. cation and Watchkeeping for Seafarers, 1978, as Amended (STCW) Training Requirements. 77 ...... Harmonization of the Fees and Application Procedures for the Global Entry and 1651–AB34 Proposed Rule Stage. SENTRI Programs and Other Changes.
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DEPARTMENT OF HOMELAND SECURITY—Continued
Regulation Sequence No. Title Identifier No. Rulemaking stage
78 ...... Collection of Biometric Data From Aliens Upon Entry To and Exit From the 1651–AB12 Final Rule Stage. United States. 79 ...... Implementation of the Electronic System for Travel Authorization (ESTA) at U.S. 1651–AB14 Final Rule Stage. Land Borders. 80 ...... Mandatory Advance Electronic Information for International Mail Shipments ...... 1651–AB33 Final Rule Stage. 81 ...... Vetting of Certain Surface Transportation Employees ...... 1652–AA69 Proposed Rule Stage. 82 ...... Amending Vetting Requirements for Employees With Access to a Security Identi- 1652–AA70 Proposed Rule Stage. fication Display Area (SIDA). 83 ...... Protection of Sensitive Security Information ...... 1652–AA08 Final Rule Stage. 84 ...... Flight Training for Aliens and Other Designated Individuals; Security Awareness 1652–AA35 Final Rule Stage. Training for Flight School Employees. 85 ...... Security Training for Surface Transportation Employees ...... 1652–AA55 Final Rule Stage. 86 ...... Visa Security Program Fee ...... 1653–AA77 Proposed Rule Stage. 87 ...... Establishing a Maximum Period of Authorized Stay for Students, Exchange Visi- 1653–AA78 Proposed Rule Stage. tors, and Media Representatives. 88 ...... Cost of Assistance Estimates in the Disaster Declaration Process for the Public 1660–AA99 Proposed Rule Stage. Assistance Program. 89 ...... Update to FEMA’s Regulations on Rulemaking Procedures ...... 1660–AA91 Final Rule Stage.
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
Regulation Sequence No. Title Identifier No. Rulemaking stage
90 ...... Mortgage Insurance for Mortgage Transactions Involving Downpayment Assist- 2502–AJ50 Proposed Rule Stage. ance Programs (FR–6150). 91 ...... Economic Growth Regulatory Relief, and Consumer Protection Act: Implementa- 2577–AD05 Proposed Rule Stage. tion of New Physical Conditions Inspection Standards (FR–6086).
DEPARTMENT OF THE INTERIOR
Regulation Sequence No. Title Identifier No. Rulemaking stage
92 ...... Revisions to the Requirements for Exploratory Drilling on the Arctic Outer Conti- 1082–AA01 Proposed Rule Stage. nental Shelf. 93 ...... Risk Management, Financial Assurance and Loss Prevention ...... 1082–AA02 Proposed Rule Stage. 94 ...... Deregulating and Streamlining Renewable Energy Regulations ...... 1010–AE04 Proposed Rule Stage. 95 ...... Non-Energy Solid Leasable Mineral Royalty Rate Reduction ...... 1004–AE58 Proposed Rule Stage. 96 ...... Revisions to the Oil and Gas Site Security, Oil Measurement, and Gas Measure- 1004–AE59 Proposed Rule Stage. ment Regulations.
DEPARTMENT OF LABOR
Regulation Sequence No. Title Identifier No. Rulemaking stage
97 ...... Affirmative Action and Nondiscrimination Obligations of Federal Contractors and 1250–AA08 Proposed Rule Stage. Subcontractors: TRICARE and Certain Other Health Care Providers. 98 ...... Implementing Legal Requirements Regarding the Equal Opportunity Clause’s Re- 1250–AA09 Final Rule Stage. ligious Exemption. 99 ...... Trust Annual Reports ...... 1245–AA09 Final Rule Stage. 100 ...... Regular and Basic Rates Under the Fair Labor Standards Act ...... 1235–AA24 Final Rule Stage. 101 ...... Joint Employer Status Under the Fair Labor Standards Act ...... 1235–AA26 Final Rule Stage. 102 ...... Trade Adjustment Assistance for Workers ...... 1205–AB78 Proposed Rule Stage. 103 ...... Apprenticeship Programs, Labor Standards for Registration, Amendment of Reg- 1205–AB85 Final Rule Stage. ulations. 104 ...... Default Electronic Disclosures by Employee Pension Benefit Plans Under ERISA 1210–AB90 Proposed Rule Stage. 105 ...... Exposure to Beryllium to Review General Industry Provisions ...... 1218–AD20 Final Rule Stage.
DEPARTMENT OF VETERANS AFFAIRS
Regulation Sequence No. Title Identifier No. Rulemaking stage
106 ...... Program of Comprehensive Assistance for Family Caregivers Amendments 2900–AQ48 Proposed Rule Stage. Under the VA MISSION Act of 2018.
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ENVIRONMENTAL PROTECTION AGENCY
Regulation Sequence No. Title Identifier No. Rulemaking stage
107 ...... Control of Air Pollution from New Motor Vehicles: Heavy-Duty Engine Standards 2060–AU41 Prerule Stage. 108 ...... Addition of Certain Per- and Polyfluoroalkyl Substances (PFAS) to the Toxics Re- 2070–AK51 Prerule Stage. lease Inventory. 109 ...... Regulatory Determinations for Perfluorooctanoic Acid (PFOA) and 2040–AF93 Prerule Stage. Perfluorooctanesulfate (PFOS). 110 ...... Reclassification of Major Sources as Area Sources Under Section 112 of the 2060–AM75 Proposed Rule Stage. Clean Air Act. 111 ...... Review of the National Ambient Air Quality Standards for Particulate Matter ...... 2060–AS50 Proposed Rule Stage. 112 ...... Prevention of Significant Deterioration (PSD) and Nonattainment New Source 2060–AT89 Proposed Rule Stage. Review (NSR): Project Emissions Accounting. 113 ...... Oil and Natural Gas Sector: Emission Standards for New, Reconstructed, and 2060–AT90 Proposed Rule Stage. Modified Sources Review. 114 ...... Renewable Fuel Standard Program: Modification of Statutory Volume Targets ..... 2060–AU28 Proposed Rule Stage. 115 ...... Review of the Primary National Ambient Air Quality Standards for Ozone ...... 2060–AU40 Proposed Rule Stage. 116 ...... Renewable Fuel Standard Program: Standards for 2020, Biomass-Based Diesel 2060–AU42 Proposed Rule Stage. Volumes for 2021, and Other Changes. 117 ...... Increasing Consistency and Transparency in Considering Benefits and Costs in 2060–AU51 Proposed Rule Stage. the Clean Air Act Rulemaking Process. 118 ...... Long-Chain Perfluoroalkyl Carboxylate and Perfluoroalkyl Sulfonate Chemical 2070–AJ99 Proposed Rule Stage. Substances; Significant New Use Rule. 119 ...... Pesticides; Agricultural Worker Protection Standard; Revision of the Application 2070–AK49 Proposed Rule Stage. Exclusion Zone Requirements. 120 ...... Review of Dust-Lead Post-Abatement Clearance Levels ...... 2070–AK50 Proposed Rule Stage. 121 ...... Protectants (Pips) To Reflect Newer Technologies ...... 2070–AK54 Proposed Rule Stage. 122 ...... Strengthening Transparency in Regulatory Science ...... 2080–AA14 Proposed Rule Stage. 123 ...... Hazardous and Solid Waste Management System: Disposal of Coal Combustion 2050–AG98 Proposed Rule Stage. Residuals From Electric Utilities; Enhancing Public Access to Information; Re- consideration of Beneficial Use Criteria and Piles. 124 ...... Financial Responsibility Requirements Under CERCLA Section 108(b) for the 2050–AH05 Proposed Rule Stage. Chemical Manufacturing Industry. 125 ...... Financial Responsibility Requirements Under CERCLA Section 108(b) for the Pe- 2050–AH06 Proposed Rule Stage. troleum and Coal Products Manufacturing Industry. 126 ...... Hazardous and Solid Waste Management System: Disposal of Coal Combustion 2050–AH07 Proposed Rule Stage. Residuals From Electric Utilities: Federal CCR Permit Program. 127 ...... Designating PFOA and PFOS as CERCLA Hazardous Substances ...... 2050–AH09 Proposed Rule Stage. 128 ...... Hazardous and Solid Waste Management System: Disposal of Coal Combustion 2050–AH10 Proposed Rule Stage. Residuals From Electric Utilities; A Holistic Approach to Closure Part A: Dead- line to Initiate Closure. 129 ...... Hazardous and Solid Waste Management System: Disposal of CCR; A Holistic 2050–AH11 Proposed Rule Stage. Approach to Closure Part B: Alternate Demonstration for Unlined Surface Im- poundments; Implementation of Closure; Legacy Units. 130 ...... National Primary Drinking Water Regulations for Lead and Copper: Regulatory 2040–AF15 Proposed Rule Stage. Revisions. 131 ...... Peak Flows Management ...... 2040–AF81 Proposed Rule Stage. 132 ...... Updating Regulations on Water Quality Certification ...... 2040–AF86 Proposed Rule Stage. 133 ...... Clean Water Act Section 404(c) Regulatory Revision ...... 2040–AF88 Proposed Rule Stage. 134 ...... Vessel Incidental Discharge Act of 2018—Development of National Performance 2040–AF92 Proposed Rule Stage. Standards for Marine Pollution Control Devices for Discharges Incidental to the Normal Operation of Commercial Vessels. 135 ...... Review of Standards of Performance for Greenhouse Gas Emissions From New, 2060–AT56 Final Rule Stage. Modified, and Reconstructed Stationary Sources: Electric Utility Generating Units. 136 ...... NESHAP: Coal- and Oil-Fired Electric Utility Steam Generating Units—Reconsid- 2060–AT99 Final Rule Stage. eration of Supplemental Cost Finding and Residual Risk and Technology Re- view. 137 ...... The Safer Affordable Fuel-Efficient (SAFE) Vehicles Rule for Model Years 2021– 2060–AU09 Final Rule Stage. 2026 Passenger Cars and Light Trucks. 138 ...... Accidental Release Prevention Requirements: Risk Management Programs 2050–AG95 Final Rule Stage. Under the Clean Air Act: Reconsideration of Amendments. 139 ...... Revised Definition of ‘‘Waters of the United States’’ (Step 2) ...... 2040–AF75 Final Rule Stage.
EQUAL EMPLOYMENT OPPORTUNITY COMMISSION
Regulation Sequence No. Title Identifier No. Rulemaking stage
140 ...... Federal Sector Equal Employment Opportunity Process ...... 3046–AB00 Proposed Rule Stage. 141 ...... Amendments to Regulations Under the Americans With Disabilities Act ...... 3046–AB10 Proposed Rule Stage. 142 ...... Amendments to Regulations Under the Genetic Information Nondiscrimination 3046–AB11 Proposed Rule Stage. Act of 2008.
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EQUAL EMPLOYMENT OPPORTUNITY COMMISSION—Continued
Regulation Sequence No. Title Identifier No. Rulemaking stage
143 ...... Joint Employer Status Under the Federal Equal Employment Opportunity Stat- 3046–AB16 Proposed Rule Stage. utes.
SMALL BUSINESS ADMINISTRATION
Regulation Sequence No. Title Identifier No. Rulemaking stage
144 ...... Small Business HUBZone Program and Government Contracting Programs ...... 3245–AG38 Final Rule Stage. 145 ...... Women-Owned Small Business and Economically Disadvantaged Women- 3245–AG75 Final Rule Stage. Owned Small Business—Certification.
SOCIAL SECURITY ADMINISTRATION
Regulation Sequence No. Title Identifier No. Rulemaking stage
146 ...... Hearings Held by Administrative Appeals Judges of the Appeals Council ...... 0960–AI25 Proposed Rule Stage. 147 ...... Rules Regarding the Frequency and Notice of Continuing Disability Reviews ...... 0960–AI27 Proposed Rule Stage. 148 ...... Revising Evaluation of Vocational Factors in the Disability Determination Process 0960–AI40 Proposed Rule Stage. 149 ...... Removing Inability to Communicate in English as an Education Category ...... 0960–AH86 Final Rule Stage. 150 ...... Setting the Manner for the Appearance of Parties and Witnesses at a Hearing .... 0960–AI09 Final Rule Stage.
DOD/GSA/NASA (FAR)
Regulation Sequence No. Title Identifier No. Rulemaking stage
151 ...... Federal Acquisition Regulation (FAR); FAR Case 2013–002; Reporting of Non- 9000–AM58 Final Rule Stage. conforming Items to the Government-Industry Data Exchange Program.
CONSUMER PRODUCT SAFETY COMMISSION
Regulation Sequence No. Title Identifier No. Rulemaking stage
152 ...... Flammability Standard for Upholstered Furniture ...... 3041–AB35 Final Rule Stage. 153 ...... Regulatory Options for Table Saws ...... 3041–AC31 Final Rule Stage.
NATIONAL INDIAN GAMING COMMISSION
Regulation Sequence No. Title Identifier No. Rulemaking stage
154 ...... Definitions ...... 3141–AA32 Proposed Rule Stage. 155 ...... Management Contracts ...... 3141–AA58 Proposed Rule Stage. 156 ...... Buy Indian Goods and Services (BIGS) ...... 3141–AA62 Proposed Rule Stage.
NUCLEAR REGULATORY COMMISSION
Regulation Sequence No. Title Identifier No. Rulemaking stage
157 ...... Enhanced Weapons for Spent Fuel Storage Installations and Transportation— 3150–AJ55 Prerule Stage. Section 161A Authority [NRC–2015–0018]. 158 ...... NuScale Small Modular Reactor Design Certification [NRC–2017–0029] ...... 3150–AJ98 Prerule Stage. 159 ...... Low-Level Radioactive Waste Disposal [NRC–2011–0012] ...... 3150–AI92 Proposed Rule Stage. 160 ...... Enhanced Security for Special Nuclear Material [NRC–2014–0118] ...... 3150–AJ41 Proposed Rule Stage. 161 ...... Cyber Security at Fuel Cycle Facilities [NRC–2015–0179] ...... 3150–AJ64 Proposed Rule Stage. 162 ...... Approval of American Society of Mechanical Engineers Code Cases, Revision 39 3150–AJ94 Proposed Rule Stage. [NRC–2017–0025]. 163 ...... 2019 Edition of the American Society of Mechanical Engineers Boiler and Pres- 3150–AK09 Proposed Rule Stage. sure Vessel Code [NRC–2017–0226]. 164 ...... Revision of Fee Schedules: Fee Recovery for FY 2020 [NRC–2017–0228] ...... 3150–AK10 Proposed Rule Stage.
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REGULATORY INFORMATION selected for periodic review under Small Business Administration SERVICE CENTER section 610 of the Regulatory Flexibility Social Security Administration Act. Independent Regulatory Agencies Introduction to the Unified Agenda of The complete fall 2019 Unified Consumer Financial Protection Bureau Federal Regulatory and Deregulatory Agenda contains the Regulatory Plans of Consumer Product Safety Commission Actions—Fall 2019 28 Federal agencies and 66 Federal Federal Trade Commission agency regulatory agendas. National Indian Gaming Commission AGENCY: Regulatory Information Service ADDRESSES: Nuclear Regulatory Commission Center. Regulatory Information Service Center (MVE), General Services ACTION: Agency Agendas Introduction to the Regulatory Administration, 1800 F Street NW, Plan and the Unified Agenda of Federal 2219F, Washington, DC 20405. Cabinet Departments Regulatory and Deregulatory Actions. FOR FURTHER INFORMATION CONTACT: For Department of Agriculture further information about specific Department of Commerce SUMMARY: Publication of the Unified Department of Defense Agenda of Regulatory and Deregulatory regulatory actions, please refer to the Department of Energy Actions and the Regulatory Plan agency contact listed for each entry. Department of Health and Human Services represent key components of the To provide comment on or to obtain Department of Homeland Security regulatory planning mechanism further information about this Department of the Interior prescribed in Executive Order 12866, publication, contact: John C. Thomas, Department of Labor ‘‘Regulatory Planning and Review,’’ Executive Director, Regulatory Department of Transportation Executive Order 13771, ‘‘Reducing Information Service Center (MR), U.S. Department of the Treasury Department of Veterans Affairs Regulation and Controlling Regulatory General Services Administration, 1800 F Costs,’’ January 30, 2017, and Executive Street NW, Washington, DC 20405, (202) Other Executive Agencies Order 13777, ‘‘Enforcing the Regulatory 482–7340. You may also send comments Architectural and Transportation Barriers Reform Agenda,’’ February 24, 2017. to us by email at: [email protected]. Compliance Board The fall editions of the Unified Agenda SUPPLEMENTARY INFORMATION: Environmental Protection Agency General Services Administration include the agency regulatory plans Table of Contents required by E.O. 12866, which identify National Aeronautics and Space regulatory priorities and provide Introduction to the Regulatory Plan and the Administration Office of Management and Budget additional detail about the most Unified Agenda of Federal Regulatory and Deregulatory Actions Railroad Retirement Board important significant regulatory actions Small Business Administration that agencies expect to take in the I. What are the Regulatory Plan and the coming year. Unified Agenda? Joint Authority In addition, the Regulatory Flexibility II. Why are the Regulatory Plan and the Department of Defense/General Services Unified Agenda published? Administration/National Aeronautics and Act requires that agencies publish III. How are the Regulatory Plan and the semiannual ‘‘regulatory flexibility Space Administration (Federal Acquisition Unified Agenda organized? Regulation) agendas’’ describing regulatory actions IV. What information appears for each entry? they are developing that will have V. Abbreviations Independent Regulatory Agencies significant effects on small businesses VI. How can users get copies of the Plan and Commodity Futures Trading Commission and other small entities (5 U.S.C. 602). the Agenda? Consumer Financial Protection Bureau The Unified Agenda of Regulatory Introduction to the Fall 2019 Regulatory Plan Consumer Product Safety Commission and Deregulatory Actions (Unified Agency Regulatory Plans Federal Communications Commission Agenda), published in the fall and Federal Reserve System spring, helps agencies fulfill all of these Cabinet Departments National Labor Relations Board requirements. All federal regulatory Department of Agriculture Nuclear Regulatory Commission agencies have chosen to publish their Department of Commerce Securities and Exchange Commission Surface Transportation Board regulatory agendas as part of this Department of Defense Department of Education publication. The complete Unified Department of Energy Table of Contents Agenda and Regulatory Plan can be Department of Health and Human Services Introduction to the Regulatory Plan and the found online at http://www.reginfo.gov Department of Homeland Security Unified Agenda of Federal Regulatory and and a reduced print version can be Department of Housing and Urban Deregulatory Actions Development found in the Federal Register. I. What are the Regulatory Plan and the Department of the Interior Information regarding obtaining printed Unified Agenda? Department of Justice copies can also be found on the II. Why are the Regulatory Plan and the Department of Labor Reginfo.gov website (or below, VI. How Unified Agenda published? Department of Transportation can users get copies of the Plan and the III. How are the Regulatory Plan and the Department of the Treasury Unified Agenda organized? Agenda?). Department of Veterans Affairs The fall 2019 Unified Agenda IV. What information appears for each entry? publication appearing in the Federal Other Executive Agencies V. Abbreviations Register includes the Regulatory Plan Architectural and Transportation Barriers VI. How can users get copies of the Plan and Compliance Board the Agenda? and agency regulatory flexibility Introduction to the Fall 2019 Regulatory Plan agendas, in accordance with the Environmental Protection Agency publication requirements of the Equal Employment Opportunity Commission Agency Regulatory Plans Regulatory Flexibility Act. Agency General Services Administration National Aeronautics and Space Cabinet Departments regulatory flexibility agendas contain Administration Department of Agriculture only those Agenda entries for rules that National Archives and Records Department of Commerce are likely to have a significant economic Administration Department of Defense impact on a substantial number of small Office of Personnel Management Department of Education entities and entries that have been Pension Benefit Guaranty Corporation Department of Energy
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Department of Health and Human Services Administration’s regulatory and American Battle Monuments Department of Homeland Security deregulatory policies and priorities. The Commission Department of Housing and Urban Plan is part of the fall edition of the Commission on Civil Rights Development Committee for Purchase From the Department of Interior Unified Agenda. Each participating Department of Justice agency’s regulatory plan contains: (1) A People Who Are Blind or Severely Department of Labor narrative statement of the agency’s Disabled Department of Transportation regulatory and deregulatory priorities, Corporation for National and Department of Treasury and, for the most part, (2) a description Community Service Department of Veterans Affairs of the most important significant Council on Environmental Quality Other Executive Agencies regulatory and deregulatory actions that Court Services and Offender Supervision Agency for the District of Architectural and Transportation Barriers the agency reasonably expects to issue Compliance Board in proposed or final form during the Columbia Environmental Protection Agency upcoming fiscal year. This edition Equal Employment Opportunity Equal Employment Opportunity Commission includes the regulatory plans of 30 Commission * General Services Administration agencies. Federal Mediation Conciliation Service National Aeronautics and Space The Unified Agenda provides Institute of Museum and Library Administration information about regulations that the Services National Archives and Records Government is considering or National Archives and Records Administration reviewing. The Unified Agenda has Administration * Office of Personnel Management National Endowment for the Arts Pension Benefit Guaranty Corporation appeared in the Federal Register twice Small Business Administration each year since 1983 and has been National Endowment for the Humanities Social Security Administration available online since 1995. The National Mediation Board Federal Acquisition Regulation complete Unified Agenda is available to Office of Government Ethics Office of Personnel Management * Independent Regulatory Agencies the public at http://www.reginfo.gov. The online Unified Agenda offers Peace Corps Consumer Product Safety Commission Pension Benefit Guaranty Corporation * Federal Trade Commission flexible search tools and access to the historic Unified Agenda database to Presidio Trust National Indian Gaming Commission Private Civil Liberties Oversight Board 1995. The complete online edition of Nuclear Regulatory Commission Social Security Administration * the Unified Agenda includes regulatory Agency Regulatory Flexibility Agendas U.S. Agency for Global Media agendas from 65 Federal agencies. United States International Cabinet Departments Agencies of the United States Congress Development Finance Corporation Department of Agriculture are not included. Department of Commerce The fall 2019 Unified Agenda Independent Agencies Department of Defense publication appearing in the Federal Department of Energy Farm Credit Administration Register consists of The Regulatory Plan Federal Deposit Insurance Corporation Department of Health and Human Services and agency regulatory flexibility Department of Homeland Security Federal Energy Regulatory Commission Department of Interior agendas, in accordance with the Federal Housing Finance Agency Department of Labor publication requirements of the Federal Maritime Commission Department of Transportation Regulatory Flexibility Act. Agency Federal Mine Safety and Health Review Department of Treasury regulatory flexibility agendas contain Commission Department of Veterans Affairs only those Agenda entries for rules that Federal Trade Commission * Other Executive Agencies are likely to have a significant economic National Credit Union Administration impact on a substantial number of small Architectural and Transportation Barriers National Indian Gaming Commission* Compliance Board entities and entries that have been National Transportation Safety Board Environmental Protection Agency selected for periodic review under Postal Regulatory Commission Federal Acquisition Regulation section 610 of the Regulatory Flexibility U.S. Chemical Safety and Hazard General Services Administration Act. Printed entries display only the Investigation Board National Aeronautics and Space fields required by the Regulatory Administration The Regulatory Information Service Flexibility Act. Complete agenda Center compiles the Unified Agenda for Office of Management and Budget information for those entries appears, in Railroad Retirement Board the Office of Information and Regulatory Small Business Administration a uniform format, in the online Unified Affairs (OIRA), part of the Office of Agenda at http://www.reginfo.gov. Management and Budget. OIRA is Independent Agencies The following agencies have no responsible for overseeing the Federal entries for inclusion in the printed Commodity Futures Trading Commission Government’s regulatory, paperwork, Consumer Financial Protection Bureau regulatory flexibility agenda. An asterisk and information resource management Product Safety Commission (*) indicates agencies that appear in The activities, including implementation of Federal Communication Commission Regulatory Plan. The regulatory agendas Executive Order 12866 (incorporated in Federal Reserve System of these agencies are available to the National Labor Relations Board Executive Order 13563). The Center also public at http://reginfo.gov. Nuclear Regulatory Commission provides information about Federal Securities and Exchange Commission Cabinet Departments regulatory activity to the President and Introduction to the Regulatory Plan and Department of Education * his Executive Office, the Congress, the Unified Agenda of Federal Department of Justice * agency officials, and the public. Regulatory and Deregulatory Actions Department of Housing and Urban The activities included in the Agenda are, in general, those that will have a I. What are the Regulatory Plan and the Development * Department of State regulatory action within the next 12 Unified Agenda? months. Agencies may choose to The Regulatory Plan serves as a Other Executive Agencies include activities that will have a longer defining statement of the Agency for International Development timeframe than 12 months. Agency
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agendas also show actions or reviews the amendments to Executive Order addition, the agency must provide to the completed or withdrawn since the last 12866 that were contained in Executive Director of the Office of Management Unified Agenda. Executive Order 12866 Order 13258 and Executive Order and Budget a federalism summary does not require agencies to include 13422. impact statement for such a regulation, regulations concerning military or which consists of a description of the Executive Order 13771 foreign affairs functions or regulations extent of the agency’s prior consultation related to agency organization, Executive Order 13771, ‘‘Reducing with State and local officials, a management, or personnel matters. Regulation and Controlling Regulatory summary of their concerns and the Agencies prepared entries for this Costs,’’ January 30, 2017 (82 FR 9339) agency’s position supporting the need to publication to give the public notice of requires each agency to identify for issue the regulation, and a statement of their plans to review, propose, and issue elimination two prior regulations for the extent to which those concerns have regulations. They have tried to predict every one new regulation issued, and been met. As part of this effort, agencies their activities over the next 12 months the cost of planned regulations be include in their submissions for the as accurately as possible, but dates and prudently managed and controlled Unified Agenda information on whether schedules are subject to change. through a budgeting process. their regulatory actions may have an Agencies may withdraw some of the Executive Order 13777 effect on the various levels of regulations now under development, government and whether those actions and they may issue or propose other Executive Order 13777, ‘‘Enforcing have federalism implications. regulations not included in their the Regulatory Reform Agenda,’’ Unfunded Mandates Reform Act of 1995 agendas. Agency actions in the February 24, 2017 (82 FR 12285) rulemaking process may occur before or requires each agency to designate an The Unfunded Mandates Reform Act after the dates they have listed. The agency official as its Regulatory Reform of 1995 (Pub. L. 104–4, title II) requires Regulatory Plan and Unified Agenda do Officer (RRO). Each RRO shall oversee agencies to prepare written assessments not create a legal obligation on agencies the implementation of regulatory reform of the costs and benefits of significant to adhere to schedules in this initiatives and policies to ensure that regulatory actions ‘‘that may result in publication or to confine their agencies effectively carry out regulatory the expenditure by State, local, and regulatory activities to those regulations reforms, consistent with applicable law. tribal governments, in the aggregate, or that appear within it. The Executive Order also directs that by the private sector, of $100,000,000 or each agency designate a regulatory more in any 1 year.’’ The requirement II. Why are the Regulatory Plan and the Reform Task Force. does not apply to independent Unified Agenda published? regulatory agencies, nor does it apply to Executive Order 13563 The Regulatory Plan and the Unified certain subject areas excluded by Agenda helps agencies comply with Executive Order 13563, ‘‘Improving section 4 of the Act. Affected agencies their obligations under the Regulatory Regulation and Regulatory Review,’’ identify in the Unified Agenda those Flexibility Act and various Executive January 18, 2011 (76 FR 3821) regulatory actions they believe are orders and other statutes. supplements and reaffirms the subject to title II of the Act. principles, structures, and definitions Regulatory Flexibility Act governing contemporary regulatory Executive Order 13211 The Regulatory Flexibility Act review that were established in Executive Order 13211, ‘‘Actions requires agencies to identify those rules Executive Order 12866, which includes Concerning Regulations That that may have a significant economic the general principles of regulation and Significantly Affect Energy Supply, impact on a substantial number of small public participation, and orders Distribution, or Use,’’ May 18, 2001 (66 entities (5 U.S.C. 602). Agencies meet integration and innovation in FR 28355), directs agencies to provide, that requirement by including the coordination across agencies; flexible to the extent possible, information information in their submissions for the approaches where relevant, feasible, and regarding the adverse effects that agency Unified Agenda. Agencies may also consistent with regulatory approaches; actions may have on the supply, indicate those regulations that they are scientific integrity in any scientific or distribution, and use of energy. Under reviewing as part of their periodic technological information and processes the Order, the agency must prepare and review of existing rules under the used to support the agencies’ regulatory submit a Statement of Energy Effects to Regulatory Flexibility Act (5 U.S.C. actions; and retrospective analysis of the Administrator of the Office of 610). Executive Order 13272, ‘‘Proper existing regulations. Information and Regulatory Affairs, Consideration of Small Entities in Office of Management and Budget, for Executive Order 13132 Agency Rulemaking,’’ signed August 13, ‘‘those matters identified as significant 2002 (67 FR 53461), provides additional Executive Order 13132, ‘‘Federalism,’’ energy actions.’’ As part of this effort, guidance on compliance with the Act. August 4, 1999 (64 FR 43255), directs agencies may optionally include in their agencies to have an accountable process submissions for the Unified Agenda Executive Order 12866 to ensure meaningful and timely input information on whether they have Executive Order 12866, ‘‘Regulatory by State and local officials in the prepared or plan to prepare a Statement Planning and Review,’’ September 30, development of regulatory policies that of Energy Effects for their regulatory 1993 (58 FR 51735), requires covered have ‘‘federalism implications’’ as actions. agencies to prepare an agenda of all defined in the Order. Under the Order, regulations under development or an agency that is proposing a regulation Small Business Regulatory Enforcement review. The Order also requires that with federalism implications, which Fairness Act certain agencies prepare annually a either preempt State law or impose non- The Small Business Regulatory regulatory plan of their ‘‘most important statutory unfunded substantial direct Enforcement Fairness Act (Pub. L. 104– significant regulatory actions,’’ which compliance costs on State and local 121, title II) established a procedure for appears as part of the fall Unified governments, must consult with State congressional review of rules (5 U.S.C. Agenda. Executive Order 13497, signed and local officials early in the process 801 et seq.), which defers, unless January 30, 2009 (74 FR 6113), revoked of developing the regulation. In exempted, the effective date of a
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‘‘major’’ rule for at least 60 days from see a listing of all of an agency’s entries, In the printed edition, all entries are the publication of the final rule in the a user can select the agency without numbered sequentially from the Federal Register. The Act specifies that specifying any particular characteristics beginning to the end of the publication. a rule is ‘‘major’’ if it has resulted, or is of entries. The sequence number preceding the likely to result, in an annual effect on Each entry in the Agenda is associated title of each entry identifies the location the economy of $100 million or more or with one of five rulemaking stages. The of the entry in this edition. The meets other criteria specified in that rulemaking stages are: sequence number is used as the Act. The Act provides that the 1. Prerule Stage—actions agencies reference in the printed table of Administrator of OIRA will make the will undertake to determine whether or contents. Sequence numbers are not final determination as to whether a rule how to initiate rulemaking. Such actions used in the online Unified Agenda is major. occur prior to a Notice of Proposed because the unique Regulation Identifier Rulemaking (NPRM) and may include Number (RIN) is able to provide this III. How are the Regulatory Plan and Advance Notices of Proposed cross-reference capability. the Unified Agenda organized? Rulemaking (ANPRMs) and reviews of Editions of the Unified Agenda prior The Regulatory Plan appears in part II existing regulations. to fall 2007 contained several indexes, in a daily edition of the Federal 2. Proposed Rule Stage—actions for which identified entries with various Register. The Plan is a single document which agencies plan to publish a Notice characteristics. These included beginning with an introduction, of Proposed Rulemaking as the next step regulatory actions for which agencies followed by a table of contents, followed in their rulemaking process or for which believe that the Regulatory Flexibility by each agency’s section of the Plan. the closing date of the NPRM Comment Act may require a Regulatory Flexibility Following the Plan in the Federal Period is the next step. Analysis, actions selected for periodic Register, as separate parts, are the 3. Final Rule Stage—actions for which review under section 610(c) of the regulatory flexibility agendas for each agencies plan to publish a final rule or Regulatory Flexibility Act, and actions agency whose agenda includes entries an interim final rule or to take other that may have federalism implications for rules which are likely to have a final action as the next step. as defined in Executive Order 13132 or significant economic impact on a 4. Long-Term Actions—items under other effects on levels of government. substantial number of small entities or development but for which the agency These indexes are no longer compiled, rules that have been selected for does not expect to have a regulatory because users of the online Unified periodic review under section 610 of the action within the 12 months after Agenda have the flexibility to search for Regulatory Flexibility Act. Each printed publication of this edition of the Unified entries with any combination of desired agenda appears as a separate part. The Agenda. Some of the entries in this characteristics. The online edition sections of the Plan and the parts of the section may contain abbreviated retains the Unified Agenda’s subject Unified Agenda are organized information. index based on the Federal Register alphabetically in four groups: Cabinet 5. Completed Actions—actions or Thesaurus of Indexing Terms. In departments; other executive agencies; reviews the agency has completed or addition, online users have the option of the Federal Acquisition Regulation, a withdrawn since publishing its last searching Agenda text fields for words joint authority (Agenda only); and agenda. This section also includes items or phrases. independent regulatory agencies. the agency began and completed Agencies may in turn be divided into between issues of the Agenda. IV. What information appears for each subagencies. Each printed agency Long-Term Actions are rulemakings entry? agenda has a table of contents listing the reported during the publication cycle All entries in the online Unified agency’s printed entries that follow. that are outside of the required 12- Agenda contain uniform data elements Each agency’s part of the Agenda month reporting period for which the including, at a minimum, the following contains a preamble providing Agenda was intended. Completed information: information specific to that agency. Actions in the publication cycle are Title of the Regulation—a brief Each printed agency agenda has a table rulemakings that are ending their description of the subject of the of contents listing the agency’s printed lifecycle either by Withdrawal or regulation. In the printed edition, the entries that follow. completion of the rulemaking process. notation ‘‘Section 610 Review’’ Each agency’s section of the Plan Therefore, the Long-Term and following the title indicates that the contains a narrative statement of Completed RINs do not represent the agency has selected the rule for its regulatory priorities and, for most ongoing, forward-looking nature periodic review of existing rules under agencies, a description of the agency’s intended for reporting developing the Regulatory Flexibility Act (5 U.S.C. most important significant regulatory rulemakings in the Agenda pursuant to 610(c)). Some agencies have indicated and deregulatory actions. Each agency’s Executive Order 12866, section 4(b) and completions of section 610 reviews or part of the Agenda contains a preamble 4(c). To further differentiate these two rulemaking actions resulting from providing information specific to that stages of rulemaking in the Unified completed section 610 reviews. In the agency plus descriptions of the agency’s Agenda from active rulemakings, Long- online edition, these notations appear in regulatory and deregulatory actions. Term and Completed Actions are a separate field. The online, complete Unified Agenda reported separately from active Priority—an indication of the contains the preambles of all rulemakings, which can be any of the significance of the regulation. Agencies participating agencies. Unlike the first three stages of rulemaking listed assign each entry to one of the following printed edition, the online Agenda has above. A separate search function is five categories of significance. no fixed ordering. In the online Agenda, provided on http://reginfo.gov to search users can select the particular agencies’ for Completed and Long-Term Actions (1) Economically Significant agendas they want to see. Users have apart from each other and active RINs. As defined in Executive Order 12866, broad flexibility to specify the A bullet (•) preceding the title of an a rulemaking action that will have an characteristics of the entries of interest entry indicates that the entry is annual effect on the economy of $100 to them by choosing the desired appearing in the Unified Agenda for the million or more or will adversely affect responses to individual data fields. To first time. in a material way the economy, a sector
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of the economy, productivity, (E.O.) that authorize(s) the regulatory the States, or on the distribution of competition, jobs, the environment, action. Agencies may provide popular power and responsibilities among the public health or safety, or State, local, name references to laws in addition to various levels of government.’’ or tribal governments or communities. these citations. Independent regulatory agencies are not The definition of an ‘‘economically CFR Citation—the section(s) of the required to supply this information. significant’’ rule is similar but not Code of Federal Regulations that will be Included in the Regulatory Plan— identical to the definition of a ‘‘major’’ affected by the action. whether the rulemaking was included in rule under 5 U.S.C. 801 (Pub. L. 104– Legal Deadline—whether the action is the agency’s current regulatory plan 121). (See below.) subject to a statutory or judicial published in fall 2017. deadline, the date of that deadline, and Agency Contact—the name and phone (2) Other Significant whether the deadline pertains to an number of at least one person in the A rulemaking that is not NPRM, a Final Action, or some other agency who is knowledgeable about the Economically Significant but is action. rulemaking action. The agency may also considered Significant by the agency. Abstract—a brief description of the provide the title, address, fax number, This category includes rules that the problem the regulation will address; the email address, and TDD for each agency agency anticipates will be reviewed need for a Federal solution; to the extent contact. under Executive Order 12866 or rules available, alternatives that the agency is Some agencies have provided the that are a priority of the agency head. considering to address the problem; and following optional information: These rules may or may not be included potential costs and benefits of the RIN Information URL—the internet in the agency’s regulatory plan. action. address of a site that provides more Timetable—the dates and citations (if information about the entry. (3) Substantive, Nonsignificant available) for all past steps and a Public Comment URL—the internet A rulemaking that has substantive projected date for at least the next step address of a site that will accept public impacts, but is neither Significant, nor for the regulatory action. A date comments on the entry. Alternatively, Routine and Frequent, nor displayed in the form 12/00/19 means timely public comments may be Informational/Administrative/Other. the agency is predicting the month and submitted at the Governmentwide e- year the action will take place but not rulemaking site, http:// (4) Routine and Frequent the day it will occur. In some instances, www.regulations.gov. A rulemaking that is a specific case of agencies may indicate what the next Additional Information—any a multiple recurring application of a action will be, but the date of that action information an agency wishes to include regulatory program in the Code of is ‘‘To Be Determined.’’ ‘‘Next Action that does not have a specific Federal Regulations and that does not Undetermined’’ indicates the agency corresponding data element. alter the body of the regulation. does not know what action it will take Compliance Cost to the Public—the estimated gross compliance cost of the (5) Informational/Administrative/Other next. Regulatory Flexibility Analysis action. A rulemaking that is primarily Required—whether an analysis is Affected Sectors—the industrial informational or pertains to agency required by the Regulatory Flexibility sectors that the action may most affect, matters not central to accomplishing the Act (5 U.S.C. 601 et seq.) because the either directly or indirectly. Affected agency’s regulatory mandate but that the rulemaking action is likely to have a sectors are identified by North agency places in the Unified Agenda to significant economic impact on a American Industry Classification inform the public of the activity. substantial number of small entities as System (NAICS) codes. Major—whether the rule is ‘‘major’’ defined by the Act. Energy Effects—an indication of under 5 U.S.C. 801 (Pub. L. 104–121) Small Entities Affected—the types of whether the agency has prepared or because it has resulted or is likely to small entities (businesses, governmental plans to prepare a Statement of Energy result in an annual effect on the jurisdictions, or organizations) on which Effects for the action, as required by economy of $100 million or more or the rulemaking action is likely to have Executive Order 13211 ‘‘Actions meets other criteria specified in that an impact as defined by the Regulatory Concerning Regulations That Act. The Act provides that the Flexibility Act. Some agencies have Significantly Affect Energy Supply, Administrator of the Office of chosen to indicate likely effects on Distribution, or Use,’’ signed May 18, Information and Regulatory Affairs will small entities even though they believe 2001 (66 FR 28355). make the final determination as to that a Regulatory Flexibility Analysis Related RINs—one or more past or whether a rule is major. will not be required. current RIN(s) associated with activity Unfunded Mandates—whether the Government Levels Affected—whether related to this action, such as merged rule is covered by section 202 of the the action is expected to affect levels of RINs, split RINs, new activity for Unfunded Mandates Reform Act of 1995 government and, if so, whether the previously completed RINs, or duplicate (Pub. L. 104–4). The Act requires that, governments are State, local, tribal, or RINs. before issuing an NPRM likely to result Federal. Statement of Need—a description of in a mandate that may result in International Impacts—whether the the need for the regulatory action. expenditures by State, local, and tribal regulation is expected to have Summary of the Legal Basis—a governments, in the aggregate, or by the international trade and investment description of the legal basis for the private sector of more than $100 million effects, or otherwise may be of interest action, including whether any aspect of in 1 year, agencies, other than to the Nation’s international trading the action is required by statute or court independent regulatory agencies, shall partners. order. prepare a written statement containing Federalism—whether the action has Alternatives—a description of the an assessment of the anticipated costs ‘‘federalism implications’’ as defined in alternatives the agency has considered and benefits of the Federal mandate. Executive Order 13132. This term refers or will consider as required by section Legal Authority—the section(s) of the to actions ‘‘that have substantial direct 4(c)(1)(B) of Executive Order 12866. United States Code (U.S.C.) or Public effects on the States, on the relationship Anticipated Costs and Benefits—a Law (Pub. L.) or the Executive order between the national government and description of preliminary estimates of
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the anticipated costs and benefits of the D NPRM—A Notice of Proposed track the publication history of action. Rulemaking is the document an agency regulatory actions throughout their Risks—a description of the magnitude issues and publishes in the Federal development. of the risk the action addresses, the Register that describes and solicits Seq. No.—The sequence number amount by which the agency expects the public comments on a proposed identifies the location of an entry in the action to reduce this risk, and the regulatory action. Under the printed edition of the Regulatory Plan relation of the risk and this risk Administrative Procedure Act (5 U.S.C. and the Unified Agenda. Note that a reduction effort to other risks and risk 553), an NPRM must include, at a specific regulatory action will have the reduction efforts within the agency’s minimum: A statement of the time, same RIN throughout its development jurisdiction. place, and nature of the public but will generally have different rulemaking proceeding; sequence numbers if it appears in V. Abbreviations D A reference to the legal authority different printed editions of the Unified The following abbreviations appear under which the rule is proposed; and Agenda. Sequence numbers are not used throughout this publication: Either the terms or substance of the in the online Unified Agenda. ANPRM—An Advance Notice of proposed rule or a description of the U.S.C.—The United States Code is a Proposed Rulemaking is a preliminary subjects and issues involved. consolidation and codification of all notice, published in the Federal PL (or Pub. L.)—A public law is a law general and permanent laws of the Register, announcing that an agency is passed by Congress and signed by the United States. The U.S.C. is divided into considering a regulatory action. An President or enacted over his veto. It has 50 titles, each title covering a broad area agency may issue an ANPRM before it general applicability, unlike a private of Federal law. develops a detailed proposed rule. An law that applies only to those persons ANPRM describes the general area that or entities specifically designated. VI. How can users get copies of the Plan may be subject to regulation and usually Public laws are numbered in sequence and the Agenda? asks for public comment on the issues throughout the 2-year life of each Copies of the Federal Register issue and options being discussed. An Congress; for example, Public Law 112– containing the printed edition of The ANPRM is issued only when an agency 4 is the fourth public law of the 112th Regulatory Plan and the Unified Agenda believes it needs to gather more Congress. (agency regulatory flexibility agendas) information before proceeding to a RFA—A Regulatory Flexibility are available from the Superintendent of notice of proposed rulemaking. Analysis is a description and analysis of Documents, U.S. Government Printing CFR—The Code of Federal the impact of a rule on small entities, Office, P.O. Box 371954, Pittsburgh, PA Regulations is an annual codification of including small businesses, small 15250–7954. Telephone: (202) 512–1800 the general and permanent regulations governmental jurisdictions, and certain or 1–866–512–1800 (toll-free). published in the Federal Register by the small not-for-profit organizations. The Copies of individual agency materials agencies of the Federal Government. Regulatory Flexibility Act (5 U.S.C. 601 may be available directly from the The Code is divided into 50 titles, each et seq.) requires each agency to prepare agency or may be found on the agency’s title covering a broad area subject to an initial RFA for public comment when website. Please contact the particular Federal regulation. The CFR is keyed to it is required to publish an NPRM and agency for further information. and kept up to date by the daily issues to make available a final RFA when the All editions of The Regulatory Plan of the Federal Register. final rule is published, unless the and the Unified Agenda of Federal E.O.—An Executive order is a agency head certifies that the rule Regulatory and Deregulatory Actions directive from the President to would not have a significant economic since fall 1995 are available in Executive agencies, issued under impact on a substantial number of small electronic form at http://reginfo.gov, constitutional or statutory authority. entities. along with flexible search tools. Executive orders are published in the RIN—The Regulation Identifier The Government Printing Office’s Federal Register and in title 3 of the Number is assigned by the Regulatory GPO FDsys website contains copies of Code of Federal Regulations. Information Service Center to identify the Agendas and Regulatory Plans that FR—The Federal Register is a daily each regulatory action listed in the have been printed in the Federal Federal Government publication that Regulatory Plan and the Unified Register. These documents are available provides a uniform system for Agenda, as directed by Executive Order at http://www.fdsys.gov. publishing Presidential documents, all 12866 (section 4(b)). Additionally, OMB proposed and final regulations, notices has asked agencies to include RINs in Dated: November 18, 2019. of meetings, and other official the headings of their Rule and Proposed John C. Thomas, documents issued by Federal agencies. Rule documents when publishing them Executive Director. FY—The Federal fiscal year runs from in the Federal Register, to make it easier [FR Doc. 2019–26533 Filed 12–23–19; 8:45 am] October 1 to September 30. for the public and agency officials to BILLING CODE 6820–27–P
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Vol. 84 Thursday, No. 247 December 26, 2019
Part III
Department of Agriculture
Semiannual Regulatory Agenda
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DEPARTMENT OF AGRICULTURE ‘‘Enforcing the Regulatory Reform (1) Rules that are likely to have a Agenda,’’ and 13563, ‘‘Improving significant economic impact on a Office of the Secretary Regulation and Regulatory Review.’’ substantial number of small entities; The agenda also describes regulations and 2 CFR Subtitle B, Ch. IV affecting small entities as required by (2) Rules identified for periodic section 602 of the Regulatory Flexibility review under section 610 of the 5 CFR Ch. LXXIII Act, Public Law 96–354. This agenda Regulatory Flexibility Act. also identifies regulatory actions that are 7 CFR Subtitle A; Subtitle B, Chs. I–XI, being reviewed in compliance with For this edition of the USDA XIV–XVIII, XX, XXV–XXXVIII, XLII section 610(c) of the Regulatory regulatory agenda, the most important Flexibility Act. We invite public regulatory and deregulatory actions are 9 CFR Chs. I–III comment on those actions as well as any summarized in a Statement of regulation consistent with E.O. 13563. Regulatory Priorities that is included in 36 CFR Ch. II USDA has attempted to list all the Regulatory Plan, which appears in regulations and regulatory reviews both the online regulatory agenda and in 48 CFR Ch. 4 pending at the time of publication part II of the Federal Register that except for minor and routine or includes the abbreviated regulatory Semiannual Regulatory Agenda, Fall repetitive actions, but some may have agenda. 2019 been inadvertently missed. There is no AGENCY: Office of the Secretary, USDA. legal significance to the omission of an FOR FURTHER INFORMATION CONTACT: For ACTION: Semiannual regulatory agenda. item from this listing. Also, the dates further information on any specific shown for the steps of each action are entry shown in this agenda, please SUMMARY: This agenda provides estimated and are not commitments to contact the person listed for that action. summary descriptions of the significant act on or by the date shown. For general comments or inquiries about and not significant regulatory and USDA’s complete regulatory agenda is the agenda, please contact Michael Poe, deregulatory actions being developed in available online at www.reginfo.gov. Office of Budget and Program Analysis, agencies of the U.S. Department of Because publication in the Federal U.S. Department of Agriculture, Agriculture (USDA) in conformance Register is mandated for the regulatory Washington, DC 20250, (202) 720–3257. with Executive Orders (E.O.) 12866 flexibility agendas required by the ‘‘Regulatory Planning and Review,’’ Regulatory Flexibility Act (5 U.S.C. Dated: July 31, 2019. 13771 ‘‘Reducing Regulation and 602), USDA’s printed agenda entries Michael Poe, Controlling Regulatory Costs,’’ 13777, include only: Legislative and Regulatory Staff.
AGRICULTURAL MARKETING SERVICE—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
165 ...... Undue and Unreasonable Preferences and Advantages Under the Packers and Stockyards Act ...... 0581–AD81
AGRICULTURAL MARKETING SERVICE—FINAL RULE STAGE
Regulation Sequence No. Title Identifier No.
166 ...... Establishment of a Domestic Hemp Production Program (Reg Plan Seq No. 1) ...... 0581–AD82 References in boldface appear in The Regulatory Plan in part II of this issue of the Federal Register.
AGRICULTURAL MARKETING SERVICE—COMPLETED ACTIONS
Regulation Sequence No. Title Identifier No.
167 ...... Establishment of a Milk Donation Program ...... 0581–AD87
FARM SERVICE AGENCY—COMPLETED ACTIONS
Regulation Sequence No. Title Identifier No.
168 ...... Emergency Forest Restoration Program ...... 0560–AH89
ANIMAL AND PLANT HEALTH INSPECTION SERVICE—FINAL RULE STAGE
Regulation Sequence No. Title Identifier No.
169 ...... Bovine Spongiform Encephalopathy and Scrapie; Importation of Small Ruminants and Their Germplasm, 0579–AD10 Products, and Byproducts.
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ANIMAL AND PLANT HEALTH INSPECTION SERVICE—FINAL RULE STAGE—Continued
Regulation Sequence No. Title Identifier No.
170 ...... Lacey Act Implementation Plan: De Minimis Exception ...... 0579–AD44 171 ...... Brucellosis and Bovine Tuberculosis; Update of Import Provisions ...... 0579–AD65 172 ...... Importation, Interstate Movement, and Release Into the Environment of Certain Genetically Engineered 0579–AE47 Organisms (Reg Plan Seq No. 2). References in boldface appear in The Regulatory Plan in part II of this issue of the Federal Register.
ANIMAL AND PLANT HEALTH INSPECTION SERVICE—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
173 ...... Importation of Fresh Citrus Fruit From the Republic of South Africa Into the Continental United States ...... 0579–AD95 174 ...... Removal of Emerald Ash Borer Domestic Quarantine Regulations ...... 0579–AE42
ANIMAL AND PLANT HEALTH INSPECTION SERVICE—COMPLETED ACTIONS
Regulation Sequence No. Title Identifier No.
175 ...... Plant Pest Regulations; Update of General Provisions ...... 0579–AC98 176 ...... Livestock Marketing Facilities ...... 0579–AE02
FOREST SERVICE—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
177 ...... Special Uses—Communications Uses Rent ...... 0596–AD43
DEPARTMENT OF AGRICULTURE Agriculture, Agricultural Marketing Abstract: This action begins the (USDA) Service, 1400 Independence Avenue rulemaking process to establish a Milk SW, Washington, DC 20250–0237, Agricultural Marketing Service (AMS) Donation Program as mandated by the Phone: 202 720–0219. Agriculture Improvement Act of 2018 Proposed Rule Stage RIN: 0581–AD81 (2018 Farm Bill). The proposed program 165. Undue and Unreasonable would allow milk processors who Preferences and Advantages Under the account to Federal milk marketing Packers and Stockyards Act DEPARTMENT OF AGRICULTURE orders (FMMO) to claim limited (USDA) reimbursements for the cost of farm E.O. 13771 Designation: Regulatory. milk used to make donated fluid milk Legal Authority: Pub. L. 110–234 Agricultural Marketing Service (AMS) products. Under the program, Abstract: This action would invite processors would partner with non- comments on proposed revisions to Final Rule Stage profit organizations to distribute the regulations issued under the Packers 166. Establishment of a Domestic Hemp donated products to individuals in low- and Stockyards Act (P&S Act). The Production Program revisions would specify criteria the income groups. Secretary could consider in determining Regulatory Plan: This entry is Seq. Completed: whether conduct or action by packers, No. 1 in part II of this issue of the swine contractors, or live poultry Federal Register. Reason Date FR Cite dealers constitutes an undue or RIN: 0581–AD82 unreasonable preference or advantage Final Rule ...... 09/05/19 84 FR 46653 and a violation of the P&S Act. Final Rule Effec- 09/16/19 tive. Timetable: DEPARTMENT OF AGRICULTURE (USDA) Action Date FR Cite Regulatory Flexibility Analysis Agricultural Marketing Service (AMS) Required: Yes. NPRM ...... 11/00/19 Completed Actions Agency Contact: Erin Taylor, Phone: 202 720–7311, Email: Erin.taylor@ Regulatory Flexibility Analysis 167. Establishment of a Milk Donation ams.usda.gov. Required: Yes. Program Agency Contact: Michael V. Durando, RIN: 0581–AD87 Associate Deputy Administrator, Fair E.O. 13771 Designation: Other. BILLING CODE 3410–02–P Trade Practices Program, Department of Legal Authority: Pub. L. 104–127
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DEPARTMENT OF AGRICULTURE import restrictions related to Regulatory Flexibility Analysis (USDA) transmissible spongiform Required: Yes. encephalopathies for certain wild, Farm Service Agency (FSA) Agency Contact: Dorothy Wayson, zoological, or other non-bovine National Program Coordinator, Lacey Completed Actions ruminant species. The conditions we are Act Program, Compliance and adopting for the importation of specified 168. Emergency Forest Restoration Environmental Coordination, PPQ, commodities are based on Program Department of Agriculture, Animal and internationally accepted scientific Plant Health Inspection Service, 4700 E.O. 13771 Designation: literature and will, in general, align our River Road, Unit 150, Riverdale, MD Legal Authority: Pub. L. 110–246 regulations with guidelines established 20737, Phone: 301 851–2036. Abstract: The interim rule published in the World Organization for Animal on November 17, 2010, added a new Health’s Terrestrial Animal Health RIN: 0579–AD44 subpart regulations in 7 CFR part 701 to Code. 171. Brucellosis and Bovine implement the Emergency Forest Timetable: Tuberculosis; Update of Import Restoration Program (EFRP), which was Provisions authorized by the 2008 Farm Bill. EFRP Action Date FR Cite provides cost-share funding to owners E.O. 13771 Designation: Other. of nonindustrial private forest land to NPRM ...... 07/18/16 81 FR 46619 restore the land after the land is NPRM Comment 09/16/16 Legal Authority: 7 U.S.C. 1622; 7 damaged by a natural disaster. Period End. U.S.C. 8301 to 8317; 15 U.S.C. 1828; 21 Final Rule ...... 02/00/20 U.S.C. 136 and 136a; 31 U.S.C. 9701 Completed: Abstract: We are amending the Reason Date FR Cite Regulatory Flexibility Analysis regulations governing the importation of Required: Yes. cattle and bison with respect to bovine Notice of Comple- 09/10/19 84 FR 47405 Agency Contact: Alexandra tuberculosis and brucellosis. The tion of Interim MacKenzie, Veterinary Medical Officer, Rule. changes will make these requirements Animal Permitting and Negotiating clearer and assure that they more Services, NIES, VS, Department of effectively mitigate the risk of Regulatory Flexibility Analysis Agriculture, Animal and Plant Health Required: Yes. introduction of these diseases into the Inspection Service, 4700 River Road, United States. Agency Contact: Deirdre Holder, Unit 39, Riverdale, MD 20737, Phone: Phone: 202 205–5851, Email: 301 851–3300. Timetable: [email protected]. RIN: 0579–AD10 RIN: 0560–AH89 Action Date FR Cite
BILLING CODE 3410–05–P 170. Lacey Act Implementation Plan: De Minimis Exception NPRM ...... 12/16/15 80 FR 78461 NPRM Comment 03/15/16 E.O. 13771 Designation: Deregulatory. Period End. DEPARTMENT OF AGRICULTURE Legal Authority: 16 U.S.C. 3371 et seq. NPRM Comment 03/11/16 81 FR 12832 (USDA) Period Ex- Abstract: The Food, Conservation, tended. Animal and Plant Health Inspection and Energy Act of 2008 amended the NPRM Comment 05/16/16 Service (APHIS) Lacey Act to provide, among other Period Ex- things, that importers submit a tended End. Final Rule Stage declaration at the time of importation NPRM—Partial 03/27/19 84 FR 11448 169. Bovine Spongiform for certain plants and plant products. Withdrawal. Encephalopathy and Scrapie; The declaration requirement of the Final Rule ...... 05/00/20 Importation of Small Ruminants and Lacey Act became effective on Their Germplasm, Products, and December 15, 2008, and enforcement of Regulatory Flexibility Analysis Byproducts that requirement is being phased in. We Required: Yes. are amending the regulations to E.O. 13771 Designation: Deregulatory. establish an exception to the declaration Agency Contact: Kelly Rhodes, Senior Legal Authority: 7 U.S.C. 450; 7 U.S.C. requirement for products containing a Staff Veterinarian, Regionalization 1622; 7 U.S.C. 7701 to 7772; 7 U.S.C. minimal amount of plant materials. This Evaluation Services, VS, Department of 7781 to 7786; 7 U.S.C. 8301 to 8317; 21 action would relieve the burden on Agriculture, Animal and Plant Health U.S.C. 136 and 136a; 31 U.S.C. 9701 importers while continuing to ensure Inspection Service, 4700 River Road, Abstract: We are amending the that the declaration requirement fulfills Unit 38, Riverdale, MD 20737–1236, regulations governing the importation of the purposes of the Lacey Act. Phone: 301 851–3300. animals and animal products to revise Timetable: RIN: 0579–AD65 conditions for the importation of live sheep, goats, and certain other non- Action Date FR Cite 172. Importation, Interstate Movement, bovine ruminants, and products derived and Release Into the Environment of from sheep and goats, with regard to ANPRM ...... 06/30/11 76 FR 38330 Certain Genetically Engineered transmissible spongiform ANPRM Comment 08/29/11 Organisms encephalopathies such as bovine Period End. spongiform encephalopathy (BSE) and NPRM ...... 07/09/18 83 FR 31697 Regulatory Plan: This entry is Seq. scrapie. We are removing BSE-related NPRM Comment 09/07/18 No. 2 in part II of this issue of the Period End. Federal Register. import restrictions on sheep and goats Final Rule ...... 01/00/20 and most of their products, and adding RIN: 0579–AE47
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DEPARTMENT OF AGRICULTURE program as a means to more effectively Reason Date FR Cite (USDA) direct available resources toward management and containment of the Final Rule ...... 06/25/19 84 FR 29938 Animal and Plant Health Inspection pest. Funding previously allocated to Final Rule Effec- 08/09/19 Service (APHIS) the implementation and enforcement of tive. Long-Term Actions these domestic quarantine regulations would instead be directed to a non- Regulatory Flexibility Analysis 173. Importation of Fresh Citrus Fruit regulatory option of research into, and Required: Yes. From the Republic of South Africa Into deployment of, biological control agents Agency Contact: Colin Stewart, the Continental United States for emerald ash borer, which would Phone: 301 851–2237. E.O. 13771 Designation: Deregulatory. serve as the primary tool to mitigate and RIN: 0579–AC98 Legal Authority: 7 U.S.C. 450; 7 U.S.C. control the pest. 176. Livestock Marketing Facilities 7701 to 7772; 7 U.S.C. 7781 to 7786; 21 Timetable: U.S.C. 136 and 136a E.O. 13771 Designation: Deregulatory. Abstract: This rulemaking will amend Action Date FR Cite Legal Authority: 7 U.S.C. 8301 to 8317 the fruits and vegetables regulations to Abstract: We are proposing to amend allow the importation of several NPRM ...... 09/19/18 83 FR 47310 the regulations governing approval of varieties of fresh citrus fruit, as well as NPRM Comment 11/19/18 facilities that receive livestock moved in citrus hybrids, into the continental Period End. interstate commerce. We are also United States from areas in the Republic Next Action Unde- proposing several amendments to the of South Africa where citrus black spot termined. conditions under which livestock may has been known to occur. As a move to such facilities without official condition of entry, the fruit will have to Regulatory Flexibility Analysis identification or prior issuance of an be produced in accordance with a Required: Yes. interstate certificate of veterinary systems approach that includes Agency Contact: Robyn Rose, Phone: inspection or alternative shipment traceability, packinghouse 301 851–2283. documentation. These changes are registration and procedures, and RIN: 0579–AE42 necessary to update the regulations phytosanitary treatment. The fruit will governing livestock marketing facilities, also be required to be imported in while also helping ensure animal commercial consignments and disease traceability of livestock that are accompanied by a phytosanitary DEPARTMENT OF AGRICULTURE moved in interstate commerce to such certificate issued by the national plant (USDA) facilities. protection organization of the Republic Animal and Plant Health Inspection Completed: of South Africa with an additional Service (APHIS) declaration confirming that the fruit has Reason Date FR Cite been produced in accordance with the Completed Actions Withdrawn ...... 09/10/19 84 FR 47443 systems approach. This action will 175. Plant Pest Regulations; Update of allow for the importation of fresh citrus General Provisions fruit, including citrus hybrids, from the Regulatory Flexibility Analysis Republic of South Africa while E.O. 13771 Designation: Deregulatory. Required: Yes. continuing to provide protection against Legal Authority: 7 U.S.C. 450; 7 U.S.C. Agency Contact: Neil the introduction of plant pests into the 2260; 7 U.S.C. 7701 to 7772; 7 U.S.C. Hammerschmidt, Phone: 301 851–3539. United States. 7781 to 7786; 7 U.S.C. 8301 to 8817; 21 RIN: 0579–AE02 Timetable: U.S.C. 111; 21 U.S.C. 114a; 21 U.S.C. BILLING CODE 3410–34–P 136 and 136a; 31 U.S.C. 9701; 42 U.S.C. Action Date FR Cite 4331 and 4332 NPRM ...... 08/28/14 79 FR 51273 Abstract: We are revising our DEPARTMENT OF AGRICULTURE NPRM Comment 10/27/14 regulations regarding the movement of (USDA) Period End. plant pests. We are also adding criteria Next Action Unde- to the regulations for the importation, Forest Service (FS) termined. interstate movement, and release of Long-Term Actions biological control organisms. This final • Regulatory Flexibility Analysis rule also establishes regulations to allow 177. Special Uses—Communications Required: Yes. the interstate movement of certain plant Uses Rent Agency Contact: Tony Roma´n, Phone: pests and biological control organisms E.O. 13771 Designation: Regulatory. 301 851–2242. without restriction by granting RIN: 0579–AD95 Legal Authority: 43 U.S.C. 1761 to exceptions from permit requirements for 1771 174. Removal of Emerald Ash Borer those pests and organisms. Finally, we Abstract: Consistent with the Domestic Quarantine Regulations are revising our regulations regarding requirement in title V, section 504(g) of E.O. 13771 Designation: Deregulatory. the importation and interstate the Federal Land Policy and Legal Authority: 7 U.S.C. 7701 to movement of soil. This rule clarifies the Management Act, the proposed rule 7772; 7 U.S.C. 7781 to 7786 points that we will consider when would update the Forest Service’s rental Abstract: This rulemaking would assessing the risks associated with the fee schedule for communications uses remove the domestic quarantine movement and release of certain based on fair market value. Updated regulations for the plant pest emerald organisms and facilitates the movement rental fees that exceed 100 percent of ash borer. This action would of regulated organisms and articles in a current rental fees would be phased in discontinue the domestic regulatory manner that protects U.S. agriculture. over a 3-year period. component of the emerald ash borer Completed: Timetable:
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Action Date FR Cite DC 20250–0003, Phone: 202 205–1419, Email: [email protected]. NPRM ...... To Be Determined RIN: 0596–AD43 Regulatory Flexibility Analysis [FR Doc. 2019–26534 Filed 12–23–19; 8:45 am] Required: Yes. BILLING CODE 3410–18–P Agency Contact: Edwina Howard– Agu, Regulatory Analyst, Department of Agriculture, Forest Service, 1400 Independence Avenue SW, Washington,
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Part IV
Department of Commerce
Semiannual Regulatory Agenda
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DEPARTMENT OF COMMERCE Regulatory Flexibility Act, 5 U.S.C. 601 Office issue the greatest share of et seq. Executive Order 12866 requires Commerce’s regulations. Office of the Secretary agencies to publish an agenda of those A large number of regulatory actions regulations that are under consideration reported in the Agenda deal with fishery 13 CFR Ch. III pursuant to this order. By memorandum management programs of NOAA’s of June 26, 2019, the Office of National Marine Fisheries Service 15 CFR Subtitle A; Subtitle B, Chs. I, Management and Budget issued II, III, VII, VIII, IX, and XI guidelines and procedures for the (NMFS). To avoid repetition of preparation and publication of the fall programs and definitions, as well as to 19 CFR Ch. III 2019 Unified Agenda. The Regulatory provide some understanding of the Flexibility Act requires agencies to technical and institutional elements of 37 CFR Chs. I, IV, and V publish, in the spring and fall of each NMFS’ programs, an ‘‘Explanation of year, a regulatory flexibility agenda that Information Contained in NMFS 48 CFR Ch. 13 contains a brief description of the Regulatory Entries’’ is provided below. subject of any rule likely to have a 50 CFR Chs. II, III, IV, and VI Explanation of Information Contained significant economic impact on a in NMFS Regulatory Entries substantial number of small entities. Fall 2019 Semiannual Agenda of Beginning with the fall 2007 edition, Regulations The Magnuson-Stevens Fishery the internet became the basic means for Conservation and Management Act (16 AGENCY: Office of the Secretary, disseminating the Unified Agenda. The U.S.C. 1801 et seq.) (the Act) governs Commerce. complete Unified Agenda is available the management of fisheries within the ACTION: Semiannual regulatory agenda. online at www.reginfo.gov, in a format Exclusive Economic Zone of the United that offers users a greatly enhanced States (EEZ). The EEZ refers to those SUMMARY: In compliance with Executive ability to obtain information from the waters from the outer edge of the State Order 12866, entitled ‘‘Regulatory Agenda database. boundaries, generally 3 nautical miles, Planning and Review,’’ and the In this edition of Commerce’s to a distance of 200 nautical miles. For Regulatory Flexibility Act, as amended, regulatory agenda, a list of the most fisheries that require conservation and important significant regulatory and the Department of Commerce management measures, eight Regional (Commerce), in the spring and fall of deregulatory actions and a Statement of Fishery Management Councils each year, publishes in the Federal Regulatory Priorities are included in the (Councils) prepare and submit to NMFS Register an agenda of regulations under Regulatory Plan, which appears in both Fishery Management Plans (FMPs) for development or review over the next 12 the online Unified Agenda and in part months. Rulemaking actions are II of the issue of the Federal Register fisheries within their respective areas in grouped according to prerulemaking, that includes the Unified Agenda. the EEZ. The Councils are required by proposed rules, final rules, long-term Because publication in the Federal law to conduct public hearings on the actions, and rulemaking actions Register is mandated for the regulatory development of FMPs and FMP completed since the spring 2019 agenda. flexibility agendas required by the amendments. Consistent with The purpose of the Agenda is to provide Regulatory Flexibility Act, Commerce’s applicable law, environmental and other information to the public on regulations printed agenda entries include only: analyses are developed that consider that are currently under review, being (1) Rules that are in the Agency’s alternatives to proposed actions. proposed, or issued by Commerce. The regulatory flexibility agenda, in Pursuant to the Magnuson-Stevens Agenda is intended to facilitate accordance with the Regulatory Act, the Councils also submit to NMFS comments and views by interested Flexibility Act, because they are likely proposed regulations that they deem members of the public. to have a significant economic impact necessary or appropriate to implement Commerce’s fall 2019 regulatory on a substantial number of small FMPs. The proposed regulations, FMPs, agenda includes regulatory activities entities; and and FMP amendments are subject to that are expected to be conducted (2) Rules that the Agency has review and approval by NMFS, based on during the period October 1, 2019, identified for periodic review under consistency with the Magnuson-Stevens through September 30, 2020. section 610 of the Regulatory Flexibility Act and other applicable law. NMFS is FOR FURTHER INFORMATION CONTACT: Act. responsible for conducting the Specific: For additional information Printing of these entries is limited to rulemaking process for FMP about specific regulatory actions listed fields that contain information required implementing regulations. The Council in the agenda, contact the individual by the Regulatory Flexibility Act’s process for developing FMPs and identified as the contact person. Agenda requirements. Additional amendments and proposed regulations General: Comments or inquiries of a information on these entries is available makes it difficult for NMFS to general nature about the Agenda should in the Unified Agenda published on the be directed to Asha Mathew, Chief internet. In addition, for fall editions of determine the significance and timing of Counsel for Regulation, Office of the the Agenda, Commerce’s entire some regulatory actions under Assistant General Counsel for Regulatory Plan will continue to be consideration by the Councils at the Legislation and Regulation, U.S. printed in the Federal Register. time the semiannual regulatory agenda Department of Commerce, Washington, Within Commerce, the Office of the is published. DC 20230, telephone: 202–482–3151. Secretary and various operating units Commerce’s fall 2019 regulatory SUPPLEMENTARY INFORMATION: Commerce may issue regulations. Among these agenda follows. hereby publishes its fall 2019 Unified operating units, the National Oceanic Dated: July 31, 2019. Agenda of Federal Regulatory and and Atmospheric Administration Deregulatory Actions pursuant to (NOAA), the Bureau of Industry and Peter B. Davidson, Executive Order 12866 and the Security, and the Patent and Trademark General Counsel.
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INTERNATIONAL TRADE ADMINISTRATION—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
178 ...... Regulations Concerning Scope Inquiries and Covered Merchandise Referrals From U.S. Customs and 0625–AB10 Border Protection.
BUREAU OF INDUSTRY AND SECURITY—FINAL RULE STAGE
Regulation Sequence No. Title Identifier No.
179 ...... Expansion of Export, Reexport, and Transfer (In-Country) Controls for Military End Use or Military End 0694–AH53 Users in the People’s Republic of China (China), Russia, or Venezuela.
NATIONAL OCEANIC AND ATMOSPHERIC ADMINISTRATION—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
180 ...... Comprehensive Fishery Management Plan for Puerto Rico ...... 0648–BD32 181 ...... Comprehensive Fishery Management Plan for St. Croix ...... 0648–BD33 182 ...... Comprehensive Fishery Management Plan for St. Thomas/St. John ...... 0648–BD34 183 ...... International Fisheries; Western and Central Pacific Fisheries for Highly Migratory Species; Treatment of 0648–BF41 U.S. Purse Seine Fishing With Respect to U.S. Territories. 184 ...... International Fisheries; South Pacific Tuna Fisheries; Implementation of Amendments to the South Pacific 0648–BG04 Tuna Treaty. 185 ...... Illegal, Unregulated, and Unreported Fishing; Fisheries Enforcement; High Seas Driftnet Fishing Morato- 0648–BG11 rium Protection Act. 186 ...... International Fisheries; Western and Central Pacific Fisheries for Highly Migratory Species; Requirements 0648–BG66 to Safeguard Fishery Observers. 187 ...... Area of Overlap Between the Convention Areas of the Inter-American Tropical Tuna Commission and the 0648–BH59 Western and Central Pacific Fisheries Commission. 188 ...... Omnibus Deep-Sea Coral Amendment ...... 0648–BH67 189 ...... Regulatory Amendment to the Pacific Coast Groundfish Fishery Management Plan to Implement an Elec- 0648–BH70 tronic Monitoring Program for Bottom Trawl and Non-Whiting Midwater Trawl Vessels. 190 ...... Vessel Movement, Monitoring, and Declaration Management Enhancement for the Pacific Coast Ground- 0648–BI45 fish Fishery; Pacific Coast Groundfish Fishery Management Plan. 191 ...... Requirements to Safeguard Fishery Observers in the Eastern Pacific Ocean ...... 0648–BI86 192 ...... Revisions to the Seabird Avoidance Program for the Pacific Coast Groundfish Fishery Management Plan 0648–BI99 193 ...... Framework Adjustment 59 to the Northeast Multispecies Fishery Management Plan ...... 0648–BJ12 194 ...... Designation of Critical Habitat for the Arctic Ringed Seal ...... 0648–BC56 195 ...... Amendment and Updates to the Pelagic Longline Take Reduction Plan ...... 0648–BF90 196 ...... Endangered and Threatened Species; Designation of Critical Habitat for Threatened Caribbean and Indo- 0648–BG26 Pacific Reef-Building Corals. 197 ...... Revision to Critical Habitat Designation for Endangered Southern Resident Killer Whales ...... 0648–BH95 198 ...... Designation of Critical Habitat for the Mexico, Central American, and Western Pacific Distinct Population 0648–BI06 Segments of Humpback Whales Under the Endangered Species Act.
NATIONAL OCEANIC AND ATMOSPHERIC ADMINISTRATION—FINAL RULE STAGE
Regulation Sequence No. Title Identifier No.
199 ...... Jonah Crab Fishery; Interstate Fishery Management Plan for Jonah Crab ...... 0648–BF43 200 ...... Commerce Trusted Trader Program ...... 0648–BG51 201 ...... Rule to Implement the For-Hire Reporting Amendments ...... 0648–BG75 202 ...... Generic Amendment to the Fishery Management Plans for the Reef Fish Resources of the Gulf of Mexico 0648–BH72 and Coastal Migratory Pelagic Resources in the Gulf of Mexico and Atlantic Region. 203 ...... Magnuson-Stevens Fisheries Conservation and Management Act; Traceability Information Program for 0648–BH87 Seafood (Reg Plan Seq No. 15). 204 ...... Atlantic Highly Migratory Species; Pelagic Longline Bluefin Tuna Area-Based and Weak Hook Manage- 0648–BI51 ment. 205 ...... Reduce Gulf of Mexico Red Grouper Annual Catch Limits and Annual Catch Targets ...... 0648–BI63 206 ...... Interim 2019 Tribal Pacific Whiting Allocation and Require Consideration of Chinook Salmon Bycatch Be- 0648–BI67 fore Reapportioning Tribal Whiting; Pacific Coast Groundfish. 207 ...... Framework Action to Reduce Gulf of Mexico Red Grouper Annual Catch Limits and Annual Catch Targets 0648–BI95 to the Fishery Management Plan for the Reef Fish Resources of the Gulf of Mexico. 208 ...... Amendment 18 to the Fishery Management Plan for the Shrimp Fishery of the Gulf of Mexico, U.S. 0648–BI96 Waters. 209 ...... Reducing Disturbances to Hawaiian Spinner Dolphins From Human Interactions ...... 0648–AU02 210 ...... Taking and Importing Marine Mammals: Taking Marine Mammals Incidental to Geophysical Surveys Re- 0648–BB38 lated to Oil and Gas Activities in the Gulf of Mexico (Reg Plan Seq No. 14).
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NATIONAL OCEANIC AND ATMOSPHERIC ADMINISTRATION—FINAL RULE STAGE—Continued
Regulation Sequence No. Title Identifier No.
211 ...... Regulation to Reduce Incidental Bycatch and Mortality of Sea Turtles in the Southeastern U.S. Shrimp 0648–BG45 Fisheries. References in boldface appear in The Regulatory Plan in part II of this issue of the Federal Register.
NATIONAL OCEANIC AND ATMOSPHERIC ADMINISTRATION—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
212 ...... Implementation of a Program for Transshipments by Large Scale Fishing Vessels in the Eastern Pacific 0648–BD59 Ocean. 213 ...... Wisconsin-Lake Michigan National Marine Sanctuary Designation ...... 0648–BG01
NATIONAL OCEANIC AND ATMOSPHERIC ADMINISTRATION—COMPLETED ACTIONS
Regulation Sequence No. Title Identifier No.
214 ...... Pacific Coast Groundfish Fishing Capacity Reduction Loan Refinance ...... 0648–BE90 215 ...... Regulatory Amendment to the Pacific Coast Groundfish Fishery Management Plan to Implement an Elec- 0648–BF52 tronic Monitoring Program for the Pacific Whiting Fishery. 216 ...... Halibut Deck Sorting Monitoring Requirements for Trawl Catcher/Processors Operating in Non-Pollock 0648–BI53 Groundfish Fisheries off Alaska. 217 ...... Establishing an Overfishing Limit, Acceptable Biological Catch, and Annual Catch Limit for the Central 0648–BI73 Subpopulation of Northern Anchovy; Coastal Pelagic Species Fishery Management Plan.
PATENT AND TRADEMARK OFFICE—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
218 ...... Trademark Fee Adjustment (Reg Plan Seq No. 16) ...... 0651–AD42 References in boldface appear in The Regulatory Plan in part II of this issue of the Federal Register.
PATENT AND TRADEMARK OFFICE—FINAL RULE STAGE
Regulation Sequence No. Title Identifier No.
219 ...... Setting and Adjusting Patent Fees During Fiscal Year 2020 (Reg Plan Seq No. 17) ...... 0651–AD31 References in boldface appear in The Regulatory Plan in part II of this issue of the Federal Register.
DEPARTMENT OF COMMERCE (DOC) Action Date FR Cite DEPARTMENT OF COMMERCE (DOC) International Trade Administration NPRM ...... 11/00/19 Bureau of Industry and Security (BIS) (ITA) Final Rule Stage Proposed Rule Stage Regulatory Flexibility Analysis 179. Expansion of Export, Reexport, Required: Yes. 178. Regulations Concerning Scope and Transfer (In-Country) Controls for Inquiries and Covered Merchandise Agency Contact: Jessica Link, Military End Use or Military End Users Referrals From U.S. Customs and Department of Commerce, International in the People’s Republic of China Border Protection Trade Administration, 1401 (China), Russia, or Venezuela E.O. 13771 Designation: Other. Constitution Avenue NW, Washington, Legal Authority: 19 U.S.C. 1671 et DC 20230, Phone: 202 482–1411, Email: E.O. 13771 Designation: Other. seq.; Pub. L. 114–125, sec. 421 [email protected]. Legal Authority: 10 U.S.C. 7420; 10 Abstract: The Department of U.S.C. 7430(e); 15 U.S.C. 1824a; 22 Commerce (Commerce) is proposing to RIN: 0625–AB10 U.S.C. 287c; 22 U.S.C. 3201 et seq.; 22 amend its regulations concerning scope U.S.C. 6004; 22 U.S.C. 7201 et seq.; 22 inquiries (19 CFR 351.225) and to set forth procedures addressing covered U.S.C. 7210; 30 U.S.C. 185(s); 30 U.S.C. merchandise referrals from U.S. 185(u); 42 U.S.C. 2139a; 43 U.S.C. 1354; Customs and Border Protection (CBP or 50 U.S.C. 1701 et seq.; 50 U.S.C. 4305; the Customs Service). 50 U.S.C. 4601 et seq.; E.O. 12058; E.O. Timetable: 12851; E.O. 12938; E.O. 12947; E.O.
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13026; E.O. 13099; E.O. 13222; E.O. goal of this action is to create a Fishery Agency Contact: Roy E. Crabtree, 13224; Pub. L. 108–11 Management Plan tailored to the Regional Administrator, Southeast Abstract: The Bureau of Industry and specific fishery management needs of Region, Department of Commerce, Security (BIS) is amending the Export Puerto Rico. This new Plan, in National Oceanic and Atmospheric Administration Regulations (EAR) to conjunction with similar comprehensive Administration, 263 13th Avenue expand license requirements on exports, Fishery Management Plans being South, St. Petersburg, FL 33701, Phone: reexports, and transfers (in-country) of developed for St. Croix and St. Thomas/ 727 824–5305, Fax: 727 824–5308, items intended for military end use or St. John, would replace the Spiny Email: [email protected]. military end users in the People’s Lobster, Reef Fish, Coral and Queen RIN: 0648–BD33 Republic of China (China), Russia, or Conch Fishery Management Plans 182. Comprehensive Fishery Venezuela. Specifically, this rule presently governing the commercial and Management Plan for St. Thomas/St. expands the licensing requirements for recreational harvest in U.S. Caribbean John China to include ‘‘military end users,’’ exclusive economic zone waters. in addition to ‘‘military end use.’’ It Timetable: E.O. 13771 Designation: Not subject broadens the items for which the to, not significant. licensing requirements and review Action Date FR Cite Legal Authority: 16 U.S.C. 1801 et seq. policy apply and expand the definition Abstract: This rule would implement of ‘‘military end use.’’ Next, it creates a NPRM ...... 11/00/19 a comprehensive St. Thomas/St. John new reason for control and associated Fishery Management Plan. The Plan review policy for regional stability for Regulatory Flexibility Analysis would incorporate, and modify as certain items to China, Russia, or Required: Yes. needed, Federal fisheries management Venezuela, moving existing text related Agency Contact: Roy E. Crabtree, measures presently included in each of to this policy. Finally, it adds Electronic Regional Administrator, Southeast the existing species-based U.S. Export Information filing requirements Region, Department of Commerce, Caribbean Fishery Management Plans in the Automated Export System for National Oceanic and Atmospheric (Spiny Lobster, Reef Fish, Coral, and exports to China, Russia, and Administration, 263 13th Avenue Queen Conch Fishery Management Venezuela. South, St. Petersburg, FL 33701, Phone: Plans) as those measures pertain to St. Timetable: 727 824–5305, Fax: 727 824–5308, Thomas/St. John exclusive economic Email: [email protected]. zone waters. The goal of this action is Action Date FR Cite RIN: 0648–BD32 to create a Fishery Management Plan tailored to the specific fishery Final Action ...... 11/00/19 181. Comprehensive Fishery Management Plan for St. Croix management needs of St. Thomas/St. John. This new Plan, in conjunction Regulatory Flexibility Analysis E.O. 13771 Designation: Not subject with similar comprehensive Fishery Required: Yes. to, not significant. Management Plans being developed for Agency Contact: Hillary Hess, Legal Authority: 16 U.S.C. 1801 et seq. St. Croix and Puerto Rico, would Director, Regulatory Policy Division, Abstract: This rule would implement replace the Spiny Lobster, Reef Fish, Department of Commerce, Bureau of a comprehensive St. Croix Fishery Coral and Queen Conch Fishery Industry and Security, 14th Street and Management Plan. The Plan would Management Plans presently governing Pennsylvania Avenue NW, Washington, incorporate, and modify as needed, the commercial and recreational harvest DC 20230, Phone: 202 482–2440, Fax: Federal fisheries management measures in U.S. Caribbean exclusive economic 202 482–3355, Email: hillary.hess@ presently included in each of the zone waters. bis.doc.gov. existing species-based U.S. Caribbean Timetable: RIN: 0694–AH53 Fishery Management Plans (Spiny DEPARTMENT OF COMMERCE (DOC) Lobster, Reef Fish, Coral, and Queen Action Date FR Cite Conch Fishery Management Plans) as National Oceanic and Atmospheric those measures pertain to St. Croix NPRM ...... 11/00/19 Administration (NOAA) exclusive economic zone waters. The goal of this action is to create a Fishery Regulatory Flexibility Analysis Proposed Rule Stage Management Plan tailored to the Required: Yes. National Marine Fisheries Service specific fishery management needs of Agency Contact: Roy E. Crabtree, St. Croix. This new Plan, in conjunction Regional Administrator, Southeast 180. Comprehensive Fishery Region, Department of Commerce, Management Plan for Puerto Rico with similar comprehensive Fishery Management Plans being developed for National Oceanic and Atmospheric E.O. 13771 Designation: Not subject Puerto Rico and St. Thomas/St. John, Administration, 263 13th Avenue to, not significant. would replace the Spiny Lobster, Reef South, St. Petersburg, FL 33701, Phone: Legal Authority: 16 U.S.C. 1801 et seq. Fish, Coral and Queen Conch Fishery 727 824–5305, Fax: 727 824–5308, Abstract: This rule would implement Management Plans presently governing Email: [email protected]. a comprehensive Puerto Rico Fishery the commercial and recreational harvest RIN: 0648–BD34 Management Plan. The Plan would in U.S. Caribbean exclusive economic incorporate, and modify as needed, 183. International Fisheries; Western zone waters. and Central Pacific Fisheries for Highly Federal fisheries management measures Timetable: presently included in each of the Migratory Species; Treatment of U.S. Purse Seine Fishing With Respect to existing species-based U.S. Caribbean Action Date FR Cite Fishery Management Plans (Spiny U.S. Territories Lobster, Reef Fish, Coral, and Queen NPRM ...... 11/00/19 E.O. 13771 Designation: Deregulatory. Conch Fishery Management Plans) as Legal Authority: 16 U.S.C. 6901 et seq. those measures pertain to Puerto Rico Regulatory Flexibility Analysis Abstract: This action would establish exclusive economic zone waters. The Required: Yes. rules and/or procedures to address the
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treatment of U.S.-flagged purse seine 184. International Fisheries; South Inter-American Tropical Tuna vessels and their fishing activities in Pacific Tuna Fisheries; Implementation Commission, and the United Nations regulations issued by the National of Amendments to the South Pacific Food and Agriculture Organization Marine Fisheries Service that Tuna Treaty Agreement on Port State Measures to implement decisions of the Commission E.O. 13771 Designation: Not subject Prevent, Deter, and Eliminate Illegal, for the Conservation and Management of to, not significant. Unreported and Unregulated Fishing Highly Migratory Fish Stocks in the Legal Authority: 16 U.S.C. 973 et seq. (Port State Measures Agreement), which Western and Central Pacific Ocean Abstract: Under authority of the restricts the entry into U.S. ports by (Commission), of which the United South Pacific Tuna Act of 1988, this foreign fishing vessels that are known to States is a member. Under the Western rule would implement recent be or are suspected of engaging in and Central Pacific Fisheries amendments to the Treaty on Fisheries illegal, unreported, and unregulated Convention Implementation Act, the between the Governments of Certain fishing. This proposed rule will also implement the Port State Measures National Marine Fisheries Service Pacific Island States and the Agreement. To that end, this proposed exercises broad discretion when Government of the United States of America (also known as the South rule will require the collection of certain determining how it implements information from foreign fishing vessels Commission decisions, such as purse Pacific Tuna Treaty). The rule would include modification to the procedures requesting permission to use U.S. ports. seine fishing restrictions. The National used to request licenses for U.S. vessels It also includes procedures to designate Marine Fisheries Service intends to in the western and central Pacific Ocean and publicize the ports to which foreign examine the potential impacts of the purse seine fishery, including changing fishing vessels may seek entry and domestic implementation of the annual licensing period from June- procedures for conducting inspections Commission decisions, such as purse to-June to the calendar year, and of these foreign vessels accessing U.S. seine fishing restrictions, on the modifications to existing reporting ports. Further, the rule establishes economies of the U.S. territories that requirements for purse seine vessels procedures for notification of: the denial participate in the Commission, and fishing in the western and central of port entry or port services for a examine the connectivity between the Pacific Ocean. The rule would foreign vessel, the withdrawal of the activities of U.S.-flagged purse seine implement only those aspects of the denial of port services if applicable, the fishing vessels and the economies of the Treaty amendments that can be taking of enforcement action with territories. Based on that and other implemented under the existing South respect to a foreign vessel, or the results information, the National Marine Pacific Tuna Act. of any inspection of a foreign vessel to Fisheries Service might propose Timetable: the flag nation of the vessel and other regulations that mitigate adverse competent authorities as appropriate. economic impacts of purse seine fishing Action Date FR Cite Timetable: restrictions on the U.S. territories and/ NPRM ...... 11/00/19 Action Date FR Cite or that, in the context of the Convention on the Conservation and Management of Regulatory Flexibility Analysis NPRM ...... 12/00/19 Highly Migratory Fish Stocks in the Required: Yes. Western and Central Pacific Ocean Agency Contact: Michael Tosatto, Regulatory Flexibility Analysis (Convention), recognize that one or Regional Administrator, Pacific Islands Required: Yes. more of the U.S. territories have their Region, Department of Commerce, Agency Contact: Alexa Cole, Acting own purse seine fisheries that are National Oceanic and Atmospheric Director, Office of International Affairs distinct from the purse seine fishery of Administration, 1845 Wasp Boulevard, and Seafood Inspection, Department of the United States and that are Building 176, Honolulu, HI 96818, Commerce, National Oceanic and consequently subject to special Phone: 808 725–5000, Email: Atmospheric Administration, 1315 East- provisions of the Convention and of [email protected]. West Highway, Silver Spring, MD Commission decisions. RIN: 0648–BG04 20910, Phone: 301 427–8286, Email: [email protected]. Timetable: 185. Illegal, Unregulated, and RIN: 0648–BG11 Unreported Fishing; Fisheries Action Date FR Cite Enforcement; High Seas Driftnet Fishing 186. International Fisheries; Western Moratorium Protection Act and Central Pacific Fisheries for Highly ANPRM ...... 10/23/15 80 FR 64382 E.O. 13771 Designation: Regulatory. Migratory Species; Requirements To ANPRM Comment 11/23/15 Legal Authority: Pub. L. 114–81 Safeguard Fishery Observers Period End. Abstract: This proposed rule will E.O. 13771 Designation: Not subject NPRM ...... 09/00/20 make conforming amendments to to, not significant. regulations implementing the various Legal Authority: 16 U.S.C. 6901 et seq. Regulatory Flexibility Analysis statutes amended by the Illegal, Abstract: This rule would establish Required: Yes. Unreported and Unregulated Fishing requirements to enhance the safety of Agency Contact: Michael Tosatto, Enforcement Act of 2015 (Pub. L. 114– fishery observers on highly migratory Regional Administrator, Pacific Islands 81). The Act amends several regional species fishing vessels. This rule would Region, Department of Commerce, fishery management organization be issued under the authority of the National Oceanic and Atmospheric implementing statutes as well as the Western and Central Pacific Fisheries Administration, 1845 Wasp Boulevard, High Seas Driftnet Fishing Moratorium Convention Implementation Act, and Building 176, Honolulu, HI 96818, Protection Act. It also provides pursuant to decisions made by the Phone: 808 725–5000, Email: authority to implement two new Commission for the Conservation and international agreements under the Management of Highly Migratory Fish [email protected]. Antigua Convention, which amends the Stocks in the Western and Central RIN: 0648–BF41 Convention for the establishment of an Pacific Ocean. This action is necessary
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for the United States to satisfy its Building 176, Honolulu, HI 96818, Timetable: obligations under the Convention on the Phone: 808 725–5000, Email: Conservation and Management of [email protected]. Action Date FR Cite Highly Migratory Fish Stocks in the RIN: 0648–BH59 NPRM ...... 11/00/19 Western and Central Pacific Ocean, to 188. Omnibus Deep-Sea Coral which it is a Contracting Party. Amendment Timetable: Regulatory Flexibility Analysis E.O. 13771 Designation: Regulatory. Required: Yes. Action Date FR Cite Legal Authority: 16 U.S.C. 1801 et seq. Agency Contact: Barry Thom, Abstract: This action would Regional Administrator, West Coast NPRM ...... 03/00/20 implement the New England Fishery Region, Department of Commerce, Management Council’s Omnibus Deep- National Oceanic and Atmospheric Regulatory Flexibility Analysis Sea Coral Amendment. The Amendment Administration, 1201 NE Lloyd Required: Yes. would implement measures that reduce Boulevard, Suite 1100, Portland, OR Agency Contact: Michael Tosatto, impacts of fishing gear on deep-sea 97232, Phone: 503 231–6266, Email: Regional Administrator, Pacific Islands corals in the Gulf of Maine and on the [email protected]. Region, Department of Commerce, outer continental shelf. In doing so, this RIN: 0648–BH70 National Oceanic and Atmospheric action would prohibit the use of mobile Administration, 1845 Wasp Boulevard, bottom-tending gear in two areas in the 190. Vessel Movement, Monitoring, and Building 176, Honolulu, HI 96818, Gulf of Maine (Mount Desert Rock and Declaration Management Enhancement Phone: 808 725–5000, Email: Outer Schoodic Ridge), and it would for the Pacific Coast Groundfish [email protected]. prohibit the use of all gear (with an Fishery; Pacific Coast Groundfish RIN: 0648–BG66 exception for red crab pots) along the Fishery Management Plan outer continental shelf in waters deeper 187. Area of Overlap Between the E.O. 13771 Designation: Deregulatory. than a minimum of 600 meters. Convention Areas of the Inter- Legal Authority: 16 U.S.C. 1801 et seq. American Tropical Tuna Commission Timetable: Abstract: This rulemaking action and the Western and Central Pacific Action Date FR Cite would implement the Pacific Fishery Fisheries Commission Management Council’s action to E.O. 13771 Designation: Deregulatory. Notice of Avail- 08/26/19 84 FR 44596 implement various measures that Legal Authority: 16 U.S.C. 6901 et ability. provide more efficient and effective NPRM ...... 12/00/19 seq.; 16 U.S.C. 951 et seq. monitoring, improve enforcement of Abstract: Under authority of the Regulatory Flexibility Analysis restricted areas, and reduce costs for the Western and Central Pacific Fisheries Pacific coast groundfish fleet. This Convention Implementation Act and the Required: Yes. Agency Contact: Michael Pentony, action would: Increase the required Tuna Conventions Act, an area of frequency of signals transmitted from overlap (overlap area) exists between Regional Administrator, Greater Atlantic Region, Department of Commerce, type-approved vessel monitoring system the respective areas of competence of (VMS) units from once per hour to every the Commission for the Conservation National Oceanic and Atmospheric Administration, 55 Great Republic 15 minutes to provide finer-scale vessel and Management of Highly Migratory location data; allow vessels to use Fish Stocks in the Western and Central Drive, Gloucester, MA 01930, Phone: 978 281–9283, Fax: 978 281–9207, alternative VMS units; add a VMS Pacific Ocean and the Inter-American declaration to indicate when a vessel is Tropical Tuna Commission. NMFS Email: [email protected]. RIN: 0648–BH67 testing gear; allow vessels participating proposes to change the application of in the midwater trawl whiting fishery to the two Commissions’ management 189. Regulatory Amendment to the change their declaration while at-sea to decisions in the overlap area to Pacific Coast Groundfish Fishery select a new whiting fishery; and allow specifically apply Inter-American Management Plan To Implement an vessels to move pot gear from one Tropical Tuna Commission management Electronic Monitoring Program for management area to another during a measures in the overlap area rather than Bottom Trawl and Non-Whiting single trip while retaining fish from the those of the Commission for the Midwater Trawl Vessels primary management area. Conservation and Management of E.O. 13771 Designation: Deregulatory. Timetable: Highly Migratory Fish Stocks in the Legal Authority: 16 U.S.C. 1801 et seq. Western and Central Pacific Ocean that Abstract: The proposed action would Action Date FR Cite currently apply there. implement a regulatory amendment to Timetable: the Pacific Fishery Management NPRM ...... 10/10/19 84 FR 54579 Council’s Pacific Coast Groundfish NPRM Comment 11/12/19 Action Date FR Cite Fishery Management Plan to allow Period End. ANPRM ...... 06/12/18 83 FR 27305 bottom trawl and midwater trawl vessels targeting non-whiting species Regulatory Flexibility Analysis ANPRM Comment 07/12/18 Required: Yes. Period End. the option to use electronic monitoring NPRM ...... 11/00/19 (video cameras and associated sensors) Agency Contact: Barry Thom, in place of observers to meet Regional Administrator, West Coast Regulatory Flexibility Analysis requirements for 100-percent observer Region, Department of Commerce, Required: Yes. coverage. By allowing vessels the option National Oceanic and Atmospheric Agency Contact: Michael Tosatto, to use electronic monitoring to meet Administration, 1201 NE Lloyd Regional Administrator, Pacific Islands monitoring requirements, this action is Boulevard, Suite 1100, Portland, OR Region, Department of Commerce, intended to increase operational 97232, Phone: 503 231–6266, Email: National Oceanic and Atmospheric flexibility and reduce monitoring costs [email protected]. Administration, 1845 Wasp Boulevard, for the fleet. RIN: 0648–BI45
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191. Requirements To Safeguard managed under the Pacific Coast Action Date FR Cite Fishery Observers in the Eastern Pacific Groundfish Fishery Management Plan Ocean (FMP) to deploy streamer lines or to set NPRM ...... 02/00/20 E.O. 13771 Designation: Not subject gear during civil twilight when fishing Regulatory Flexibility Analysis to, not significant. in Federal waters north of 36 degrees N. Legal Authority: 16 U.S.C. 951 et seq. latitude. The purpose of this proposed Required: Yes. Abstract: This rulemaking action rule is to reduce interactions between Agency Contact: Michael Pentony, would domestically implement recently seabirds, especially Endangered Species Regional Administrator, Greater Atlantic adopted resolutions on improving Act listed species, and groundfish Region, Department of Commerce, observer safety at sea by parties to the longline gear. The action is necessary to National Oceanic and Atmospheric Inter-American Tropical Tuna fulfill terms and conditions of a 2017 Administration, 55 Great Republic Commission (IATTC) and the biological opinion published by the Drive, Gloucester, MA 01930, Phone: Agreement on the International Dolphin United States Fish and Wildlife Service 978 281–9283, Fax: 978 281–9207, Conservation Program (AIDCP), to minimize takes of endangered short- Email: [email protected]. including the United States. The tailed albatross by the Pacific Coast RIN: 0648–BJ12 resolutions are binding for IATTC groundfish fishery. 194. Designation of Critical Habitat for member nations and AIDCP Parties, and Timetable: the Arctic Ringed Seal under the Tuna Conventions Act, 16 Action Date FR Cite E.O. 13771 Designation: Regulatory. U.S.C. 951 et seq. and the Marine Legal Authority: 16 U.S.C. 1531 et seq. Mammal Protection Act of 1972, as NPRM ...... 09/12/19 84 FR 48094 Abstract: The National Marine amended. These resolutions aim to NPRM Comment 10/15/19 Fisheries Service published a final rule strengthen protections for observers Period End. to list the Arctic ringed seal as a required in longline and transshipment Final Rule ...... 12/00/19 threatened species under the observer programs required under the Endangered Species Act (ESA) in IATTC and on purse seine vessels Regulatory Flexibility Analysis December 2012. The ESA requires required by the AIDCP. In implementing Required: Yes. designation of critical habitat at the time them, this rulemaking proposes to Agency Contact: Barry Thom, a species is listed as threatened or include provisions that detail Regional Administrator, West Coast endangered, or within one year of listing responsibilities for vessel owners and Region, Department of Commerce, if critical habitat is not then operators, responsibilities for IATTC National Oceanic and Atmospheric determinable. This rulemaking would and AIDCP members to which fishing Administration, 1201 NE Lloyd designate critical habitat for the Arctic vessels are flagged, responsibilities for Boulevard, Suite 1100, Portland, OR ringed seal. The critical habitat members that have jurisdiction over 97232, Phone: 503 231–6266, Email: designation would be in the northern ports, and responsibilities for observer [email protected]. Bering, Chukchi, and Beaufort seas providers. The action is necessary for RIN: 0648–BI99 within the current range of the species. the United States to satisfy its • Timetable: international obligations as a Member of 193. Framework Adjustment 59 to the Northeast Multispecies Fishery the IATTC and AIDCP. Action Date FR Cite Timetable: Management Plan E.O. 13771 Designation: Not subject NPRM ...... 12/03/14 79 FR 71714 Action Date FR Cite to, not significant. Proposed Rule .... 12/09/14 79 FR 73010 Legal Authority: 16 U.S.C. 1801 et seq. Notice of Public 01/13/15 80 FR 1618 NPRM ...... 11/00/19 Abstract: This rulemaking action Hearings. Comment Period 02/02/15 80 FR 5498 proposes to implement management Regulatory Flexibility Analysis Extended. measures included in the New England Required: Yes. Proposed Rule 2 09/00/20 Agency Contact: Barry Thom, Fishery Management Council’s Regional Administrator, West Coast Framework Adjustment 59 to the Regulatory Flexibility Analysis Region, Department of Commerce, Northeast Multispecies Fishery Required: Yes. National Oceanic and Atmospheric Management Plan (Framework 59) Agency Contact: Donna Wieting, Administration, 1201 NE Lloyd developed in response to new scientific Director, Office of Protected Resources, Boulevard, Suite 1100, Portland, OR information. The proposed action would Department of Commerce, National 97232, Phone: 503 231–6266, Email: set fishing years 2020–2022 Oceanic and Atmospheric [email protected]. specifications for 15 groundfish stocks, Administration, National Marine RIN: 0648–BI86 and fishing year 2020 total allocable Fisheries Service, 1315 East-West catches (TAC) for the three U.S./Canada • Highway, Silver Spring, MD 20910, 192. Revisions to the Seabird stocks: Eastern Georges Bank cod, Phone: 301 427–8400. Avoidance Program for the Pacific Eastern Georges Bank haddock, and RIN: 0648–BC56 Coast Groundfish Fishery Management Georges Bank yellowtail flounder. This Plan action would also revise the Georges 195. Amendment and Updates to the Pelagic Longline Take Reduction Plan E.O. 13771 Designation: Not subject Bank cod incidental TAC to remove the to, not significant. allocation to the Closed Area I Hook E.O. 13771 Designation: Not subject Legal Authority: 16 U.S.C. 1801 et seq. Gear Haddock Special Access Program, to, not significant. Abstract: In response to a and as necessary in response to any new Legal Authority: 16 U.S.C. 1361 et seq. recommendation by the Pacific Fishery data coming from the Marine Abstract: Serious injury and mortality Management Council, this proposed Recreational Information Program, of the Western North Atlantic short- rule would require commercial address commercial/recreational finned pilot whale stock incidental to groundfish bottom longline vessels 26 allocation issues. the Category I Atlantic pelagic longline feet length overall (LOA) and longer Timetable: fishery continues at levels exceeding
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their Potential Biological Removal. This Pacific Remote Island Areas, containing revision to the critical habitat proposed action will examine a number essential features that support designation. of management measures to amend the reproduction, growth, and survival of Timetable: Pelagic Longline Take Reduction Plan to the listed coral species. This rule also reduce the incidental mortality and proposes to designate critical habitat for Action Date FR Cite serious injury of short-finned pilot the five Caribbean corals and proposed whales taken in the Atlantic Pelagic to revise critical habitat for two NPRM ...... 09/19/19 84 FR 49214 NPRM Comment 12/18/19 Longline fishery to below Potential previously-listed corals, Acropora Period End. Biological Removal. Potential palmata and Acropora cervicornis. Final Rule ...... 09/00/20 management measures may include Timetable: changes to the current limitations on Regulatory Flexibility Analysis mainline length, new requirements to Action Date FR Cite Required: Yes. use weak hooks (hooks with reduced NPRM ...... 06/00/20 Agency Contact: Donna Wieting, breaking strength), and non-regulatory Director, Office of Protected Resources, measures related to determining the best Department of Commerce, National Regulatory Flexibility Analysis procedures for safe handling and release Oceanic and Atmospheric Required: Yes. of marine mammals. The need for the Administration, National Marine proposed action is to ensure the Pelagic Agency Contact: Donna Wieting, Fisheries Service, 1315 East-West Longline Take Reduction Plan meets its Director, Office of Protected Resources, Highway, Silver Spring, MD 20910, Marine Mammal Protection Act Department of Commerce, National Phone: 301 427–8400. mandated short- and long-term goals. Oceanic and Atmospheric RIN: 0648–BH95 Timetable: Administration, National Marine Fisheries Service, 1315 East-West 198. Designation of Critical Habitat for Action Date FR Cite Highway, Silver Spring, MD 20910, the Mexico, Central American, and Phone: 301 427–8400. Western Pacific Distinct Population NPRM ...... 01/00/20 RIN: 0648–BG26 Segments of Humpback Whales Under the Endangered Species Act Regulatory Flexibility Analysis 197. Revision to Critical Habitat Required: Yes. Designation for Endangered Southern E.O. 13771 Designation: Regulatory. Agency Contact: Donna Wieting, Resident Killer Whales Legal Authority: 16 U.S.C. 1531 et seq. Director, Office of Protected Resources, Abstract: This action will propose the E.O. 13771 Designation: Regulatory. Department of Commerce, National designation of critical habitat for three Oceanic and Atmospheric Legal Authority: 16 U.S.C. 1531 et seq. distinct population segments of Administration, National Marine Abstract: The proposed action would humpback whales (Megaptera Fisheries Service, 1315 East-West revise the designation of critical habitat novaeangliae) pursuant to section 4 of Highway, Silver Spring, MD 20910, for the endangered Southern Resident the Endangered Species Act. The three Phone: 301 427–8400. killer whale distinct population distinct population segments of RIN: 0648–BF90 segment, pursuant to section 4 of the humpback whales concerned—the Endangered Species Act. Critical habitat Mexico, Central American, and Western 196. Endangered and Threatened for this population is currently Pacific distinct population segments— Species; Designation of Critical Habitat designated within inland waters of were listed under the Endangered for Threatened Caribbean and Indo- Washington. In response to a 2014 Species Act on September 8, 2016, Pacific Reef-Building Corals petition, NMFS is proposing to expand thereby triggering the requirement E.O. 13771 Designation: Regulatory. the designation to include areas under section 4 of the Endangered Legal Authority: 16 U.S.C. 1531 et seq. occupied by Southern Resident killer Species Act to designate critical habitat Abstract: On September 10, 2014, the whales in waters along the U.S. West to the maximum extent prudent and National Marine Fisheries Service listed Coast. Impacts from the designation determinable. Proposed critical habitat 20 species of reef-building corals as would stem mainly from Federal for these three distinct population threatened under the Endangered agencies’ requirement to consult with segments of humpback whales will Species Act, 15 in the Indo-Pacific and NMFS, under section 7 of the include marine habitats within the five in the Caribbean. Of the 15 Indo- Endangered Species Act, to ensure that Pacific Ocean and Bering Sea and will Pacific species, seven occur in U.S. any action they carry out, permit likely overlap with several existing waters of the Pacific Islands Region, (authorize), or fund will not result in the designations, including critical habitat including in American Samoa, Guam, destruction or adverse modification of for leatherback sea turtles, North Pacific the Commonwealth of the Mariana critical habitat of a listed species. right whales, Steller sea lions, southern Islands, and the Pacific Remote Island Federal agencies are already required to resident killer whales, and the southern Areas. This proposed rule would consult on effects to the currently distinct population segment of green designate critical habitat for the seven designated critical habitat in inland sturgeon. Impacts from the designations species in U.S. waters (Acropora waters of Washington, but consultation for humpback whales would stem from globiceps, Acropora jacquelineae, would be newly required for actions the statutory requirement for Federal Acropora retusa, Acropora speciosa, affecting the expanded critical habitat agencies to consult with NMFS, under Euphyllia paradivisa, Isopora areas. Federal agencies are also already section 7 of the Endangered Species Act, crateriformis, and Seriatopora aculeata). required to consult within the Southern to ensure that any action they carry out, The proposed designation would cover Resident killer whales’ range (including authorize, or fund will not result in the coral reef habitat around 17 island or along the U.S. West Coast) to ensure that destruction or adverse modification of atoll units in the Pacific Islands Region, any action they carry out, permit, or humpback whale critical habitat. Within including four in American Samoa, one fund will not jeopardize the continued many of the areas we are evaluating for in Guam, seven in the Commonwealth existence of the species; this potential proposal as critical habitat for of the Mariana Islands, and five in requirement would not change with a the humpback whales distinct
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population segments, Federal agencies are consistent with American lobster Action Date FR Cite are already required to consult on fishery requirements. Most States have effects to currently designated critical implemented measures consistent with NPRM Comment 03/19/18 habitat for other listed species. Federal the Plan. The proposed measures would Period End. agencies are also already required to complement those implemented by the Withdrawal ...... 12/00/19 consult with NMFS under section 7 of States. the Endangered Species Act to ensure Timetable: Regulatory Flexibility Analysis that any action they authorize, fund or Required: Yes. carry out will not jeopardize the Action Date FR Cite Agency Contact: Alexa Cole, Acting continued existence of the listed Director, Office of International Affairs distinct population segments of ANPRM ...... 10/13/16 81 FR 70658 ANPRM Comment 11/14/16 and Seafood Inspection, Department of humpback whales. Period End. Commerce, National Oceanic and Timetable: NPRM ...... 03/22/19 84 FR 10756 Atmospheric Administration, 1315 East- NPRM Comment 04/22/19 West Highway, Silver Spring, MD Action Date FR Cite Period End. 20910, Phone: 301 427–8286, Email: Final Action ...... 11/00/19 NPRM ...... 10/09/19 84 FR 54354 [email protected]. RIN: 0648–BG51 NPRM Comment 12/09/19 Regulatory Flexibility Analysis Period End. Required: Yes. 201. Rule To Implement the For-Hire Agency Contact: Michael Pentony, Regulatory Flexibility Analysis Reporting Amendments Regional Administrator, Greater Atlantic Required: Yes. Region, Department of Commerce, E.O. 13771 Designation: Not subject Agency Contact: Donna Wieting, National Oceanic and Atmospheric to, not significant. Director, Office of Protected Resources, Administration, 55 Great Republic Legal Authority: 16 U.S.C. 1801 et seq. Department of Commerce, National Drive, Gloucester, MA 01930, Phone: Oceanic and Atmospheric Abstract: This rule proposes to 978 281–9283, Fax: 978 281–9207, Administration, National Marine implement Amendment 39 for the Email: [email protected]. Fisheries Service, 1315 East-West Snapper-Grouper Fishery of the South RIN: 0648–BF43 Highway, Silver Spring, MD 20910, Atlantic Region, Amendment 9 for the Phone: 301 427–8400. 200. Commerce Trusted Trader Dolphin and Wahoo Fishery of the RIN: 0648–BI06 Program Atlantic, and Amendment 27 to the Coastal Migratory Pelagics Fishery of DEPARTMENT OF COMMERCE (DOC) E.O. 13771 Designation: Deregulatory. the Gulf of Mexico and Atlantic Regions Legal Authority: 16 U.S.C. 1801 et seq. (For-Hire Reporting Amendments). The National Oceanic and Atmospheric Abstract: This rule will establish a Administration (NOAA) For-Hire Reporting Amendments rule voluntary Commerce Trusted Trader proposes mandatory weekly electronic Final Rule Stage Program for importers, aiming to reporting for charter vessel operators provide benefits such as reduced National Marine Fisheries Service with a Federal for-hire permit in the targeting and inspections and enhanced snapper-grouper, dolphin wahoo, or 199. Jonah Crab Fishery; Interstate streamlined entry into the United States coastal migratory pelagics fisheries; Fishery Management Plan for Jonah for certified importers. Specifically, this reduces the time allowed for headboat Crab rule would establish the criteria operators to complete their electronic required of a Commerce Trusted Trader, E.O. 13771 Designation: Not subject reports; and requires location reporting and identify specifically how the by charter vessels with the same level of to, not significant. program will be monitored and by Legal Authority: 16 U.S.C. 1801 et detail currently required for headboat whom. It will require that a Commerce vessels. seq.; 16 U.S.C. 5101 et seq. Trusted Trader establish a secure supply Abstract: The National Marine chain and maintain the records Timetable: Fisheries Service proposes Federal necessary to verify the legality of all Jonah crab regulations to help achieve designated product entering into U.S. Action Date FR Cite the goal of the Atlantic States Marine commerce, but will excuse the Fisheries Commission’s Interstate Notice of Avail- 03/14/18 83 FR 11164 Commerce Trusted Trader from entering ability. Fishery Management Plan to promote that data into the International Trade NPRM ...... 04/04/18 83 FR 14400 Jonah crab conservation, reduce the Data System prior to entry, as required NPRM Comment 05/04/18 possibility of recruitment failure, and by Seafood Import Monitoring Program Period End. allow the industry to continue fishing (finalized on December 9, 2016). The Final Action ...... 11/00/19 the resource at present levels. The Jonah rule will identify the benefits available Crab Plan was developed out of concern to a Commerce Trusted Trader, detail Regulatory Flexibility Analysis for potential impacts to the status of the the application process, and specify Required: Yes. Jonah crab resource, given the recent how the Commerce Trusted Trader will Agency Contact: Roy E. Crabtree, and rapid increase in landings. be audited by third-party entities while Commercial and recreational measures Regional Administrator, Southeast the overall program will be monitored Region, Department of Commerce, and reporting requirements were by the National Marine Fisheries recommended for Federal National Oceanic and Atmospheric Service. Administration, 263 13th Avenue implementation in the Jonah Crab Plan. Timetable: Measures include: Permitting, minimum South, St. Petersburg, FL 33701, Phone: 727 824–5305, Fax: 727 824–5308, size, prohibition on retaining egg- Action Date FR Cite bearing females, and incidental bycatch Email: [email protected]. limit, and reporting requirements that NPRM ...... 01/17/18 83 FR 2412 RIN: 0648–BG75
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202. Generic Amendment to the Fishery RIN: 0648–BH87 Council’s Scientific and Statistical Management Plans for the Reef Fish Committee (SSC) reviewed the results of 204. Atlantic Highly Migratory Species; Resources of the Gulf of Mexico and an interim analysis performed by the Pelagic Longline Bluefin Tuna Area- Coastal Migratory Pelagic Resources in Southeast Fisheries Science Center and Based and Weak Hook Management the Gulf of Mexico and Atlantic Region recommended that the Council reduce E.O. 13771 Designation: Deregulatory. the red grouper commercial and E.O. 13771 Designation: Not subject Legal Authority: 16 U.S.C. 1801 et to, not significant. recreational ACLs and ACTs, effective seq.; 16 U.S.C. 971 et seq. for the 2019 fishing year. In addition, Legal Authority: 16 U.S.C. 1801 et seq. Abstract: Atlantic Highly Migratory Abstract: This action, recommended there have been recent deceases in red Species (HMS) fisheries are managed by the Gulf of Mexico Fishery grouper landings and public testimony under the dual authority of the Management Council, would modify at the October Council meeting Magnuson-Stevens Conservation and data reporting for owners or operators of expressed concern about the status of Management Act (Magnuson-Stevens federally permitted for-hire vessels the red grouper stock. Therefore, the Act) and the Atlantic Tunas Convention (charter vessels and headboats) in the Council is developing a framework Act (ATCA). This rulemaking will Gulf of Mexico, requiring them to action to reduce the ACLs and ACTs. In address the area-based and weak hook declare the type of trip (for-hire or the meantime, based on these recent management measures for bluefin tuna other) prior to departing for any trip, unforeseen circumstances, and in the pelagic longline fishery. NMFS and electronically submit trip-level consistent with the Council’s request, implemented an individual bluefin tuna reports prior to off-loading fish at the NMFS intends to implement a rule quota system for pelagic longline fishery end of each fishing trip. The declaration under MSA section 305(c) to establish participants in 2015. With this approach would include the expected return time lower red grouper ACLs and ACTs for and its emphasis on individual vessel and landing location. Landing reports 2019. accountability, NMFS has determined would include information about catch Timetable: some fleetwide measures may be and effort during the trip. The action redundant. This action would would also require that these reports be Action Date FR Cite appropriately streamline regulations submitted via approved hardware that and increase flexibility to the Atlantic Proposed Emer- 03/05/19 84 FR 7864 includes a global positioning system pelagic longline fishery while gency Rule. attached to the vessel that is capable, at maintaining bycatch reduction and Proposed Emer- 03/20/19 a minimum, of archiving global conservation and management gency Rule positioning system locations. This Comment Pe- obligations. riod End. requirement would not preclude the use Timetable: of global positioning system devices that Final Emergency 05/17/19 84 FR 22389 Rule. provide real-time location data, such as Action Date FR Cite the currently approved vessel Final Emergency 05/17/19 Rule Effective. NPRM ...... 07/12/19 84 FR 33205 monitoring systems. Extension of 11/00/19 NPRM Correction 08/08/19 84 FR 38918 Timetable: Emergency NPRM Comment 09/30/19 Rule. Action Date FR Cite Period End. Final Action ...... 04/00/20 Notice of Avail- 06/21/18 83 FR 28797 Regulatory Flexibility Analysis ability. Regulatory Flexibility Analysis Required: Yes. NPRM ...... 10/26/18 83 FR 54069 Required: Yes. Agency Contact: Roy E. Crabtree, Correction ...... 11/08/18 83 FR 55850 Agency Contact: Alan Risenhoover, Regional Administrator, Southeast Comment Period 11/20/18 83 FR 58522 Director, Office of Sustainable Fisheries, Region, Department of Commerce, Extended. National Oceanic and Atmospheric NPRM Comment 11/26/18 Department of Commerce, National Oceanic and Atmospheric Administration, 263 13th Avenue Period End. South, St. Petersburg, FL 33701, Phone: Comment Period 01/09/19 Administration, 1315 East-West Extended End. Highway, Room 13362, Silver Spring, 727 824–5305, Fax: 727 824–5308, Final Action ...... 01/00/20 MD 20910, Phone: 301 713–2334, Fax: Email: [email protected]. 301 713–0596, Email: alan.risenhoover@ RIN: 0648–BI63 Regulatory Flexibility Analysis noaa.gov. 206. Interim 2019 Tribal Pacific Required: Yes. RIN: 0648–BI51 Whiting Allocation and Require Agency Contact: Roy E. Crabtree, Consideration of Chinook Salmon Regional Administrator, Southeast 205. Reduce Gulf of Mexico Red Grouper Annual Catch Limits and Bycatch Before Reapportioning Tribal Region, Department of Commerce, Whiting; Pacific Coast Groundfish National Oceanic and Atmospheric Annual Catch Targets Administration, 263 13th Avenue E.O. 13771 Designation: Not subject E.O. 13771 Designation: Not subject South, St. Petersburg, FL 33701, Phone: to, not significant. to, not significant. 727 824–5305, Fax: 727 824–5308, Legal Authority: 16 U.S.C. 1801 et seq. Legal Authority: 16 U.S.C. 1801 et seq. Email: [email protected]. Abstract: The Gulf of Mexico Fishery Abstract: NMFS issued a final rule for RIN: 0648–BH72 Management Council (Council) has the tribal Pacific whiting (whiting) requested that NMFS publish a rule fishery off the coast of Washington 203. Magnuson-Stevens Fisheries under section 305(c) of the Magnuson- State. The purpose is to establish an Conservation and Management Act; Stevens Fishery Conservation and interim 2019 tribal whiting allocation, Traceability Information Program for Management Act (MSA) to temporarily and to protect ESA-listed Chinook Seafood reduce the red grouper commercial and salmon, as required in the Terms and Regulatory Plan: This entry is Seq. recreational Annual Catch Limits Conditions of a December 11, 2017, No. 15 in part II of this issue of the (ACLs) and associated Annual Catch Biological Opinion. NMFS developed Federal Register. Targets (ACTs). In October 2018, the this rule after discussions with the
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affected tribes and the non-tribal Regulatory Flexibility Analysis RIN: 0648–BI96 fisheries interests. As in prior years, this Required: Yes. 209. Reducing Disturbances to allocation is an ‘‘interim’’ allocation that Agency Contact: Roy E. Crabtree, Hawaiian Spinner Dolphins From is not intended to set precedent for Regional Administrator, Southeast Human Interactions future years. Region, Department of Commerce, Timetable: National Oceanic and Atmospheric E.O. 13771 Designation: Not subject Administration, 263 13th Avenue to, not significant. Action Date FR Cite South, St. Petersburg, FL 33701, Phone: Legal Authority: 16 U.S.C. 1361 et seq. 727 824–5305, Fax: 727 824–5308, Abstract: This action would NPRM ...... 03/15/19 84 FR 9471 Email: [email protected]. implement regulatory measures under NPRM Comment 04/01/19 RIN: 0648–BI95 the Marine Mammal Protection Act to Period End. • protect Hawaiian spinner dolphins that Final Rule ...... 05/10/19 84 FR 20578 208. Amendment 18 to the Fishery are resting in protected bays from take Final Rule Effec- 05/10/19 Management Plan for the Shrimp tive. due to close approach interactions with Fishery of the Gulf of Mexico, U.S. humans. Correcting 11/00/19 Waters Amendment. Timetable: E.O. 13771 Designation: Deregulatory. Regulatory Flexibility Analysis Legal Authority: 16 U.S.C. 1801 et Action Date FR Cite Required: Yes. seq. Abstract: This action would ANPRM ...... 12/12/05 70 FR 73426 Agency Contact: Barry Thom, ANPRM Comment 01/11/06 Regional Administrator, West Coast implement the Gulf of Mexico Fishery Management Council’s Amendment 18 Period End. Region, Department of Commerce, NPRM ...... 08/24/16 81 FR 57854 National Oceanic and Atmospheric to the Shrimp Fishery Management NPRM Comment 10/23/16 Administration, 1201 NE Lloyd Plan. It would do so by adjusting the Period End. Boulevard, Suite 1100, Portland, OR target reduction goal for juvenile red NPRM Comment 11/16/16 81 FR 80629 97232, Phone: 503 231–6266, Email: snapper mortality in the Federal Gulf of Period Re- [email protected]. Mexico (Gulf) shrimp trawl fishery in opened. RIN: 0648–BI67 the 10–30 fathom depth zone, as well as NPRM Comment 12/01/16 modifying the Plan’s framework Period Re- 207. • Framework Action To Reduce procedure to streamline the process to opened End. Gulf of Mexico Red Grouper Annual make future modifications to this target Final Action ...... 01/00/20 Catch Limits and Annual Catch Targets reduction goal. As part of the Gulf red Regulatory Flexibility Analysis to the Fishery Management Plan for the snapper rebuilding plan, NMFS Required: Yes. Reef Fish Resources of the Gulf of previously capped effort in the Gulf Mexico Agency Contact: Donna Wieting, shrimp fishery based on Council Director, Office of Protected Resources, E.O. 13771 Designation: Not subject recommendation to protect juvenile red Department of Commerce, National to, not significant. snapper caught as bycatch in shrimp Oceanic and Atmospheric Legal Authority: 16 U.S.C. 1801 et seq. nets. However, the Gulf red snapper Administration, National Marine Abstract: NMFS proposes to stock is no longer overfished or Fisheries Service, 1315 East-West implement management measures undergoing overfishing, and the red Highway, Silver Spring, MD 20910, described in a framework action to the snapper stock acceptable biological Phone: 301 427–8400. Fishery Management Plan (FMP) for the catch (ABC) has consistently increased RIN: 0648–AU02 Reef Fish Resources of the Gulf of under the rebuilding plan. Accordingly, Mexico (Gulf), as prepared by the Gulf this action is expected to promote 210. Taking and Importing Marine of Mexico Fishery Management Council economic stability and achievement of Mammals: Taking Marine Mammals (Council). The framework action is optimum yield in the Federal Gulf Incidental to Geophysical Surveys titled ‘‘Modification of Gulf of Mexico shrimp fishery by reducing effort Related to Oil and Gas Activities in the Red Grouper Annual Catch Limits and constraints, while continuing to protect Gulf of Mexico Annual Catch Targets.’’ This proposed Gulf red snapper. Regulatory Plan: This entry is Seq. rule would reduce the red grouper Timetable: No. 14 in part II of this issue of the commercial and recreational annual Federal Register. catch limits (ACLs) and annual catch Action Date FR Cite RIN: 0648–BB38 targets (ACTs). The purpose of this rule Notice of Avail- 08/01/19 84 FR 37611 211. Regulation To Reduce Incidental is to continue the Gulf red grouper ability. Bycatch and Mortality of Sea Turtles in commercial and recreational ACL and NPRM ...... 08/29/19 84 FR 45459 the Southeastern U.S. Shrimp Fisheries ACT reductions implemented through NPRM Comment 09/30/19 emergency rulemaking in 2019 to Period End. E.O. 13771 Designation: Regulatory. protect the stock and to continue to Final Action ...... 11/00/19 Legal Authority: 16 U.S.C. 1531 et seq. achieve optimum yield. Abstract: The purpose of the proposed Timetable: Regulatory Flexibility Analysis action is to aid in the protection and Required: Yes. recovery of listed sea turtle populations Action Date FR Cite Agency Contact: Roy E. Crabtree, by reducing incidental bycatch and Regional Administrator, Southeast mortality of small sea turtles in the NPRM ...... 07/19/19 84 FR 34845 Region, Department of Commerce, Southeastern U.S. shrimp fisheries. As a NPRM Comment 08/19/19 National Oceanic and Atmospheric result of new information on sea turtle Period End. Administration, 263 13th Avenue bycatch in shrimp trawls and turtle Final Rule ...... 10/01/19 84 FR 52036 South, St. Petersburg, FL 33701, Phone: excluder device testing, NMFS Final Rule Effec- 10/31/19 tive. 727 824–5305, Fax: 727 824–5308, conducted an evaluation of the Email: [email protected]. Southeastern U.S. shrimp fisheries that
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resulted in a draft environmental impact Tropical Tuna, to which it is a Action Date FR Cite statement. This rule proposes to Contracting Party. withdraw the alternative tow time Timetable: NPRM Comment 03/31/17 restriction and require certain vessels Period End. using skimmer trawls, pusher-head Action Date FR Cite Final Action ...... 11/00/20 trawls, and wing nets (butterfly trawls), NPRM ...... To Be Determined with the exception of vessels Regulatory Flexibility Analysis participating in the Biscayne Bay wing Regulatory Flexibility Analysis Required: Yes. net fishery in Miami-Dade County, Required: Yes. Agency Contact: Vicki Wedell, Phone: Florida, to use turtle excluder devices Agency Contact: Barry Thom, Phone: 240 533–0650, Email: vicki.wedell@ designed to exclude small sea turtles. 503 231–6266, Email: barry.thom@ noaa.gov. Timetable: noaa.gov. RIN: 0648–BG01 RIN: 0648–BD59 Action Date FR Cite NOS/ONMS NPRM ...... 12/16/16 81 FR 91097 NPRM Comment 02/14/17 213. Wisconsin-Lake Michigan National DEPARTMENT OF COMMERCE (DOC) Marine Sanctuary Designation Period End. National Oceanic and Atmospheric Final Action ...... 12/00/19 E.O. 13771 Designation: Regulatory. Administration (NOAA) Legal Authority: 16 U.S.C. 1431 et seq. Regulatory Flexibility Analysis Abstract: On December 2, 2014, Completed Actions Required: Yes. pursuant to section 304 of the National Agency Contact: Donna Wieting, 214. Pacific Coast Groundfish Fishing Marine Sanctuaries Act and the Capacity Reduction Loan Refinance Director, Office of Protected Resources, Sanctuary Nomination Process (79 FR Department of Commerce, National 33851), a coalition of community groups E.O. 13771 Designation: Not subject Oceanic and Atmospheric submitted a nomination asking NOAA to, not significant. Administration, National Marine to designate an area of Wisconsin’s Lake Legal Authority: 16 U.S.C. 1801 et Fisheries Service, 1315 East-West Michigan waters as a national marine seq.; 16 U.S.C. 1861 et seq.; 5 U.S.C. 561 Highway, Silver Spring, MD 20910, sanctuary. The area is a region that et seq. Phone: 301 427–8400. includes 875 square miles of Lake RIN: 0648–BG45 Michigan waters and bottomlands Abstract: Congress enacted the 2015 National Defense Authorization Act to DEPARTMENT OF COMMERCE (DOC) adjacent to Manitowoc, Sheboygan, and Ozaukee counties and the cities of Port refinance the existing debt obligation National Oceanic and Atmospheric Washington, Sheboygan, Manitowoc, funding the fishing capacity reduction Administration (NOAA) and Two Rivers. It includes 80 miles of program for the Pacific Coast Groundfish fishery implemented under Long-Term Actions shoreline and extends 9 to 14 miles from the shoreline. The area contains an section 212. Pending appropriation of National Marine Fisheries Service extraordinary collection of submerged funds to effect the refinance, the 212. Implementation of a Program for maritime heritage resources National Marine Fisheries Service Transshipments by Large Scale Fishing (shipwrecks) as demonstrated by the issued proposed regulations to seek Vessels in the Eastern Pacific Ocean listing of 15 shipwrecks on the National comment on the refinancing and to Register of Historic Places. The area prepare for an industry referendum and E.O. 13771 Designation: Not subject includes 39 known shipwrecks, 123 final rule. However, a subsequent to, not significant. reported vessel losses, numerous other appropriation to fund the refinancing Legal Authority: 16 U.S.C. 951 et seq.; historic maritime-related features, and is was never enacted. As a result, the 16 U.S.C. 971 et seq. adjacent to communities that have National Marine Fisheries Service has Abstract: This rule would implement embraced their centuries-long no funds with which to proceed, and the Inter-American Tropical Tuna relationship with Lake Michigan. NOAA the refinancing authority cannot be Commission program to monitor completed its review of the nomination implemented at this time. transshipments by large-scale tuna in accordance with the Sanctuary Timetable: fishing vessels, and would govern Nomination Process and on February 5, transshipments by U.S. large-scale tuna 2015, added the area to the inventory of Action Date FR Cite fishing vessels and carrier, or receiving, nominations that are eligible for vessels. The rule would establish: designation. On October 7, 2015, NOAA NPRM ...... 08/06/15 80 FR 46941 Criteria for transshipping in port; issued a notice of intent to begin the NPRM Comment 09/08/15 criteria for transshipping at sea by designation process and asked for Period End. longline vessels to an authorized carrier public comment on making this area a Withdrawn ...... 08/28/19 vessel with an Inter-American Tropical national marine sanctuary. Designation Tuna Commission observer onboard and under the National Marine Sanctuaries Regulatory Flexibility Analysis an operational vessel monitoring Act would allow NOAA to supplement Required: Yes. system; and require the Pacific and complement work by the State of Transshipment Declaration Form, which Agency Contact: Brian Pawlak, Wisconsin and other Federal agencies to Department of Commerce, National must be used to report transshipments protect this collection of nationally in the Inter-American Tropical Tuna Oceanic and Atmospheric significant shipwrecks. Administration, 1315 East-West Commission Convention Area. This rule Timetable: is necessary for the United States to Highway, Silver Spring, MD 20910, Phone: 301 427–8621, Email: satisfy its international obligations Action Date FR Cite under the 1949 Convention for the [email protected]. Establishment of an Inter-American NPRM ...... 01/09/17 82 FR 2269 RIN: 0648–BE90
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215. Regulatory Amendment to the participants have reached the quotas for Abstract: On January 18, 2018, the Pacific Coast Groundfish Fishery the actual target groundfish species. U.S. District Court for the Northern Management Plan To Implement an This proposed action would implement District of California granted summary Electronic Monitoring Program for the catch handling and monitoring judgment to the conservation group Pacific Whiting Fishery requirements to allow the sorting of Oceana, in litigation over management E.O. 13771 Designation: Deregulatory. Pacific halibut prohibited species catch of Northern Anchovy off the West Coast Legal Authority: 16 U.S.C. 1801 et seq. (PSC) on the deck of trawl catcher/ under the Magnuson-Stevens Fishery Abstract: This action implements a processors and motherships Conservation and Management Act regulatory amendment to the Pacific participating in these fisheries. This (Oceana, Inc. v. Ross). Specifically, the Coast Groundfish Fishery Management would allow Pacific halibut to be court vacated all currently existing Plan to allow Pacific whiting vessels the discarded prior to entering the onboard management reference points (i.e., option to use electronic monitoring factory, thereby reducing discard Annual Catch Limit, Overfishing Limit, (video cameras and associated sensors) mortality. Reducing halibut discard Acceptable Biological Catch) for the in place of observers to meet mortality could in turn maximize central subpopulation of Northern requirements for 100-percent observer harvest of the directed groundfish Anchovy (CSNA). This was followed by coverage. Vessels participating in the fisheries that otherwise might be a separate court order requiring NMFS catch share program are required to constrained by the regulatory halibut to establish a new Overfishing Limit carry an observer on all trips to ensure PSC limits. To participate in halibut (OFL), Acceptable Biological Catch total accountability for at-sea discards. deck sorting, a vessel would be required (ABC), and Annual Catch Limit (ACL) For some vessels, electronic monitoring to comply with additional monitoring no later than April 18, 2019. This action may have lower costs than observers and equipment requirements to ensure is the result of these court orders and and a reduced logistical burden. By accurate accounting for halibut PSC establishes a new OFL, ABC, and ACL allowing vessels the option to use sorted on deck. Participation in this for the CSNA. NMFS originally electronic monitoring to meet program along with the associated costs intended to issue a final rule without monitoring requirements, this action is would be voluntary, allowing for advance public notice and comment to intended to increase operational flexibility for individual vessel owners ensure a rule was in place before the flexibility and reduce monitoring costs of non-pollock trawl catcher/processors court-ordered deadline. The Court for the Pacific whiting fleet. and motherships to determine if the rejected this plan and ordered NMFS to Timetable: benefits of reduced halibut mortality, publish a proposed rule with and the corresponding reduction in opportunity for public comment Action Date FR Cite fleet-wide PSC rates, outweigh the followed by a final rule. individual costs of complying with the Timetable: NPRM ...... 09/06/16 81 FR 61161 monitoring and enforcement NPRM Comment 10/06/16 requirements. Action Date FR Cite Period End. Timetable: Final Rule ...... 06/28/19 84 FR 31146 NPRM ...... 04/08/19 84 FR 13858 Correction ...... 07/26/19 84 FR 36034 Action Date FR Cite NPRM Comment 04/23/19 Final Rule Effec- 07/29/19 Period End. tive. NPRM ...... 04/16/19 84 FR 15566 Final Action ...... 05/31/19 84 FR 25196 Correction Effec- 07/29/19 NPRM Comment 05/16/19 Final Action Effec- 07/01/19 tive. Period End. tive. Final Rule ...... 10/15/19 84 FR 55044 Regulatory Flexibility Analysis Final Rule Effec- 11/14/19 Regulatory Flexibility Analysis Required: Yes. tive. Agency Contact: Barry Thom, Required: Yes. Regional Administrator, West Coast Regulatory Flexibility Analysis Agency Contact: Barry Thom, Region, Department of Commerce, Required: Yes. Regional Administrator, West Coast National Oceanic and Atmospheric Agency Contact: James Balsiger, Region, Department of Commerce, Administration, 1201 NE Lloyd Regional Administrator, Alaska Region, National Oceanic and Atmospheric Boulevard, Suite 1100, Portland, OR Department of Commerce, National Administration, 1201 NE Lloyd 97232, Phone: 503 231–6266, Email: Oceanic and Atmospheric Boulevard, Suite 1100, Portland, OR [email protected]. Administration, 709 West Ninth Street, 97232, Phone: 503 231–6266, Email: RIN: 0648–BF52 Juneau, AK 99801, Phone: 907 586– [email protected]. 7221, Fax: 907 586–7465, Email: RIN: 0648–BI73 216. Halibut Deck Sorting Monitoring [email protected]. Requirements for Trawl Catcher/ RIN: 0648–BI53 Processors Operating in Non-Pollock DEPARTMENT OF COMMERCE (DOC) Groundfish Fisheries off Alaska 217. Establishing an Overfishing Limit, Patent and Trademark Office (PTO) E.O. 13771 Designation: Deregulatory. Acceptable Biological Catch, and Legal Authority: 16 U.S.C 1801 et seq. Annual Catch Limit for the Central Proposed Rule Stage Subpopulation of Northern Anchovy; Abstract: In the non-pollock trawl 218. • Trademark Fee Adjustment groundfish fisheries off Alaska, there are Coastal Pelagic Species Fishery catch limits for Pacific halibut as a Management Plan Regulatory Plan: This entry is Seq. prohibited species if halibut mortality E.O. 13771 Designation: Not subject No. 16 in part II of this issue of the reaches the limit, the fishery closes to, not significant. Federal Register. regardless of whether or not fishery Legal Authority: 16 U.S.C. 1801 et seq. RIN: 0651–AD42
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DEPARTMENT OF COMMERCE (DOC) RIN: 0651–AD31 Patent and Trademark Office (PTO) [FR Doc. 2019–26535 Filed 12–23–19; 8:45 am] BILLING CODE 3510–12–P Final Rule Stage 219. Setting and Adjusting Patent Fees During Fiscal Year 2020 Regulatory Plan: This entry is Seq. No. 17 in part II of this issue of the Federal Register.
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Vol. 84 Thursday, No. 247 December 26, 2019
Part V
Department of Defense
Semiannual Regulatory Agenda
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DEPARTMENT OF DEFENSE section 610 of the Regulatory Flexibility Assistant Secretary of the Army (Civil Act. Works), 108 Army Pentagon, Room 32 CFR Chs. I, V, VI, and VII Printing of these entries is limited to 3E441, Washington, DC 20310–0108, or fields that contain information required email: [email protected]. 33 CFR Ch. II by the Regulatory Flexibility Act’s For general information on agenda requirements. Additional Department of the Navy regulations, 36 CFR Ch. III information on these entries is in the contact CDR Meredith Werner, Unified Agenda available online. telephone 703–614–7408, or write to 48 CFR Ch. II FOR FURTHER INFORMATION CONTACT: For Department of the Navy, Office of the information concerning the overall DoD Judge Advocate General, Administrative Improving Government Regulations; regulatory improvement program and Law Division (Code 13), Washington Unified Agenda of Federal Regulatory for general semiannual agenda Navy Yard, 1322 Patterson Avenue SE, and Deregulatory Actions information, contact Ms. Patricia Suite 3000, Washington, DC 20374– AGENCY: Department of Defense (DoD). Toppings, telephone 571–372–0485, or 5066, or email: meredith.werner@ ACTION: Semiannual regulatory agenda. write to Office of the Chief Management navy.mil. Officer, Directorate for Oversight and For general information on SUMMARY: This agenda announces the Compliance, Regulatory and Advisory Department of the Air Force regulations, proposed regulatory actions the Committee Division, 9010 Defense contact Bao-Anh Trinh, telephone 703– Department of Defense (DOD) plans for Pentagon, Washington, DC 20301–9010, 614–8500, or write the Office of the the next 12 months and those completed or email: patricia.l.toppings.civ@ Secretary of the Air Force, Chief, since the spring 2019 agenda. It was mail.mil. Information Dominance/Chief developed under the guidelines of For questions of a legal nature Information Officer (SAF CIO/A6), 1800 Executive Order 12866 ‘‘Regulatory concerning the agenda and its statutory Air Force Pentagon, Washington, DC Planning and Review,’’ Executive Order requirements or obligations, write to 20330–1800, or email: usaf.pentagon 13771 ‘‘Reducing Regulation and Office of the General Counsel, 1600 [email protected]. Controlling Regulatory Costs,’’ and Defense Pentagon, Washington, DC For specific agenda items, contact the Executive Order 13563 ‘‘Improving 20301–1600, or call 703–693–9958. appropriate individual indicated for Regulation and Regulatory Review.’’ For general information on Office of each regulatory action. This Agenda documents DOD’s work the Secretary regulations, other than SUPPLEMENTARY INFORMATION: under Executive Order 13777 those which are procurement-related, This ‘‘Enforcing the Regulatory Reform contact Ms. Morgan Park, telephone edition of the Unified Agenda of Federal Agenda,’’ and many regulatory actions 571–372–0489, or write to Office of the Regulatory and Deregulatory Actions support the recommendations of the Chief Management Officer, Directorate reports on actions planned by the Office DoD Regulatory Reform Task Force (as of Oversight and Compliance, of the Secretary of Defense (OSD), the indicated in the individual rule Regulatory and Advisory Committee Military Departments, procurement- abstracts). Members of the public may Division, 9010 Defense Pentagon, related actions, and actions planned by submit comments on individual Washington, DC 20301–9010, or email: the U.S. Army Corps of Engineers. proposed and interim final rulemakings [email protected]. This agenda also identifies rules at www.regulations.gov during the For general information on Office of impacted by the: comment period that follows the Secretary regulations which are a. Regulatory Flexibility Act; publication in the Federal Register. procurement-related, contact Ms. b. Paperwork Reduction Act of 1995; This agenda updates the report Jennifer Hawes, telephone 571–372– c. Unfunded Mandates Reform Act of published on May 22, 2019, and 6115, or write to Office of the Under 1995. includes regulations expected to be Secretary of Defense for Acquisition and Generally, rules discussed in this issued and under review over the next Sustainment, Defense Pricing and agenda will contain five sections: (1) 12 months. The next agenda will Contracting, Defense Acquisition Prerule stage; (2) proposed rule stage; (3) publish in the spring of 2020. Regulations System, Room 3B941, 3060 final rule stage; (4) completed actions; The complete Unified Agenda will be Defense Pentagon, Washington, DC and (5) long-term actions. Where certain available online at www.reginfo.gov. 20301–3060, or email: regulatory actions indicate that small Because publication in the Federal [email protected]. entities are affected, the effect on these Register is mandated for the regulatory For general information on entities may not necessarily have flexibility agendas required by the Department of the Army regulations, significant economic impact on a Regulatory Flexibility Act (5 U.S.C. contact Ms. Brenda Bowen, telephone substantial number of these entities as 602), the Department of Defense’s 571–515–0206, or write to the U.S. defined in the Regulatory Flexibility Act printed agenda entries include only: Army Records Management and (5 U.S.C. 601(6)). (1) Rules that are in the Agency’s Declassification Agency, ATTN: AAHS– The publishing of this agenda does regulatory flexibility agenda, in RDO, Building 1458, Suite NW6305, not waive the applicability of the accordance with the Regulatory 9301 Chapek Road, Ft. Belvoir, VA military affairs exemption in section 553 Flexibility Act, because they are likely 22060–5605, or email: of title 5 U.S.C. and section 3 of to have a significant economic impact [email protected]. Executive Order 12866. on a substantial number of small For general information on the U.S. entities; and Army Corps of Engineers regulations, Dated: July 26, 2019. (2) Any rules that the Agency has contact Ms. Stacey Jensen, telephone Lisa W. Hershman, identified for periodic review under 703–695–6791, or write to Office of the Deputy Chief Management Officer.
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DEFENSE ACQUISITION REGULATIONS COUNCIL—FINAL RULE STAGE
Regulation Sequence No. Title Identifier No.
220 ...... Covered Telecommunications Equipment or Services (DFARS Case 2018–D022) (Reg Plan Seq No. 22) 0750–AJ84 221 ...... Prompt Payments of Small Business Subcontractors (DFARS Case 2018–D068) (Reg Plan Seq No. 23) 0750–AK25 222 ...... Nonmanufacturer Rule for 8(a) Participants (DFARS Case 2019–D004) (Reg Plan Seq No. 25) ...... 0750–AK39 References in boldface appear in The Regulatory Plan in part II of this issue of the Federal Register.
OFFICE OF ASSISTANT SECRETARY FOR HEALTH AFFAIRS—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
223 ...... Chiropractic and Acupuncture Treatment Under the TRICARE Program ...... 0720–AB77
DEPARTMENT OF DEFENSE (DOD) DEPARTMENT OF DEFENSE (DOD) Acupuncturists (LACs) who meet established qualifications as TRICARE- Defense Acquisition Regulations Office of Assistant Secretary for Health Council (DARC) Affairs (DODOASHA) authorized providers and will establish reimbursement rates and cost-sharing Final Rule Stage Proposed Rule Stage provisions for covered chiropractic and 220. Covered Telecommunications 223. • Chiropractic and Acupuncture acupuncture treatment. Equipment or Services (DFARS Case Treatment Under the Tricare Program Timetable: 2018–D022) E.O. 13771 Designation: Other. Action Date FR Cite Regulatory Plan: This entry is Seq. Legal Authority: Not Yet Determined No. 22 in part II of this issue of the Abstract: Under the current NPRM ...... 06/00/20 Federal Register. regulations, TRICARE excludes RIN: 0750–AJ84 chiropractors as TRICARE-authorized Regulatory Flexibility Analysis 221. Prompt Payments of Small providers whether or not their services Required: Yes. Business Subcontractors (DFARS Case would be eligible as medically 2018–D068) necessary care if furnished by any other Agency Contact: Joy Mullane, Department of Defense, Office of Regulatory Plan: This entry is Seq. authorized provider. In addition, the No. 23 in part II of this issue of the current regulation excludes acupuncture Assistant Secretary for Health Affairs, Federal Register. treatment whether used as a therapeutic Office of Assistant Secretary for Health RIN: 0750–AK25 agent or as an anesthetic. This proposed Affairs, 16401 E Centretech Parkway, rule seeks to eliminate these exclusions Aurora, CO 80011–9066, Phone: 303 222. Nonmanufacturer Rule for 8(A) and to add benefit coverage of 676–3457, Fax: 303 676–3579, Email: Participants (DFARS Case 2019–D004) chiropractic and acupuncture treatment [email protected]. when deemed medically necessary for Regulatory Plan: This entry is Seq. RIN: 0720–AB77 No. 25 in part II of this issue of the specific conditions. This proposed rule Federal Register. will add licensed Doctors of [FR Doc. 2019–26538 Filed 12–23–19; 8:45 am] RIN: 0750–AK39 Chiropractic (DCs) and Licensed BILLING CODE 5001–06–P
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Vol. 84 Thursday, No. 247 December 26, 2019
Part VI
Department of Energy
Semiannual Regulatory Agenda
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DEPARTMENT OF ENERGY SUPPLEMENTARY INFORMATION: The information from the Agenda database. Agenda is a government-wide DOE’s entire Fall 2019 Regulatory 10 CFR Chs. II, III, and X compilation of upcoming and ongoing Agenda can be accessed online by going regulatory activity, including a brief to www.reginfo.gov. 48 CFR Ch. 9 description of each rulemaking and a Publication in the Federal Register is timetable for action. The Agenda also mandated by the Regulatory Flexibility Fall 2019 Unified Agenda of Regulatory includes a list of regulatory actions Act (5 U.S.C. 602) only for Agenda and Deregulatory Actions completed since publication of the last entries that require either a regulatory AGENCY: Agenda. The Department of Energy’s Department of Energy. flexibility analysis or periodic review ACTION: Semi-annual regulatory agenda. portion of the Agenda includes regulatory actions called for by statute, under section 610 of that Act. The Plan SUMMARY: The Department of Energy including amendments contained in the appears in both the online Agenda and (DOE) has prepared and is making Energy Independence and Security Act the Federal Register and includes the available its portion of the semi-annual of 2007 (EISA) and the American Energy most important of DOE’s significant Unified Agenda of Federal Regulatory Manufacturing Technical Corrections regulatory actions and a Statement of and Deregulatory Actions (Agenda), Act (AEMTCA), and programmatic Regulatory and Deregulatory Priorities. including its Regulatory Plan (Plan), needs of DOE offices. Bill Cooper, pursuant to Executive Order 12866, The internet is the basic means for ‘‘Regulatory Planning and Review,’’ and disseminating the Agenda and General Counsel. the Regulatory Flexibility Act. providing users the ability to obtain
ENERGY EFFICIENCY AND RENEWABLE ENERGY—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
224 ...... Energy Conservation Standards for Residential Conventional Cooking Products ...... 1904–AD15 225 ...... Energy Conservation Standards for Residential Non-Weatherized Gas Furnaces and Mobile Home Gas 1904–AD20 Furnaces.
ENERGY EFFICIENCY AND RENEWABLE ENERGY—FINAL RULE STAGE
Regulation Sequence No. Title Identifier No.
226 ...... Energy Conservation Standards for General Service Lamps ...... 1904–AD09 227 ...... Energy Conservation Standards for Commercial Water Heating Equipment ...... 1904–AD34
ENERGY EFFICIENCY AND RENEWABLE ENERGY—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
228 ...... Energy Conservation Standards for Commercial Packaged Boilers ...... 1904–AD01 229 ...... Modifying the Energy Conservation Program to Implement a Market-Based Approach ...... 1904–AE11
DEPARTMENT OF ENERGY (DOE) economically justified. DOE is Action Date FR Cite reviewing the current standards to make Energy Efficiency and Renewable Energy such determination. Supplemental 09/02/16 81 FR 60784 (EE) Timetable: NPRM. Proposed Rule Stage SNPRM Comment 09/30/16 81 FR 67219 Action Date FR Cite Period Ex- 224. Energy Conservation Standards for tended. Residential Conventional Cooking Request for Infor- 02/12/14 79 FR 8337 SNPRM Comment 11/02/16 Products mation (RFI). Period Ex- RFI Comment Pe- 03/14/14 tended End. E.O. 13771 Designation: Regulatory. riod End. Supplemental 12/00/19 Legal Authority: 42 U.S.C. 6295(m)(1); RFI Comment Pe- 03/03/14 79 FR 11714 NPRM. 42 U.S.C. 6292 (a)(10); 42 U.S.C. 6295(h) riod Extended. Abstract: The Energy Policy and RFI Comment Pe- 04/14/14 Regulatory Flexibility Analysis Conservation Act (EPCA), as amended riod Extended Required: Yes. by Energy Independence and Security End. Agency Contact: Stephanie Johnson, Act of 2007 (EISA), requires the NPRM and Public 06/10/15 80 FR 33030 General Engineer, Department of Meeting. Energy, Energy Efficiency and Secretary to determine whether NPRM Comment 07/30/15 80 FR 45452 updating the statutory energy Period Ex- Renewable Energy, 1000 Independence conservation standards for residential tended. Avenue SW, Building Technologies conventional cooking products would NPRM Comment 09/09/15 Office, EE5B, Washington, DC 20002, yield a significant savings in energy use Period Ex- Phone: 202 287–1943, Email: and is technologically feasible and tended End. [email protected].
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RIN: 1904–AD15 Agency Contact: John Cymbalsky, Action Date FR Cite Building Technologies Office, EE–5B, 225. Energy Conservation Standards for Department of Energy, Energy Efficiency NPRM Comment 05/16/16 Residential Non-Weatherized Gas and Renewable Energy, 1000 Period End. Furnaces and Mobile Home Gas Independence Avenue SW, Washington, Notice of Public 10/05/16 81 FR 69009 Furnaces DC 20585, Phone: 202 287–1692, Email: Meeting; E.O. 13771 Designation: Regulatory. Webinar. [email protected]. Proposed Defini- 10/18/16 81 FR 71794 Legal Authority: 42 U.S.C. RIN: 1904–AD20 6295(f)(4)(C); 42 U.S.C. 6295(m)(1); 42 tion and Data Availability. U.S.C. 6295(gg)(3) Proposed Defini- 11/08/16 Abstract: The Energy Policy and DEPARTMENT OF ENERGY (DOE) tion and Data Conservation Act, as amended, (EPCA) Availability prescribes energy conservation Energy Efficiency and Renewable Energy Comment Pe- standards for various consumer (EE) riod End. products and certain commercial and Final Rule Adopt- 01/19/17 82 FR 7276 industrial equipment, including Final Rule Stage ing a Definition residential furnaces. EPCA also requires 226. Energy Conservation Standards for for GSL. the DOE to determine whether more Final Rule Adopt- 01/01/20 General Service Lamps ing a Definition stringent amended standards would be E.O. 13771 Designation: Deregulatory. for GSL Effec- technologically feasible and Legal Authority: 42 U.S.C. tive. economically justified and would save a 6295(i)(6)(A) Final Rule Adopt- 01/19/17 82 FR 7322 significant amount of energy. DOE is Abstract: The U.S. Department of ing a Definition considering amendments to its energy Energy (DOE) will issue a Supplemental for GSL Includ- conservation standards for residential Notice of Proposed Rulemaking that ing IRL. non-weatherized gas furnaces and includes a proposed determination with Final Rule Adopt- 01/01/20 ing a Definition mobile home gas furnaces in partial respect to whether to amend or adopt fulfillment of a court-ordered remand of for GSL Includ- standards for general service light- ing IRL Effec- DOE’s 2011 rulemaking for these emitting diode (LED) lamps and that tive. products. may include a proposed determination Supplemental 11/00/19 Timetable: with respect to whether to amend or NPRM. adopt standards for compact fluorescent Action Date FR Cite lamps. According to the Settlement Regulatory Flexibility Analysis Notice of Public 10/30/14 79 FR 64517 Agreement between the National Required: Yes. Meeting. Electrical Manufacturers Association Agency Contact: Lucy deButts, NPRM and Notice 03/12/15 80 FR 13120 (NEMA) and DOE will use its best Buildings Technologies Office, EE–5B, of Public Meet- efforts to issue the GSL SNOPR by May Department of Energy, Energy Efficiency ing. 28, 2018. and Renewable Energy, 1000 NPRM Comment 05/20/15 80 FR 28851 Timetable: Independence Avenue SW, Washington, Period Ex- DC 20585, Phone: 202 287–1604, Email: tended. Action Date FR Cite [email protected]. NPRM Comment 07/10/15 RIN: 1904–AD09 Period Ex- Framework Docu- 12/09/13 78 FR 73737 tended End. ment Avail- 227. Energy Conservation Standards for Notice of Data 09/14/15 80 FR 55038 ability; Notice of Commercial Water Heating Equipment Availability Public Meeting. (NODA). E.O. 13771 Designation: Regulatory. Framework Docu- 01/23/14 Legal Authority: 42 U.S.C. NODA Comment 10/14/15 ment Comment Period End. Period End. 6313(a)(6)(C)(i) and (vi) NODA Comment 10/23/15 80 FR 64370 Framework Docu- 01/23/14 79 FR 3742 Abstract: Once completed, this Period Re- ment Comment rulemaking will fulfill the U.S. opened. Period Ex- Department of Energy’s (DOE) statutory NODA Comment 11/06/15 tended. obligation under the Energy Policy and Period Re- Framework Docu- 02/07/14 Conservation Act, as amended, (EPCA) opened End. ment Comment to either propose amended energy Supplemental 09/23/16 81 FR 65720 Period Ex- NPRM and No- conservation standards for commercial tended End. water heaters and hot water supply tice of Public Preliminary Anal- 12/11/14 79 FR 73503 Meeting. ysis and Notice boilers, or determine that the existing Supplemental 11/22/16 of Public Meet- standards do not need to be amended. NPRM Com- ing. (Unfired hot water storage tanks and ment Period Preliminary Anal- 01/30/15 80 FR 5052 commercial heat pump water heaters are End. ysis Comment being considered in a separate SNPRM Comment 12/05/16 81 FR 87493 Period Ex- rulemaking.) DOE must determine Period Re- tended. whether national standards more opened. Preliminary Anal- 02/23/15 SNPRM Comment 01/06/17 stringent than those that are currently in ysis Comment place would result in a significant Period End. Period Ex- Supplemental 02/00/20 tended End. additional amount of energy savings and NPRM. Notice of Public 03/15/16 81 FR 13763 whether such amended national Meeting; standards would be technologically Regulatory Flexibility Analysis Webinar. feasible and economically justified. Required: Yes. NPRM ...... 03/17/16 81 FR 14528 Timetable:
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Action Date FR Cite Technical Corrections Act (AEMTCA), Action Date FR Cite requires the Secretary to determine Request for Infor- 10/21/14 79 FR 62899 whether updating the statutory energy Next Action Unde- mation (RFI). conservation standards for commercial termined. RFI Comment Pe- 11/20/14 packaged boilers is technically feasible riod End. and economically justified and would Regulatory Flexibility Analysis NPRM ...... 05/31/16 81 FR 34440 Required: Yes. NPRM Comment 08/01/16 save a significant amount of energy. If Period End. justified, the Secretary will issue Agency Contact: Catherine Rivest, NPRM Comment 08/05/16 81 FR 51812 amended energy conservation standards Phone: 202 586–7335, Email: Period Re- for such equipment. DOE last updated [email protected]. opened. the standards for commercial packaged RIN: 1904–AD01 NPRM Comment 08/30/16 boilers on July 22, 2009. DOE issued a Period Re- NOPR pursuant to the 6-year-look-back 229. Modifying the Energy Conservation opened End. requirement on March 24, 2016. Under Program To Implement a Market-Based Notice of Data 12/23/16 81 FR 94234 Approach Availability EPCA, DOE has 2 years to issue a final (NODA). rule after publication of the NOPR. E.O. 13771 Designation: Deregulatory. NODA Comment 01/09/17 Timetable: Legal Authority: 42 U.S.C. 6291 Period End. Abstract: The U.S. Department of Final Action ...... 02/00/20 Action Date FR Cite Energy (DOE) is evaluating the potential use of some form of a market-based Regulatory Flexibility Analysis Notice of Pro- 08/13/13 78 FR 49202 posed Deter- approach such as an averaging, trading, Required: Yes. fee-base or other type of market-based Agency Contact: Catherine Rivest, mination (NOPD). policy mechanism for the U.S. General Engineer, Department of NOPD Comment 09/12/13 Appliance and Equipment Energy Energy, Energy Efficiency and Period End. Conservation Standards (ECS) program. Renewable Energy, 1000 Independence Notice of Public 09/03/13 78 FR 54197 Timetable: Avenue SW, Building Technologies Meeting and Office, EE–5B, Washington, DC 20585, Framework Action Date FR Cite Phone: 202 586–7335, Email: Document [email protected]. Availability. Request for Infor- 11/28/17 82 FR 56181 RIN: 1904–AD34 Framework Docu- 10/18/13 mation (RFI). ment Comment RFI Comment Pe- 02/23/18 83 FR 8016 Period End. riod Extended. Notice of Public 11/20/14 79 FR 69066 RFI Comment Pe- 03/26/18 DEPARTMENT OF ENERGY (DOE) Meeting and riod Extended Preliminary End. Energy Efficiency and Renewable Energy Analysis. (EE) Next Action Unde- Preliminary Anal- 01/20/15 termined. Long-Term Actions ysis Comment Period End. 228. Energy Conservation Standards for Withdrawal of 08/25/15 80 FR 51487 Regulatory Flexibility Analysis Commercial Packaged Boilers NOPD. Required: Yes. NPRM ...... 03/24/16 81 FR 15836 Agency Contact: John Cymbalsky, E.O. 13771 Designation: Other. NPRM Comment 05/04/16 81 FR 26747 Phone: 202 287–1692, Email: Legal Authority: 42 U.S.C. Period Ex- [email protected]. 6313(a)(6)(C); 42 U.S.C. 6311(11)(B) tended. RIN: 1904–AE11 Abstract: The Energy Policy and NPRM Comment 06/22/16 Conservation Act (EPCA), as amended Period Ex- [FR Doc. 2019–26536 Filed 12–23–19; 8:45 am] by the American Energy Manufacturing tended End. BILLING CODE 6450–01–P
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Part VII
Department of Health and Human Services
Semiannual Regulatory Agenda
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DEPARTMENT OF HEALTH AND FOR FURTHER INFORMATION CONTACT: Ann effective public participation in the HUMAN SERVICES C. Agnew, Executive Secretary, regulatory process. For example, to Department of Health and Human encourage public participation, we Office of the Secretary Services, 200 Independence Avenue regularly update our regulatory web SW, Washington, DC 20201; (202) 690– page (http://www.HHS.gov/regulations), 21 CFR Ch. I 5627. which includes links to HHS rules SUPPLEMENTARY INFORMATION: The currently open for public comment, and 25 CFR Ch. V Department of Health and Human also provides a ‘‘regulations toolkit’’ Services (HHS) is the Federal with background information on 42 CFR Chs. I–V government’s lead Agency for protecting regulations, the commenting process, the health of all Americans and how public comments influence the 45 CFR Subtitle A; Subtitle B, Chs. II, providing essential human services, development of a rule, and how the III, and XIII especially for those who are least able public can provide effective comments. to help themselves. HHS enhances the Regulatory Agenda The rulemaking abstracts included in health and well-being of Americans by this paper issue of the Federal Register AGENCY: Office of the Secretary, HHS. promoting effective health and human cover, as required by the Regulatory ACTION: Semiannual Regulatory Agenda. services and by fostering sound, Flexibility Act of 1980, those sustained advances in the sciences prospective HHS rulemakings likely to SUMMARY: The Regulatory Flexibility Act underlying medicine, public health, and have a significant economic impact on of 1980 and Executive Order (E.O.) social services. a substantial number of small entities. 12866 require the semiannual issuance This Agenda presents the regulatory The Department’s complete Regulatory of an inventory of rulemaking actions activities that the Department expects to Agenda is accessible online at http:// under development throughout the undertake in the foreseeable future to www.RegInfo.gov. Department, offering for public review advance this mission. HHS has an summarized information about agencywide effort to support the Ann C. Agnew, forthcoming regulatory actions. Agenda’s purpose of encouraging more Executive Secretary to the Department.
OFFICE FOR CIVIL RIGHTS—FINAL RULE STAGE
Regulation Sequence No. Title Identifier No.
230 ...... Nondiscrimination in Health and Health Education Programs or Activities (Reg Plan Seq No. 44) ...... 0945–AA11 References in boldface appear in The Regulatory Plan in part II of this issue of the Federal Register.
OFFICE OF THE NATIONAL COORDINATOR FOR HEALTH INFORMATION TECHNOLOGY—FINAL RULE STAGE
Regulation Sequence No. Title Identifier No.
231 ...... 21st Century Cures Act: Interoperability, Information Blocking, and the ONC Health IT Certification Pro- 0955–AA01 gram (Reg Plan Seq No. 45). References in boldface appear in The Regulatory Plan in part II of this issue of the Federal Register.
FOOD AND DRUG ADMINISTRATION—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
232 ...... Postmarketing Safety Reporting Requirements for Human Drug and Biological Products ...... 0910–AA97 233 ...... Over-the-Counter (OTC) Drug Review—Cough/Cold (Antihistamine) Products ...... 0910–AF31 234 ...... Medication Guide; Patient Medication Information ...... 0910–AH68 235 ...... Testing Standards for Batteries and Battery Management Systems in Battery-Operated Tobacco Products 0910–AH90 236 ...... Requirements for Tobacco Product Manufacturing Practice (Reg Plan Seq No. 47) ...... 0910–AH91 237 ...... Nutrient Content Claims, Definition of Term: Healthy (Reg Plan Seq No. 48) ...... 0910–AI13 238 ...... Revocation of Uses of Partially Hydrogenated Oils in Foods ...... 0910–AI15 References in boldface appear in The Regulatory Plan in part II of this issue of the Federal Register.
FOOD AND DRUG ADMINISTRATION—FINAL RULE STAGE
Regulation Sequence No. Title Identifier No.
239 ...... Sunscreen Drug Products For Over-The-Counter-Human Use; Final Monograph ...... 0910–AF43 240 ...... Sunlamp Products; Amendment to the Performance Standard ...... 0910–AG30 241 ...... Food Labeling; Gluten-Free Labeling of Fermented or Hydrolyzed Foods ...... 0910–AH00 242 ...... Mammography Quality Standards Act; Amendments to Part 900 Regulations ...... 0910–AH04 243 ...... General and Plastic Surgery Devices: Sunlamp Products ...... 0910–AH14 244 ...... Required Warnings for Cigarette Packages and Advertisements ...... 0910–AI39
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FOOD AND DRUG ADMINISTRATION—FINAL RULE STAGE—Continued
Regulation Sequence No. Title Identifier No.
245 ...... Milk and Cream Product and Yogurt Products, Final Rule to Revoke the Standards for Lowfat Yogurt and 0910–AI40 Nonfat Yogurt and to Amend the Standard for Yogurt.
FOOD AND DRUG ADMINISTRATION—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
246 ...... Acute Nicotine Toxicity Warnings for E-Liquids ...... 0910–AH24 247 ...... Adminstrative Detention of Tobacco Products ...... 0910–AI05
FOOD AND DRUG ADMINISTRATION—COMPLETED ACTIONS
Regulation Sequence No. Title Identifier No.
248 ...... Over-the-Counter (OTC) Drug Review—Laxative Drug Products ...... 0910–AF38 249 ...... Over-the-Counter (OTC) Drug Review—Weight Control Products ...... 0910–AF45 250 ...... Electronic Distribution of Prescribing Information for Human Prescription Drugs Including Biological Prod- 0910–AG18 ucts. 251 ...... Combinations of Bronchodilators With Expectorants; Cold, Cough, Allergy, Bronchodilator, and Anti- 0910–AH16 asthmatic Drug Products for Over-the-Counter Human Use. 252 ...... Topical Antimicrobial Drug Products for Over-the-Counter Human Use: Final Monograph for Consumer 0910–AH97 Antiseptic Rub Products.
CENTERS FOR MEDICARE & MEDICAID SERVICES—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
253 ...... CY 2021 Revisions to Payment Policies Under the Physician Fee Schedule and Other Revisions to Medi- 0938–AU10 care Part B (CMS–1734–P) (Section 610 Review). 254 ...... Hospital Inpatient Prospective Payment Systems for Acute Care Hospitals; the Long-Term Care Hospital 0938–AU11 Prospective Payment System; and FY 2021 Rates (CMS–1735–P) (Section 610 Review). 255 ...... CY 2021 Hospital Outpatient PPS Policy Changes and Payment Rates and Ambulatory Surgical Center 0938–AU12 Payment System Policy Changes and Payment Rates (CMS–1736–P) (Section 610 Review).
CENTERS FOR MEDICARE & MEDICAID SERVICES—FINAL RULE STAGE
Regulation Sequence No. Title Identifier No.
256 ...... CY 2020 Home Health Prospective Payment System Rate Update and Quality Reporting Requirements 0938–AT68 (CMS–1711–F) (Section 610 Review). 257 ...... CY 2020 Revisions to Payment Policies Under the Physician Fee Schedule and Other Revisions to Medi- 0938–AT72 care Part B (CMS–1715–F) (Section 610 Review). 258 ...... CY 2020 Hospital Outpatient PPS Policy Changes and Payment Rates and Ambulatory Surgical Center 0938–AT74 Payment System Policy Changes and Payment Rates (CMS–1717–F) (Section 610 Review).
CENTERS FOR MEDICARE & MEDICAID SERVICES—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
259 ...... Durable Medical Equipment Fee Schedule, Adjustments to Resume the Transitional 50/50 Blended Rates 0938–AT21 to Provide Relief in Non-Competitive Bidding Areas (CMS–1687–F) (Section 610 Review). 260 ...... Requirements for Long-Term Care Facilities: Regulatory Provisions to Promote Program Efficiency, 0938–AT36 Transparency, and Burden Reduction (CMS–3347–F) (Section 610 Review).
CENTERS FOR MEDICARE & MEDICAID SERVICES—COMPLETED ACTIONS
Regulation Sequence No. Title Identifier No.
261 ...... Hospital and Critical Access Hospital (CAH) Changes to Promote Innovation, Flexibility, and Improvement 0938–AS21 in Patient Care (CMS–3295–F) (Rulemaking Resulting From a Section 610 Review).
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CENTERS FOR MEDICARE & MEDICAID SERVICES—COMPLETED ACTIONS—Continued
Regulation Sequence No. Title Identifier No.
262 ...... FY 2020 Inpatient Psychiatric Facilities Prospective Payment System Rate and Quality Reporting Updates 0938–AT69 (CMS–1712–F). 263 ...... Hospital Inpatient Prospective Payment Systems for Acute Care Hospitals; the Long-Term Care Hospital 0938–AT73 Prospective Payment System; and FY 2020 Rates (CMS–1716–F) (Section 610 Review).
DEPARTMENT OF HEALTH AND Harmonisation of Technical of efforts to reduce unnecessary HUMAN SERVICES (HHS) Requirements for Registration of duplication and differences. This pilot Pharmaceuticals for Human Use (ICH), exercise will help determine the Office for Civil Rights (OCR) and to update reporting requirements in feasibility of developing an ongoing Final Rule Stage light of current pharmacovigilance mechanism for alignment in review and practice and safety information sources adoption of OTC drug monograph 230. Nondiscrimination in Health and and enhance the quality of safety reports elements. Health Education Programs or received by FDA. These revisions were Timetable: Activities proposed as part of a single rulemaking Regulatory Plan: This entry is Seq. (68 FR 12406) to clarify and revise both Action Date FR Cite No. 44 in part II of this issue of the premarketing and postmarketing safety Federal Register. reporting requirements for human drug Reopening of Ad- 08/25/00 65 FR 51780 RIN: 0945–AA11 and biological products. Premarketing ministrative Record. safety reporting requirements were Comment Period 11/24/00 finalized in a separate final rule End. published on September 29, 2010 (75 FR DEPARTMENT OF HEALTH AND NPRM (Amend- 12/00/19 59961). HUMAN SERVICES (HHS) ment) (Common Timetable: Cold). Office of the National Coordinator for Health Information Technology (ONC) Action Date FR Cite Regulatory Flexibility Analysis Required: Yes. Final Rule Stage NPRM ...... 03/14/03 68 FR 12406 NPRM Comment 06/18/03 Agency Contact: Janice Adams-King, 231. 21st Century Cures Act: Period Ex- Regulatory Health Project Manager, Interoperability, Information Blocking, tended. Department of Health and Human and the ONC Health IT Certification NPRM Comment 07/14/03 Services, Food and Drug Program Period End. Administration, Center for Drug NPRM Comment 10/14/03 Evaluation and Research, WO 22, Room Regulatory Plan: This entry is Seq. Period Exten- 5416, 10903 New Hampshire Avenue, No. 45 in part II of this issue of the sion End. Silver Spring, MD 20993, Phone: 301 Federal Register. Reproposing 06/00/20 796–3713, Fax: 301 796–9899, Email: RIN: 0955–AA01 NPRM. [email protected]. Regulatory Flexibility Analysis RIN: 0910–AF31 Required: Yes. DEPARTMENT OF HEALTH AND 234. Medication Guide; Patient Agency Contact: Jane E. Baluss, Medication Information HUMAN SERVICES (HHS) Regulatory Counsel, Department of E.O. 13771 Designation: Regulatory. Food and Drug Administration (FDA) Health and Human Services, Food and Drug Administration, Center for Drug Legal Authority: 21 U.S.C. 321 et seq.; Proposed Rule Stage Evaluation and Research, WO 51, Room 42 U.S.C. 262; 42 U.S.C. 264; 21 U.S.C. 371 232. Postmarketing Safety Reporting 6278, 10903 New Hampshire Avenue, Silver Spring, MD 20993–0002, Phone: Abstract: The proposed rule would Requirements for Human Drug and amend FDA medication guide Biological Products 301 796–3469, Fax: 301 847–8440, Email: [email protected]. regulations to require a new form of E.O. 13771 Designation: Regulatory. RIN: 0910–AA97 patient labeling, Patient Medication Legal Authority: 42 U.S.C. 216; 42 Information, for submission to and U.S.C. 241; 42 U.S.C. 242a; 42 U.S.C. 233. Over-the-Counter (OTC) Drug review by the FDA for human 262 and 263; 42 U.S.C. 263a; 42 U.S.C. Review—Cough/Cold (Antihistamine) prescription drug products and certain 264; 42 U.S.C. 300aa–25; 21 U.S.C. 321; Products blood products used, dispensed, or 21 U.S.C. 331; 21 U.S.C. 351 to 353; 21 E.O. 13771 Designation: Deregulatory. administered on an outpatient basis. U.S.C. 355; 21 U.S.C. 360; 21 U.S.C. Legal Authority: 21 U.S.C. 321p; 21 The proposed rule would include 360b to 360f; 21 U.S.C. 360i to 360j; 21 U.S.C. 331; 21 U.S.C. 351 to 353; 21 requirements for Patient Medication U.S.C. 371; 21 U.S.C. 374; 21 U.S.C. 379 U.S.C. 355; 21 U.S.C. 360; 21 U.S.C. 371 Information development and Abstract: The final rule would amend Abstract: FDA will be proposing a distribution. The proposed rule would the postmarketing safety reporting rule to add the common cold indication require clear and concisely written regulations for human drugs and to certain over-the-counter (OTC) prescription drug product information biological products including blood and antihistamine active ingredients. This presented in a consistent and easily blood products in order to better align proposed rule is the result of understood format to help patients use FDA requirements with guidelines of collaboration under the U.S. Canada their prescription drug products safely the International Council on Regulatory Cooperation Council as part and effectively.
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Timetable: 237. Nutrient Content Claims, sunscreen monograph products are Definition of Term: Healthy generally recognized as safe and Action Date FR Cite Regulatory Plan: This entry is Seq. effective (GRASE) and not misbranded. Consistent with the Sunscreen NPRM ...... 06/00/20 No. 48 in part II of this issue of the Federal Register. Innovation Act, we expect that these RIN: 0910–AI13 conditions will include sunscreen Regulatory Flexibility Analysis dosage forms and maximum SPF values. Required: Yes. 238. Revocation of Uses of Partially The preamble of the final rule will also Agency Contact: Chris Wheeler, Hydrogenated Oils in Foods indicate which sunscreen active Supervisory Project Manager, E.O. 13771 Designation: Regulatory. ingredients FDA has deferred further Department of Health and Human Legal Authority: 21 U.S.C. 321; 21 rulemaking on while data supporting Services, Food and Drug U.S.C. 341; 21 U.S.C. 342; 21 U.S.C. 343; the GRASE status of those ingredients is Administration, 10903 New Hampshire 21 U.S.C. 348; 21 U.S.C. 371; 21 U.S.C. developed. Avenue, Building 51, Room 3330, Silver 379e Timetable: Spring, MD 20993, Phone: 301 796– Abstract: In the Federal Register of 0151, Email: [email protected]. Action Date FR Cite June 17, 2015 (80 FR 34650), we RIN: 0910–AH68 published a declaratory order ANPRM (Sun- 02/22/07 72 FR 7941 235. Testing Standards for Batteries announcing our final determination that screen and In- and Battery Management Systems in there is no longer a consensus among sect Repellent). Battery-Operated Tobacco Products qualified experts that partially ANPRM Comment 05/23/07 hydrogenated oils (PHOs) are generally Period End. E.O. 13771 Designation: Regulatory. recognized as safe (GRAS) for any use in NPRM (UVA/ 08/27/07 72 FR 49070 Legal Authority: 21 U.S.C. 301 et. seq.; human food. In the Federal Register of UVB). 21 U.S.C. 371; 21 U.S.C. 387b; 21 U.S.C. May 21, 2018 (83 FR 23382), we denied NPRM Comment 12/26/07 Period End. 387g; 21 U.S.C. 387i a food additive petition requesting that Abstract: This rule would propose to Final Action (UVA/ 06/17/11 76 FR 35620 the food additive regulations be UVB). establish a product standard to require amended to provide for the safe use of NPRM (Effective- 06/17/11 76 FR 35672 testing standards for batteries used in PHOs in certain food applications. We ness). electronic nicotine delivery systems are now proposing to update our NPRM (Effective- 09/15/11 (ENDS) and require design protections regulations to remove all mention of ness) Comment including a battery management system partially hydrogenated oils from FDA’s Period End. for ENDS using batteries and protective GRAS regulations and as an optional ANPRM (Dosage 06/17/11 76 FR 35669 housing for replaceable batteries. This ingredient in standards of identity. We Forms). ANPRM (Dosage 09/15/11 product standard would protect the are also proposing to revoke all prior safety of users of battery-powered Forms) Com- sanctions for uses of PHOs in food. ment Period tobacco products and will help to Timetable: End. streamline the FDA premarket review NPRM ...... 02/26/19 84 FR 6204 process, ultimately reducing the burden Action Date FR Cite NPRM Comment 06/27/19 on both manufacturers and the Agency. Period End. The proposed rule would be applicable NPRM ...... 03/00/20 NPRM Extension 04/18/19 84 FR 16222 to tobacco products that include a non- of Comment user replaceable battery as well as Regulatory Flexibility Analysis Period. products that include a user replaceable Required: Yes. NPRM Extension 06/27/19 battery. Agency Contact: Ellen Anderson, of Comment Period End. Timetable: Consumer Safety Officer, Department of Health and Human Services, Food and Final Rule ...... 09/00/20 Action Date FR Cite Drug Administration, HFS–265, 4300 River Road, College Park, MD 20740, Regulatory Flexibility Analysis NPRM ...... 05/00/20 Phone: 240 402–1309, Email: Required: Yes. [email protected]. Agency Contact: Kristen Hardin, Department of Health and Human Regulatory Flexibility Analysis RIN: 0910–AI15 Services, Food and Drug Required: Yes. Administration, Center for Drug Agency Contact: Nathan Mease, Evaluation and Research, 10903 New Regulatory Counsel, Department of DEPARTMENT OF HEALTH AND Hampshire Avenue, WO 22, Room 5491, Health and Human Services, Food and HUMAN SERVICES (HHS) Silver Spring, MD 20993, Phone: 240 Drug Administration, 10903 New Food and Drug Administration (FDA) 402–4246, Fax: 301 796–9841, Email: Hampshire Avenue, WO 71, Room [email protected]. G335, Silver Spring, MD 20993, Phone: Final Rule Stage RIN: 0910–AF43 877 287–1373, Email: ctpregulations@ fda.hhs.gov. 239. Sunscreen Drug Products for Over- 240. Sunlamp Products; Amendment to RIN: 0910–AH90 the-Counter—Human Use; Final the Performance Standard Monograph 236. Requirements for Tobacco Product E.O. 13771 Designation: Fully or Manufacturing Practice E.O. 13771 Designation: Regulatory. Partially Exempt. Legal Authority: 21 U.S.C. 321p; 21 Legal Authority: 21 U.S.C. 360ii; 21 Regulatory Plan: This entry is Seq. U.S.C. 331; 21 U.S.C. 351 to 353; 21 U.S.C. 360kk; 21 U.S.C. 393; 21 U.S.C. No. 47 in part II of this issue of the U.S.C. 355; 21 U.S.C. 360; 21 U.S.C. 371 371 Federal Register. Abstract: The final rule will describe Abstract: FDA is updating the RIN: 0910–AH91 the conditions of use under which OTC performance standard for sunlamp
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products to improve safety, reflect new Action Date FR Cite (UV) lamps and UV tanning beds and scientific information, and work booths. The incidence of skin cancer, towards harmonization with NPRM Comment 04/25/16 including melanoma, has been international standards. By harmonizing Period Re- increasing, and a large number of skin with the International Electrotechnical opened End. cancer cases are attributable to the use Commission, this rule will decrease the Final Rule ...... 12/00/19 of sunlamp products. The devices may regulatory burden on industry and allow cause about 400,000 cases of skin cancer Regulatory Flexibility Analysis the Agency to take advantage of the per year, and 6,000 of which are Required: Yes. expertise of the international melanoma. Beginning use of sunlamp Agency Contact: Carol D’Lima, Staff committees, thereby also saving products at young ages, as well as Fellow, Department of Health and resources. frequently using sunlamp products, Human Services, Food and Drug both increases the risk of developing Timetable: Administration, Center for Food Safety skin cancers and other illnesses, and and Applied Nutrition, Room 4D022, sustaining other injuries. Even Action Date FR Cite HFS 820, 5001 Campus Drive, College infrequent use, particularly at younger Park, MD 20740, Phone: 240 402–2371, NPRM ...... 12/22/15 80 FR 79505 ages, can significantly increase these Fax: 301 436–2636, Email: carol.dlima@ NPRM Comment 03/21/16 risks. This rule will apply device fda.hhs.gov. Period End. restrictions to sunlamp products. Final Rule ...... 06/00/20 RIN: 0910–AH00 Timetable: 242. Mammography Quality Standards Regulatory Flexibility Analysis Act; Amendments to Part 900 Action Date FR Cite Required: Yes. Regulations Agency Contact: Ian Ostermiller, NPRM ...... 12/22/15 80 FR 79493 E.O. 13771 Designation: Regulatory. NPRM Comment 03/21/16 Regulatory Counsel, Center for Devices Legal Authority: 21 U.S.C. 360i; 21 and Radiological Health, Department of Period End. U.S.C. 360nn; 21 U.S.C. 374(e); 42 Final Rule ...... 06/00/20 Health and Human Services, Food and U.S.C. 263b Drug Administration, 10903 New Abstract: FDA is amending its Regulatory Flexibility Analysis Hampshire Avenue, WO 66, Room 5454, regulations governing mammography. Required: Yes. Silver Spring, MD 20993, Phone: 301 The amendments would update the Agency Contact: Ian Ostermiller, 796–5678, Email: ian.ostermiller@ regulations issued under the Regulatory Counsel, Center for Devices fda.hhs.gov. Mammography Quality Standards Act of and Radiological Health, Department of RIN: 0910–AG30 1992 (MQSA) and the Federal Food, Health and Human Services, Food and 241. Food Labeling; Gluten-Free Drug, and Cosmetic Act (FD&C Act). Drug Administration, 10903 New Labeling of Fermented or Hydrolyzed FDA is taking this action to address Hampshire Avenue, WO 66, Room 5454, Foods changes in mammography technology Silver Spring, MD 20993, Phone: 301 and mammography processes that have 796–5678, Email: ian.ostermiller@ E.O. 13771 Designation: Regulatory. occurred since the regulations were fda.hhs.gov. Legal Authority: Sec. 206 of the Food published in 1997 and to address breast RIN: 0910–AH14 Allergen Labeling and Consumer density reporting to patient and 244. Required Warnings for Cigarette Protection Act; 21 U.S.C. 343(a)(1); 21 healthcare providers. Packages and Advertisements U.S.C. 321(n); 21 U.S.C. 371(a) Timetable: Abstract: This final rule would E.O. 13771 Designation: Regulatory. establish requirements concerning Action Date FR Cite Legal Authority: 15 U.S.C. 1333; 21 ‘‘gluten-free’’ labeling for foods that are U.S.C. 371; 21 U.S.C. 374; 21 U.S.C. NPRM ...... 03/28/19 84 FR 11669 387c; 21 U.S.C. 387e; 21 U.S.C. 387i; fermented or hydrolyzed or that contain NPRM Comment 06/26/19 fermented or hydrolyzed ingredients. Period End. Pub. L. 111–31, secs. 201 and 202, 123 These additional requirements for the Final Rule ...... 09/00/20 Stat. 1776 ‘‘gluten-free’’ labeling rule are needed to Abstract: This rule will require color help ensure that individuals with celiac Regulatory Flexibility Analysis graphics depicting the negative health disease are not misled and receive Required: Yes. consequences of smoking to accompany truthful and accurate information with Agency Contact: Erica Payne, textual warning statements on cigarette respect to fermented or hydrolyzed Regulatory Counsel, Department of packages and in cigarette foods labeled as ‘‘gluten-free.’’ Health and Human Services, Food and advertisements. As directed by Congress Timetable: Drug Administration, Center for Devices in the Family Smoking Prevention and and Radiological Health, 10903 New Tobacco Control Act, which amends the Action Date FR Cite Hampshire Avenue, WO 66, Room 5522, Federal Cigarette Labeling and Silver Spring, MD 20993, Phone: 301 Advertising Act, the rule will require NPRM ...... 11/18/15 80 FR 71990 796–3999, Fax: 301 847–8145, Email: these new cigarette health warnings to NPRM Comment 01/22/16 81 FR 3751 [email protected]. occupy the top 50 percent of the area of Period Re- RIN: 0910–AH04 the front and rear panels of cigarette opened. packages and at least 20 percent of the NPRM Comment 02/16/16 243. General and Plastic Surgery area of cigarette advertisements. The Period End. Devices: Sunlamp Products original rule FDA issued in 2011 was NPRM Comment 02/22/16 Period Re- E.O. 13771 Designation: Regulatory. vacated by the U.S. Court of Appeals for opened End. Legal Authority: 21 U.S.C. 360j(e) the District of Columbia Circuit in NPRM Comment 02/23/16 81 FR 8869 Abstract: This rule will apply device August 2012 (R.J. Reynolds Tobacco Co. Period Re- restrictions to sunlamp products. v. United States Food & Drug Admin., opened. Sunlamp products include ultraviolet 696 F.3d 1205 D.C. Cir. 2012).
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Timetable: Agency Contact: Terri Wenger, Food employee conducting the inspection has Technologist, Department of Health and reason to believe are adulterated or Action Date FR Cite Human Services, Food and Drug misbranded. The intent of Administration, Center for Food Safety administrative detention is to protect NPRM ...... 08/16/19 84 FR 42754 and Applied Nutrition, 5001 Campus public health by preventing the NPRM Comment 10/15/19 distribution or use of violative tobacco Period End. Drive, College Park, MD 20740, Phone: Final Rule ...... 03/00/20 240 402–2371, Email: terri.wenger@ products until FDA has had time to fda.hhs.gov. consider the appropriate action to take Regulatory Flexibility Analysis RIN: 0910–AI40 and, where appropriate, to initiate a Required: Yes. regulatory action. Agency Contact: Courtney Smith, Timetable: Senior Regulatory Counsel, Department DEPARTMENT OF HEALTH AND Action Date FR Cite of Health and Human Services, Food HUMAN SERVICES (HHS) and Drug Administration, Center for NPRM ...... 11/00/20 Tobacco Products, Document Control Food and Drug Administration (FDA) Center, Building 71, Room G335, 10903 Long-Term Actions Regulatory Flexibility Analysis New Hampshire Avenue, Silver Spring, Required: Yes. MD 20993, Phone: 301 796–3894, Fax: 246. Acute Nicotine Toxicity Warnings Agency Contact: Nathan Mease, 301 595–1426, Email: ctpregulations@ for E-Liquids Regulatory Counsel, Department of fda.hhs.gov. E.O. 13771 Designation: Regulatory. Health and Human Services, Food and RIN: 0910–AI39 Legal Authority: 21 U.S.C. 301 et seq.; Drug Administration, 10903 New 21 U.S.C. 331; 21 U.S.C. 371; 21 U.S.C. Hampshire Avenue, WO 71, Room 245. Milk and Cream Product and 374; 21 U.S.C. 387 G335, Silver Spring, MD 20993, Phone: Yogurt Products, Final Rule To Revoke Abstract: This rule would establish 877 287–1373, Email: ctpregulations@ the Standards for Lowfat Yogurt and nicotine exposure warning requirements fda.hhs.gov. Nonfat Yogurt and To Amend the for liquid nicotine and nicotine- RIN: 0910–AI05 Standard for Yogurt containing e-liquid(s) that are made or E.O. 13771 Designation: Deregulatory. derived from tobacco and intended for Legal Authority: 21 U.S.C. 321; 21 human consumption, and potentially for DEPARTMENT OF HEALTH AND U.S.C. 336; 21 U.S.C. 341; 21 U.S.C. 343; other tobacco products including, but HUMAN SERVICES (HHS) 21 U.S.C. 348; 21 U.S.C. 371(e); 21 not limited to, novel tobacco products U.S.C. 379e such as dissolvables, lotions, gels, and Food and Drug Administration (FDA) Abstract: This final rule amends the drinks. This action is intended to Completed Actions standard of identity for yogurt and protect users and non-users from revokes the standards of identity for accidental exposures to nicotine- 248. Over-the-Counter (OTC) Drug lowfat yogurt and nonfat yogurt. It containing e-liquids in tobacco Review—Laxative Drug Products modernizes the standard for yogurt to products. E.O. 13771 Designation: Regulatory. allow for technological advances, to Timetable: Legal Authority: 21 U.S.C. 321; 21 preserve the basic nature and essential U.S.C. 331; 21 U.S.C. 351 to 353; 21 characteristics of yogurt, and to promote Action Date FR Cite U.S.C. 355; 21 U.S.C. 371 honesty and fair dealing in the interest Abstract: The OTC drug review NPRM ...... 03/00/21 of consumers. Section 701(e)(1), of the establishes conditions under which OTC drugs are considered generally Federal Food, Drug, and Cosmetic Act Regulatory Flexibility Analysis recognized as safe and effective, and not requires that the amendment or repeal Required: Yes. of the definition and standard of Agency Contact: Courtney Smith, misbranded. After a final monograph identity for a dairy product proceed Senior Regulatory Counsel, Department (i.e., final rule) is issued, only OTC under a formal rulemaking process. of Health and Human Services, Food drugs meeting the conditions of the Such is consistent with the formal and Drug Administration, Center for monograph, or having an approved new rulemaking provisions of the Tobacco Products, Document Control drug application, may be legally Administrative Procedures Act (5 U.S.C. Center, Building 71, Room G335, 10903 marketed. The final rule listed will 556 and 557). Although, standard New Hampshire Avenue, Silver Spring, address the professional labeling for practice is not to include formal MD 20993, Phone: 301 796–3894, Fax: sodium phosphate drug products. Completed: rulemaking in the Unified Agenda, this 301 595–1426, Email: ctpregulations@ rule is included to highlight the de- fda.hhs.gov. Action Date FR Cite regulatory work in this space. RIN: 0910–AH24 Timetable: 247. Adminstrative Detention of Withdrawn ...... 10/23/19 Action Date FR Cite Tobacco Products Regulatory Flexibility Analysis E.O. 13771 Designation: Other. ANPRM ...... 07/03/03 68 FR 39873 Required: Yes. ANPRM Comment 10/01/03 Legal Authority: 21 U.S.C. 334; 21 Agency Contact: Janice Adams-King, Period End. U.S.C. 371 Phone: 301 796–3713, Fax: 301 796– NPRM ...... 01/15/09 74 FR 2443 Abstract: The FDA is proposing 9899, Email: janice.adams-king@ NPRM Comment 04/29/09 regulations to establish requirements for fda.hhs.gov. Period End. the administrative detention of tobacco RIN: 0910–AF38 Final Rule ...... 05/00/20 products. This action, if finalized, would allow FDA to administratively 249. Over-the-Counter (OTC) Drug Regulatory Flexibility Analysis detain tobacco products encountered Review—Weight Control Products Required: Yes. during inspections that an officer or E.O. 13771 Designation: Regulatory.
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Legal Authority: 21 U.S.C. 321p; 21 251. Combinations of Bronchodilators Action Date FR Cite U.S.C. 331; 21 U.S.C. 351 to 353; 21 With Expectorants; Cold, Cough, U.S.C. 355; 21 U.S.C. 360; 21 U.S.C. 371 Allergy, Bronchodilator, and Final Rule ...... 04/12/19 84 FR 14847 Antiasthmatic Drug Products for Over- Final Rule Effec- 04/13/20 Abstract: The OTC drug review tive. establishes conditions under which the-Counter Human Use OTC drugs are considered generally E.O. 13771 Designation: Regulatory. Regulatory Flexibility Analysis recognized as safe and effective and not Legal Authority: 21 U.S.C. 321(p); 21 Required: Yes. misbranded. After a final monograph U.S.C. 331; 21 U.S.C. 351 to 353; 21 Agency Contact: Anita Kumar, Phone: (i.e., final rule) is issued, only OTC U.S.C. 355; 21 U.S.C. 360; 21 U.S.C. 371 301 796–1032, Email: anita.kumar@ drugs meeting the conditions of the Abstract: The OTC drug review fda.hhs.gov. monograph, or having an approved new establishes conditions under which RIN: 0910–AH97 drug application, may be legally OTC drugs are considered generally marketed. The final action finalizes the recognized as safe and effective, and not 2005 proposed rule for weight control misbranded. After a final monograph DEPARTMENT OF HEALTH AND products containing (i.e., final rule) is issued, only OTC HUMAN SERVICES (HHS) phenylpropanolamine. drugs meeting the conditions of the Completed: monograph, or having an approved new Centers for Medicare & Medicaid drug application, may be legally Services (CMS) Action Date FR Cite marketed. These actions will propose changes to the final monograph for Proposed Rule Stage Withdrawn ...... 10/23/19 Cold, Cough, Allergy, Bronchodilator, 253. • CY 2021 Revisions to Payment and Antiasthmatic Drug Products to Policies Under the Physician Fee Regulatory Flexibility Analysis address cough/cold drug products Schedule and Other Revisions to Required: Yes. containing an oral bronchodilator Medicare Part B (CMS–1734–P) (Section Agency Contact: Janice Adams-King, (ephedrine and its salts) in combination 610 Review) Phone: 301 796–3713, Email: with any expectorant. E.O. 13771 Designation: Other. [email protected]. Completed: Legal Authority: 42 U.S.C. 1302; 42 RIN: 0910–AF45 U.S.C. 1395hh Action Date FR Cite Abstract: This annual proposed rule 250. Electronic Distribution of would revise payment polices under the Prescribing Information for Human Withdrawn ...... 10/23/19 Medicare physician fee schedule, and Prescription Drugs Including Biological make other policy changes to payment Products Regulatory Flexibility Analysis Required: Yes. under Medicare Part B. These changes E.O. 13771 Designation: Other. Agency Contact: Janice Adams-King, would apply to services furnished Legal Authority: 21 U.S.C. 321; 21 Phone: 301 796–3713, Fax: 301 796– beginning January 1, 2021. Additionally, U.S.C. 331; 21 U.S.C. 351 to 353; 21 9899, Email: janice.adams-king@ this rule proposes updates to the U.S.C. 355; 21 U.S.C. 358; 21 U.S.C. 360; fda.hhs.gov. Quality Payment Program. Timetable: 21 U.S.C. 360b; 21 U.S.C. 360gg to RIN: 0910–AH16 360ss; 21 U.S.C. 371; 21 U.S.C. 374; 21 252. Topical Antimicrobial Drug Action Date FR Cite U.S.C. 379e; 42 U.S.C. 216; 42 U.S.C. Products for Over-the-Counter Human 241; 42 U.S.C. 262; 42 U.S.C. 264 Use: Final Monograph for Consumer NPRM ...... 06/00/20 Abstract: This rule would require Antiseptic Rub Products electronic package inserts for human Regulatory Flexibility Analysis drug and biological prescription E.O. 13771 Designation: Regulatory. Required: Yes. products with limited exceptions, in Legal Authority: 21 U.S.C. 321; 21 Agency Contact: Marge Watchorn, lieu of paper, which is currently used. U.S.C. 331; 21 U.S.C. 351 to 353; 21 Deputy Director, Division of Practitioner These inserts contain prescribing U.S.C. 355; 21 U.S.C. 360 and 361; 21 Services, Department of Health and information intended for healthcare U.S.C. 371; 21 U.S.C. 374 and 375; 21 Human Services, Centers for Medicare & practitioners. This would ensure that U.S.C. 379; 42 U.S.C. 216; 42 U.S.C. 241 Medicaid Services, Center for Medicare, the information accompanying the and 242; 42 U.S.C. 262 MS: C4–01–15, 7500 Security product is the most up-to-date Abstract: This final rule finalizes part Boulevard, Baltimore, MD 21244, information regarding important safety of the 1994 tentative final monograph Phone: 410 786–4361, Email: and efficacy issues about these (TFM) for over-the-counter (OTC) [email protected]. products. antiseptic drug products that published RIN: 0938–AU10 in the Federal Register of June 17, 1994, • Completed: (the 1994 TFM). The final rule is part of 254. Hospital Inpatient Prospective the ongoing review of OTC drug Payment Systems for Acute Care Action Date FR Cite products conducted by FDA. In this Hospitals; the Long-Term Care Hospital Prospective Payment System; and FY Withdrawn ...... 10/23/19 final rule, we address whether certain active ingredients used in OTC 2021 Rates (CMS–1735–P) (Section 610 consumer antiseptic products intended Review) Regulatory Flexibility Analysis for use without water (referred to as Required: Yes. E.O. 13771 Designation: Other. consumer antiseptic rubs) are eligible Legal Authority: 42 U.S.C. 1302; 42 Agency Contact: Michael Bernstein, for evaluation under the OTC Drug U.S.C. 1395hh Phone: 301 796–3478, Email: Review for use in consumer antiseptic Abstract: This annual proposed rule [email protected]. rub products. would revise the Medicare hospital RIN: 0910–AG18 Completed: inpatient and long-term care hospital
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prospective payment systems for 21244, Phone: 410 786–4617, Email: Action Date FR Cite operating and capital-related costs. This [email protected]. proposed rule would implement RIN: 0938–AU12 NPRM ...... 08/14/19 84 FR 40482 changes arising from our continuing NPRM Comment 09/27/19 experience with these systems. In Period End. addition, the rule proposes to establish Final Action ...... 11/00/19 DEPARTMENT OF HEALTH AND new requirements or revise existing HUMAN SERVICES (HHS) requirements for quality reporting by Regulatory Flexibility Analysis specific Medicare providers. Centers for Medicare & Medicaid Required: Yes. Timetable: Services (CMS) Agency Contact: Marge Watchorn, Final Rule Stage Deputy Director, Division of Practitioner Action Date FR Cite Services, Department of Health and 256. CY 2020 Home Health Prospective NPRM ...... 04/00/20 Human Services, Centers for Medicare & Payment System Rate Update and Medicaid Services, Center for Medicare, Quality Reporting Requirements (CMS– MS: C4–01–15, 7500 Security Regulatory Flexibility Analysis 1711–F) (Section 610 Review) Required: Yes. Boulevard, Baltimore, MD 21244, Agency Contact: Donald Thompson, E.O. 13771 Designation: Regulatory. Phone: 410 786–4361, Email: Director, Division of Acute Care, Legal Authority: 42 U.S.C. 1302; 42 [email protected]. Department of Health and Human U.S.C. 1395(hh) RIN: 0938–AT72 Services, Centers for Medicare & Abstract: This annual final rule 258. CY 2020 Hospital Outpatient PPS Medicaid Services, Center for Medicare, updates the payment rates under the Policy Changes and Payment Rates and MS: C4–08–06, 7500 Security Medicare prospective payment system Ambulatory Surgical Center Payment Boulevard, Baltimore, MD 21244, for home health agencies. In addition, System Policy Changes and Payment Phone: 410 786–6504, Email: this rule finalizes changes to the Home Rates (CMS–1717–F) (Section 610 [email protected]. Health Value-Based Purchasing Review) RIN: 0938–AU11 (HHVBP) Model and to the Home Health Quality Reporting Program (HH QRP). 255. • CY 2021 Hospital Outpatient PPS E.O. 13771 Designation: Regulatory. Timetable: Policy Changes and Payment Rates and Legal Authority: 42 U.S.C. 1302; 42 Ambulatory Surgical Center Payment Action Date FR Cite U.S.C. 1395hh System Policy Changes and Payment Abstract: This annual final rule Rates (CMS–1736–P) (Section 610 NPRM ...... 07/18/19 84 FR 34598 revises the Medicare hospital outpatient Review) NPRM Comment 09/09/19 prospective payment system to Period End. E.O. 13771 Designation: Other. Final Action ...... 11/00/19 implement statutory requirements and Legal Authority: 42 U.S.C. 1302; 42 changes arising from our continuing U.S.C. 1395hh experience with this system. The rule Regulatory Flexibility Analysis describes changes to the amounts and Abstract: This annual proposed rule Required: Yes. would revise the Medicare hospital factors used to determine payment rates Agency Contact: Hillary Loeffler, outpatient prospective payment system for services. In addition, the rule Director, Division of Home Health and to implement statutory requirements finalizes changes to the ambulatory Hospice, Department of Health and and changes arising from our continuing surgical center payment system list of Human Services, Centers for Medicare & experience with this system. The services and rates. This rule also Medicaid Services, Center for Medicare, proposed rule describes changes to the updates and refines the requirements for MS: C5–07–22, 7500 Security amounts and factors used to determine the Hospital Outpatient Quality Boulevard, Baltimore, MD 21244, payment rates for services. In addition, Reporting (OQR) Program and the ASC Phone: 410 786–0456, Email: the rule proposes changes to the Quality Reporting (ASCQR) Program. [email protected]. ambulatory surgical center payment Timetable: system list of services and rates. This RIN: 0938–AT68 proposed rule would also update and 257. CY 2020 Revisions to Payment Action Date FR Cite refine the requirements for the Hospital Policies Under the Physician Fee Outpatient Quality Reporting (OQR) Schedule and Other Revisions to NPRM ...... 08/09/19 84 FR 39398 Program and the ASC Quality Reporting Medicare Part B (CMS–1715–F) (Section NPRM Comment 09/27/19 (ASCQR) Program. 610 Review) Period End. Timetable: Final Action ...... 11/00/19 E.O. 13771 Designation: Regulatory. Action Date FR Cite Legal Authority: 42 U.S.C. 1302; 42 Regulatory Flexibility Analysis U.S.C. 1395hh Required: Yes. NPRM ...... 06/00/20 Abstract: This annual final rule revises payment polices under the Agency Contact: Elise Barringer, Regulatory Flexibility Analysis Medicare physician fee schedule, and Health Insurance Specialist, Department Required: Yes. makes other policy changes to payment of Health and Human Services, Centers Agency Contact: Marjorie Baldo, under Medicare Part B. These changes for Medicare & Medicaid Services, Health Insurance Specialist, Department apply to services furnished beginning Center for Medicare, MS: C4–03–06, of Health and Human Services, Centers January 1, 2020. Additionally, this rule 7500 Security Boulevard, Baltimore, MD for Medicare & Medicaid Services, finalizes updates to the Quality Payment 21244, Phone: 410 786–9222, Email: Center for Medicare, MS: C4–03–06, Program. [email protected]. 7500 Security Boulevard, Baltimore, MD Timetable: RIN: 0938–AT74
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DEPARTMENT OF HEALTH AND the Social Security Act; sec. Reason Date FR Cite HUMAN SERVICES (HHS) 1819(b)(1)(A) and 1919 (b)(1)(A) of the Social Security Act Continuation No- 06/11/19 84 FR 27069 Centers for Medicare & Medicaid Abstract: This final rule reforms the tice. Services (CMS) Final Action— 09/30/19 84 FR 51732 requirements that long-term care Long-Term Actions Merged With facilities must meet to participate in the 0938–AT23. 259. Durable Medical Equipment Fee Medicare and Medicaid programs that Final Action Effec- 11/29/19 Schedule, Adjustments To Resume the CMS has identified as unnecessary, tive. Transitional 50/50 Blended Rates To obsolete, or excessively burdensome on Final Action— 09/30/19 84 FR 51836 Provide Relief in Non-Competitive facilities. This rule increases the ability Merged With of healthcare professionals to devote 0938–AS59. Bidding Areas (CMS–1687–F) (Section Final Action Effec- 11/29/19 610 Review) resources to improving resident care by eliminating or reducing requirements tive. E.O. 13771 Designation: Other. that impede quality care or that divert Legal Authority: 42 U.S.C. 1302, resources away from providing high- Regulatory Flexibility Analysis 1395hh, and 1395rr(b)(l)); Pub. L. 114– quality care. Required: No. 255, sec. 5004(b), 16007(a) and 16008 Agency Contact: Scott Cooper, Phone: Timetable: Abstract: This final rule follows the 410 786–9465, Email: scott.cooper@ interim final rule that published May Action Date FR Cite cms.hhs.gov. 11, 2018, and extended the end of the RIN: 0938–AS21 transition period from June 30, 2016, to NPRM ...... 07/18/19 84 FR 34737 262. FY 2020 Inpatient Psychiatric December 31, 2016 for phasing in NPRM Comment 09/16/19 adjustments to the fee schedule amounts Period End. Facilities Prospective Payment System for certain durable medical equipment Final Action ...... 07/00/22 Rate and Quality Reporting Updates (DME) and enteral nutrition paid in (CMS–1712–F) areas not subject to the Durable Medical Regulatory Flexibility Analysis E.O. 13771 Designation: Other. Equipment, Prosthetics, Orthotics, and Required: Yes. Legal Authority: 42 U.S.C. 1302; 42 Supplies (DMEPOS) Competitive Agency Contact: Ronisha Blackstone, U.S.C. 1395f; 42 U.S.C. 1395g; 42 U.S.C. Bidding Program (CBP). In addition, the Health Insurance Specialist, Department 1395hh; . . . interim rule amended the regulation to of Health and Human Services, Centers Abstract: This annual final rule resume the transition period for items for Medicare & Medicaid Services, updates the prospective payment rates furnished from August 1, 2017, through Center for Clinical Standards and for inpatient psychiatric facilities (IPF) December 31, 2018. The interim rule Quality, MS: S3–02–01, 7500 Security with discharges beginning on October 1, also made technical amendments to Boulevard, Baltimore, MD 21244, 2019. The rule also includes updates to existing regulations for DMEPOS items Phone: 410 786–6882, Email: the IPF Quality Reporting Program. and services to exclude infusion drugs [email protected]. Completed: used with DME from the DMEPOS CBP. RIN: 0938–AT36 Timetable: Reason Date FR Cite
Action Date FR Cite NPRM ...... 04/23/19 84 FR 16948 DEPARTMENT OF HEALTH AND Final Action ...... 08/06/19 84 FR 38424 Interim Final Rule 05/11/18 83 FR 21912 HUMAN SERVICES (HHS) Final Action Effec- 10/01/19 Interim Final Rule 07/09/18 tive. Comment Pe- Centers for Medicare & Medicaid riod End. Services (CMS) Regulatory Flexibility Analysis Final Action to be 05/00/21 Required: Yes. Completed Actions Merged With Agency Contact: Sherlene Jacques, 0938–AU17. 261. Hospital and Critical Access Phone: 410 786–0510, Email: Regulatory Flexibility Analysis Hospital (CAH) Changes To Promote [email protected]. Required: Yes. Innovation, Flexibility, and RIN: 0938–AT69 Improvement in Patient Care (CMS– Agency Contact: Alexander Ullman, 263. Hospital Inpatient Prospective 3295–F) (Rulemaking Resulting From a Health Insurance Specialist, Department Payment Systems for Acute Care Section 610 Review) of Health and Human Services, Centers Hospitals; The Long-Term Care for Medicare & Medicaid Services, E.O. 13771 Designation: Regulatory. Hospital Prospective Payment System; Center for Medicare, MS: C5–07–26, Legal Authority: 42 U.S.C. 1302; 42 and FY 2020 Rates (CMS–1716–F) 7500 Security Boulevard, Baltimore, MD U.S.C. 1395hh and 1395rr (Section 610 Review) 21244, Phone: 410 786–9671, Email: Abstract: This final rule updates the [email protected]. E.O. 13771 Designation: Regulatory. RIN: 0938–AT21 requirements that hospitals and critical Legal Authority: 42 U.S.C. 1302; 42 access hospitals (CAHs) must meet to U.S.C. 1395hh 260. Requirements for Long-Term Care participate in the Medicare and Abstract: This annual final rule Facilities: Regulatory Provisions To Medicaid programs. These final revises the Medicare hospital inpatient Promote Program Efficiency, requirements are intended to conform and long-term care hospital prospective Transparency, and Burden Reduction the requirements to current standards of payment systems for operating and (CMS–3347–F) (Section 610 Review) practice and support improvements in capital-related costs. This rule would E.O. 13771 Designation: Deregulatory. quality of care, reduce barriers to care, implements changes arising from our Legal Authority: secs.1819 and 1919 and reduce some issues that may continuing experience with these of the Social Security Act; exacerbate workforce shortage concerns. systems. In addition, the rule establishes sec.1819(d)(4)(B) and 1919(d)(4)(B) of Completed: new requirements or revises existing
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requirements for quality reporting by Regulatory Flexibility Analysis specific Medicare providers. Required: Yes. Completed: Agency Contact: Donald Thompson, Phone: 410 786–6504, Email: Reason Date FR Cite [email protected].
NPRM ...... 05/03/19 84 FR 19158 RIN: 0938–AT73 Final Action ...... 08/16/19 84 FR 42044 [FR Doc. 2019–26539 Filed 12–23–19; 8:45 am] Final Action Effec- 10/01/19 BILLING CODE 4150–03–P tive.
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Vol. 84 Thursday, No. 247 December 26, 2019
Part VIII
Department of Homeland Security
Semiannual Regulatory Agenda
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DEPARTMENT OF HOMELAND Department of Homeland Security, 2707 Beginning in fall 2007, the internet SECURITY Martin Luther King Jr. Avenue SE, Mail became the basic means for Stop 0485, Washington, DC 20528– disseminating the Unified Agenda. The Office of the Secretary 0485. complete Unified Agenda is available online at www.reginfo.gov. 6 CFR Chs. I and II Specific: Please direct specific comments and inquiries on individual The Regulatory Flexibility Act (5 [DHS Docket No. OGC–RP–04–001] actions identified in this agenda to the U.S.C. 602) requires Federal agencies to individual listed in the summary publish their regulatory flexibility agendas in the Federal Register. A Unified Agenda of Federal Regulatory portion as the point of contact for that regulatory flexibility agenda shall and Deregulatory Actions action. contain, among other things, a brief AGENCY: Office of the Secretary, DHS. SUPPLEMENTARY INFORMATION: DHS description of the subject area of any ACTION: Semiannual regulatory agenda. provides this notice pursuant to the rule which is likely to have a significant SUMMARY: This regulatory agenda is a requirements of the Regulatory economic impact on a substantial semiannual summary of projected Flexibility Act (Pub. L. 96–354, Sept. 19, number of small entities. DHS’s printed regulations, existing regulations, and 1980) and Executive Order 12866 agenda entries include regulatory completed actions of the Department of ‘‘Regulatory Planning and Review’’ actions that are in the Department’s Homeland Security (DHS) and its (Sept. 30, 1993) as incorporated in regulatory flexibility agenda. Printing of components. This agenda provides the Executive Order 13563 ‘‘Improving these entries is limited to fields that public with information about DHS’s Regulation and Regulatory Review’’ contain information required by the regulatory and deregulatory activity. (Jan. 18, 2011) and Executive Order agenda provisions of the Regulatory DHS expects that this information will 13771 ‘‘Reducing Regulation and Flexibility Act. Additional information enable the public to be more aware of, Controlling Regulatory Costs’’ (Jan. 30, on these entries is available in the and effectively participate in, the 2017), which require the Department to Unified Agenda published on the Department’s regulatory and publish a semiannual agenda of internet. deregulatory activity. DHS invites the regulations. The regulatory agenda is a The semiannual agenda of the public to submit comments on any summary of existing and projected Department conforms to the Unified aspect of this agenda. regulations as well as actions completed Agenda format developed by the Regulatory Information Service Center. FOR FURTHER INFORMATION CONTACT: since the publication of the last General: Please direct general regulatory agenda for the Department. Dated: August 29, 2019. comments and inquiries on the agenda DHS’s last semiannual regulatory Christina E. McDonald, to the Regulatory Affairs Law Division, agenda was published on June 24, 2019, Associate General Counsel for Regulatory Office of the General Counsel, U.S. at 84 FR 29636. Affairs.
OFFICE OF THE SECRETARY—FINAL RULE STAGE
Regulation Sequence No. Title Identifier No.
264 ...... Homeland Security Acquisition Regulation: Safeguarding of Controlled Unclassified Sensitive Information 1601–AA76 (HSAR Case 2015–001). 265 ...... Homeland Security Acquisition Regulation: Information Technology Security Awareness Training (HSAR 1601–AA78 Case 2015–002). 266 ...... Homeland Security Acquisition Regulation: Privacy Training (HSAR Case 2015–003) ...... 1601–AA79
OFFICE OF THE SECRETARY—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
267 ...... Homeland Security Acquisition Regulation, Enhancement of Whistleblower Protections for Contractor Em- 1601–AA72 ployees.
U.S. CITIZENSHIP AND IMMIGRATION SERVICES—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
268 ...... Requirements for Filing Motions and Administrative Appeals ...... 1615–AB98 269 ...... EB–5 Immigrant Investor Regional Center Program ...... 1615–AC11 270 ...... Removing H–4 Dependent Spouses From the Classes of Aliens Eligible for Employment Authorization 1615–AC15 (Reg Plan Seq No. 67). 271 ...... U.S. Citizenship and Immigration Services Fee Schedule and Changes to Certain Other Immigration Ben- 1615–AC18 efit Request Requirements (Reg Plan Seq No. 68). 272 ...... Electronic Processing of Immigration Benefit Requests (Reg Plan Seq No. 70) ...... 1615–AC20 References in boldface appear in The Regulatory Plan in part II of this issue of the Federal Register.
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U.S. CITIZENSHIP AND IMMIGRATION SERVICES—COMPLETED ACTIONS
Regulation Sequence No. Title Identifier No.
273 ...... Inadmissibility on Public Charge Grounds ...... 1615–AA22 274 ...... EB–5 Immigrant Investor Program Modernization ...... 1615–AC07
U.S. COAST GUARD—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
275 ...... Financial Responsibility—Vessels; Superseded Pollution Funds (USCG–2017–0788) ...... 1625–AC39
U.S. COAST GUARD—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
276 ...... Commercial Fishing Vessels—Implementation of 2010 and 2012 Legislation ...... 1625–AB85
U.S. CUSTOMS AND BORDER PROTECTION—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
277 ...... Importer Security Filing and Additional Carrier Requirements (Section 610 Review) ...... 1651–AA70 278 ...... Implementation of the Guam-CNMI Visa Waiver Program (Section 610 Review) ...... 1651–AA77
TRANSPORTATION SECURITY ADMINISTRATION—FINAL RULE STAGE
Regulation Sequence No. Title Identifier No.
279 ...... Security Training for Surface Transportation Employees (Reg Plan Seq No. 85) ...... 1652–AA55 References in boldface appear in The Regulatory Plan in part II of this issue of the Federal Register.
U.S. IMMIGRATION AND CUSTOMS ENFORCEMENT—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
280 ...... Visa Security Program Fee (Reg Plan Seq No. 86) ...... 1653–AA77 References in boldface appear in The Regulatory Plan in part II of this issue of the Federal Register.
U.S. IMMIGRATION AND CUSTOMS ENFORCEMENT—FINAL RULE STAGE
Regulation Sequence No. Title Identifier No.
281 ...... Procedures and Standards for Declining Surety Immigration Bonds and Administrative Appeal Require- 1653–AA67 ment for Breaches.
U.S. IMMIGRATION AND CUSTOMS ENFORCEMENT—COMPLETED ACTIONS
Regulation Sequence No. Title Identifier No.
282 ...... Adjusting Program Fees for the Student and Exchange Visitor Program ...... 1653–AA74 283 ...... Apprehension, Processing, Care and Custody of Alien Minors and Unaccompanied Alien Children ...... 1653–AA75
CYBERSECURITY AND INFRASTRUCTURE SECURITY AGENCY—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
284 ...... Ammonium Nitrate Security Program ...... 1670–AA00 285 ...... Chemical Facility Anti-Terrorism Standards (CFATS) ...... 1670–AA01
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DEPARTMENT OF HOMELAND Legal Authority: 5 U.S.C. 301 and 302; Action Date FR Cite SECURITY (DHS) 41 U.S.C. 1707; 41 U.S.C. 1302 and 1303 Abstract: This Homeland Security NPRM Comment 03/20/17 Office of the Secretary (OS) Acquisition Regulation (HSAR) rule Period End. Final Rule Stage would standardize information NPRM Comment 03/20/17 82 FR 14341 technology security awareness training Period Ex- 264. Homeland Security Acquisition and DHS Rules of Behavior tended. Regulation: Safeguarding of Controlled NPRM Comment 04/19/17 requirements for contractor and Period Ex- Unclassified Sensitive Information subcontractor employees who access (HSAR Case 2015–001) tended End. DHS information systems and Final Rule ...... 09/00/20 E.O. 13771 Designation: Fully or information resources or contractor- Partially Exempt. owned and/or operated information Regulatory Flexibility Analysis Legal Authority: 5 U.S.C. 301 to 302; systems and information resources Required: Yes. 41 U.S.C. 1302; 41 U.S.C. 1303; 41 capable of collecting, processing, Agency Contact: Candace Lightfoot, U.S.C. 1707 storing, or transmitting controlled Procurement Analyst, Department of Abstract: This Homeland Security unclassified information (CUI). Homeland Security, Office of the Chief Timetable: Acquisition Regulation (HSAR) rule Procurement Officer, Acquisition Policy would implement security and privacy Action Date FR Cite and Legislation, Room 3636–15, 301 7th measures to ensure Controlled Street SW, Washington, DC 20528, Unclassified Information (CUI), such as NPRM ...... 01/19/17 82 FR 6446 Phone: 202 447–0082, Email: Personally Identifiable Information (PII), NPRM Comment 03/20/17 [email protected]. is adequately safeguarded by DHS Period End. Nancy Harvey, Policy Analyst, contractors. Specifically, the rule would NPRM Comment 03/20/17 82 FR 14341 Department of Homeland Security, define key terms, outline security Period Ex- Office of the Chief Procurement Officer, requirements and inspection provisions tended. Room 3636–15, 301 7th Street SW, for contractor information technology NPRM Comment 04/19/17 Washington, DC 20528, Phone: 202 447– (IT) systems that store, process or Period Ex- 0956, Email: [email protected]. transmit CUI, institute incident tended End. Final Rule ...... 09/00/20 RIN: 1601–AA79 notification and response procedures, and identify post-incident credit Regulatory Flexibility Analysis monitoring requirements. Required: Yes. Timetable: Agency Contact: Shaundra Duggans, DEPARTMENT OF HOMELAND Procurement Analyst, Department of SECURITY (DHS) Action Date FR Cite Homeland Security, Office of the Chief Office of the Secretary (OS) NPRM ...... 01/19/17 82 FR 6429 Procurement Officer, Acquisition Policy NPRM Comment 03/20/17 and Legislation, 245 Murray Lane SW, Long-Term Actions Period End. Washington, DC 20528, Phone: 202 447– 267. Homeland Security Acquisition NPRM Comment 03/20/17 82 FR 14341 0056, Email: shaundra.duggans@ Regulation, Enhancement of Period Ex- hq.dhs.gov. Whistleblower Protections for tended. Nancy Harvey, Policy Analyst, Contractor Employees NPRM Comment 04/19/17 Department of Homeland Security, Period Ex- Office of the Chief Procurement Officer, E.O. 13771 Designation: Other. tended End. Legal Authority: Sec. 827 of the Final Rule ...... 09/00/20 Room 3636–15, 301 7th Street SW, Washington, DC 20528, Phone: 202 447– National Defense Authorization Act (NDAA) for Fiscal Year 2013, (Pub. L. Regulatory Flexibility Analysis 0956, Email: [email protected]. 112–239, enacted January 2, 2013); 41 Required: Yes. RIN: 1601–AA78 U.S.C. 1302(a)(2); 41 U.S.C. 1707 Agency Contact: Shaundra Duggans, 266. Homeland Security Acquisition Abstract: The Department of Procurement Analyst, Department of Regulation: Privacy Training (HSAR Homeland Security (DHS) is proposing Homeland Security, Office of the Chief Case 2015–003) to amend its Homeland Security Procurement Officer, Acquisition Policy E.O. 13771 Designation: Fully or Acquisition Regulation (HSAR) parts and Legislation, 245 Murray Lane SW, Partially Exempt. 3003 and 3052 to implement section 827 Washington, DC 20528, Phone: 202 447– Legal Authority: 5 U.S.C. 301 and 302; of the National Defense Authorization 0056, Email: shaundra.duggans@ 41 U.S.C. 1707; 41 U.S.C. 1702; 41 Act (NDAA) for Fiscal Year (FY) 2013 hq.dhs.gov. U.S.C. 1303 Nancy Harvey, Policy Analyst, (Pub. L. 112–239, enacted January 2, Abstract: This Homeland Security 2013) for the United States Coast Guard Department of Homeland Security, Acquisition Regulation (HSAR) rule Office of the Chief Procurement Officer, (USCG). Section 827 of the NDAA for would require contractors to complete FY 2013 established enhancements to Room 3636–15, 301 7th Street SW, training that addresses the protection of Washington, DC 20528, Phone: 202 447– the Whistleblower Protections for privacy, in accordance with the Privacy Contractor Employees for all agencies 0956, Email: [email protected]. Act of 1974, and the handling and RIN: 1601–AA76 subject to section 2409 of title 10, safeguarding of Personally Identifiable United States Code, which includes the 265. Homeland Security Acquisition Information and Sensitive Personally USCG. Regulation: Information Technology Identifiable Information. Timetable: Security Awareness Training (HSAR Timetable: Case 2015–002) Action Date FR Cite Action Date FR Cite E.O. 13771 Designation: Fully or NPRM ...... 11/00/20 Partially Exempt. NPRM ...... 01/19/17 82 FR 6425
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Regulatory Flexibility Analysis Legal Authority: 8 U.S.C. 1153(b)(5); RIN: 1615–AC18 Required: Yes. Pub. L. 102–395, secs. 610 and 601(a); 272. Electronic Processing of Agency Contact: Nancy Harvey, Pub. L. 107–273, sec. 11037; Pub. L. Immigration Benefit Requests Policy Analyst, Department of 101–649, sec. 121(a); Pub. L. 105–119, Homeland Security, Office of the Chief sec. 116; Pub. L. 106–396, sec. 402; Pub. Regulatory Plan: This entry is Seq. Procurement Officer, Room 3636–15, L. 108–156, sec. 4; Pub. L. 112–176, sec. No. 70 in part II of this issue of the 301 7th Street SW, Washington, DC 1; Pub. L. 114–113, sec. 575; Pub. L. Federal Register. 20528, Phone: 202 447–0956, Email: 114–53, sec. 131; Pub. L. 107–273 RIN: 1615–AC20 [email protected]. Abstract: The Department of RIN: 1601–AA72 Homeland Security (DHS) is considering making regulatory changes to the EB–5 DEPARTMENT OF HOMELAND Immigrant Investor Regional Center SECURITY (DHS) Program. DHS issued an Advance DEPARTMENT OF HOMELAND Notice of Proposed Rulemaking U.S. Citizenship and Immigration SECURITY (DHS) (ANPRM) to seek comment from the Services (USCIS) U.S. Citizenship and Immigration public on several topics, including: (1) Completed Actions Services (USCIS) The process for initially designating entities as regional centers, (2) a 273. Inadmissibility on Public Charge Proposed Rule Stage potential requirement for regional Grounds 268. Requirements for Filing Motions centers to utilize an exemplar filing E.O. 13771 Designation: Regulatory. and Administrative Appeals process, (3) continued participation Legal Authority: 8 U.S.C. 1101 to E.O. 13771 Designation: Other. requirements for maintaining regional 1103; 8 U.S.C. 1182 and 1183; . . . Legal Authority: 5 U.S.C. 552 and center designation; and (4) the process Abstract: The Department of 552a; 8 U.S.C. 1101; 8 U.S.C. 1103; 8 for terminating regional center Homeland Security (DHS) proposed to U.S.C. 1304; 6 U.S.C. 112 designation. While DHS has gathered codify in regulations how it will Abstract: This rule proposes to revise some information related to these implement the public charge ground of the requirements and procedures for the topics, the ANPRM sought additional inadmissibility under 8 U.S.C. filing of motions and appeals before the information that can help the 1182(a)(4) on October 10, 2018. After Department of Homeland Security Department make operational and reviewing public feedback on that (DHS), U.S. Citizenship and security updates to the Regional Center proposed rule, on August 14, 2019, DHS Immigration Services (USCIS), and its Program while minimizing the impact of issued a final rule amending our Administrative Appeals Office (AAO). such changes on regional center regulations to prescribe how DHS will The proposed changes are intended to operations and EB–5 investors. determine if an alien is inadmissible on streamline the existing processes for Timetable: public charge grounds. Timetable: filing motions and appeals and are Action Date FR Cite intended to reduce delays in the review Action Date FR Cite and appellate process. This rule will ANPRM ...... 01/11/17 82 FR 3211 also propose additional changes ANPRM Comment 04/11/17 NPRM ...... 05/26/99 64 FR 28676 necessitated by the establishment of Period End. NPRM Comment 07/26/99 DHS and its components. The proposed NPRM ...... 08/00/20 Period End. changes are intended to promote NPRM ...... 10/10/18 83 FR 51114 simplicity, accessibility, and efficiency Regulatory Flexibility Analysis NPRM Comment 12/10/18 Required: Yes. Period End. in the administration of USCIS appeals Final Rule ...... 08/14/19 84 FR 41292 and motions. The Department will also Agency Contact: Brian Hunt, Acting Chief, Business and Foreign Workers Final Rule Effec- 10/15/19 solicit public comment on proposed tive. changes to the AAO’s appellate Division, Office of Policy and Strategy, Final Rule; Cor- 10/02/19 84 FR 52357 jurisdiction. Department of Homeland Security, U.S. rection. Timetable: Citizenship and Immigration Services, Final Rule Effec- 10/15/19 20 Massachusetts Avenue NW, Suite tive; Correction. Action Date FR Cite 1200, Washington, DC 20529–2200, Phone: 202 272–8377, Fax: 202 272– Regulatory Flexibility Analysis NPRM ...... 12/00/19 1480, Email: [email protected]. Required: Yes. RIN: 1615–AC11 Agency Contact: Mark Phillips, Chief, Regulatory Flexibility Analysis Residence and Naturalization Division, 270. Removing H–4 Dependent Spouses Required: Yes. Department of Homeland Security, U.S. From the Classes of Aliens Eligible for Agency Contact: William K. Renwick, Citizenship and Immigration Services, Employment Authorization Jr., Acting Deputy Chief, Department of Office of Policy and Strategy, 20 Homeland Security, U.S. Citizenship Regulatory Plan: This entry is Seq. Massachusetts Avenue NW, and Immigration Services, No. 67 in part II of this issue of the Washington, DC 20529, Phone: 202 272– Administrative Appeals Office, 20 Federal Register. 8377, Fax: 202 272–1480, Email: Massachusetts Avenue NW, RIN: 1615–AC15 [email protected]. Washington, DC 20529–2090, Phone: 271. U.S. Citizenship and Immigration RIN: 1615–AA22 202 272–8377, Fax: 202 272–1480, Services Fee Schedule and Changes to 274. EB–5 Immigrant Investor Program Email: [email protected]. Certain Other Immigration Benefit RIN: 1615–AB98 Modernization. Request Requirements E.O. 13771 Designation: Other. 269. EB–5 Immigrant Investor Regional Regulatory Plan: This entry is Seq. Legal Authority: 8 U.S.C. 1153(b)(5) Center Program No. 68 in part II of this issue of the Abstract: In January 2017, the E.O. 13771 Designation: Other. Federal Register. Department of Homeland Security
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(DHS) proposed to amend its regulations DEPARTMENT OF HOMELAND DEPARTMENT OF HOMELAND governing the employment-based, fifth SECURITY (DHS) SECURITY (DHS) preference (EB–5) immigrant investor U.S. Coast Guard (USCG) U.S. Coast Guard (USCG) classification. In general, under the EB– 5 program, individuals are eligible to Proposed Rule Stage Long-Term Actions apply for lawful permanent residence in 275. Financial Responsibility—Vessels; 276. Commercial Fishing Vessels— the United States if they make the Superseded Pollution Funds (USCG– Implementation of 2010 and 2012 necessary investment in a commercial 2017–0788) Legislation enterprise in the United States and E.O. 13771 Designation: Other. create or, in certain circumstances, E.O. 13771 Designation: Not subject Legal Authority: Pub. L. 111–281 preserve 10 permanent full-time jobs for to, not significant. Abstract: The Coast Guard proposes to qualified U.S. workers. This rule sought Legal Authority: 33 U.S.C. 2704; 33 implement those requirements of 2010 public comment on a number of U.S.C. 2716 and 2716a; 42 U.S.C. 9607 and 2012 legislation that pertain to proposed changes to the EB–5 program to 9609; 6 U.S.C. 552; E.O. 12580; sec. uninspected commercial fishing regulations. Such proposed changes 7(b), 3 CFR, 1987; Comp., p. 193; E.O. industry vessels and that took effect included: Raising the minimum 12777, secs. 4 and 5, 3 CFR, 1991 upon enactment of the legislation but investment amount; allowing certain that, to be implemented, require Comp., p. 351, as amended by E.O. EB–5 petitioners to retain their original amendments to Coast Guard regulations 13286, sec. 89, 3; 3 CFR, 2004 Comp., priority date; changing the designation affecting those vessels. The applicability p. 166, and by E.O. 13638, sec. 1, 3 CFR, process for targeted employment areas; of the regulations is being changed, and 2014 Comp., p. 227; Department of and other miscellaneous changes to new requirements are being added to Homeland; Security Delegation Nos. filing and interview processes. On July safety training, equipment, vessel 0170.1 and 5110, Revision 01 25, 2019, DHS issued a final rule. This examinations, vessel safety standards, final rule changes certain aspects of the Abstract: The Coast Guard proposes to the documentation of maintenance, and EB–5 program that are in need of reform amend its rule on vessel financial the termination of unsafe operations. and updates the regulations to reflect responsibility to include tank vessels This rulemaking promotes the Coast statutory changes and codify existing greater than 100 gross tons, to clarify Guard’s maritime safety mission. Timetable: policies. This final rule makes five and strengthen the rule’s reporting requirements, to conform its rule to major categories of revisions to the Action Date FR Cite existing EB–5 program regulations. current practice, and to remove two Three of these categories, which involve superseded regulations. This NPRM ...... 06/21/16 81 FR 40437 (i) priority date retention; (ii) increasing rulemaking will ensure the Coast Guard NPRM Comment 08/15/16 81 FR 53986 the investment amounts; and (iii) has current information when there are Period Ex- reforming the TEA designations, are significant changes in a vessel’s tended. operation, ownership, or evidence of NPRM Comment 10/19/16 substantive. The two other major Period End. categories, focused on (iv) the removal financial responsibility, and reflect Second NPRM 12/18/16 of conditions; and (v) miscellaneous current best practices in the Coast Comment Pe- changes, involve generally technical Guard’s management of the Certificate riod End. adjustments to the EB–5 program. of Financial Responsibility Program. This rulemaking will also promote the Final Rule ...... To Be Determined Timetable: Coast Guard’s missions of maritime Regulatory Flexibility Analysis Action Date FR Cite stewardship, maritime security, and maritime safety. Required: Yes. Agency Contact: Joseph Myers, Project NPRM ...... 01/13/17 82 FR 4738 Timetable: Manager, Department of Homeland NPRM Comment 04/11/17 Security, U.S. Coast Guard, 2703 Martin Period End. Action Date FR Cite Luther King Jr. Avenue SE, STOP 7501, Final Rule ...... 07/24/19 84 FR 35750 Washington, DC 20593–7501, Phone: Final Rule Effec- 11/21/19 NPRM ...... 12/00/19 tive. 202 372–1249, Email: joseph.d.myers@ uscg.mil. Regulatory Flexibility Analysis RIN: 1625–AB85 Regulatory Flexibility Analysis Required: Yes. Required: Yes. Agency Contact: Benjamin White, Agency Contact: Edie Pearson, Project Manager, National Pollution DEPARTMENT OF HOMELAND Division Chief, Policy and Strategic Funds Center, Department of Homeland SECURITY (DHS) Learning, Department of Homeland Security, U.S. Coast Guard, 2703 Martin Security, U.S. Citizenship and Luther King Jr. Avenue SE, STOP 7605, U.S. Customs and Border Protection (USCBP) Immigration Services, Immigrant Washington, DC 20593–7605, Phone: Investor Program Office, 131 M Street 202 795–6066, Email: Long-Term Actions NE, Washington, DC 20529–2200, [email protected]. Phone: 202 272–8377, Fax: 202 272– 277. Importer Security Filing and RIN: 1625–AC39 1480, Email: edie.c.pearson@ Additional Carrier Requirements (Section 610 Review) uscis.dhs.gov. E.O. 13771 Designation: Regulatory. RIN: 1615–AC07 Legal Authority: Pub. L. 109–347, sec. 203; 5 U.S.C. 301; 19 U.S.C. 66; 19 U.S.C. 1431; 19 U.S.C. 1433 and 1434;
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19 U.S.C. 1624; 19 U.S.C. 2071 (note); 278. Implementation of the Guam- Action Date FR Cite 46 U.S.C. 60105 CNMI Visa Waiver Program (Section Abstract: This final rule implements 610 Review) Technical Amend- 05/28/09 74 FR 25387 ment; Change the provisions of section 203 of the E.O. 13771 Designation: Fully or of Implementa- Security and Accountability for Every Partially Exempt. tion Date. Port Act of 2006. On November 25, Legal Authority: Pub. L. 110–229, sec. Final Action ...... 12/00/20 2008, Customs and Border Protection 702 (CBP) published an interim final rule Abstract: The interim final rule Regulatory Flexibility Analysis (CBP Dec. 08–46) in the Federal amends Department of Homeland Required: No. Register (73 FR 71730), that finalized Security (DHS) regulations to Agency Contact: Cheryl C. Peters, most of the provisions proposed in the implement section 702 of the Program Manager, Office of Field Notice of Proposed Rulemaking. It Consolidated Natural Resources Act of Operations, Department of Homeland requires carrier and importers to 2008 (CNRA). This law extends the Security, U.S. Customs and Border provide to CBP, via a CBP approved immigration laws of the United States to Protection, 1300 Pennsylvania Avenue electronic data interchange system, the Commonwealth of the Northern NW, 3.3C–12, Washington, DC 20229, certain advance information pertaining Mariana Islands (CNMI) and provides Phone: 202 344–1707, Email: to cargo brought into the United States for a joint visa waiver program for travel [email protected]. by vessel to enable CBP to identify high- to Guam and the CNMI. This rule RIN: 1651–AA77 risk shipments to prevent smuggling implements section 702 of the CNRA by and ensure cargo safety and security. amending the regulations to replace the The interim final rule did not finalize current Guam Visa Waiver Program with DEPARTMENT OF HOMELAND six data elements that were identified as a new Guam-CNMI Visa Waiver SECURITY (DHS) areas of potential concern for industry Program. The amended regulations set during the rulemaking process and, for forth the requirements for nonimmigrant Transportation Security Administration which, CBP provided some type of visitors who seek admission for (TSA) flexibility for compliance with those business or pleasure and solely for entry Final Rule Stage data elements. CBP solicited public into and stay on Guam or the CNMI comment on these six data elements and without a visa. This rule also establishes 279. Security Training for Surface also invited comments on the revised six ports of entry in the CNMI for Transportation Employees purposes of administering and enforcing Regulatory Assessment and Final Regulatory Plan: This entry is Seq. the Guam-CNMI Visa Waiver Program. Regulatory Flexibility Analysis. (See 73 No. 85 in part II of this issue of the Section 702 of the Consolidated Natural FR 71782–85 for regulatory text and 73 Federal Register. Resources Act of 2008 (CNRA), subject CFR 71733–34 for general discussion.) RIN: 1652–AA55 The remaining requirements of the rule to a transition period, extends the were adopted as final. immigration laws of the United States to Timetable: the Commonwealth of the Northern Mariana Islands (CNMI) and provides DEPARTMENT OF HOMELAND Action Date FR Cite for a visa waiver program for travel to SECURITY (DHS) Guam and/or the CNMI. On January 16, U.S. Immigration and Customs NPRM ...... 01/02/08 73 FR 90 2009, the Department of Homeland Enforcement (USICE) NPRM Comment 03/03/08 Security (DHS), Customs and Border Period End. Protection (CBP), issued an interim final Proposed Rule Stage NPRM Comment 02/01/08 73 FR 6061 rule in the Federal Register replacing 280. Visa Security Program Fee Period Ex- the then-existing Guam Visa Waiver tended. Program with the Guam-CNMI Visa Regulatory Plan: This entry is Seq. NPRM Comment 03/18/08 No. 86 in part II of this issue of the Period End. Waiver Program and setting forth the Interim Final Rule 11/25/08 73 FR 71730 requirements for nonimmigrant visitors Federal Register. Interim Final Rule 01/26/09 seeking admission into Guam and/or the RIN: 1653–AA77 Effective. CNMI under the Guam-CNMI Visa Interim Final Rule 06/01/09 Waiver Program. As of November 28, Comment Pe- 2009, the Guam-CNMI Visa Waiver DEPARTMENT OF HOMELAND riod End. Program is operational. This program SECURITY (DHS) Correction ...... 07/14/09 74 FR 33920 allows nonimmigrant visitors from Correction ...... 12/24/09 74 FR 68376 eligible countries to seek admission for U.S. Immigration and Customs Enforcement (USICE) Final Action ...... To Be Determined business or pleasure for entry into Guam and/or the CNMI without a visa for a Final Rule Stage period of authorized stay not to exceed Regulatory Flexibility Analysis 45 days. This rulemaking would finalize 281. Procedures and Standards for Required: Yes. the January 2009 interim final rule. Declining Surety Immigration Bonds Agency Contact: Craig Clark, Branch Timetable: and Administrative Appeal Chief, Advance Data Programs and Requirement for Breaches Cargo Initiatives, Department of Action Date FR Cite E.O. 13771 Designation: Not subject Homeland Security, U.S. Customs and to, not significant. Border Protection, 1300 Pennsylvania Interim Final Rule 01/16/09 74 FR 2824 Interim Final Rule 01/16/09 Legal Authority: 8 U.S.C. 1103 Avenue NW, Washington, DC 20229, Abstract: U.S. Immigration and Phone: 202 344–3052, Email: Effective. Interim Final Rule 03/17/09 Customs Enforcement (ICE) proposes to [email protected]. Comment Pe- set forth standards and procedures ICE RIN: 1651–AA70 riod End. will follow before making a
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determination to stop accepting Action Date FR Cite Action Date FR Cite immigration bonds posted by a surety company that has been certified to issue NPRM ...... 07/17/18 83 FR 33762 NPRM ...... 09/07/18 83 FR 45486 bonds by the Department of the NPRM Comment 09/17/18 NPRM Comment 11/06/18 Treasury when the company does not Period End. Period End. cure deficient performance. Treasury Final Action ...... 05/23/19 84 FR 23930 Final Rule ...... 08/23/19 84 FR 44392 Final Action Effec- 06/24/19 Final Rule Effec- 10/22/19 administers the Federal corporate surety tive. tive. program and, in its current regulations, allows agencies to prescribe ‘‘for cause’’ Regulatory Flexibility Analysis Regulatory Flexibility Analysis standards and procedures for declining Required: Yes. Required: Yes. to accept new bonds from Treasury- Agency Contact: Sharon Snyder, Unit Agency Contact: Mark Lawyer, Chief, certified sureties. ICE would also Regulations, Department of Homeland require surety companies seeking to Chief, Policy and Response Unit, Department of Homeland Security, U.S. Security, U.S. Immigration and Customs overturn a breach determination to file Enforcement, 500 12th Street SW, Mail an administrative appeal raising all legal Immigration and Customs Enforcement, Potomac Center North STOP 5600, 500 Stop 5006, Washington, DC 20536, and factual defenses. Phone: 202 732–5683, Email: Timetable: 12th Street SW, Washington, DC 20536– 5600, Phone: 703 603–5600. [email protected]. RIN: 1653–AA75 Action Date FR Cite RIN: 1653–AA74
NPRM ...... 06/05/18 83 FR 25951 283. Apprehension, Processing, Care NPRM Comment 08/06/18 and Custody of Alien Minors and DEPARTMENT OF HOMELAND Period End. Unaccompanied Alien Children SECURITY (DHS) Final Action ...... 12/00/19 E.O. 13771 Designation: Regulatory. Cybersecurity and Infrastructure Regulatory Flexibility Analysis Legal Authority: 8 U.S.C. 1103; 8 Security Agency (CISA) Required: Yes. U.S.C. 1182; 8 U.S.C. 1225 to 1227; 8 Agency Contact: Mark Lawyer, Chief, U.S.C. 1362 Long-Term Actions Regulations, Department of Homeland Abstract: In 1985, a class-action suit 284. Ammonium Nitrate Security Security, U.S. Immigration and Customs challenged the policies of the former Program Enforcement, 500 12th Street SW, Mail Immigration and Naturalization Service E.O. 13771 Designation: Other. Stop 5006, Washington, DC 20536, (INS) relating to the detention, processing, and release of alien Legal Authority: 6 U.S.C. 488 et seq. Phone: 202 732–5683, Email: Abstract: This rulemaking will children; the case eventually reached [email protected]. implement the December 2007 RIN: 1653–AA67 the U.S. Supreme Court. The Court amendment to the Homeland Security upheld the constitutionality of the Act titled ‘‘Secure Handling of challenged INS regulations on their face Ammonium Nitrate.’’ The amendment and remanded the case for further DEPARTMENT OF HOMELAND requires the Department of Homeland proceedings consistent with its opinion. SECURITY (DHS) Security to ‘‘regulate the sale and In January 1997, the parties reached a transfer of ammonium nitrate by an U.S. Immigration and Customs comprehensive settlement agreement, ammonium nitrate facility . . . to Enforcement (USICE) referred to as the Flores Settlement prevent the misappropriation or use of Agreement (FSA). The FSA was to ammonium nitrate in an act of Completed Actions terminate five years after the date of terrorism.’’ In June 2019, DHS published final court approval; however, the 282. Adjusting Program Fees for the a notice announcing the availability of termination provisions were modified in Student and Exchange Visitor Program a redacted version of a technical report 2001, such that the FSA does not E.O. 13771 Designation: Not subject titled Ammonium Nitrate Security terminate until 45 days after publication to, not significant. Program Technical Assessment. Sandia of regulations implementing the Legal Authority: 8 U.S.C. 1372; 8 National Laboratories developed the agreement. U.S.C. 1762; 8 U.S.C. 1101; 8 U.S.C. report. DHS requested public comments 1356; 31 U.S.C 901 to 903; 31 U.S.C. Since 1997, intervening statutory on the report and its application to the 902; . . . changes, including passage of the proposed definition of ammonium Abstract: This final rule adjusted fees Homeland Security Act (HSA) and the nitrate. DHS will review and consider that the Student and Exchange Visitor William Wilberforce Trafficking Victims all the comments received and then Program (SEVP) charges individuals and Protection Reauthorization Act of 2008 determine the next appropriate steps for organizations. In 2017, SEVP conducted (TVPRA), have significantly changed the this rulemaking. a comprehensive fee study and applicability of certain provisions of the Timetable: determined that current fees do not FSA. The rule codifies the relevant and recover the full costs of the services substantive terms of the FSA and Action Date FR Cite provided. ICE determined that adjusting enables the U.S. Government to seek fees was necessary to fully recover the termination of the FSA and litigation ANPRM ...... 10/29/08 73 FR 64280 increased costs of SEVP operations, concerning its enforcement. Through ANPRM Correc- 11/05/08 73 FR 65783 program requirements, and to provide this rule, DHS and HHS have created a tion. ANPRM Comment 12/29/08 the necessary funding to sustain pathway to ensure the humane detention of family units while Period End. initiatives critical to supporting national NPRM ...... 08/03/11 76 FR 46908 security. The SEVP fee schedule was satisfying the goals of the FSA. The rule Notice of Public 10/07/11 76 FR 62311 last adjusted in a rule published on also implements related provisions of Meetings. September 26, 2008. the TVPRA. Notice of Public 11/14/11 76 FR 70366 Timetable: Timetable: Meetings.
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Action Date FR Cite 285. Chemical Facility Anti-Terrorism the operation of the CFATS program Standards (CFATS) since 2007. NPRM Comment 12/01/11 E.O. 13771 Designation: Other. Timetable: Period End. Legal Authority: 6 U.S.C. 621 to 629 Notice of Avail- 06/03/19 84 FR 25495 Abstract: The Department of Action Date FR Cite ability. Homeland Security (DHS) previously Notice of Avail- 09/03/19 invited public comment on an advance ANPRM ...... 08/18/14 79 FR 48693 ability Comment ANPRM Comment 10/17/14 Period End. notice of proposed rulemaking Period End. Next Action Unde- (ANPRM) for potential revisions to the termined. Chemical Facility Anti-Terrorism NPRM ...... To Be Determined Standards (CFATS) regulations. The ANPRM provided an opportunity for the Regulatory Flexibility Analysis Regulatory Flexibility Analysis public to provide recommendations for Required: Yes. Required: Yes. possible program changes. DHS is Agency Contact: Jon MacLaren, Group Agency Contact: Jon MacLaren, Group reviewing the public comments received Leader, Strategic Policy and Leader, Strategic Policy and in response to the ANPRM, after which Rulemaking, Department of Homeland Rulemaking, Department of Homeland DHS intends to publish a Notice of Security, Cybersecurity and Security, Cybersecurity and Proposed Rulemaking. In addition, DHS Infrastructure Security Agency, Infrastructure Security Agency, intends to publish a notice announcing Infrastructure Security Compliance the availability of a retrospective Infrastructure Security Compliance Division, 245 Murray Lane SW, Mail analysis of the data, assumptions, and Division, 245 Murray Lane SW, Mail Stop 0610, Arlington, VA 20528–0610, methodology that were used to support Stop 0610, Arlington, VA 20528–0610, Phone: 703 235–5263, Fax: 703 603– the 2007 CFATS interim final rule. The Phone: 703 235–5263, Fax: 703 603– 4935, Email: jon.m.maclaren@ intent of the retrospective analysis is to 4935, Email: jon.m.maclaren@ hq.dhs.gov. hq.dhs.gov. determine the most accurate assessment of the costs and burdens of the program RIN: 1670–AA01 RIN: 1670–AA00 and to update or confirm previous cost [FR Doc. 2019–26540 Filed 12–23–19; 8:45 am] estimates based on observed data from BILLING CODE 9110–9B–P
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Vol. 84 Thursday, No. 247 December 26, 2019
Part IX
Department of the Interior
Semiannual Regulatory Agenda
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DEPARTMENT OF THE INTERIOR Department of the Interior, 1849 C Street which appears in both the online NW, Washington, DC 20240. Unified Agenda and in part II of the Office of the Secretary FOR FURTHER INFORMATION CONTACT: You Federal Register that includes the should direct all comments and Unified Agenda. The Department’s 25 CFR Ch. I inquiries about these rules to the Statement of Regulatory Priorities is appropriate agency contact. You should included in the Plan. 30 CFR Chs. II and VII direct general comments relating to the In some cases, the Department has agenda to the Office of Executive 36 CFR Ch. I withdrawn rules that were placed on Secretariat and Regulatory Affairs, previous agendas for which there has Department of the Interior, at the 43 CFR Subtitle A, Chs. I and II been no publication activity or for address above or at 202–208–3181. which a proposed or interim rule was SUPPLEMENTARY INFORMATION: 48 CFR Ch. 14 With this published. There is no legal significance publication, the Department satisfies the to the omission of an item from this 50 CFR Chs. I and IV requirement of Executive Order 12866 agenda. Withdrawal of a rule does not that the Department publish an agenda necessarily mean that the Department [167D0102DM; DS6CS00000; of rules that we have issued or expect will not proceed with the rulemaking. DLSN00000.00000; DX6CS25] to issue and of currently effective rules Withdrawal allows the Department to that we have scheduled for review. Semiannual Regulatory Agenda assess the action further and determine Simultaneously, the Department whether rulemaking is appropriate. AGENCY: Office of the Secretary, Interior. meets the requirement of the Regulatory Following such an assessment, the ACTION: Semiannual regulatory agenda. Flexibility Act (5 U.S.C. 601 et seq.) to Department may determine that certain publish an agenda in April and October rules listed as withdrawn under this SUMMARY: This notice provides the of each year identifying rules that will agenda are appropriate for semiannual agenda of rules scheduled have significant economic effects on a promulgation. If that determination is for review or development between fall substantial number of small entities. We made, such rules will comply with 2019 and fall 2020. The Regulatory have specifically identified in the Executive Order 13771. Flexibility Act and Executive Order agenda rules that will have such effects. 12866 require publication of the agenda. This edition of the Unified Agenda of Bivan R. Patnaik, ADDRESSES: Unless otherwise indicated, Federal Regulatory and Deregulatory Deputy Director of Regulatory Affairs, all agency contacts are located at the Actions includes The Regulatory Plan, Executive Secretariat and Regulatory Affairs.
BUREAU OF SAFETY AND ENVIRONMENTAL ENFORCEMENT—COMPLETED ACTIONS
Regulation Sequence No. Title Identifier No.
286 ...... Revisions to the Blowout Preventer Systems and Well Control Rule ...... 1014–AA39
ASSISTANT SECRETARY FOR LAND AND MINERALS MANAGEMENT—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
287 ...... Revisions to the Requirements for Exploratory Drilling on the Arctic Outer Continental Shelf (Reg Plan 1082–AA01 Seq No. 92). 288 ...... Risk Management, Financial Assurance and Loss Prevention (Reg Plan Seq No. 93) ...... 1082–AA02 References in boldface appear in The Regulatory Plan in part II of this issue of the Federal Register.
UNITED STATES FISH AND WILDLIFE SERVICE—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
289 ...... Migratory Bird Hunting; 2020–2021 Migratory Game Bird Hunting Regulations ...... 1018–BD89
UNITED STATES FISH AND WILDLIFE SERVICE—COMPLETED ACTIONS
Regulation Sequence No. Title Identifier No.
290 ...... Migratory Bird Hunting; 2019–2020 Migratory Game Bird Hunting Regulations ...... 1018–BD10
BUREAU OF OCEAN ENERGY MANAGEMENT—COMPLETED ACTIONS
Regulation Sequence No. Title Identifier No.
291 ...... Risk Management, Financial Assurance and Loss Prevention ...... 1010–AE00
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DEPARTMENT OF THE INTERIOR (DOI) DEPARTMENT OF THE INTERIOR (DOI) Action Date FR Cite
Bureau of Safety and Environmental Assistant Secretary for Land and NPRM ...... 10/15/19 84 FR 55120 Enforcement (BSEE) Minerals Management (ASLM) NPRM Comment 11/15/19 Proposed Rule Stage Period End. Completed Actions NPRM—Proposed 12/00/19 286. Revisions to the Blowout Preventer 287. Revisions to the Requirements for Frameworks. Systems and Well Control Rule Exploratory Drilling on the Arctic NPRM—Proposed 01/00/20 Outer Continental Shelf Tribal Regs. E.O. 13771 Designation: Deregulatory. Final Frameworks 02/00/20 Regulatory Plan: This entry is Seq. Season Selec- 05/00/20 Legal Authority: 43 U.S.C. 1331 to No. 92 in part II of this issue of the tions. 1356a Federal Register. Final Tribal Regu- 06/00/20 lations. Abstract: This rulemaking would RIN: 1082–AA01 revise the Bureau of Safety and Regulatory Flexibility Analysis Environmental Enforcement (BSEE) 288. Risk Management, Financial Required: Yes. regulations published in the 2016 final Assurance and Loss Prevention Agency Contact: Dr. Eric L. Kershner, rule entitled ‘‘Blowout Preventer Regulatory Plan: This entry is Seq. Chief, Branch of Conservation, Permits, Systems and Well Control,’’ 81 FR No. 93 in part II of this issue of the and Regulations, Department of the 25888 (April 29, 2016), for drilling, Federal Register. Interior, United States Fish and Wildlife workover, completion and RIN: 1082–AA02 Service, 5275 Leesburg Pike, MS: MB, decommissioning operations. In Falls Church, VA 22041, Phone: 703 accordance with section 4 of Secretary’s 358–2376, Fax: 703 358–2217, Email: Order 3350 (America-First Offshore _ DEPARTMENT OF THE INTERIOR (DOI) eric [email protected]. Energy Strategy), Executive Order (E.O.) RIN: 1018–BD89 13783 (Promoting Energy Independence United States Fish and Wildlife Service and Economic Growth), and section 7 of (FWS) E.O. 13795 (Implementing an America- Proposed Rule Stage First Offshore Energy Strategy), BSEE DEPARTMENT OF THE INTERIOR (DOI) reviewed the 2016 final rule, considered 289. Migratory Bird Hunting; 2020– United States Fish and Wildlife Service stakeholder input on that rule, and has 2021 Migratory Game Bird Hunting (FWS) proposed revisions to reduce Regulations Completed Actions unnecessary burdens while ensuring E.O. 13771 Designation: Fully or 290. Migratory Bird Hunting; 2019– that operations are conducted safely and Partially Exempt. in an environmentally responsible 2020 Migratory Game Bird Hunting manner. Legal Authority: 16 U.S.C. 703 to 712; Regulations 16 U.S.C. 742a–j Timetable: E.O. 13771 Designation: Fully or Abstract: We propose to establish Partially Exempt. annual hunting regulations for certain Action Date FR Cite Legal Authority: 16 U.S.C. 703 to 712; migratory game birds for the 2020–2021 16 U.S.C. 742a–j hunting season. We annually prescribe NPRM ...... 05/11/18 83 FR 22128 Abstract: We have established annual outside limits (frameworks), within NPRM Comment 07/05/18 83 FR 31343 hunting regulations for certain which States may select hunting Period Ex- migratory game birds for the 2019–2020 tended. seasons. This proposed rule provides hunting season. We annually prescribe NPRM Comment 07/10/18 the regulatory schedule, describes the outside limits (frameworks), within Period End. proposed regulatory alternatives for the which States may select hunting NPRM Comment 08/06/18 2020–2021 duck hunting seasons, and seasons. Migratory game bird hunting Period Ex- requests proposals from Indian tribes seasons provide opportunities for tended End. that wish to establish special migratory recreation and sustenance; aid Federal, Final Action ...... 05/15/19 84 FR 21908 game bird hunting regulations on State, and Tribal governments in the Final Action Effec- 07/15/19 Federal Indian reservations and ceded tive. management of migratory game birds; lands. Migratory game bird hunting and permit harvests at levels compatible seasons provide opportunities for with migratory game bird population Regulatory Flexibility Analysis recreation and sustenance; aid Federal, status and habitat conditions. Required: Yes. State, and Tribal governments in the Timetable: Agency Contact: Lakeisha Harrison, management of migratory game birds; Chief, Regulations and Standards and permit harvests at levels compatible Action Date FR Cite Branch, Department of the Interior, with migratory game bird population Bureau of Safety and Environmental status and habitat conditions. We rely NPRM ...... 06/14/18 83 FR 27836 Enforcement, 45600 Woodland Road, on a regulatory impact analysis NPRM Comment 07/18/18 Sterling, VA 20166, Phone: 703 787– developed in 2013 to quantify the costs Period End. NPRM Supple- 09/21/18 83 FR 47868 1552, Fax: 703 787–1555, Email: and benefits of different regulatory alternatives in these annual hunting mental. [email protected]. regulations. We will incorporate the NPRM Supple- 01/15/19 RIN: 1014–AA39 most recent available data in this mental Com- ment Period analysis to inform the final rule and End. subsequent rulemakings. NPRM; Proposed 04/17/19 84 FR 16152 Timetable: Frameworks.
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Action Date FR Cite Action Date FR Cite RIN: 1018–BD10
NPRM Comment 05/17/19 Final Action Effec- 08/27/19 Period End— tive; Tribal Reg- Proposed ulations. DEPARTMENT OF THE INTERIOR (DOI) Frameworks. Final Rule; Final 08/28/19 84 FR 45077 Bureau of Ocean Energy Management Season Selec- NPRM; Proposed 07/08/19 84 FR 32385 (BOEM) Tribal Regula- tions. tions. Final Action Effec- 08/28/19 Completed Actions NPRM Comment 08/08/19 tive; Season Period End— Selections. 291. Risk Management, Financial Proposed Tribal Assurance and Loss Prevention Regulations. Regulatory Flexibility Analysis Timetable: Final Action; Final 08/19/19 84 FR 42996 Required: Yes. Frameworks. Agency Contact: Dr. Eric L. Kershner, Action Date FR Cite Final Action Effec- 08/19/19 Chief, Branch of Conservation, Permits, tive; Frame- and Regulations, Department of the Transferred to 10/31/19 works. RIN 1082–AA02. Final Rule; Final 08/27/19 84 FR 44760 Interior, United States Fish and Wildlife Service, 5275 Leesburg Pike, MS: MB, Tribal Regula- RIN: 1010–AE00 tions. Falls Church, VA 22041, Phone: 703 358–2376, Fax: 703 358–2217, Email: [FR Doc. 2019–26541 Filed 12–23–19; 8:45 am] [email protected]. BILLING CODE 4334–63–P
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Part X
Department of Labor
Semiannual Regulatory Agenda
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DEPARTMENT OF LABOR Federal Register Notice contains the the Federal Register a regulatory regulatory flexibility agenda. flexibility agenda. The Department’s Office of the Secretary FOR FURTHER INFORMATION CONTACT: Regulatory Flexibility Agenda, Laura M. Dawkins, Director, Office of published with this notice, includes 20 CFR Chs. I, IV, V, VI, VII, and IX Regulatory and Programmatic Policy, only those rules on its semiannual Office of the Assistant Secretary for agenda that are likely to have a 29 CFR Subtitle A and Chs. II, IV, V, Policy, U.S. Department of Labor, 200 significant economic impact on a XVII, and XXV Constitution Avenue NW, Room S– substantial number of small entities; 2312, Washington, DC 20210; (202) 693– and those rules identified for periodic 30 CFR Ch. I 5959. review in keeping with the requirements Note: Information pertaining to a of section 610 of the Regulatory 41 CFR Ch. 60 specific regulation can be obtained from Flexibility Act. Thus, the regulatory the agency contact listed for that flexibility agenda is a subset of the 48 CFR Ch. 29 particular regulation. Department’s semiannual regulatory agenda. The Department’s Regulatory SUPPLEMENTARY INFORMATION: Executive Semiannual Agenda of Regulations Flexibility Agenda does not include Order 12866 requires the semiannual section 610 items at this time. publication of an agenda of regulations AGENCY: Office of the Secretary, Labor. All interested members of the public that contains a listing of all the are invited and encouraged to let ACTION: Semiannual regulatory agenda. regulations the Department of Labor departmental officials know how our expects to have under active regulatory efforts can be improved, and SUMMARY: The internet has become the consideration for promulgation, are invited to participate in and means for disseminating the entirety of proposal, or review during the coming comment on the review or development the Department of Labor’s semiannual one-year period. The entirety of the of the regulations listed on the regulatory agenda. However, the Department’s semiannual agenda is Department’s agenda. Regulatory Flexibility Act requires available online at www.reginfo.gov. publication of a regulatory flexibility The Regulatory Flexibility Act (5 Eugene Scalia, agenda in the Federal Register. This U.S.C. 602) requires DOL to publish in Secretary of Labor.
WAGE AND HOUR DIVISION—COMPLETED ACTIONS
Regulation Sequence No. Title Identifier No.
292 ...... Defining and Delimiting the Exemptions for Executive, Administrative, Professional, Outside Sales and 1235–AA20 Computer Employees.
EMPLOYMENT AND TRAINING ADMINISTRATION—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
293 ...... Temporary Employment of H–2B Foreign Workers in Certain Itinerant Occupations in the United States ... 1205–AB93
EMPLOYMENT AND TRAINING ADMINISTRATION—COMPLETED ACTIONS
Regulation Sequence No. Title Identifier No.
294 ...... Modernizing Recruitment Requirements Under the H–2A Program ...... 1205–AB90
EMPLOYEE BENEFITS SECURITY ADMINISTRATION—COMPLETED ACTIONS
Regulation Sequence No. Title Identifier No.
295 ...... Revision of the Form 5500 Series and Implementing Related Regulations Under the Employee Retire- 1210–AB63 ment Income Security Act of 1974 (ERISA). 296 ...... Definition of an ‘‘Employer’’ Under Section 3(5) of ERISA—Association Retirement Plans and Other Mul- 1210–AB88 tiple Employer Plans.
OCCUPATIONAL SAFETY AND HEALTH ADMINISTRATION—PRERULE STAGE
Regulation Sequence No. Title Identifier No.
297 ...... Emergency Response ...... 1218–AC91 298 ...... Tree Care Standard ...... 1218–AD04 299 ...... Prevention of Workplace Violence in Health Care and Social Assistance ...... 1218–AD08
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OCCUPATIONAL SAFETY AND HEALTH ADMINISTRATION—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
300 ...... Communication Tower Safety ...... 1218–AC90
OCCUPATIONAL SAFETY AND HEALTH ADMINISTRATION—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
301 ...... Infectious Diseases ...... 1218–AC46 302 ...... Process Safety Management and Prevention of Major Chemical Accidents ...... 1218–AC82
DEPARTMENT OF LABOR (DOL) Division, 200 Constitution Avenue NW, RIN: 1205–AB93 FP Building, Room S–2502, Wage and Hour Division (WHD) Washington, DC 20210, Phone: 202 693– 0406. Completed Actions DEPARTMENT OF LABOR (DOL) RIN: 1235–AA20 292. Defining and Delimiting the Employment and Training Exemptions for Executive, Administration (ETA) Administrative, Professional, Outside Sales and Computer Employees DEPARTMENT OF LABOR (DOL) Completed Actions E.O. 13771 Designation: Deregulatory. Employment and Training 294. Modernizing Recruitment Legal Authority: 29 U.S.C. 201 et seq.; Administration (ETA) Requirements Under the H–2A Program 29 U.S.C.213(a)(1) Long-Term Actions Abstract: The Department issued a E.O. 13771 Designation: Deregulatory. Notice of Proposed Rulemaking (NPRM) 293. Temporary Employment of H–2B Legal Authority: 8 U.S.C. 1188 to determine the appropriate salary level Foreign Workers in Certain Itinerant Abstract: The United States for exemption of executive, Occupations in the United States Department of Labor’s (DOL) administrative and professional E.O. 13771 Designation: Regulatory. Employment and Training employees. The Department also Legal Authority: 8 U.S.C. 1184; 8 Administration is amending regulations proposed to increase the highly U.S.C. 1103 regarding the H–2A non-immigrant visa compensated employees (HCE) total Abstract: The United States program at 20 CFR part 655, subpart B. compensation level, allow the inclusion Department of Labor’s (DOL) The final rule includes necessary of up to 10 percent of the standard Employment and Training technical improvements, which salary level to include nondiscretionary Administration and Wage and Hour eliminates print newspaper bonus and incentive payments as long Division, and the United States advertisements and modernizes the as paid at least annually, and special Department of Homeland Security requirements employers must meet for salary levels for the U.S. territories and (DHS), U.S. Citizenship and advertising job opportunities to U.S. the motion picture industry. In Immigration Services, are jointly workers. developing the final rule, the amending regulations regarding the H– Timetable: Department will be informed by the 2B non-immigrant visa program at 20 comments received in response to its CFR part 655, subpart A. The Notice of Action Date FR Cite NPRM. Proposed Rulemaking (NPRM) will Timetable: establish standards and procedures for NPRM ...... 11/09/18 83 FR 55985 employers seeking to hire foreign NPRM Comment 12/10/18 Action Date FR Cite temporary nonagricultural workers for Period End. NPRM Comment 12/10/18 83 FR 63456 Request for Infor- 07/26/17 82 FR 34616 certain itinerant job opportunities, Period End Ex- mation (RFI). including entertainers and carnivals and tended to 12/ RFI Comment Pe- 09/25/17 utility vegetation management. 28/2018. riod End. Timetable: Final Rule ...... 09/20/19 84 FR 49439 NPRM ...... 03/22/19 84 FR 10840 Final Rule Effec- 10/21/19 NPRM Comment 05/21/19 Action Date FR Cite tive. Period End. NPRM ...... 12/00/20 Final Rule ...... 09/27/19 84 FR 51230 Regulatory Flexibility Analysis Final Rule Effec- 01/01/20 Required: Yes. tive. Regulatory Flexibility Analysis Required: Yes. Agency Contact: Thomas M. Dowd, Regulatory Flexibility Analysis Agency Contact: Thomas M. Dowd, Deputy Assistant Secretary, Department Required: Yes. Deputy Assistant Secretary, Department of Labor, Employment and Training Agency Contact: Amy DeBisschop, of Labor, Employment and Training Administration, 200 Constitution Director of the Division of Regulations, Administration, 200 Constitution Avenue NW, FP Building, Washington, Legislation and Interpretation, Avenue NW, FP Building, Washington, DC 20210, Phone: 202 513–7350. Department of Labor, Wage and Hour DC 20210, Phone: 202 513–7350. RIN: 1205–AB90
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DEPARTMENT OF LABOR (DOL) Legal Authority: 29 U.S.C. 1002(2), with information gathered through an 1002(5) and 1135 RFI and public meetings. Employee Benefits Security Timetable: Administration (EBSA) Abstract: This regulatory action would establish criteria under section Completed Actions 3(5) of the Employee Retirement Income Action Date FR Cite Security Act (ERISA) for purposes of 295. Revision of the Form 5500 Series Stakeholder Meet- 07/30/14 and Implementing Related Regulations being an ‘‘employer’’ able to establish ings. Under the Employee Retirement Income and maintain an employee pension Convene 09/09/15 Security Act of 1974 (ERISA) benefit plan (as defined in section 3(2) NACOSH of ERISA) that is a multiple employer Workgroup. E.O. 13771 Designation: Regulatory. retirement savings plan (other than a NACOSH Review 12/14/16 Legal Authority: 29 U.S.C. 1021 to multiemployer plan defined in section of Workgroup 1025; 29 U.S.C. 1027; 29 U.S.C. 1029 3(37) of ERISA). Report. and 1030; 29 U.S.C. 1134 and 1135; 29 Timetable: Initiate SBREFA .. 08/00/20 U.S.C. 1059; 29 U.S.C. 1204 Abstract: This regulatory action is Action Date FR Cite Regulatory Flexibility Analysis part of a long-term strategic project with Required: Yes. Agency Contact: William Perry, the Internal Revenue Service and the NPRM ...... 10/23/18 83 FR 53534 Director, Directorate of Standards and Pension Benefit Guaranty Corporation NPRM Comment 12/24/18 Period End. Guidance, Department of Labor, (collectively ‘‘Agencies’’) to modernize Final Rule ...... 07/31/19 84 FR 37508 Occupational Safety and Health and improve the Form 5500 Annual Final Rule Effec- 09/30/19 Administration, 200 Constitution Return/Report of Employee Benefit tive. Avenue NW, FP Building, Room N– Plan. The Agencies published proposals 3718, Washington, DC 20210, Phone: in 2016 that included a range of Regulatory Flexibility Analysis 202 693–1950, Fax: 202 693–1678, proposed changes in the reporting forms Required: Yes. Email: [email protected]. and implementing regulations. Those Agency Contact: Jeffrey J. Turner, RIN: 1218–AC91 proposals were never finalized. The Deputy Director, Office of Regulations Employee Benefits Security and Interpretations, Department of 298. Tree Care Standard Administration is withdrawing this Labor, Employee Benefits Security E.O. 13771 Designation: Regulatory. entry from the agenda at this time, due Administration, 200 Constitution Legal Authority: Not Yet Determined to agency reprioritization. Avenue NW, FP Building, Room N– Abstract: There is no OSHA standard Timetable: 5655, Washington, DC 20210, Phone: for tree care operations; the agency 202 693–8500. currently applies a patchwork of Action Date FR Cite RIN: 1210–AB88 standards to address the serious hazards in this industry. The tree care industry NPRM ...... 07/21/16 81 FR 47496 NPRM Comment 10/04/16 previously petitioned the agency for rulemaking and OSHA issued an Period End. DEPARTMENT OF LABOR (DOL) Notice of Pro- 07/21/16 81 FR 47534 ANPRM (September 2008). Tree care posed Forms Occupational Safety and Health continues to be a high-hazard industry. Revision. Administration (OSHA) Timetable: Notice of Pro- 10/04/16 posed Forms Prerule Stage Action Date FR Cite Revision Com- ment Period 297. Emergency Response Stakeholder Meet- 07/13/16 End. E.O. 13771 Designation: Regulatory. ing. Initiate SBREFA .. 11/00/19 NPRM Comment 09/23/16 81 FR 65594 Legal Authority: 29 U.S.C. 655(b); 29 Period Ex- tended. U.S.C. 657; 5 U.S.C. 609 Regulatory Flexibility Analysis NPRM Comment 12/05/16 Abstract: OSHA currently regulates Required: Yes. Period Ex- aspects of emergency response and Agency Contact: William Perry, tended End. preparedness; some of these standards Director, Directorate of Standards and Withdrawn ...... 09/30/19 were promulgated decades ago, and Guidance, Department of Labor, none were designed as comprehensive Occupational Safety and Health Regulatory Flexibility Analysis emergency response standards. Administration, 200 Constitution Required: Yes. Consequently, they do not address the Avenue NW, FP Building, Room N– Agency Contact: Mara S. Blumenthal, full range of hazards or concerns 3718, Washington, DC 20210, Phone: Employee Benefits Law Specialist, currently facing emergency responders, 202 693–1950, Fax: 202 693–1678, Department of Labor, Employee Benefits and other workers providing skilled Email: [email protected]. Security Administration, 200 support, nor do they reflect major RIN: 1218–AD04 Constitution Avenue NW, FP Building, changes in performance specifications Room N–5655, Washington, DC 20210, for protective clothing and equipment. 299. Prevention of Workplace Violence Phone: 202 693–8500. The Agency acknowledged that current in Health Care and Social Assistance RIN: 1210–AB63 OSHA standards also do not reflect all E.O. 13771 Designation: Regulatory. the major developments in safety and Legal Authority: 29 U.S.C. 655(b); 5 296. Definition of an ‘‘Employer’’ Under health practices that have already been U.S.C. 609 Section 3(5) of ERISA—Association accepted by the emergency response Abstract: The Request for Information Retirement Plans and Other Multiple community and incorporated into (RFI) (published on December 7, 2016 Employer Plans industry consensus standards. OSHA is 81 FR 88147)) provides OSHA’s history E.O. 13771 Designation: Deregulatory. considering updating these standards with the issue of workplace violence in
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health care and social assistance, information collected from an April Syndrome (SARS) and pandemic including a discussion of the Guidelines 2016 Request for Information (RFI), influenza. Health care workers and that were initially published in 1996, a OSHA concluded that current OSHA workers in related occupations, or who 2014 update to the Guidelines, the requirements such as those for fall are exposed in other high-risk Agency’s use of 5(a)(1) in enforcement protection and personnel hoisting, may environments, are at increased risk of cases in health care. The RFI solicited not adequately cover all hazards of contracting TB, SARS, Methicillin- information primarily from health care communication tower construction and Resistant Staphylococcus Aureus employers, workers and other subject maintenance activities. OSHA will use (MRSA), and other infectious diseases matter experts on impacts of violence, information collected from a Small that can be transmitted through a variety prevention strategies, and other Business Regulatory Enforcement of exposure routes. OSHA is examining information that will be useful to the Fairness Act (SBREFA) panel to identify regulatory alternatives for control Agency. OSHA was petitioned for a effective work practices and advances in measures to protect employees from standard preventing workplace violence engineering technology that would best infectious disease exposures to in health care by a broad coalition of address industry safety and health pathogens that can cause significant labor unions, and in a separate petition concerns. The Panel carefully disease. Workplaces where such control by the National Nurses United. On considered the issue of the expansion of measures might be necessary include: January 10, 2017, OSHA granted the the rule beyond just communication health care, emergency response, petitions. towers. OSHA will continue to consider correctional facilities, homeless shelters, Timetable: also covering structures that have drug treatment programs, and other telecommunications equipment on or occupational settings where employees Action Date FR Cite attached to them (e.g., buildings, can be at increased risk of exposure to rooftops, water towers, billboards, etc.). potentially infectious people. A Request for Infor- 12/07/16 81 FR 88147 mation (RFI). Timetable: standard could also apply to RFI Comment Pe- 04/06/17 laboratories, which handle materials riod End. Action Date FR Cite that may be a source of pathogens, and Initiate SBREFA .. 01/00/20 to pathologists, coroners’ offices, Request for Infor- 04/15/15 80 FR 20185 medical examiners, and mortuaries. mation (RFI). Regulatory Flexibility Analysis RFI Comment Pe- 06/15/15 Timetable: Required: Yes. riod End. Agency Contact: William Perry, Initiate SBREFA .. 01/04/17 Action Date FR Cite Director, Directorate of Standards and Initiate SBREFA .. 05/31/18 Guidance, Department of Labor, Complete 10/11/18 Request for Infor- 05/06/10 75 FR 24835 Occupational Safety and Health SBREFA. mation (RFI). NPRM ...... 09/00/20 RFI Comment Pe- 08/04/10 Administration, 200 Constitution riod End. Avenue NW, FP Building, Room N– Analyze Com- 12/30/10 3718, Washington, DC 20210, Phone: Regulatory Flexibility Analysis ments. 202 693–1950, Fax: 202 693–1678, Required: Yes. Stakeholder Meet- 07/05/11 76 FR 39041 Email: [email protected]. Agency Contact: Scott Ketcham, ings. RIN: 1218–AD08 Director, Directorate of Construction, Initiate SBREFA .. 06/04/14 Department of Labor, Occupational Complete 12/22/14 Safety and Health Administration, 200 SBREFA. Constitution Avenue NW, Room N– DEPARTMENT OF LABOR (DOL) 3468, FP Building, Washington, DC NPRM ...... To Be Determined 20210, Phone: 202 693–2020, Fax: 202 Occupational Safety and Health Regulatory Flexibility Analysis 693–1689, Email: ketcham.scott@ Administration (OSHA) Required: Yes. dol.gov. Agency Contact: William Perry, Proposed Rule Stage RIN: 1218–AC90 Director, Directorate of Standards and 300. Communication Tower Safety Guidance, Department of Labor, E.O. 13771 Designation: Regulatory. Occupational Safety and Health Legal Authority: 29 U.S.C. 655(b); 5 DEPARTMENT OF LABOR (DOL) Administration, 200 Constitution U.S.C. 609 Avenue NW, FP Building, Room N– Occupational Safety and Health Abstract: While the number of 3718, Washington, DC 20210, Phone: Administration (OSHA) employees engaged in the 202 693–1950, Fax: 202 693–1678, communication tower industry remains Long-Term Actions Email: [email protected]. small, the fatality rate is very high. Over RIN: 1218–AC46 the past 20 years, this industry has 301. Infectious Diseases experienced an average fatality rate that E.O. 13771 Designation: Regulatory. 302. Process Safety Management and greatly exceeds that of the construction Legal Authority: 5 U.S.C. 533; 29 Prevention of Major Chemical industry. Due to recent FCC spectrum U.S.C. 657 and 658; 29 U.S.C. 660; 29 Accidents auctions and innovations in cellular U.S.C. 666; 29 U.S.C. 669; 29 U.S.C. 673 E.O. 13771 Designation: Regulatory. technology, there will be a very high Abstract: Employees in health care Legal Authority: 29 U.S.C. 655; 29 level of construction activity taking and other high-risk environments face U.S.C. 657 place on communication towers over long-standing infectious disease hazards Abstract: The Occupational Safety the next few years. A similar increase in such as tuberculosis (TB), varicella and Health Administration (OSHA) the number of construction projects disease (chickenpox, shingles), and issued a Request for Information (RFI) needed to support cellular phone measles (rubella), as well as new and on December 9, 2013 (78 FR 73756). The coverage triggered a spike in fatality and emerging infectious disease threats, RFI identified issues related to injury rates years ago. Based on such as Severe Acute Respiratory modernization of the Process Safety
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Management standard and related Action Date FR Cite Agency Contact: William Perry, standards necessary to meet the goal of Director, Directorate of Standards and preventing major chemical accidents. RFI Comment Pe- 03/31/14 Guidance, Department of Labor, riod Extended Timetable: Occupational Safety and Health End. Administration, 200 Constitution Initiate SBREFA .. 06/08/15 Avenue NW, FP Building, Room N– Action Date FR Cite SBREFA Report 08/01/16 Completed. 3718, Washington, DC 20210, Phone: Request for Infor- 12/09/13 78 FR 73756 Next Action Unde- 202 693–1950, Fax: 202 693–1678, mation (RFI). termined. Email: [email protected]. RFI Comment Pe- 03/07/14 79 FR 13006 RIN: 1218–AC82 riod Extended. Regulatory Flexibility Analysis [FR Doc. 2019–26582 Filed 12–23–19; 8:45 am] Required: Yes. BILLING CODE 4510–04–P
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Part XI
Department of Transportation
Seminannual Regulatory Agenda
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DEPARTMENT OF TRANSPORTATION Request for Comments agency actions. On January 30, 2017, Purpose President Trump signed Executive Office of the Secretary Appendix A—Instructions for Order 13771, Reducing Regulation and Obtaining Copies of Regulatory Controlling Regulatory Costs. Under 14 CFR Chs. I–III Documents section 2(a) of the Executive order, Appendix B—General Rulemaking unless prohibited by law, whenever an 23 CFR Chs. I–III Contact Persons executive department or agency Appendix C—Public Rulemaking publicly proposes for notice and 33 CFR Chs. I and IV Dockets comment or otherwise promulgates a Appendix D—Review Plans for new regulation, it must identify at least 46 CFR Chs. I–III Section 610 and Other two existing regulations to be repealed. Requirements On February 24, 2017, President Trump 48 CFR Ch. 12 signed Executive Order 13777, SUPPLEMENTARY INFORMATION: Enforcing the Regulatory Reform 49 CFR Subtitle A, Chs. I–VI, and Chs. Background Agenda. Under this Executive order, X–XII A primary goal of the Department of each agency must establish a Regulatory Reform Task Force (RRTF) to evaluate [DOT–OST–1999–5129] Transportation (Department or DOT) is to allow the public to understand how existing regulations, and make Department Regulatory and we make decisions, which necessarily recommendations for their repeal, Deregulatory Agenda; Semiannual includes being transparent in the way replacement, or modification. On March Summary we measure the risks, costs, and benefits 28, 2017, President Trump signed of engaging in—or deciding not to Executive Order 13783, Promoting AGENCY: Office of the Secretary, DOT. engage in—a particular regulatory Energy Independence and Economic Growth, requiring agencies to review all ACTION: Unified Agenda of Federal action. As such, it is our policy to existing regulations, orders, guidance Regulatory and Deregulatory Actions provide an opportunity for public documents, policies, and other similar (Regulatory Agenda). comment on such actions to all agency actions that potentially burden interested stakeholders. Above all, SUMMARY: The Regulatory and the development or use of domestically transparency and meaningful Deregulatory Agenda is a semiannual produced energy resources, with engagement mandate that regulations summary of all current and projected particular attention to oil, natural gas, should be straightforward, clear, and rulemakings, reviews of existing coal, and nuclear energy resources. regulations, and completed actions of accessible to any interested stakeholder. In response to the mandate in the Department. The intent of the The Department also embraces the Executive Order 13777, the Department Agenda is to provide the public with notion that there should be no more formed an RRTF consisting of senior information about the Department of regulations than necessary. We career and non-career leaders, which Transportation’s regulatory activity emphasize consideration of non- has already conducted extensive planned for the next 12 months. It is regulatory solutions and have rigorous reviews of existing regulations, and expected that this information will processes in place for continual identified a number of rules to be enable the public to more effectively reassessment of existing regulations. repealed, replaced, or modified. As a participate in the Department’s These processes provide that regulations result of the RRTF’s work, since January regulatory process. The public is also and other agency actions are 2017, the Department has issued invited to submit comments on any periodically reviewed and, if deregulatory actions that reduce aspect of this Agenda. appropriate, are revised to ensure that regulatory costs on the public by over they continue to meet the needs for FOR FURTHER INFORMATION CONTACT: $3.2 billion (in net present value cost which they were originally designed, savings). Even when the costs of General and that they remain cost-effective and significant regulatory actions are You should direct all comments and cost-justified. factored in, the Department’s inquiries on the Agenda in general to To help the Department achieve its deregulatory actions still result in over Jonathan Moss, Assistant General goals and in accordance with Executive $2.9 billion in net cost savings (in net Counsel for Regulation, Office of Order (E.O.) 12866, ‘‘Regulatory present value). With the RRTF’s General Counsel, Department of Planning and Review,’’ (58 FR 51735; assistance, the Department has achieved Transportation, 1200 New Jersey Oct. 4, 1993) and the Department’s these cost savings in a manner that is Avenue SE, Washington, DC 20590; Regulatory Policies and Procedures (44 fully consistent with enhancing safety. (202) 366–4723. FR 11034; Feb. 26, 1979), the For example, in March 2019, FMCSA Department prepares a semiannual promulgated a rule titled ELDT Class B Specific regulatory and deregulatory agenda. It to Class A Upgrade, which will save You should direct all comments and summarizes all current and projected truck drivers more than $250 million by inquiries on particular items in the rulemakings, reviews of existing making it easier (and cheaper) for a Agenda to the individual listed for the regulations, and completed actions of driver who already holds a Class B CDL regulation or the general rulemaking the Department. These are matters on to upgrade to a Class A CDL, without contact person for the operating which action has begun or is projected having to take the same training again. administration in appendix B. during the next 12 months or for which This reduces waste without affecting action has been completed since the last safety. Table of Contents Agenda. The Department has also significantly Supplementary Information: In addition, this Agenda was prepared increased the number of deregulatory Background in accordance with three Executive actions it is pursuing. Today, DOT is Significant/Priority Rulemakings orders issued by President Trump, pursuing over 130 deregulatory Explanation of Information on the which directed agencies to further rulemakings, up from just 16 in the fall Agenda scrutinize their regulations and other of 2016.
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While each regulatory and uses for UAS. For instance, UAS are deregulatory effect; and (16) whether the deregulatory action is evaluated on its poised to assist human operators with a action is major under the congressional own merits, the RRTF augments the number of different mission sets such as review provisions of the Small Business Department’s consideration of inspection of critical infrastructure and Regulatory Enforcement Fairness Act. prospective rulemakings by conducting search and rescue, enabling beneficial For nonsignificant regulations issued monthly reviews across all OAs to and lifesaving activities that would routinely and frequently as a part of an identify appropriate deregulatory otherwise be difficult or even established body of technical actions. The RRTF also works to ensure impossible for a human to accomplish requirements (such as the Federal that any new regulatory action is unassisted. The Department has Aviation Administration’s Airspace rigorously vetted and non-regulatory regulatory efforts underway to further Rules), to keep those requirements alternatives are considered. Further integrate UAS safely and efficiently. operationally current, we only include information on the RRTF can be found The Department is working on several the general category of the regulations, online at: https:// rulemakings to facilitate a major the identity of a contact office or www.transportation.gov/regulations/ transformation of our national space official, and an indication of the regulatory-reform-task-force-report. program from one in which the federal expected number of regulations; we do The Department’s ongoing regulatory government has a primary role to one in not list individual regulations. effort is guided by four fundamental which private industry drives growth in In the ‘‘Timetable’’ column, we use principles—safety, innovation, enabling innovation and launches. The FAA has abbreviations to indicate the particular investment in infrastructure, and proposed a rule that will fundamentally documents being considered. ANPRM reducing unnecessary regulatory change how FAA licenses launches and stands for Advance Notice of Proposed burdens. These priorities are grounded reentries of commercial space vehicles Rulemaking, SNPRM for Supplemental in our national interest in maintaining moving from prescriptive requirements Notice of Proposed Rulemaking, and U.S. global leadership in safety, to a performance based approach. NPRM for Notice of Proposed innovation, and economic growth. To Rulemaking. Listing a future date in this Explanation of Information in the accomplish our regulatory goals, we column does not mean we have made a Agenda must create a regulatory environment decision to issue a document; it is the that fosters growth in new and An Office of Management and Budget earliest date on which a rulemaking innovative industries without burdening memorandum, dated June 26, 2019, document may publish. In addition, them with unnecessary restrictions. At establishes the format for this Agenda. these dates are based on current the same time, safety remains our First, the Agenda is divided by schedules. Information received after highest priority; we must remain initiating offices. Then the Agenda is the issuance of this Agenda could result focused on managing safety risks and divided into five categories: (1) Prerule in a decision not to take regulatory being sure that we do not regress from stage; (2) proposed rule stage; (3) final action or in changes to proposed the successes already achieved. Our rule stage; (4) long-term actions; and (5) publication dates. For example, the planned regulatory actions reflect a completed actions. For each entry, the need for further evaluation could result careful balance that emphasizes the Agenda provides the following in a later publication date; evidence of Department’s priority in fostering information: (1) Its ‘‘significance’’; (2) a a greater need for the regulation could innovation while at the same time short, descriptive title; (3) its legal basis; result in an earlier publication date. meeting the challenges of maintaining a (4) the related regulatory citation in the Finally, a dot (•) preceding an entry safe, reliable, and sustainable Code of Federal Regulations; (5) any indicates that the entry appears in the transportation system. legal deadline and, if so, for what action Agenda for the first time. For example, the National Highway (e.g., NPRM, final rule); (6) an abstract; The internet is the basic means for Traffic Safety Administration (NHTSA) (7) a timetable, including the earliest disseminating the Unified Agenda. The is working on reducing regulatory expected date for when a rulemaking complete Unified Agenda is available barriers to technology innovation, document may publish; (8) whether the online at www.reginfo.gov in a format including the integration of automated rulemaking will affect small entities that offers users a greatly enhanced vehicles, while continuing to focus on and/or levels of Government and, if so, ability to obtain information from the safety. Automated vehicles are expected which categories; (9) whether a Agenda database. A portion of the to increase safety significantly by Regulatory Flexibility Act (RFA) Agenda is published in the Federal reducing the likelihood of human error analysis is required (for rules that would Register, however, because the when driving, which today accounts for have a significant economic impact on Regulatory Flexibility Act (5 U.S.C. 602) the overwhelming majority of accidents a substantial number of small entities); mandates publication for the regulatory on our nation’s roadways. NHTSA plans (10) a listing of any analyses an office flexibility agenda. Accordingly, DOT’s to issue regulatory actions that; (1) allow will prepare or has prepared for the printed Agenda entries include only: for permanent updates to current action (with minor exceptions, DOT 1. The agency’s Agenda preamble; FMVSS reflecting new technology; and requires an economic analysis for all its 2. Rules that are in the agency’s (2) allow for updates to NHTSA’s rulemakings); (11) an agency contact regulatory flexibility agenda, in regulations outlining the administrative office or official who can provide accordance with the Regulatory processes for petitioning the agency for further information; (12) a Regulation Flexibility Act, because they are likely exemptions, rulemakings, and Identifier Number (RIN) assigned to to have a significant economic impact reconsiderations. Similarly, the Federal identify an individual rulemaking in the on a substantial number of small Aviation Administration (FAA) is Agenda and facilitate tracing further entities; and working to enable, safely and efficiently, action on the issue; (13) whether the 3. Any rules that the agency has the integration of unmanned aircraft action is subject to the Unfunded identified for periodic review under systems (UAS) into the National Mandates Reform Act; (14) whether the section 610 of the Regulatory Flexibility Airspace System. UAS are expected to action is subject to the Energy Act; (15) Act. continue to drive innovation and the action’s designation under Executive Printing of these entries is limited to increase safety as operators and Order 13771 explaining whether the fields that contain information required manufacturers find new and inventive action will have a regulatory or by the Regulatory Flexibility Act’s
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Agenda requirements. These elements between the Federal Government and FRA—Amanda Maizel, Office of Chief are: Sequence Number; Title; Section them, or on the distribution of power Counsel, 1200 New Jersey Avenue SE, 610 Review, if applicable; Legal and responsibilities between the Federal Washington, DC 20590; telephone (202) Authority; Abstract; Timetable; Government and various levels of 493–8014. Regulatory Flexibility Analysis Government or Indian tribes. Therefore, FTA—Chaya Koffman, Office of Chief Required; Agency Contact; and we encourage State and local Counsel, 1200 New Jersey Avenue SE, Regulation Identifier Number (RIN). Governments or Indian tribes to provide Washington, DC 20590; telephone (202) Additional information (for detailed list, us with information about how the 366–3101. see section heading ‘‘Explanation of Department’s rulemakings impact them. SLSDC—Carrie Mann Lavigne, Chief Information on the Agenda’’) on these Counsel, 180 Andrews Street, Massena, entries is available in the Unified Purpose NY 13662; telephone (315) 764–3200. Agenda published on the internet. The Department is publishing this PHMSA—Stephen Gordon, Office of regulatory Agenda in the Federal Chief Counsel, 1200 New Jersey Avenue Request for Comments Register to share with interested SE, Washington, DC 20590; telephone General members of the public the Department’s (202) 366–1101. Our Agenda is intended primarily for preliminary expectations regarding its MARAD—Gabriel Chavez, Office of the use of the public. Since its future regulatory actions. This should Chief Counsel, Maritime inception, we have made modifications enable the public to be more aware of Administration, 1200 New Jersey and refinements that we believe provide the Department’s regulatory activity and Avenue SE, Washington, DC 20590; the public with more helpful should result in more effective public telephone (202) 366–2621. information, as well as making the participation. This publication in the OST—Jonathan Moss, Assistant Agenda easier to use. We would like Federal Register does not impose any General Counsel for Regulation, 1200 you, the public, to make suggestions or binding obligation on the Department or New Jersey Avenue SE, Washington, DC comments on how the Agenda could be any of the offices within the Department 20590; telephone (202) 366–4723. further improved. with regard to any specific item on the Appendix C—Public Rulemaking Agenda. Regulatory action, in addition Dockets Reviews to the items listed, is not precluded. We also seek your suggestions on All comments via the internet are Elaine L. Chao, which of our existing regulations you submitted through the Federal Docket believe need to be reviewed to Secretary of Transportation. Management System (FDMS) at the following address: http:// determine whether they should be Appendix A—Instructions for www.regulations.gov. The FDMS allows revised or revoked. We particularly Obtaining Copies of Regulatory the public to search, view, download, draw your attention to the Department’s Documents review plan in appendix D. and comment on all Federal agency To obtain a copy of a specific rulemaking documents in one central Regulatory Flexibility Act regulatory document in the Agenda, you online system. The above referenced The Department is especially should communicate directly with the internet address also allows the public interested in obtaining information on contact person listed with the regulation to sign up to receive notification when requirements that have a ‘‘significant at the address below. We note that most, certain documents are placed in the economic impact on a substantial if not all, such documents, including the dockets. number of small entities’’ and, therefore, Semiannual Regulatory Agenda, are The public also may review regulatory must be reviewed under the Regulatory available through the internet at http:// dockets at or deliver comments on Flexibility Act. If you have any www.regulations.gov. See appendix C proposed rulemakings to the Dockets suggested regulations, please submit for more information. Office at 1200 New Jersey Avenue SE, them to us, along with your explanation Appendix B—General Rulemaking Room W12–140, Washington, DC 20590, of why they should be reviewed. Contact Persons 1–800–647–5527. Working Hours: 9:00 In accordance with the Regulatory a.m. to 5:00 p.m. Flexibility Act, comments are The following is a list of persons who Appendix D—Review Plans for Section specifically invited on regulations that can be contacted within the Department 610 and Other Requirements we have targeted for review under for general information concerning the section 610 of the Act. The phrase (sec. rulemaking process within the various Part I—The Plan 610 Review) appears at the end of the operating administrations. General title for these reviews. Please see FAA—Brandon Roberts, Acting appendix D for the Department’s section Executive Director, Office of The Department of Transportation has 610 review plans. Rulemaking, 800 Independence Avenue long recognized the importance of SW, Washington, DC 20591; telephone regularly reviewing its existing Consultation With State, Local, and (202) 267–9677. regulations to determine whether they Tribal Governments FHWA—Jennifer Outhouse, Office of need to be revised or revoked. Our Executive Orders 13132 and 13175 Chief Counsel, 1200 New Jersey Avenue Regulatory Policies and Procedures require us to develop an account SE, Washington, DC 20590; telephone require such reviews. We also have process to ensure ‘‘meaningful and (202) 366–0761. responsibilities under Executive Order timely input’’ by State, local, and tribal FMCSA—Steven J. LaFreniere, 12866, ‘‘Regulatory Planning and officials in the development of Regulatory Ombudsman, 1200 New Review,’’ Executive Order 13563, regulatory policies that have federalism Jersey Avenue SE, Washington, DC ‘‘Improving Regulation and Regulatory or tribal implications. These policies are 20590; telephone (202) 366–0596. Review,’’ 76 FR 3821 (January 18, 2011), defined in the Executive orders to NHTSA—Steve Wood, Office of Chief Executive Order 13771 ‘‘Reducing include regulations that have Counsel, 1200 New Jersey Avenue SE, Regulation and Controlling Regulatory ‘‘substantial direct effects’’ on States or Washington, DC 20590; telephone (202) Costs,’’ Executive Order 13777, Indian tribes, on the relationship 366–2992. ‘‘Enforcing the Regulatory Agenda,’’ and
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section 610 of the Regulatory Flexibility plan to analyze one group each year. For establish petition processes that have no Act to conduct such reviews. This purposes of these reviews, a year will cost impact’’ or ‘‘these rules do not includes the designation of a Regulatory coincide with the fall-to-fall schedule apply to any small entities’’). For parts, Reform Officer, the establishment of a for publication of the Agenda. Most subparts, or other discrete sections of Regulatory Reform Task Force, and the agencies provide historical information rules that do have a SEISNOSE, we will use of plain language techniques in new about the reviews that have occurred announce that we will be conducting a rules and considering its use in existing over the past 10 years. Thus, Year 1 formal section 610 review during the rules when we have the opportunity and (2018) begins in the fall of 2018 and following 12 months. At this stage, we resources to revise them. We are ends in the fall of 2019; Year 2 (2019) will add an entry to the Agenda in the committed to continuing our reviews of begins in the fall of 2019 and ends in pre-rulemaking section describing the existing rules and, if it is needed, will the fall of 2020, and so on. The review in more detail. We also will seek initiate rulemaking actions based on exception to this general rule is the these reviews. The Department will FAA, which provides information about public comment on how best to lessen begin a new 10-year review cycle with the reviews it completed for this year the impact of these rules and provide a the Fall 2018 Agenda. and prospective information about the name or docket to which public reviews it intends to complete in the comments can be submitted. In some Section 610 Review Plan next 10 years. Thus, for FAA Year 1 cases, the section 610 review may be Section 610 requires that we conduct (2017) begins in the fall of 2017 and part of another unrelated review of the reviews of rules that: (1) Have been ends in the fall of 2018; Year 2 (2018) rule. In such a case, we plan to clearly published within the last 10 years; and begins in the fall of 2018 and ends in indicate which parts of the review are (2) have a ‘‘significant economic impact the fall of 2019, and so on. We request being conducted under section 610. on a substantial number of small public comment on the timing of the entities’’ (SEISNOSE). It also requires reviews. For example, is there a reason Other Reviews that we publish in the Federal Register for scheduling an analysis and review The agency will also examine the each year a list of any such rules that for a particular rule earlier than we specified rules to determine whether we will review during the next year. have? Any comments concerning the The Office of the Secretary and each of any other reasons exist for revising or plan or analyses should be submitted to revoking the rule or for rewriting the the Department’s Operating the regulatory contacts listed in rule in plain language. In each Fall Administrations have a 10-year review appendix B, General Rulemaking Agenda, the agency will also publish plan. These reviews comply with Contact Persons. section 610 of the Regulatory Flexibility information on the results of the Act. Section 610 Review examinations completed during the The agency will analyze each of the previous year. Changes to the Review Plan rules in a given year’s group to Part III—List of Pending Section 610 Some reviews may be conducted determine whether any rule has a Reviews earlier than scheduled. For example, to SEISNOSE and, thus, requires review in the extent resources permit, the plain accordance with section 610 of the The Agenda identifies the pending language reviews will be conducted Regulatory Flexibility Act. The level of DOT section 610 Reviews by inserting more quickly. Other events, such as analysis will, of course, depend on the ‘‘(Section 610 Review)’’ after the title for accidents, may result in the need to nature of the rule and its applicability. conduct earlier reviews of some rules. the specific entry. For further Publication of agencies’ section 610 information on the pending reviews, see Other factors may also result in the need analyses listed each fall in this Agenda to make changes; for example, we may the Agenda entries at www.reginfo.gov. provides the public with notice and an For example, to obtain a list of all make changes in response to public opportunity to comment consistent with entries that are in section 610 Reviews comment on this plan or in response to the requirements of the Regulatory under the Regulatory Flexibility Act, a a presidentially mandated review. If Flexibility Act. We request that public there is any change to the review plan, comments be submitted to us early in user would select the desired responses we will note the change in the following the analysis year concerning the small on the search screen (by selecting Agenda. For any section 610 review, we entity impact of the rules to help us in ‘‘advanced search’’) and, in effect, will provide the required notice prior to making our determinations. generate the desired ‘‘index’’ of reviews. the review. In each Fall Agenda, the agency will Office of the Secretary Part II—The Review Process publish the results of the analyses it has completed during the previous year. For Section 610 and Other Reviews The Analysis rules that had a negative finding on Generally, the agencies have divided SEISNOSE, we will give a short their rules into 10 different groups and explanation (e.g., ‘‘these rules only
Year Regulations to be reviewed Analysis year Review year
1 ...... 49 CFR parts 91 through 99 ...... 2018 2019 14 CFR parts 200 through 212 48 CFR parts 1201 through 1224 2 ...... 48 CFR parts 1227 through 1253 and new parts and subparts ...... 2019 2020 3 ...... 14 CFR parts 213 through 232 ...... 2020 2021 4 ...... 14 CFR parts 234 through 254 ...... 2021 2022 5 ...... 14 CFR parts 255 through 298 and 49 CFR part 40 ...... 2022 2023 6 ...... 14 CFR parts 300 through 373 ...... 2023 2024 7 ...... 14 CFR parts 374 through 398 ...... 2024 2025 8 ...... 14 CFR part 399 and 49 CFR parts 1 through 15 ...... 2025 2026 9 ...... 49 CFR parts 17 through 28 ...... 2026 2027
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Year Regulations to be reviewed Analysis year Review year
10 ...... 49 CFR parts 29 through 39 and parts 41 through 89 ...... 2027 2028
Year 1 (Fall 2018) List of Rules That Are 48 CFR part 1202—Definitions of Words 48 CFR part 1232—Contract Financing Under Ongoing Analysis and Terms 48 CFR part 1233—Protests, Disputes, 49 CFR part 91—International Air 48 CFR part 1203—Improper Business and Appeals Transportation Fair Competitive Practices and Personal Conflicts of 48 CFR part 1235—Research and Practices Interest Development Contracting 49 CFR part 92—Recovering Debts to the 48 CFR part 1204—Administrative 48 CFR part 1236—Construction and United States by Salary Offset Matters Architect-Engineer Contracts 48 CFR part 1205—Publicizing Contract • Section 610: OST conducted a 48 CFR part 1237—Service Contracting Section 610 review of this part and Actions 48 CFR part 1206—Competition 48 CFR part 1239—Acquisition of found no SEISNOSE. Information Technology • General: The agency is aware of Requirements 48 CFR part 1207—Acquisition 48 CFR part 1242—Contract several outdated references to operating Administration and Audit Services administrations within the Department Planning 48 CFR part 1208–1210—[Reserved] 48 CFR part 1245—Government that need to be updated. OST’s plain Contracting language review of these rules indicates 48 CFR part 1211—Describing Agency 48 CFR part 1246—Quality Assurance no need for substantial revision. Needs 48 CFR part 1212—[Reserved] 48 CFR part 1247—Transportation 49 CFR part 93—Aircraft Allocation 48 CFR part 1213—Simplified 49 CFR part 98—Enforcement of 48 CFR part 1252—Solicitation Acquisition Procedures Restrictions on Post-Employment Provisions and Contract Clauses 48 CFR part 1214—Sealed Bidding Activities 48 CFR part 1253—Forms 48 CFR part 1215—Contracting by 49 CFR part 99—Employee Negotiation Federal Aviation Administration Responsibilities and Conduct 14 CFR part 200—Definitions and 48 CFR part 1216—Types of Contracts Section 610 and Other Reviews Instructions 48 CFR part 1217—Special Contracting Methods The Federal Aviation Administration 14 CFR part 201—Air Carrier Authority (FAA) has elected to use the two-step, Under Subtitle VII of Title 49 of the 48 CFR part 1218—[Reserved] 48 CFR part 1219—Small Business two-year process used by most United States Code [Amended] Department of Transportation (DOT) 14 CFR part 203—Waiver of Warsaw Programs modes in past plans. As such, the FAA Convention Liability Limits and 48 CFR part 1220–1221—[Reserved] has divided its rules into 10 groups as Defenses 48 CFR part 1222—Application of Labor 14 CFR part 204—Data To Support Laws to Government Acquisitions displayed in the table below. During the Fitness Determinations 48 CFR part 1223—Environment, Energy first year (the ‘‘analysis year’’), all rules 14 CFR part 205—Aircraft Accident and Water Efficiency, Renewable published during the previous 10 years Liability Insurance Energy Technologies, Occupational within a 10% block of the regulations 14 CFR part 206—Certificates of Public Safety, and Drug-Free Workplace will be analyzed to identify those with Convenience and Necessity: Special 48 CFR part 1224—Protection of Privacy a significant economic impact on a Authorizations and Exemptions and Freedom of Information substantial number of small entities 14 CFR part 207—Charter Trips by U.S. (SEISNOSE). During the second year Year 2 (Fall 2019) List of Rules That (the ‘‘review year’’), each rule identified Scheduled Air Carriers Will Be Analyzed During the Next Year 14 CFR part 208—Charter Trips by U.S. in the analysis year as having a Charter Air Carriers 48 CFR parts 1227 through 1253 and SEISNOSE will be reviewed in 14 CFR part 211—Applications for new parts and subparts accordance with Section 610(b) to Permits to Foreign Air Carriers 48 CFR part 1227—Patents, Data, and determine if it should be continued 14 CFR part 212—Charter Rules for U.S. Copyrights without change or changed to minimize and Foreign Direct Air Carriers 48 CFR part 1228—Bonds and Insurance impact on small entities. Results of 48 CFR part 1201—Federal Acquisition 48 CFR part 1231—Contract Costs those reviews will be published in the Regulations System Principles and Procedures DOT Semiannual Regulatory Agenda.
Year Regulations to be reviewed Analysis year Review year
1 ...... 14 CFR parts 133 through 139 and parts 157 through 169 ...... 2019 2020 2 ...... 14 CFR parts 141 through 147 and parts 170 through 187 ...... 2020 2021 3 ...... 14 CFR parts 189 through 198 and parts 1 through 16 ...... 2021 2022 4 ...... 14 CFR parts 17 through 33 ...... 2022 2023 5 ...... 14 CFR parts 34 through 39 and parts 400 through 405 ...... 2023 2024 6 ...... 14 CFR parts 43 through 49 and parts 406 through 415 ...... 2024 2025 7 ...... 14 CFR parts 60 through 77 ...... 2025 2026 8 ...... 14 CFR parts 91 through 105 ...... 2026 2027 9 ...... 14 CFR parts 417 through 460 ...... 2027 2028 10 ...... 14 CFR parts 119 through 129 and parts 150 through 156 ...... 2028 2029
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Defining SEISNOSE for FAA Year 2 (2019) List of Rules To Be • Section 610: The agency conducted Regulations Analyzed the Next Year a Section 610 review of this part and determined no amendments to 14 CFR The RFA does not define ‘‘significant 14 CFR part 133—Rotorcraft External- part 136 published since 2009. Thus, no economic impact.’’ Therefore, there is Load Operations SEISNOSE exists in this part. no clear rule or number to determine 14 CFR part 135—Operating • General: No changes are needed. when a significant economic impact Requirements: Commuter and On occurs. However, the Small Business Demand Operations and Rules 14 CFR part 137—Agricultural Aircraft Administration (SBA) states that Governing Persons on Board Such Operations significance should be determined by Aircraft • Section 610: The agency conducted considering the size of the business, the 14 CFR part 136—Commercial Air Tours a Section 610 review of this part and size of the competitor’s business, and and National Parks Air Tour found no SEISNOSE. the impact the same regulation has on Management • 14 CFR part 137—Agricultural Aircraft General: No changes are needed. larger competitors. Operations These regulations are cost effective and Likewise, the RFA does not define 14 CFR part 139—Certification of impose the least burden. ‘‘substantial number.’’ However, the Airports 14 CFR part 139—Certification of legislative history of the RFA suggests 14 CFR part 157—Notice of Airports that a substantial number must be at Construction, Alteration, • Section 610: The agency conducted least one but does not need to be an Activation, and Deactivation of overwhelming percentage such as more a Section 610 review of this part and Airports found no SEISNOSE. than half. The SBA states that the 14 CFR part 158—Passenger Facility • substantiality of the number of small Charges General: No changes are needed. businesses affected should be 14 CFR part 161—Notice and Approval These regulations are cost effective and determined on an industry-specific of Airport Noise and Access impose the least burden basis. Restrictions 14 CFR part 157—Notice of This analysis consisted of the 14 CFR part 169—Expenditure of Construction, Alteration, following three steps: Federal Funds for Nonmilitary Activation, and Deactivation of Airports or Air Navigation Facilities Airports 1. Review of the number of small • entities affected by the amendments to Thereon Section 610: The agency conducted a Section 610 review of this part and parts 133 through 139 and parts 157 Year 1 (2018) List of Rules Analyzed through 169. determined no amendments to 14 CFR and Summary of Results part 136 published since 2009. Thus, no 2. Identification and analysis of all 14 CFR part 133—Rotorcraft External- SEISNOSE exists in this part. amendments to parts 133 through 139 Load Operations • General: No changes are needed. and parts 157 through 169 since 2009 to • Section 610: The agency conducted determine whether any still have or now 14 CFR part 158—Passenger Facility a Section 610 review of this part and have a SEISNOSE. Charges found no SEISNOSE. • Section 610: The agency conducted 3. Review of the FAA’s regulatory • General: No changes are needed. a Section 610 review of this part and flexibility assessment of each These regulations are cost effective and determined no amendments to 14 CFR amendment performed as required by impose the least burden. part 136 published since 2009. Thus, no the RFA. 14 CFR part 135—Operating SEISNOSE exists in this part. Year 2 (2020) List of Rules To Be Requirements: Commuter and On • General: No changes are needed. Analyzed the Next Year Demand Operations and Rules 14 CFR part 161—Notice and Approval Governing Persons on Board Such 14 CFR part 141—Pilot Schools of Airport Noise and Access Aircraft Restrictions 14 CFR part 142—Training Centers • • Section 610: The agency conducted 14 CFR part 143—Reserved Section 610: The agency conducted a Section 610 review of this part and a Section 610 review of this part and 14 CFR part 145—Repair Stations found Amendment 135–129, 79 FR determined no amendments to 14 CFR 14 CFR part 147—Aviation Maintenance 9973, Feb. 21, 2014 section 135.117 part 136 published since 2009. Thus, no Technician Schools Briefing of passengers before flight in 14 SEISNOSE exists in this part. 14 CFR part 170—Establishment and CFR 135 promulgated since January • General: No changes are needed. Discontinuance Criteria for Air 2009 has a SEISNOSE within the 14 CFR part 169—Expenditure of Traffic Control Services and meaning of the RFA. Federal Funds for Nonmilitary Navigational Facilities • General: The FAA has considered a Airports or Air Navigation Facilities 14 CFR part 171—Non-Federal number of alternatives and has taken Thereon Navigation Facilities steps to minimize the impact on small • Section 610: The agency conducted 14 CFR part 183—Representatives of the entities in attempts to lower compliance a Section 610 review of this part and Administrator costs for small entities, but could not go determined no amendments to 14 CFR 14 CFR part 185—Testimony by forward without compromising the part 136 published since 2009. Thus, no Employees and Production of safety for the industry. No revisions are SEISNOSE exists in this part. Records in Legal Proceedings, and needed. • General: No changes are needed. Service of Legal Process and 14 CFR part 136—Commercial Air Tours Federal Highway Administration Pleadings and National Parks Air Tour 14 CFR part 187—Fees Management Section 610 and Other Reviews
Year Regulations to be reviewed Analysis year Review year
1 ...... None ...... 2018 2019
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Year Regulations to be reviewed Analysis year Review year
2 ...... 23 CFR parts 1 to 260 ...... 2019 2020 3 ...... 23 CFR parts 420 to 470 ...... 2020 2021 4 ...... 23 CFR part 500 ...... 2021 2022 5 ...... 23 CFR parts 620 to 637 ...... 2022 2023 6 ...... 23 CFR parts 645 to 669 ...... 2023 2024 7 ...... 23 CFR parts 710 to 924 ...... 2024 2025 8 ...... 23 CFR parts 940 to 973 ...... 2025 2026 9 ...... 23 CFR parts 1200 to 1252 ...... 2026 2027 10 ...... New parts and subparts ...... 2027 2028
Federal-Aid Highway Program primarily relate to States, which are not engineering and design related defined as small entities under the services The Federal Highway Administration Regulatory Flexibility Act, the FHWA (FHWA) has adopted regulations in title 23 CFR part 180—Credit assistance for believes that its regulations in title 23 23 of the CFR, chapter I, related to the surface transportation projects do not have a significant economic Federal-Aid Highway Program. These 23 CFR part 190—Incentive payments impact on a substantial number of small regulations implement and carry out the for controlling outdoor advertising entities. The FHWA solicits public provisions of Federal law relating to the on the interstate system comment on this preliminary administration of Federal aid for 23 CFR part 192—Drug offender’s conclusion. highways. The primary law authorizing driver’s license suspension Federal aid for highways is chapter I of Year 1 (Fall 2018) List of Rules 23 CFR part 200—Title VI program and title 23 of the U.S.C. 145, which Analyzed and a Summary of Results related statutes—implementation and review procedures expressly provides for a federally None assisted State program. For this reason, 23 CFR part 230—External programs the regulations adopted by the FHWA in Year 2 (Fall 2019) List of Rules That 23 CFR part 260—Education and title 23 of the CFR primarily relate to the Will Be Analyzed During the Next Year training programs requirements that States must meet to 23 CFR part 1—General Federal Motor Carrier Safety receive Federal funds for construction 23 CFR part 140—Reimbursement Administration and other work related to highways. 23 CFR part 172—Procurement, Because the regulations in title 23 management, and administration of Section 610 and Other Reviews
Year Regulations to be reviewed Analysis year Review year
1 ...... 49 CFR parts 386 ...... 2018 2019 2 ...... 49 CFR part 385 ...... 2019 2020 3 ...... 49 CFR part 383 and 384 ...... 2020 2021 4 ...... 49 CFR parts 382 ...... 2021 2022 5 ...... 49 CFR part 387 ...... 2022 2023 6 ...... 49 CFR part 398 ...... 2023 2024 7 ...... 49 CFR part 392 ...... 2024 2025 8 ...... 49 CFR part 375 ...... 2025 2026 9 ...... 49 CFR part 367 ...... 2026 2027 10 ...... 49 CFR part 395 ...... 2027 2028
Year 10 (Fall 2018) List of Rules With reduced operational cost, maximized imposed on a small business is Ongoing Analysis productivity, lowered insurance, reasonable when compared to the 49 CFR part 395—Hours of Service improved vehicle diagnostics, reduced benefits. administrative burden, and increased (HOS) of Drivers Year 1 (2019) List of Rules With profits. Section 610: FMCSA conducted a Ongoing Analysis review of 49 CFR part 395, and found General: FMCSA currently is engaged there was a significant economic impact in rulemakings that would: (1) Add 49 CFR part 386 Rules of Practice for on a substantial number of small entities flexibilities to the HOS regulations; and Motor Carrier, Intermodal (SEIOSNOSE). The rule restricts the (2) clarify the meaning of ‘‘agricultural Equipment Provider, Broker, number of hours that a commercial commodities’’ whose transport is Freight Forwarder, and Hazardous driver can operate a commercial motor exempt from the HOS regulations if Materials Proceedings vehicle (CMV). The SEIOSNOSE is certain requirements are met. Aside Section 610: FMCSA conducted a driven by the potential loss of revenue from the issues being addressed in these review of 49 CFR part 386, and found that drivers and motor carriers could rulemakings, FMCSA has determined no SEIOSNOSE. 49 CFR part 386 is a experience if they could operate without that the regulatory value of the HOS permissive set of rules that establish restriction. The Federal HOS regulations regulations is significant and that it procedures and proceedings for promote safe driving of CMV’s by should be retained. The rule reduces respondents, petitioners, and others limiting on-duty driving time; thereby fatigue related crashes, fatalities, and seeking relief from a determination of improving the likelihood that drivers injuries. These regulations are written non-compliance with Federal Motor have adequate time for restorative rest. consistent with plain language Carrier Safety Regulations or Hazardous Tangible benefits to small businesses guidelines, and uses clear and Materials Regulations. The rule also include; streamlined operations, unambiguous language. The cost burden provides a recourse for commercial
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drivers to report harassment or coercion. industry and drivers. The regulations Year 2 (2020) List of Rules That Will Be Although not required by the rule, a are written consistent with plain Analyzed During the Next Year small business could elect to incur language guidelines, are cost effective, 49 CFR part 385—Safety Fitness significant attorney and court fees to and impose the least economic burden Procedures challenge an unfavorable decision. to industry. National Highway Traffic Safety General: There is no need for Administration substantial revision. These regulations provide necessary/clear guidance to Section 610 and Other Reviews
Year Regulations to be reviewed Analysis year Review year
1 ...... 49 CFR parts 571.223 through 571.500, and parts 575 and 579 ...... 2018 2019 2 ...... 23 CFR parts 1200 and 1300 ...... 2019 2020 3 ...... 49 CFR parts 501 through 526 and 571.213 ...... 2020 2021 4 ...... 49 CFR parts 571.131, 571.217, 571.220, 571.221, and 571.222 ...... 2021 2022 5 ...... 49 CFR parts 571.101 through 571.110, and 571.135, 571.136, 571.138 and 571.139 ...... 2022 2023 6 ...... 49 CFR parts 571.141, 529 through 578, except parts 571 and 575 ...... 2023 2024 7 ...... 49 CFR parts 571.111 through 571.129 and 580 through 588 ...... 2024 2025 8 ...... 49 parts CFR 571.201 through 571.212 ...... 2025 2026 9 ...... 49 parts CFR 571.214 through 571.219, except 571.217 ...... 2026 2027 10 ...... 49 CFR parts 591 through 595 and new parts and subparts ...... 2027 2028
Year 1 (Fall 2019) List of Rules With 49 CFR part 571.303—Fuel System 49 CFR part 575—Consumer Ongoing Analysis Integrity of Compressed Natural Gas Information Vehicles 49 CFR part 579—Reporting of 49 CFR part 571.223—Rear Impact 49 CFR part 571.304—Compressed Information and Communications Guards Natural Gas Fuel Container Integrity 49 CFR part 571.224—Rear Impact 49 CFR part 571.305—Electric-Powered About Potential Defects Protection Vehicles: Electrolyte Spillage and 23 CFR part 1200 Uniform Procedures 49 CFR part 571.225—Child Restraint Electrical Shock Protection for State Highway Safety Grant Anchorage Systems 49 CFR part 571.401—Interior Trunk Programs Release 49 CFR part 571.226—Ejection 23 CFR part 1300 Uniform Procedures 49 CFR part 571.403—Platform Lift Mitigation Systems for Motor Vehicles for State Highway Safety Grant 49 CFR part 571.301—Fuel System 49 CFR part 571.404—Platform Lift Programs Integrity Installations in Motor Vehicles Federal Railroad Administration 49 CFR part 571.302—Flammability of 49 CFR part 571.500—Low-Speed Interior Materials Vehicles Section 610 and Other Reviews
Year Regulations to be reviewed Analysis year Review year
1 ...... 49 CFR parts 200, 207, 209, and 210 ...... 2018 2019 2 ...... 49 CFR parts 211, 212, 213, 214, and 215 ...... 2019 2020 3 ...... 49 CFR parts 216, 217, 218, 219, and 220 ...... 2020 2021 4 ...... 49 CFR parts 221, 222, 223, 224, and 225 ...... 2021 2022 5 ...... 49 CFR parts 227, 228, 229, 230, and 231 ...... 2022 2023 6 ...... 49 CFR parts 232, 233, 234, 235, and 236 ...... 2023 2024 7 ...... 49 CFR parts 237, 238, 249, 240, and 241 ...... 2024 2025 8 ...... 49 CFR parts 242, 243, 244, 250, and 256 ...... 2025 2026 9 ...... 49 CFR parts 261, 262, 264, 266, and 268 ...... 2026 2027 10 ...... 49 CFR parts 269, 270, and 272 ...... 2027 2028
Year 1 (Fall 2018) List of Rules 49 CFR part 207—Railroad Police language review of this rule indicates no Analyzed and a Summary of Results Officers need for substantial revision. D Section 610: There is no 49 CFR part 210—Railroad Noise 49 CFR part 200—Informal Rules of SEIOSNOSE. Practice for Passenger Service Emission Compliance Regulations D General: No changes are needed. D D Section 610: There is no Section 610: There is no These regulations are cost effective and SEIOSNOSE. SEIOSNOSE. impose the least burden. FRA’s plain D General: To support high-speed rail D General: The rule prescribes language review of this rule indicates no operations, FRA has identified procedures under which applications need for substantial revision. substantive changes to the regulations. are received and heard and by which 49 CFR part 209—Railroad Safety rules and orders are issued primarily Enforcement Procedures Year 2 (Fall 2019) List of Rules(s) That affecting the Class I railroads and D Section 610: There is no Will Be Analyzed During Next Year Amtrak, none of which are small SEIOSNOSE. entities. FRA’s plain language review of D General: No changes are needed. 49 CFR part 211—Rules of Practice this rule indicates no need for These regulations are cost effective and 49 CFR part 212—State Safety substantial revision. impose the least burden. FRA’s plain Participation Regulations
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49 CFR part 213—Track Safety agencies to analyze all proposed and process used by most Department of Standards final rules to determine their economic Transportation (DOT) modes. As such, 49 CFR part 214—Railroad Workplace impact on small entities, which include FTA has divided its rules into 10 groups Safety small businesses, organizations, and as displayed in the table below. During 49 CFR part 215—Railroad Freight Car governmental jurisdictions. Section 610 the analysis year, the listed rules will be Safety Standards requires government agencies to analyzed to identify those with a Federal Transit Administration periodically review all regulations that SEISNOSE. During the review year, each will have a significant economic impact rule identified in the analysis year as Section 610 and Other Reviews on a substantial number of small entities having a SEISNOSE will be reviewed in The Regulatory Flexibility Act of 1980 (SEISNOSE). accordance with Section 610(b) to (RFA), as amended (sections 601 In complying with this section, the determine if it should be continued through 612 of title 5, United States Federal Transit Administration (FTA) without change or changed to minimize Code), requires Federal regulatory has elected to use the two-step, two-year the impact on small entities.
Year Regulations to be reviewed Analysis year Review year
1 ...... 49 CFR parts 604, 605, and 624 ...... 2018 2019 2 ...... 49 CFR parts 609 and 640 ...... 2019 2020 3 ...... 49 CFR part 633 ...... 2020 2021 4 ...... 49 CFR part 611 ...... 2021 2022 5 ...... 49 CFR part 655 ...... 2022 2023 6 ...... 49 CFR parts 602 and 614 ...... 2023 2024 7 ...... 49 CFR parts 661 and 663 ...... 2024 2025 8 ...... 49 CFR parts 625, 630, and 665 ...... 2025 2026 9 ...... 49 CFR parts 613, 622, 670 and 674 ...... 2026 2027 10 ...... 49 CFR parts 650, 672 and 673 ...... 2027 2028
Year 1 (2018) List of Rules Analyzed plain language review of this rule 49 CFR part 624—Clean Fuels Grant and Summary of Results indicates no need for substantial Program revision. • Section 610: FTA conducted a 49 CFR part 604—Charter Service 49 CFR part 605—School Bus Section 610 review of 49 CFR part 624 • Section 610: FTA conducted a Operations and determined that it would not result Section 610 review of 49 CFR part 604, • Section 610: FTA conducted a and determined that it would not result in a SEISNOSE within the meaning of Section 610 review of 49 CFR part 605 the RFA. However, the Clean Fuels in a SEISNOSE within the meaning of and determined that it would not result the RFA. The Charter Service rule Grant Program was repealed by Section in a SEISNOSE within the meaning of 20002 of the Moving Ahead for Progress ensures that transit agencies, subsidized the RFA. The School Bus Operations with federal funds, do not unfairly in the 21st Century (MAP–21) Act (Pub. regulation ensures that transit agencies, L. 112–141), and therefore, part 624 compete with privately-owned charter subsidized with federal funds, do not implements a program no longer bus companies. The rule also provides engage in operations exclusively for the authorized by law. an exception that allows public transportation of students and school transportation agencies to provide personnel. This type of exclusive • General: FTA will rescind 49 CFR charter service to qualified service is not public transportation and part 624, because the requirements set organizations for the purpose of serving would unfairly compete with private forth in the rule were rendered obsolete persons with mobility limitations school bus operators. As such, the rule by statute. related to advanced age, persons with is in place to protect small entities. disabilities, or persons with low • General: No changes are needed. Year 2 (2019) List of Rules To Be income. As such, the rule is in place to The regulation implements the Analyzed the Next Year protect small entities. requirements of 49 U.S.C. 5323(f). FTA 49 CFR part 609—Transportation for • General: No changes are needed. estimated the costs and projected Elderly and Handicapped Persons The regulation implements the benefits of the rule and believes it is requirements of 49 U.S.C. 5323(d), FTA cost-effective and imposes the least 49 CFR part 640—Credit Assistance for estimated the costs and projected burden for statutory compliance. FTA’s Surface Transportation Project benefits of the rule and believes it is plain language review of this rule Maritime Administration cost-effective and imposes the least indicates no need for substantial burden for statutory compliance. FTA’s revision. Section 610 and Other Reviews
Year Regulations to be reviewed Analysis year Review year
1 ...... 46 CFR parts 201 through 205, 46 CFR parts 315 through 340, 46 CFR part 345 through 2018 2019 347, and 46 CFR parts 381 and 382. 2 ...... 46 CFR parts 221 through 232 ...... 2019 2020 3 ...... 46 CFR parts 249 through 296 ...... 2020 2021 4 ...... 46 CFR parts 221, 298, 308, and 309 ...... 2021 2022 5 ...... 46 CFR parts 307 through 309 ...... 2022 2023 6 ...... 46 CFR part 310 ...... 2023 2024 7 ...... 46 CFR parts 315 through 340 ...... 2024 2025 8 ...... 46 CFR parts 345 through 381 ...... 2025 2026 9 ...... 46 CFR parts 382 through 389 ...... 2026 2027
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Year Regulations to be reviewed Analysis year Review year
10 ...... 46 CFR parts 390 through 393 ...... 2027 2028
Year 1 (2018) List of Rules With 46 CFR part 327—Seamen’s Claims; 46 CFR part 340—Priority Use and Ongoing Analysis Administrative Action and Allocation of Shipping Services, Litigation Containers and Chassis, and Port 46 CFR part 201—Rules of Practice and 46 CFR part 328—Slop Chests Facilities and Services for National Procedure 46 CFR part 329—Voyage Data Security and National Defense 46 CFR part 202—Procedures relating to 46 CFR part 330—Launch Services Related Operations review by Secretary of 46 CFR part 332—Repatriation of 46 CFR part 345—Restrictions Upon the Transportation of actions by Seamen Transfer or Change in Use or In Maritime Subsidy Board 46 CFR part 335—Authority and Terms Governing Utilization of Port 46 CFR part 203—Procedures relating to Responsibility of General Agents to Facilities conduct of certain hearings under Undertake Emergency Repairs in 46 CFR part 346—Federal Port the Merchant Marine Act, 1936, as Foreign Ports Controllers amended 46 CFR part 336—Authority and 46 CFR part 347—Operating Contract 46 CFR part 204—Claims against the Responsibility of General Agents to 46 CFR part 381—Cargo Preference— Maritime Administration under the Undertake in Continental United U.S.-Flag Vessels Federal Tort Claims Act States Ports Voyage Repairs and 46 CFR part 382—Determination of Fair 46 CFR part 205—Audit Appeals; Policy Service Equipment of Vessels and Reasonable Rates for the and Procedure Operated for the Account of The Carriage of Bulk and Packaged 46 CFR part 315—Agency Agreements National Shipping Authority Under Preference Cargoes on U.S.-Flag and Appointment of Agents General Agency Agreement Commercial Vessels 46 CFR part 317—Bonding of Ship’s 46 CFR part 337—General Agent’s Personnel Responsibility in Connection with Year 2 (Fall 2019) List of Rules That 46 CFR part 324—Procedural Rules for Foreign Repair Custom’s Entries Will Be Analyzed During the Next Year Financial Transactions Under 46 CFR part 338—Procedure for 46 CFR parts 221 and 232 Agency Agreements Accomplishment of Vessel Repairs 46 CFR part 221 Regulated Transactions 46 CFR part 325—Procedure to Be Under National Shipping Authority Involving Documented Vessels and Followed by General Agents in Master Lump Sum Repair Other Maritime Interests Preparation of Invoices and Contract—NSA-Lumpsumrep 46 CFR 232 Uniform Financial Payment of Compensation Pursuant 46 CFR part 339—Procedure for Reporting Requirements to Provisions of NSA Order No. 47 Accomplishment of Ship Repairs Pipeline and Hazardous Materials 46 CFR part 326—Marine Protection and Under National Shipping Authority Safety Administration (PHMSA) Indemnity Insurance Under Individual Contract for Minor Agreements with Agents Repairs—NSA-Worksmalrep Section 610 and Other Reviews
Year Regulations to be reviewed Analysis year Review year
1 ...... 49 CFR part 178 ...... 2018 2019 2 ...... 49 CFR parts 178 through 180 ...... 2019 2020 3 ...... 49 CFR parts 172 and 175 ...... 2020 2021 4 ...... 49 CFR part 171, sections 171.15 and 171.16 ...... 2021 2022 5 ...... 49 CFR parts 106, 107, 171, 190, and 195 ...... 2022 2023 6 ...... 49 CFR parts 174, 177, and 199 ...... 2023 2024 7 ...... 49 CFR parts 176, 191 and 192 ...... 2024 2025 8 ...... 49 CFR parts 172 and 178 ...... 2025 2026 9 ...... 49 CFR parts 172, 173, 174, 176, 177, and 193 ...... 2026 2027 10 ...... 49 CFR parts 173 and 194 ...... 2027 2028
Year 1 (Fall 2019) List of Rules multiple new deregulatory rulemakings and standards. Federal law and policy Analyzed and a Summary of Results to reduce the compliance burdens of strongly favor the harmonization of part 178. Further, PHMSA’s plain domestic and international standards for 49 CFR part 178—Specifications for language review of this part indicates no hazardous materials transportation. The Packaging Section 610: PHMSA need for substantial revision. Where Federal hazardous materials conducted a review of this part and confusing or wordy language has been transportation law (Federal hazmat law; found no SEISNOSE. identified, PHMSA plans to propose or 49 U.S.C. 5101 et seq.) directs PHMSA • General: PHMSA has reviewed this finalize revisions in the upcoming to participate in relevant international part and found that while the part does biennial international harmonization standard-setting bodies and promotes not have a SEISNOSE, it could be rulemaking or other deregulatory consistency of the HMR with streamlined to reflect new technologies rulemakings. international transport standards to the and harmonize with certain For example, the Harmonization of extent practicable. Federal hazmat law international references. Therefore, even International Standards, 2137–AF32, permits PHMSA to depart from though the review indicated that the rulemaking action is part of PHMSA’s international standards where economic impact on small entities is not ongoing biennial process to harmonize appropriate, including to promote safety significant, PHMSA has initiated the HMR with international regulations or other overriding public interests.
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However, Federal hazmat law otherwise community and domestic and burden of complying with a dual system encourages domestic and international international stakeholders. The changes of regulations. This rulemaking is one harmonization (see 49 U.S.C. 5120). are generally intended to provide relief example of PHMSA’s review of Harmonization facilitates and, as a result, positive economic rulemakings which ensures that our international trade by minimizing the benefits to shippers, carriers, and rules do not have a significant economic costs and other burdens of complying packaging manufacturers and testers, impact on a substantial number of small with multiple or inconsistent safety including small entities. entities. requirements for transportation of In conclusion, many companies will Year 2 (Fall 2020) List of Rules That hazardous materials. Safety is enhanced realize economic benefits, because of Will Be Analyzed During the Next Year by creating a uniform framework for the amendments in the 2137–AF32 compliance, and as the volume of rulemaking. The amendments are 49 CFR part 178—Specifications of hazardous materials transported in expected to result in an overall net cost Packagings international commerce continues to savings and ease the regulatory 49 CFR part 179—Specifications for grow, harmonization becomes compliance burden for shippers engaged Tank Cars increasingly important. in domestic and international 49 CFR part 180—Continuing The impact that the 2137–AF32 commerce, including trans-border Qualification and Maintenance of rulemaking will have on small entities shipments within North America. Packagings is not expected to be significant. The Additionally, the effective changes of Saint Lawrence Seaway Development rulemaking will clarify provisions based this rulemaking will relieve U.S. Corporation on PHMSA’s initiatives and companies, including small entities correspondence with the regulated competing in foreign markets, from the Section 610 and Other Reviews
Year Regulations to be reviewed Analysis year Review year
1 ...... *33 CFR parts 401 through 403 ...... 2018 2019 *The review for these regulations is recurring each year of the 10-year review cycle (currently 2018 through 2027).
Year 1 (Fall 2018) List of Rules That 33 CFR part 402—Tariff of Tolls Will Be Analyzed During the Next Year 33 CFR part 403—Rules of Procedure of 33 CFR part 401—Seaway Regulations the Joint Tolls Review Board and Rules
OFFICE OF THE SECRETARY—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
303 ...... +Defining Unfair or Deceptive Practices ...... 2105–AE72 304 ...... +Accessible Lavatories on Single-Aisle Aircraft: Part I (Rulemaking Resulting From a Section 610 Re- 2105–AE88 view). + DOT-designated significant regulation.
FEDERAL AVIATION ADMINISTRATION—PRERULE STAGE
Regulation Sequence No. Title Identifier No.
305 ...... +Applying the Flight, Duty, and Rest Requirements to Ferry Flights That Follow Domestic, Flag, or Sup- 2120–AK22 plemental All-Cargo Operations (Reauthorization). 306 ...... +Applying the Flight, Duty, and Rest Rules of 14 CFR Part 135 to Tail-End Ferry Operations (FAA Reau- 2120–AK26 thorization). + DOT-designated significant regulation.
FEDERAL AVIATION ADMINISTRATION—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
307 ...... +Pilot Records Database (HR 5900) ...... 2120–AK31 308 ...... +Requirements to File Notice of Construction of Meteorological Evaluation Towers and Other Renewable 2120–AK77 Energy Projects (Section 610 Review). 309 ...... +Operations of Small Unmanned Aircraft Over People ...... 2120–AK85 + DOT-designated significant regulation.
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FEDERAL AVIATION ADMINISTRATION—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
310 ...... +Airport Safety Management System ...... 2120–AJ38 311 ...... +Regulation Of Flight Operations Conducted By Alaska Guide Pilots ...... 2120–AJ78 312 ...... +Drug and Alcohol Testing of Certain Maintenance Provider Employees Located Outside of the United 2120–AK09 States. 313 ...... +Aircraft Registration and Airmen Certification Fees ...... 2120–AK37 314 ...... +Helicopter Air Ambulance Pilot Training and Operational Requirements (HAA II) (FAA Reauthorization) .. 2120–AK57 315 ...... +Registration and Marking Requirements for Small Unmanned Aircraft ...... 2120–AK82 + DOT-designated significant regulation.
FEDERAL MOTOR CARRIER SAFETY ADMINISTRATION—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
316 ...... +Controlled Substances and Alcohol Testing: State Driver’s Licensing Agency Downgrade of Commercial 2126–AC11 Driver’s License (Section 610 Review). + DOT-designated significant regulation.
FEDERAL MOTOR CARRIER SAFETY ADMINISTRATION—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
317 ...... +Safety Monitoring System and Compliance Initiative for Mexico-Domiciled Motor Carriers Operating in 2126–AA35 the United States. + DOT-designated significant regulation.
FEDERAL MOTOR CARRIER SAFETY ADMINISTRATION—COMPLETED ACTIONS
Regulation Sequence No. Title Identifier No.
318 ...... Incorporation by Reference; North American Standard Out-of-Service Criteria; Hazardous Materials Safety 2126–AC01 Permits (Section 610 Review).
FEDERAL RAILROAD ADMINISTRATION—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
319 ...... +Train Crew Staffing and Location ...... 2130–AC48 + DOT-designated significant regulation.
SAINT LAWRENCE SEAWAY DEVELOPMENT CORPORATION—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
320 ...... Tariff of Tolls (Section 610 Review) ...... 2135–AA47
SAINT LAWRENCE SEAWAY DEVELOPMENT CORPORATION—FINAL RULE STAGE
Regulation Sequence No. Title Identifier No.
321 ...... Seaway Regulations and Rules: Periodic Update, Various Categories (Rulemaking Resulting From a 2135–AA48 Section 610 Review).
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PIPELINE AND HAZARDOUS MATERIALS SAFETY ADMINISTRATION—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
322 ...... +Pipeline Safety: Amendments to Parts 192 and 195 to Require Valve Installation and Minimum Rupture 2137–AF06 Detection Standards. + DOT-designated significant regulation.
PIPELINE AND HAZARDOUS MATERIALS SAFETY ADMINISTRATION—COMPLETED ACTIONS
Regulation Sequence No. Title Identifier No.
323 ...... +Pipeline Safety: Safety of Hazardous Liquid Pipelines ...... 2137–AE66 + DOT-designated significant regulation.
DEPARTMENT OF TRANSPORTATION Agency Contact: Blane A. Workie, DEPARTMENT OF TRANSPORTATION (DOT) Assistant General Counsel, Department (DOT) of Transportation, Office of the Office of the Secretary (OST) Secretary, 1200 New Jersey Avenue SE, Federal Aviation Administration (FAA) Proposed Rule Stage Washington, DC 20590, Phone: 202– Prerule Stage 366–9342, Fax: 202–366–7153, Email: 303. +Defining Unfair or Deceptive [email protected]. 305. +Applying the Flight, Duty, and Practices RIN: 2105–AE72 Rest Requirements to Ferry Flights That E.O. 13771 Designation: Deregulatory. Follow Domestic, Flag, or Supplemental Legal Authority: 49 U.S.C. 41712 304. +Accessible Lavatories On Single- All-Cargo Operations (Reauthorization) Abstract: This rulemaking would Aisle Aircraft: Part I (Rulemaking define the phrase ‘‘unfair or deceptive Resulting From a Section 610 Review) E.O. 13771 Designation: Regulatory. Legal Authority: 49 U.S.C. 106(g); 49 practice’’ found in the Department’s E.O. 13771 Designation: Regulatory. aviation consumer protection statute. U.S.C. 40113; 49 U.S.C. 40119; 49 U.S.C. The Department’s statute is modeled Legal Authority: Air Carrier Access 41706; 49 U.S.C. 44101; 49 U.S.C. after a similar statute granting the Act, 49 U.S.C. 41705; FAA 44701; 49 U.S.C. 44702; 49 U.S.C. Federal Trade Commission (FTC) the Reauthorization Act of 2016, sec. 2108 44705; 49 U.S.C. 44709 to 44711; 49 authority to regulate unfair or deceptive Abstract: This rulemaking would U.S.C. 44713; 49 U.S.C. 44716; 49 U.S.C. practices. Using the FTC’s policy require airlines to take steps to improve 44717 the accessibility of lavatories on single- statements as a guide, the Department Abstract: This rulemaking would aisle aircraft short of increasing the size has found a practice to be unfair if it apply the flight, duty, and rest of the lavatories. The rulemaking would causes or is likely to cause substantial requirements for domestic, flag and ensure the accessibility of features harm, the harm cannot reasonably be supplemental operations to ferry flights avoided, and the harm is not within an aircraft lavatory, including but not limited to toilet seat, assist that follow domestic, flag or outweighed by any countervailing supplemental all-cargo operations. A benefits to consumers or to competition. handles, faucets, flush control, ferry flight that follows a domestic, flag Likewise, the Department has found a attendant call buttons, lavatory controls or supplemental all-cargo operation practice to be deceptive if it misleads or and dispensers, lavatory door sill, and would be subject to the same flight, is likely to mislead a consumer acting door locks. The rulemaking would also duty, and rest rules as the all-cargo reasonably under the circumstances consider standards for the on-board operation it follows. This rule is with respect to a material issue (one that wheelchair to improve its safety/ necessary as it would make part 121 is likely to affect the consumer’s maneuverability and easily permit its flight, duty, and rest limits applicable to decision with regard to a product or entry into the aircraft lavatory. tail-end ferry flights that follow an all- service). This rulemaking would codify Timetable: cargo operation. the Department’s existing interpretation of ‘‘unfair or deceptive practice,’’ and Action Date FR Cite Timetable: seek comment on whether any changes are needed. The rulemaking is not NPRM ...... 12/00/19 Action Date FR Cite expected to impose monetary costs on regulated entities, and will benefit Regulatory Flexibility Analysis ANPRM ...... 05/00/20 regulated entities by providing a clearer Required: No. understanding of the Department’s Agency Contact: Blaine A. Workie, Regulatory Flexibility Analysis interpretation of the statute. Assistant General Counsel, Department Required: Yes. Timetable: of Transportation, Office of the Agency Contact: Dale E. Roberts, Secretary, 1200 New Jersey Avenue SE, Department of Transportation, Federal Action Date FR Cite Washington, DC 20590, Phone: 202 366– Aviation Administration, 800 9342, Fax: 202 366–7153, Email: NPRM ...... 12/00/19 Independence Avenue SW, Washington, [email protected]. DC 20591, Phone: 202 267–5749, Email: Regulatory Flexibility Analysis RIN: 2105–AE88 [email protected]. Required: Yes. BILLING CODE 4910–9X–P RIN: 2120–AK22
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306. +Applying the Flight, Duty, and Abstract: This rulemaking would 309. +Operations of Small Unmanned Rest Rules of 14 CFR Part 135 to Tail- implement a Pilot Records Database as Aircraft Over People End Ferry Operations (FAA required by Public Law 111–216 E.O. 13771 Designation: Deregulatory. Reauthorization) (August 1, 2010). Section 203 amends Legal Authority: 49 U.S.C. 106(f); 49 E.O. 13771 Designation: Regulatory. the Pilot Records Improvement Act by U.S.C. 40101; 49 U.S.C. 40103(b); 49 Legal Authority: 49 U.S.C. 106(g); 49 requiring the FAA to create a pilot U.S.C. 44701(a)(5); Pub. L. 112–95, sec. U.S.C. 1153; 49 U.S.C. 40101; 49 U.S.C. records database that contains various 333 types of pilot records. These records 40102; 49 U.S.C. 40103; 49 U.S.C. Abstract: This rulemaking would would be provided by the FAA, air 40113; 49 U.S.C. 41706; 49 U.S.C. address the performance-based carriers, and other persons who employ 44105; 49 U.S.C. 44106; 49 U.S.C. standards and means-of-compliance for pilots. The FAA must maintain these 44111; 49 U.S.C. 44701 to 44717; 49 operation of small unmanned aircraft records until it receives notice that a U.S.C. 44722; 49 U.S.C. 44901; 49 U.S.C. systems (sUAS) over people not directly pilot is deceased. Air carriers would use 44903; 49 U.S.C. 44904; 49 U.S.C. participating in the operation or not this database to perform a record check 44906; 49 U.S.C. 44912; 49 U.S.C. under a covered structure or inside a on a pilot prior to making a hiring 44914; 49 U.S.C. 44936; 49 U.S.C. stationary vehicle that can provide decision. 44938; 49 U.S.C. 45101 to 45105; 49 reasonable protection from a falling U.S.C. 46103 Timetable: small unmanned aircraft. This rule Abstract: This rulemaking would would provide relief from certain Action Date FR Cite require a flightcrew member who is operational restrictions implemented in employed by an air carrier conducting NPRM ...... 12/00/19 the Operation and Certification of Small operations under part 135, and who Unmanned Aircraft Systems final rule accepts an additional assignment for Regulatory Flexibility Analysis (RIN 2120–AJ60). flying under part 91 from the air carrier Required: Yes. Timetable: or from any other air carrier conducting Agency Contact: Christopher Morris, operations under part 121 or 135, to Action Date FR Cite apply the period of the additional Department of Transportation, Federal assignment toward any limitation Aviation Administration, 6500 South NPRM ...... 02/13/19 84 FR 3856 applicable to the flightcrew member MacArthur Boulevard, Oklahoma City, NPRM Comment 04/15/19 relating to duty periods or flight times OK 73169, Phone: 405 954–4646, Email: Period End. [email protected]. Analyzing Com- 12/00/19 under part 135. ments. Timetable: RIN: 2120–AK31 308. +Requirements to File Notice of Regulatory Flexibility Analysis Action Date FR Cite Construction of Meteorological Required: Yes. ANPRM ...... 05/00/20 Evaluation Towers and Other Agency Contact: Guido Hassig, Renewable Energy Projects (Section 610 Department of Transportation, Federal Regulatory Flexibility Analysis Review) Aviation Administration, 1 Airport Required: Yes. E.O. 13771 Designation: Regulatory. Way, Rochester, NY 14624, Phone: 585– Agency Contact: Dale E. Roberts, Legal Authority: 49 U.S.C. 40103 436–3880, Email: [email protected]. RIN: 2120–AK85 Department of Transportation, Federal Abstract: This rulemaking would add Aviation Administration, 800 specific requirements for proponents Independence Avenue SW, Washington, who wish to construct meteorological DC 20591, Phone: 202 267–5749, Email: evaluation towers at a height of 50 feet DEPARTMENT OF TRANSPORTATION [email protected]. above ground level (AGL) up to 200 feet (DOT) RIN: 2120–AK26 AGL to file notice of construction with Federal Aviation Administration (FAA) the FAA. This rule also requires sponsors of wind turbines to provide Long-Term Actions DEPARTMENT OF TRANSPORTATION certain specific data when filing notice 310. +Airport Safety Management (DOT) of construction with the FAA. This System rulemaking is a statutory mandate under Federal Aviation Administration (FAA) section 2110 of the FAA Extension, E.O. 13771 Designation: Regulatory. Proposed Rule Stage Safety, and Security Act of 2016 (Pub. Legal Authority: 49 U.S.C. 44706; 49 L. 114–190). U.S.C. 106(g); 49 U.S.C. 40113; 49 307. +Pilot Records Database (HR 5900) Timetable: U.S.C. 44701 to 44706; 49 U.S.C. 44709; E.O. 13771 Designation: Regulatory. 49 U.S.C. 44719 Legal Authority: 49 U.S.C. 106(g); 49 Action Date FR Cite Abstract: This rulemaking would U.S.C. 1155; 49 U.S.C. 40103; 49 U.S.C. require certain airport certificate holders 40113; 49 U.S.C. 40119; 49 U.S.C. NPRM ...... 04/00/20 to develop, implement, maintain, and 40120; 49 U.S.C. 41706; 49 U.S.C. adhere to a safety management system 44101; 49 U.S.C. 44111; 49 U.S.C. 44701 Regulatory Flexibility Analysis (SMS) for their aviation related to 44705; 49 U.S.C. 44709 to 44713; 49 Required: No. activities. An SMS is a formalized U.S.C. 44715 to 44717; 49 U.S.C. 44722; Agency Contact: Sheri Edgett–Baron, approach to managing safety by 49 U.S.C. 45101 to 45105; 49 U.S.C. Air Traffic Service, Department of developing an organization-wide safety 46105; 49 U.S.C. 46306; 49 U.S.C. Transportation, Federal Aviation policy, developing formal methods of 46315; 49 U.S.C. 46316; 49 U.S.C. Administration, 800 Independence identifying hazards, analyzing and 46504; 49 U.S.C. 46507; 49 U.S.C. Avenue SW, Washington, DC 20591, mitigating risk, developing methods for 47122; 49 U.S.C. 47508; 49 U.S.C. 47528 Phone: 202 267–9354. ensuring continuous safety to 47531 RIN: 2120–AK77 improvement, and creating
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organization-wide safety promotion concerning falsification, reproduction, 313. +Aircraft Registration and Airmen strategies. and alteration of applications, logbooks, Certification Fees Timetable: reports, or records. This rulemaking is a E.O. 13771 Designation: Fully or statutory mandate under section 732 of Partially Exempt. Action Date FR Cite the Wendell H. Ford Aviation Legal Authority: 31 U.S.C. 9701; 4 Investment and Reform Act for the 21st U.S.C. 1830; 49 U.S.C. 106(f); 49 U.S.C. NPRM ...... 10/07/10 75 FR 62008 Century, (Pub. L. 106–181). NPRM Comment 12/10/10 75 FR 76928 106(g); 49 U.S.C. 106(l)(6); 49 U.S.C. Period Ex- Timetable: Next Action 40104; 49 U.S.C. 40105; 49 U.S.C. tended. Undetermined. 40109; 49 U.S.C. 40113; 49 U.S.C. NPRM Comment 01/05/11 Regulatory Flexibility Analysis 40114; 49 U.S.C. 44101 to 44108; 49 Period End. Required: Yes. U.S.C. 44110 to 44113; 49 U.S.C. 44701 End of Extended 03/07/11 Agency Contact: Jeff Smith, to 44704; 49 U.S.C. 44707; 49 U.S.C. Comment Pe- Department of Transportation, Federal 44709 to 44711; 49 U.S.C. 44713; 49 riod. Aviation Administration, 800 U.S.C. 45102; 49 U.S.C. 45103; 49 U.S.C. Second Extension 03/07/11 76 FR 12300 Independence Avenue SW, Washington, of Comment 45301; 49 U.S.C. 45302; 49 U.S.C. DC 20785, Phone: 202 385–9615, Email: 45305; 49 U.S.C. 46104; 49 U.S.C. Period. [email protected]. End of Second 07/05/11 46301; Pub. L. 108–297, 118 Stat. 1095 Extended Com- RIN: 2120–AJ78 Abstract: This rulemaking would ment Period. 312. +Drug and Alcohol Testing of establish fees for airman certificates, Second NPRM .... 07/14/16 81 FR 45871 Certain Maintenance Provider medical certificates, and provision of Second NPRM 09/12/16 Employees Located Outside of the legal opinions pertaining to aircraft Comment Pe- United States registration or recordation. This riod End. rulemaking also would revise existing Final Rule ...... 11/00/20 E.O. 13771 Designation: Fully or fees for aircraft registration, recording of Partially Exempt. security interests in aircraft or aircraft Regulatory Flexibility Analysis Legal Authority: 49 U.S.C. 106(g); 49 parts, and replacement of an airman Required: Yes. U.S.C. 40113; 49 U.S.C. 44701; 49 U.S.C. certificate. This rulemaking addresses Agency Contact: Dale Williams, 44702; 49 U.S.C. 44707; 49 U.S.C. provisions of the FAA Modernization Department of Transportation, Federal 44709; 49 U.S.C. 44717 Aviation Administration, 800 Abstract: This rulemaking would and Reform Act of 2012. This Independence Avenue, Washington, DC require controlled substance testing of rulemaking is intended to recover the 20591, Phone: 202 267–4179, Email: some employees working in repair estimated costs of the various services [email protected]. stations located outside of the United and activities for which fees would be RIN: 2120–AJ38 States. The intended effect is to increase established or revised. Timetable: 311. +Regulation of Flight Operations participation by companies outside of Conducted by Alaska Guide Pilots the United States in testing of Action Date FR Cite employees who perform safety critical E.O. 13771 Designation: Regulatory. functions and testing standards similar NPRM ...... 12/00/20 Legal Authority: 49 U.S.C. 106(g); 49 to those used in the repair stations U.S.C. 1153; 49 U.S.C. 1155; 49 U.S.C. located in the United States. This action Regulatory Flexibility Analysis 40101 to 40103; 49 U.S.C. 40113; 49 is necessary to increase the level of Required: Yes. U.S.C. 40120; 49 U.S.C. 44101; 49 U.S.C. safety of the flying public. This Agency Contact: Isra Raza, 44105 to 44016; 49 U.S.C. 44111; 49 rulemaking is a statutory mandate under Department of Transportation, Federal U.S.C. 44701 to 44717; 49 U.S.C. 44722; section 308(d) of the FAA Aviation Administration, 800 49 U.S.C. 44901; 49 U.S.C. 44903 and Modernization and Reform Act of 2012 Independence Avenue SW, Washington, 44904; 49 U.S.C. 44906; 49 U.S.C. (Pub. L. 112–95). DC 20591, Phone: 202 267–8994, Email: 44912; 49 U.S.C. 44914; 49 U.S.C. Timetable: [email protected]. 44936; 49 U.S.C. 44938; 49 U.S.C. RIN: 2120–AK37 46103; 49 U.S.C. 46105; 49 U.S.C. Action Date FR Cite 46306; 49 U.S.C. 46315 and 46316; 49 314. +Helicopter Air Ambulance Pilot U.S.C. 46504; 49 U.S.C. 46506 and ANPRM ...... 03/17/14 79 FR 14621 Training and Operational 46507; 49 U.S.C. 47122; 49 U.S.C. ANPRM Comment 05/01/14 79 FR 24631 Requirements (HAA II) (FAA 47508; 49 U.S.C. 47528 to 47531; Period Ex- Reauthorization) Articles 12 and 29 of 61 Stat. 1180; Pub. tended. E.O. 13771 Designation: Regulatory. L. 106–181, sec. 732 ANPRM Comment 05/16/14 Legal Authority: 49 U.S.C. 106(f); 49 Period End. Abstract: The rulemaking would ANPRM Comment 07/17/14 U.S.C. 106(g); 49 U.S.C. 40113; 49 establish regulations concerning Alaska Period Ex- U.S.C. 41706; 49 U.S.C. 44701; 49 U.S.C. guide pilot operations. The rulemaking tended End. 44702; 49 U.S.C. 44705; 49 U.S.C. would implement Congressional NPRM ...... 11/00/20 44709; 49 U.S.C. 44711 to 44713; 49 legislation and establish additional U.S.C. 44715 to 44717; 49 U.S.C. 44722; safety requirements for the conduct of Regulatory Flexibility Analysis 49 U.S.C. 44730; 49 U.S.C. 45101 to these operations. The intended effect of Required: Yes. 45105 this rulemaking is to enhance the level Agency Contact: Vicky Dunne, Abstract: This rulemaking would of safety for persons and property Department of Transportation, Federal develop training requirements for crew transported in Alaska guide pilot Aviation Administration, 800 resource management, flight risk operations. In addition, the rulemaking Independence Avenue SW, Washington, evaluation, and operational control of would add a general provision DC 20591, Phone: 202 267–8522, Email: the pilot in command, as well as applicable to pilots operating under the [email protected]. develop standards for the use of flight general operating and flight rules RIN: 2120–AK09 simulation training devices and line-
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oriented flight training. Additionally, it Regulatory Flexibility Analysis Agency Contact: Juan Moya, would establish requirements for the Required: Yes. Department of Transportation, Federal use of safety equipment for flight Agency Contact: Bonnie Lefko, Motor Carrier Safety Administration, crewmembers and flight nurses. These Department of Transportation, Federal 1200 New Jersey Ave SE, Washington, changes will aid in the increase in Aviation Administration, 6500 South DC 20590, Phone: 202–366–4844, Email: aviation safety and increase MacArthur Boulevard, Registry Building [email protected]. survivability in the event of an accident. 26, Room 118, Oklahoma City, OK RIN: 2126–AC11 Without these changes, the Helicopter 73169, Phone: 405 954–7461, Email: Air Ambulance industry may continue [email protected]. to see an unacceptable high rate of RIN: 2120–AK82. DEPARTMENT OF TRANSPORTATION aircraft accidents. This rulemaking is a BILLING CODE 4910–13–P (DOT) statutory mandate under section 306(e) of the FAA Modernization and Reform Federal Motor Carrier Safety Act of 2012 (Pub. L. 112–95). Administration (FMCSA) Timetable: Next Action DEPARTMENT OF TRANSPORTATION Undetermined. (DOT) Long-Term Actions Regulatory Flexibility Analysis Federal Motor Carrier Safety, 317. +Safety Monitoring System and Required: Yes. Administration (FMCSA) Compliance Initiative for Mexico- Agency Contact: Chris Holliday, Domiciled Motor Carriers Operating in Proposed Rule Stage Department of Transportation, Federal the United States Aviation Administration, 801 316. +Controlled Substances and E.O. 13771 Designation: Regulatory. Pennsylvania Avenue NW, Washington, Alcohol Testing: State Driver’s DC 20024, Phone: 202 267–4552, Email: Legal Authority: Pub. L. 107–87, sec. Licensing Agency Downgrade of 350; 49 U.S.C. 113; 49 U.S.C. 31136; 49 [email protected]. Commercial Driver’s License (Section RIN: 2120–AK57 U.S.C. 31144; 49 U.S.C. 31502; 49 U.S.C. 610 Review) 504; 49 U.S.C. 5113; 49 U.S.C. 315. +Registration and Marking E.O. 13771 Designation: Regulatory. 521(b)(5)(A) Requirements for Small Unmanned Legal Authority: 49 U.S.C. 31136 (a); Abstract: This rule would implement Aircraft 49 U.S.C. 31305 (a); 49 U.S.C. 31306a; a safety monitoring system and E.O. 13771 Designation: Regulatory. U.S.C. 31311(a) compliance initiative designed to Legal Authority: 49 U.S.C. 106(f); 49 Abstract: The Commercial Driver’s evaluate the continuing safety fitness of U.S.C. 41703; 49 U.S.C. 44101 to 44106; License Drug and Alcohol all Mexico-domiciled carriers within 18 49 U.S.C. 44110 to 44113; 49 U.S.C. Clearinghouse (Clearinghouse) final rule months after receiving a provisional 44701 (81 FR 87686 (Dec. 5, 2016), requires Certificate of Registration or provisional Abstract: This rulemaking would State Driver Licensing Agencies authority to operate in the United provide an alternative, streamlined and (SDLAs) to check the Clearinghouse States. It also would establish simple, web-based aircraft registration before issuing, renewing, transferring, or suspension and revocation procedures process for the registration of small upgrading a Commercial Driver’s for provisional Certificates of unmanned aircraft, including small License (CDL) to determine whether the Registration and operating authority, unmanned aircraft operated as model driver is qualified to operate a and incorporate criteria to be used by aircraft, to facilitate compliance with commercial motor vehicle (CMV). FMCSA in evaluating whether Mexico- the statutory requirement that all Drivers who commit drug or alcohol domiciled carriers exercise basic safety aircraft register prior to operation. It testing violations are prohibited from management controls. The interim rule would also provide a simpler method operating a CMV until complying with included requirements that were not for marking small unmanned aircraft return-to-duty requirements. FMCSA proposed in the NPRM, but which are that is more appropriate for these plans to propose requirements on necessary to comply with the FY–2002 aircraft. This action responds to public SDLAs to take specific actions for DOT Appropriations Act. On January comments received regarding the individuals’ subject to the CMV driving 16, 2003, the Ninth Circuit Court of proposed registration process in the prohibition. FMCSA also looks to Appeals remanded this rule, along with Operation and Certification of Small propose alternate additional actions two other NAFTA-related rules, to the Unmanned Aircraft notice of proposed SDLAs may be required to take after Agency, requiring a full environmental rulemaking, the request for information receiving notice that a driver licensed in impact statement and an analysis regarding unmanned aircraft system their State is subject to the driving ban. required by the Clean Air Act. On June registration, and the recommendations The NPRM would also revise how 7, 2004, the Supreme Court reversed the from the Unmanned Aircraft System reports of actual knowledge violations, Ninth Circuit and remanded the case, Registration Task Force. based on a citation for Driving Under holding that FMCSA is not required to Timetable: the Influence (DUI) in a CMV, would be prepare the environmental documents. maintained in the Clearinghouse. These FMCSA originally planned to publish a Action Date FR Cite proposed changes would improve final rule by November 28, 2003. highway safety by increasing Timetable: Interim Final Rule 12/16/15 80 FR 78593 compliance with existing drug and Interim Final Rule 12/21/15 alcohol program requirements. Action Date FR Cite Effective. Timetable: OMB Approval of 12/21/15 80 FR 79255 Information Col- NPRM ...... 05/03/01 66 FR 22415 Action Date FR Cite lection. NPRM Comment 07/02/01 Period End. Interim Final Rule 01/15/16 NPRM ...... 01/00/20 Comment Pe- Interim Final Rule 03/19/02 67 FR 12758 riod End. Interim Final Rule 04/18/02 Final Rule ...... 12/00/20 Regulatory Flexibility Analysis Comment Pe- Required: No. riod End.
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Action Date FR Cite RIN: 2126–AC01 commodities and vessels transiting the BILLING CODE 4910–EX–P facilities operated by the SLSDC and the Interim Final Rule 05/03/02 SLSMC. Effective. Timetable: Notice of Intent 08/26/03 68 FR 51322 To Prepare an DEPARTMENT OF TRANSPORTATION Action Date FR Cite EIS. (DOT) EIS Public 10/08/03 68 FR 58162 NPRM ...... 03/00/20 Scoping Meet- Federal Railroad Administration (FRA) ings. Next Action Unde- Long-Term Actions Regulatory Flexibility Analysis Required: Undetermined. termined. 319. +Train Crew Staffing and Location Agency Contact: Carrie Lynn Lavigne, Regulatory Flexibility Analysis E.O. 13771 Designation: Regulatory. Chief Counsel, Department of Required: Yes. Legal Authority: 28 U.S.C. 2461, note; Transportation, Saint Lawrence Seaway Agency Contact: Dolores Macias, 49 CFR 1.89; 49 U.S.C. 20103; 49 U.S.C. Development Corporation, 180 Andrews Acting Division Chief, Department of 20107; 49 U.S.C. 21301 and 21302; 49 Street, Massena, NY 13662, Phone: 315 Transportation, Federal Motor Carrier U.S.C. 21304 764–3231, Email: carrie.lavigne@ Safety Administration, 1200 New Jersey Abstract: This rule would establish dot.gov. requirements to appropriately address Avenue SE, Washington, DC 20590, RIN: 2135–AA47 Phone: 202 366–2995, Email: known safety risks posed by train [email protected]. operations that use fewer than two RIN: 2126–AA35 crewmembers. FRA is considering options based on public comments on DEPARTMENT OF TRANSPORTATION the proposed rule and other (DOT) information. Saint Lawrence Seaway Development DEPARTMENT OF TRANSPORTATION Timetable: (DOT) Corporation (SLSDC) Action Date FR Cite Federal Motor Carrier Safety Final Rule Stage Administration (FMCSA) NPRM ...... 03/15/16 81 FR 13918 321. • Seaway Regulations and Rules: Completed Actions NPRM Comment 05/16/16 Periodic Update, Various Categories Period End. (Rulemaking Resulting From a Section 318. Incorporation by Reference; North Next Action Unde- 610 Review) American Standard Out-of-Service termined. Criteria; Hazardous Materials Safety E.O. 13771 Designation: Not subject Permits (Section 610 Review) Regulatory Flexibility Analysis to, not significant. Required: Yes. Legal Authority: 33 U.S.C. 981 et seq. E.O. 13771 Designation: Fully or Agency Contact: Amanda Maizel, Abstract: The Saint Lawrence Seaway Partially Exempt. Attorney Adviser, Department of Legal Authority: 49 U.S.C. 5105; 49 Development Corporation (SLSDC), the Transportation, Federal Railroad Saint Lawrence Seaway Management U.S.C. 5109 Administration, 1200 New Jersey Abstract: This action will update an Corporation, and the Saint Lawrence Avenue SE, Washington, DC 20590, existing Incorporation by Reference (by Seaway Management Corporation Phone: 202 493–8014, Email: the Commercial Vehicle Safety Alliance) (SLSMC) of Canada, under international [email protected]. agreement, jointly publish and presently of the North American Standard Out-of- RIN: 2130–AC48 Service Criteria and Level VI Inspection administer the Saint Lawrence Seaway Procedures and Out-of-Service for BILLING CODE 4910–06–P Regulations and Rules (Practices and Commercial Highway Vehicles Procedures in Canada) in their Transporting Transuranics and Highway respective jurisdictions. Under agreement with the SLSMC, the SLSDC Route Controlled Quantities of DEPARTMENT OF TRANSPORTATION is amending the joint regulations by Radioactive Materials as defined in 49 (DOT) CFR part 173.403. updating the Seaway Regulations and Timetable: Saint Lawrence Seaway Development Rules in various categories. Corporation (SLSDC) Timetable: Action Date FR Cite Proposed Rule Stage Action Date FR Cite NPRM ...... 12/31/18 83 FR 67705 320. • Tariff of Tolls (Section 610 NPRM Comment 01/30/19 Review) Final Rule ...... 03/00/20 Period End. Final Rule ...... 07/08/19 84 FR 32323 E.O. 13771 Designation: Not subject Regulatory Flexibility Analysis Final Rule Effec- 07/08/19 to, not significant. Required: No. tive. Legal Authority: 33 U.S.C. 981 et seq. Agency Contact: Carrie Lynn Lavigne, Abstract: The Saint Lawrence Seaway Chief Counsel, Department of Regulatory Flexibility Analysis Development corporation (SLSDC) and Transportation, Saint Lawrence Seaway Required: No. the St. Lawrence Seaway Management Development Corporation, 180 Andrews Agency Contact: Stephanie Dunlap, Corporation (SLSMC) of Canada, under Street, Massena, NY 13662, Phone: 315 Department of Transportation, Federal international agreement, jointly publish 764–3231, Email: carrie.lavigne@ Motor Carrier Safety Administration, and presently administer the St. dot.gov. 1200 New Jersey Avenue SE, Lawrence Seaway Tariff of Tolls in their Washington, DC 20590, Phone: 202 366– respective jurisdictions. The Tariff sets RIN: 2135–AA48 3536, Email: [email protected]. forth the level of tolls assessed on all BILLING CODE 4910–61–P
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DEPARTMENT OF TRANSPORTATION consequences of large-volume, gaps where appropriate, and ensuring (DOT) uncontrolled releases of natural gas and that operators are increasing the hazardous liquids. detection and remediation of unsafe Pipeline and Hazardous Materials Timetable: conditions and mitigating the adverse Safety Administration (PHMSA) effects of hazardous liquid pipeline Proposed Rule Stage Action Date FR Cite failures. Timetable: 322. +Pipeline Safety: Amendments to NPRM ...... 11/00/19 Parts 192 and 195 To Require Valve Action Date FR Cite Installation and Minimum Rupture Regulatory Flexibility Analysis Detection Standards Required: Yes. ANPRM ...... 10/18/10 75 FR 63774 E.O. 13771 Designation: Regulatory. Agency Contact: Robert Jagger, Comment Period 01/04/11 76 FR 303 Legal Authority: 49 U.S.C. 60101 et Technical Writer, Department of Extended. seq. Transportation, Pipeline and Hazardous ANPRM Comment 01/18/11 Materials Safety Administration, 1200 Period End. Abstract: PHMSA is proposing to Extended Com- 02/18/11 revise the Pipeline Safety Regulations New Jersey Avenue SE, Washington, DC 20590, Phone: 202 366–4595, Email: ment Period applicable to newly constructed or End. entirely replaced natural gas [email protected]. NPRM ...... 10/13/15 80 FR 61610 transmission and hazardous liquid RIN: 2137–AF06 NPRM Comment 01/08/16 pipelines to improve rupture mitigation Period End. and shorten pipeline segment isolation Final Rule ...... 10/01/19 84 FR 52260 times in high consequence and select DEPARTMENT OF TRANSPORTATION Final Rule Effec- 07/01/20 tive. non-high consequence areas. The (DOT) proposed rule defines certain pipeline events as ‘‘ruptures’’ and outlines Pipeline and Hazardous Materials Regulatory Flexibility Analysis certain performance standards related to Safety Administration (PHMSA) Required: Yes. Agency Contact: Cameron H. rupture identification and pipeline Completed Actions segment isolation. PHMSA also Satterthwaite, Transportation proposes specific valve maintenance 323. +Pipeline Safety: Safety of Regulations Specialist, Department of and inspection requirements, and 9–1– Hazardous Liquid Pipelines Transportation, Pipeline and Hazardous 1 notification requirements to help E.O. 13771 Designation: Regulatory. Materials Safety Administration, 1200 operators achieve better rupture Legal Authority: 49 U.S.C. 60101 et New Jersey Avenue SE, Washington, DC response and mitigation. The rule seq. 20590, Phone: 202–366–8553, Email: addresses Congressional mandates, Abstract: This rulemaking amends the [email protected]. incorporates recommendations from the Pipeline Safety Regulations to improve RIN: 2137–AE66 National Transportation Safety Board, protection of the public, property, and [FR Doc. 2019–26583 Filed 12–23–19; 8:45 am] and is necessary to reduce the serious the environment by closing regulatory BILLING CODE 4910–60–P
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Vol. 84 Thursday, No. 247 December 26, 2019
Part XII
Department of the Treasury
Semiannual Regulatory Agenda
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DEPARTMENT OF THE TREASURY Priorities are included in the Regulatory reviews pending at the time of Plan, which appears in both the online publication, except for technical, minor, 31 CFR Subtitles A and B Unified Agenda and in part II of the and routine actions. On occasion, a Federal Register publication that regulatory matter may be inadvertently Semiannual Agenda and Regulatory includes the Unified Agenda. left off of the agenda or an emergency Plan The complete Unified Agenda will be may arise that requires the Department AGENCY: Department of the Treasury. available online at www.reginfo.gov and to initiate a regulatory action not yet on www.regulations.gov in a format that ACTION: Semiannual regulatory agenda the agenda. There is no legal offers users an enhanced ability to and annual regulatory plan. significance to the omission of an item obtain information from the Agenda from this agenda. For most entries, SUMMARY: This notice is given pursuant database. Because publication in the Federal Register is mandated for the Treasury includes a projected date for to the requirements of the Regulatory the next rulemaking action; however, Flexibility Act and Executive Order regulatory flexibility agenda required by the date is an estimate and is not a (E.O.) 12866 (‘‘Regulatory Planning and the Regulatory Flexibility Act (5 U.S.C. commitment to publish on the projected Review’’), which require the publication 602), Treasury’s printed agenda entries date. In addition, some agenda entries by the Department of a semiannual include only: agenda of regulations. E.O. 12866 also (1) Rules that are in the regulatory are marked as ‘‘withdrawn’’ when there requires the publication by the flexibility agenda, in accordance with has been no publication activity. Department of a regulatory plan for the the Regulatory Flexibility Act, because Withdrawal of a rule from the agenda upcoming fiscal year. The purpose of they are likely to have a significant does not necessarily mean that a rule the agenda is to provide advance economic impact on a substantial will not be included in a future agenda information about pending regulatory number of small entities; and but may mean that further consideration (2) Rules that have been identified for activities and encourage public is warranted and that the regulatory periodic review under section 610 of the participation in the regulatory process. action is unlikely in the next 12 months. Regulatory Flexibility Act. FOR FURTHER INFORMATION CONTACT: The Printing of these entries is limited to Public participation in the rulemaking Agency contact identified in the item fields that contain information required process is the foundation of effective relating to that regulation. by the Regulatory Flexibility Act’s regulations. For this reason, the SUPPLEMENTARY INFORMATION: The Agenda requirements. Additional Department invites comments on all semiannual regulatory agenda includes information on these entries is available regulatory and deregulatory items regulations that the Department has in the Unified Agenda published on the included in the agenda and invites issued or expects to issue and rules internet. In addition, for fall editions of input on items that should be included currently in effect that are under the Agenda, the entire Regulatory Plan in the semiannual agenda. departmental or bureau review. For this will continue to be printed in the Name: Michael Briskin, edition of the regulatory agenda, the Federal Register, as in past years. most important significant regulatory The Department has listed in this Deputy Assistant General Counsel for General actions and a Statement of Regulatory agenda all regulations and regulatory Law and Regulation.
CUSTOMS REVENUE FUNCTION—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
324 ...... Enforcement of Copyrights and the Digital Millennium Copyright Act ...... 1515–AE26
INTERNAL REVENUE SERVICE—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
325 ...... Section 42 Average Income Test ...... 1545–BO92 326 ...... MEPs and the Unified Plan Rule ...... 1545–BO97
DEPARTMENT OF THE TREASURY suspected of violating the copyright Branch, Department of the Treasury, (TREAS) laws in accordance with title III of the Customs Revenue Function, Regulations Trade Facilitation and Trade Customs Revenue Function (CUSTOMS) and Rulings, Office of International Enforcement Act of 2015 (TFTEA) and Trade, U.S. Customs and Border Proposed Rule Stage certain provisions of the Digital Protection, 90 K Street NE, 10th Floor, Millennium Copyright Act (DMCA). Washington, DC 20229–1177, Phone: 324. Enforcement of Copyrights and the Timetable: Digital Millennium Copyright Act 202 325–0093, Fax: 202 325–0120, Email: [email protected]. E.O. 13771 Designation: Not subject Action Date FR Cite RIN: 1515–AE26 to, not significant. NPRM ...... 11/00/19 Legal Authority: Not Yet Determined BILLING CODE 9111–14–P Abstract: This rule amends the U.S. Regulatory Flexibility Analysis Customs and Border Protection (CBP) Required: Yes. regulations pertaining to importations of Agency Contact: Charles Steuart, merchandise that violate or are Chief, Intellectual Property Rights
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DEPARTMENT OF THE TREASURY Agency Contact: Dillon J. Taylor, requirement. The regulations affect (TREAS) Attorney, Department of the Treasury, participants in MEPs, MEP sponsors and Internal Revenue Service, 1111 administrators, and employers Internal Revenue Service (IRS) Constitution Avenue NW, Room 5107, maintaining MEPs. Proposed Rule Stage Washington, DC 20224, Phone: 202 317– Timetable: 325. Section 42 Average Income Test 4137, Fax: 855 591–7867, Email: [email protected] Action Date FR Cite E.O. 13771 Designation: Not subject RIN: 1545–BO92 to, not significant. NPRM ...... 07/03/19 84 FR 31777 Legal Authority: 26 U.S.C. 7805; 26 326. MEPS and the Unified Plan Rule NPRM Comment 10/01/19 U.S.C. 42 E.O. 13771 Designation: Regulatory. Period End. Abstract: The Consolidated Legal Authority: 26 U.S.C. 7805; 26 Final Action ...... 06/00/20 Appropriations Act of 2018 added a U.S.C. 413 new applicable minimum set-aside test Abstract: These are final regulations Regulatory Flexibility Analysis under section 42(g) of the Internal relating to the tax qualification of plans Required: Yes. Revenue Code known as the average maintained by more than one employer Agency Contact: Jamie Dvoretzky, income test. This proposed regulation pursuant to section 413(c) of the will implement requirements related to Attorney, Department of the Treasury, Internal Revenue Code, often referred to Internal Revenue Service, 1111 the average income test. as multiple employer plans or MEPs. Timetable: Constitution Avenue NW, Washington, The regulations provide limited relief to DC 20224, Phone: 202 317–4102, Fax: Action Date FR Cite a defined contribution MEP in the event 855 604–6087, Email: of a failure by one employer [email protected]. NPRM ...... 07/00/20 maintaining the plan to satisfy an applicable qualification requirement or RIN: 1545–BO97 Regulatory Flexibility Analysis to provide information needed to ensure [FR Doc. 2019–26586 Filed 12–23–19; 8:45 am] Required: Yes. compliance with a qualification BILLING CODE 4810–01–P
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Vol. 84 Thursday, No. 247 December 26, 2019
Part XIII
Department of Veterans Affairs
Semiannual Regulatory Agenda
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DEPARTMENT OF VETERANS interested persons the opportunity to implementing guidance) and the AFFAIRS participate in VA’s regulatory planning. Regulatory Flexibility Act, which ADDRESSES: Interested persons are require that executive agencies 38 CFR Ch. 1 invited to comment on the entries listed semiannually publish in the Federal in the agenda by contacting the Register an agenda of regulations that Unified Agenda of Federal Regulatory individual agency contact listed for each they have under development or review. and Deregulatory Actions entry or by writing to: Director, This edition of the Unified Agenda of Regulations Management (00REG), Federal Regulatory and Deregulatory AGENCY: Department of Veterans Affairs. Department of Veterans Affairs, 810 Actions includes The Regulatory Plan, ACTION: Semiannual regulatory agenda. Vermont Avenue NW, Washington, DC which appears in both the online 20420. Unified Agenda and in part II of the Federal Register that includes the SUMMARY: This Agenda announces the FOR FURTHER INFORMATION CONTACT: Unified Agenda. VA’s Statement of regulations that the Department of Michael Shores at (202) 461–4921 or Regulatory Priorities is included in the Veterans Affairs (VA) will have under Consuela Benjamin at (202) 461–5952. Plan. development or review during the 12- SUPPLEMENTARY INFORMATION: This month period beginning fall 2019. The document is issued pursuant to Michael P. Shores, purpose in publishing the Department’s Executive Order 12866 ‘‘Regulatory Director, Office of Regulation Policy and regulatory agenda is to allow all Planning and Review’’ (and Management.
DEPARTMENT OF VETERANS AFFAIRS—PROPOSED RULE STAGE
Sequence No. Title Regulation Identifier No.
327 ...... Change in Rates VA Pays for Special Modes of Transportation ...... 2900–AP89
DEPARTMENT OF VETERANS pay the lesser of the actual charge for veterans: wheelchair and stretcher van AFFAIRS (VA) ambulance transportation or the amount services. determined by the fee schedule Timetable: Veterans Health Administration established under section 1834(l) of the Proposed Rule Stage Social Security Act (42 U.S.C. Action Date FR Cite 1395m(l)), unless VA has entered into a 327. Change in Rates VA Pays for contract for that transportation. Stated NPRM ...... 01/00/20 Special Modes of Transportation more plainly, VA would be able to pay E.O. 13771 Designation: Fully or the lesser of the actual charge for Regulatory Flexibility Analysis Partially Exempt. ambulance transportation or the amount Required: Yes. Legal Authority: 38 U.S.C. 101; 38 determined by Centers for Medicaid and Agency Contact: Mike Davis, Director U.S.C. 111; 38 U.S.C. 111A; E.O. 11302; Medicare Services (CMS) fee schedules, Member Services (10NF), Department of E.O. 13520 unless VA has entered into a contract Veterans Affairs, 810 Vermont Avenue Abstract: VA proposes to amend the for ambulance transportation. NW, Washington, DC 20420, Phone: 404 implementing regulations at 38 CFR part Additionally, VA proposes to codify 828–5691, Email: [email protected]. 70 to implement the discretionary how it will pay vendors for two forms RIN: 2900–AP89 authority in 38 U.S.C. 111(b)(3)(C), as of non-emergent special mode of [FR Doc. 2019–26587 Filed 12–23–19; 8:45 am] amended by Public Law 112–56, 112– transportation services offered to BILLING CODE 8320–01–P 154, and 114–58, which permits VA to
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Part XIV
Architectural and Transportation Barriers Compliance Board
Semiannual Regulatory Agenda
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ARCHITECTURAL AND ACTION: Semiannual regulatory agenda. Board, 1331 F Street NW, Suite 1000, TRANSPORTATION BARRIERS Washington, DC 20004–1111. SUMMARY: The Architectural and COMPLIANCE BOARD Transportation Barriers Compliance FOR FURTHER INFORMATION CONTACT: For 36 CFR Ch. XI Board submits the following agenda of information concerning Board proposed regulatory activities which regulations and proposed actions, Unified Agenda of Federal Regulatory may be conducted by the agency during contact Gretchen Jacobs, General and Deregulatory Actions the next 12 months. This regulatory Counsel, (202) 272–0040 (voice) or (202) agenda may be revised by the agency 272–0062 (TTY). AGENCY: Architectural and during the coming months as a result of David M. Capozzi, Transportation Barriers Compliance action taken by the Board. Board. ADDRESSES: Architectural and Executive Director. Transportation Barriers Compliance
ARCHITECTURAL AND TRANSPORTATION BARRIERS COMPLIANCE BOARD—PRERULE STAGE
Regulation Sequence No. Title Identifier No.
328 ...... Americans With Disabilities Act (ADA) Accessibility Guidelines for Transportation Vehicles; Rail Vehicles 3014–AA42
ARCHITECTURAL AND accessibility-related technologies, Action Date FR Cite TRANSPORTATION BARRIERS harmonize with recently-developed COMPLIANCE BOARD (ATBCB) national and international consensus Notice of Estab- 05/23/13 78 FR 30828 standards, and incorporate lishment of Ad- Prerule Stage recommendations from the Board’s Rail visory Com- 328. Americans With Disabilities Act Vehicles Access Advisory Committee’s mittee; Appoint- ment of Mem- (ADA) Accessibility Guidelines for 2015 Report. Revisions or updates to the bers. Transportation Vehicles; Rail Vehicles rail vehicles guidelines would be ANPRM ...... 12/00/19 E.O. 13771 Designation: Other. intended to ensure that ADA-covered Legal Authority: 42 U.S.C. 12204 rail vehicles are readily accessible to Regulatory Flexibility Analysis Abstract: This rulemaking would and usable by individuals with Required: Undetermined. update the Access Board’s existing disabilities. Compliance with any Agency Contact: Gretchen Jacobs, accessibility guidelines for revised rail vehicles guidelines would General Counsel, Architectural and transportation vehicles that operate on not be required until these guidelines Transportation Barriers Compliance fixed guideway systems (e.g., rapid rail, are adopted by the U.S. Department of Board, 1331 F Street NW, Suite 1000, light rail, commuter rail, and intercity Transportation in a separate rulemaking. Washington, DC 20004–1111, Phone: rail) and are covered by the Americans Timetable: 202 272–0040, TDD Phone: 202 272– with Disabilities Act. The existing ‘‘rail 0062, Fax: 202 272–0081, Email: vehicles’’ guidelines, which are located Action Date FR Cite [email protected]. at 36 CFR part 1192, subparts C to F and RIN: 3014–AA42 Notice of Intent to 02/14/13 78 FR 10581 H, were initially promulgated in 1991, Establish Advi- [FR Doc. 2019–26577 Filed 12–23–19; 8:45 am] and are in need of an update to, among sory Committee. BILLING CODE 8150–01–P other things, keep pace with newer
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Part XV
Environmental Protection Agency
Semiannual Regulatory Agenda
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ENVIRONMENTAL PROTECTION I. Introduction on a substantial number of small AGENCY EPA is committed to a regulatory entities. EPA maintains a list of these strategy that effectively achieves the actions at https://www.epa.gov/reg-flex/ 40 CFR Ch. I Agency’s mission of protecting the regulatory-flexibility-act-section-610- [FRL 9998–47–OP; EPA–HQ–OAR–2019– environment and the health, welfare, reviews. EPA has one ongoing 610 0168] and safety of Americans while also review in fall 2019. supporting economic growth, job B. What key statutes and Executive Fall 2019 Unified Agenda of Regulatory creation, competitiveness, and Orders guide EPA’s rule and and Deregulatory Actions innovation. EPA publishes the policymaking process? Semiannual Agenda of Regulatory and AGENCY: Environmental Protection A number of environmental laws Deregulatory Actions to update the Agency. authorize EPA’s actions, including but public about regulatory activity ACTION: Semiannual regulatory agenda. not limited to: undertaken in support of this mission. • Clean Air Act (CAA), SUMMARY: The Environmental Protection In the Semiannual Agenda, EPA • Clean Water Act (CWA), Agency (EPA) publishes the Semiannual provides notice of our plans to review, • Comprehensive Environmental Agenda of Regulatory and Deregulatory propose, and issue regulations. Response, Compensation, and Actions online at https:// Additionally, EPA’s Semiannual Liability Act (CERCLA, or Superfund), www.reginfo.gov and at https:// Agenda includes information about • Emergency Planning and Community www.regulations.gov to update the rules that may have a significant Right-to-Know Act (EPCRA), public. This document contains economic impact on a substantial • Federal Insecticide, Fungicide, and information about: number of small entities, and review of Rodenticide Act (FIFRA), • Regulations in the Semiannual those regulations under the Regulatory • Oil Pollution Act, Agenda that are under development, Flexibility Act, as amended. • Resource Conservation and Recovery completed, or canceled since the last In this document, EPA explains in Act (RCRA), agenda; and greater detail the types of actions and • Safe Drinking Water Act (SDWA), and • Reviews of regulations with small information available in the Semiannual • Toxic Substances Control Act (TSCA). business impacts under Section 610 of Agenda and actions that are currently the Regulatory Flexibility Act. undergoing review specifically for Not only must EPA comply with impacts on small entities. environmental laws, but also FOR FURTHER INFORMATION CONTACT: If administrative legal requirements that you have questions or comments about A. EPA’s Regulatory Information apply to the issuance of regulations, a particular action, please get in touch ‘‘E-Agenda,’’ ‘‘online regulatory such as: The Administrative Procedure with the agency contact listed in each agenda,’’ and ‘‘semiannual regulatory Act (APA), the Regulatory Flexibility agenda entry. If you have general agenda’’ all refer to the same Act (RFA) as amended by the Small questions about the Semiannual comprehensive collection of Business Regulatory Enforcement Agenda, please contact: Darryl Adams information that, until 2007, was Fairness Act (SBREFA), the Unfunded ([email protected]; 202–564–6569) published in the Federal Register. Mandates Reform Act (UMRA), the or Caryn Muellerleile Currently, this information is only Paperwork Reduction Act (PRA), the ([email protected]; 202–564– available through an online database, at National Technology Transfer and 2855). both https://www.reginfo.gov/ and Advancement Act (NTTAA), and the Table of Contents https://www.regulations.gov. Congressional Review Act (CRA). ‘‘Regulatory Flexibility Agenda’’ I. Introduction EPA also meets a number of A. EPA’s Regulatory Information refers to a document that contains requirements contained in numerous B. What key statutes and Executive Orders information about regulations that may Executive Orders: 13771, ‘‘Reducing guide EPA’s rule and policymaking have a significant impact on a Regulation and Controlling Regulatory process? substantial number of small entities. We Costs’’ (82 FR 9339, Feb. 3, 2017); C. How can you be involved in EPA’s rule continue to publish this document in 12866, ‘‘Regulatory Planning and and policymaking process? the Federal Register pursuant to the Review’’ (58 FR 51735, Oct. 4, 1993), as II. Semiannual Agenda of Regulatory and Regulatory Flexibility Act of 1980. This supplemented by Executive Order Deregulatory Actions document is available at https:// 13563, ‘‘Improving Regulation and A. What actions are included in the E- www.govinfo.gov/app/collection/fr. Agenda and the Regulatory Flexibility Regulatory Review’’ (76 FR 3821, Jan. Agenda? ‘‘Unified Regulatory Agenda’’ refers to 21, 2011); 12898, ‘‘Environmental B. How is the E-Agenda organized? the collection of all agencies’ agendas Justice’’ (59 FR 7629, Feb. 16, 1994); C. What information is in the Regulatory with an introduction prepared by the 13045, ‘‘Children’s Health Protection’’ Flexibility Agenda and the E-Agenda? Regulatory Information Service Center (62 FR 19885, Apr. 23, 1997); 13132, D. What tools are available for mining facilitated by the General Service ‘‘Federalism’’ (64 FR 43255, Aug. 10, Regulatory Agenda data and for finding Administration. 1999); 13175, ‘‘Consultation and more about EPA rules and policies? ‘‘Regulatory Agenda Preamble’’ refers Coordination with Indian Tribal III. Review of Regulations Under 610 of the to the document you are reading now. Governments’’ (65 FR 67249, Nov. 9, Regulatory Flexibility Act It appears as part of the Regulatory A. Reviews of Rules With Significant 2000); 13211, ‘‘Actions Concerning Impacts on a Substantial Number of Flexibility Agenda and introduces both Regulations That Significantly Affect Small Entities EPA’s Regulatory Flexibility Agenda Energy Supply, Distribution, or Use’’ (66 B. What other special attention does EPA and the e-Agenda. FR 28355, May 22, 2001). give to the impacts of rules on small ‘‘610 Review’’ as required by the businesses, small governments, and Regulatory Flexibility Act means a C. How can you be involved in EPA’s small nonprofit organizations? periodic review within ten years of rule and policymaking process? IV. Thank You for Collaborating With Us promulgating a final rule that has or You can make your voice heard by SUPPLEMENTARY INFORMATION: may have a significant economic impact getting in touch with the contact person
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provided in each agenda entry. EPA section 307(a) list of toxic pollutants; been promulgated and published in the encourages you to participate as early in suspensions of toxic testing Federal Register since publication of the process as possible. You may also requirements under the National the spring 2019 Agenda. The term participate by commenting on proposed Pollutant Discharge Elimination System ‘‘completed actions’’ also includes rules published in the Federal Register (NPDES); delegations of NPDES actions that EPA is no longer (FR). authority to States; considering and has elected to Instructions on how to submit your • Under SDWA: Actions on State ‘‘withdraw,’’ as well as the results of comments through https:// underground injection control any RFA section 610 reviews. www.regulations.gov are provided in programs. each Notice of Proposed Rulemaking Meanwhile, the Regulatory Flexibility C. What information is in the Regulatory (NPRM). To be most effective, Agenda includes: Flexibility Agenda and the E-Agenda? comments should contain information • Actions likely to have a significant The Regulatory Flexibility Agenda and data that support your position and economic impact on a substantial entries include only the nine categories you also should explain why EPA number of small entities. of information that are required by the should incorporate your suggestion in • Rules the Agency has identified for Regulatory Flexibility Act of 1980 and the rule or other type of action. You can periodic review under section 610 of the by Federal Register Agenda printing be particularly helpful and persuasive if RFA. requirements: Sequence Number, RIN, you provide examples to illustrate your EPA has one ongoing 610 review in Title, Description, Statutory Authority, concerns and offer specific alternative(s) this Agenda. Section 610 Review, if applicable, to that proposed by EPA. B. How is the E-Agenda organized? Regulatory Flexibility Analysis EPA believes its actions will be more Required, Schedule and Contact Person. cost effective and protective if the Online, you can choose how to sort Note that the electronic version of the development process includes the agenda entries by specifying the Agenda (E-Agenda) replicates each of stakeholders working with us to help characteristics of the entries of interest these actions with more extensive identify the most practical and effective in the desired individual data fields for information, described below. solutions to environmental problems. both the www.reginfo.gov and E-Agenda entries include: EPA encourages you to become involved www.regulations.gov versions of the e- Title: a brief description of the subject in its rule and policymaking process. Agenda. You can sort based on the of the regulation. The notation ’’Section For more information about EPA’s following characteristics: EPA 610 Review’’ follows the title if we are efforts to increase transparency, subagency (such as Office of Water); reviewing the rule as part of our participation and collaboration in EPA stage of rulemaking as described in the periodic review of existing rules under activities, please visit https:// following paragraphs; alphabetically by section 610 of the RFA (5 U.S.C. 610). www.epa.gov/open. title; or the Regulation Identifier Priority: Each entry is placed into one Number (RIN), which is assigned II. Semiannual Agenda of Regulatory of the five following categories: sequentially when an action is added to a. Economically Significant: Under and Deregulatory Actions the agenda. Executive Order 12866, a rulemaking A. What actions are included in the E- Each entry in the Agenda is associated that may have an annual effect on the Agenda and the Regulatory Flexibility with one of five rulemaking stages. The economy of $100 million or more, or Agenda? rulemaking stages are: adversely affect in a material way the EPA includes regulations in the e- 1. Prerule Stage—EPA’s prerule economy, a sector of the economy, Agenda. However, there is no legal actions generally are intended to productivity, competition, jobs, the significance to the omission of an item determine whether the agency should environment, public health or safety, or from the agenda, and EPA generally initiate rulemaking. Prerulemakings State, local, or tribal governments or does not include the following may include anything that influences or communities. categories of actions: leads to rulemaking; this would include b. Other Significant: A rulemaking • Administrative actions such as Advance Notices of Proposed that is not economically significant but delegations of authority, changes of Rulemaking (ANPRMs), studies or is considered significant for other address, or phone numbers; analyses of the possible need for reasons. This category includes rules • Under the CAA: Revisions to state regulatory action. that may: implementation plans; equivalent 2. Proposed Rule Stage—Proposed 1. Create a serious inconsistency or methods for ambient air quality rulemaking actions include EPA’s otherwise interfere with an action taken monitoring; deletions from the new Notice of Proposed Rulemakings or planned by another agency; source performance standards source (NPRMs); these proposals are scheduled 2. Materially alter the budgetary categories list; delegations of authority to publish in the Federal Register impact of entitlements, grants, user fees, to states; area designations for air within the next year. or loan programs, or the rights and quality planning purposes; 3. Final Rule Stage—Final rulemaking obligations of recipients; or • Under FIFRA: Registration-related actions are those actions that EPA is 3. Raise novel legal or policy issues decisions, actions affecting the status of scheduled to finalize and publish in the arising out of legal mandates, the currently registered pesticides, and data Federal Register within the next year. President’s priorities, or the principles call-ins; 4. Long-Term Actions—This section in Executive Order 12866. • Under the Federal Food, Drug, and includes rulemakings for which the next c. Substantive, Nonsignificant: A Cosmetic Act: Actions regarding scheduled regulatory action (such as rulemaking that has substantive impacts pesticide tolerances and food additive publication of a NPRM or final rule) is but is not Significant, Routine and regulations; twelve or more months into the future. Frequent, or Informational/ • Under RCRA: Authorization of State We urge you to explore becoming Administrative/Other. solid waste management plans; involved even if an action is listed in d. Routine and Frequent: A hazardous waste delisting petitions; the Long-Term category. rulemaking that is a specific case of a • Under the CWA: State Water 5. Completed Actions—EPA’s recurring application of a regulatory Quality Standards; deletions from the completed actions are those that have program in the Code of Federal
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Regulations (e.g., certain State f. Independent agency: Is an action an the affected governments are State, Implementation Plans, National Priority independent agency anticipates issuing local, tribal, or Federal. List updates, Significant New Use Rules, and thus is not subject to Executive Federalism Implications: Indicates State Hazardous Waste Management Order 13771. whether the action is expected to have Program actions, and Pesticide Major: A rule is ‘‘major’’ under 5 substantial direct effects on the States, Tolerances and Tolerance Exemptions). U.S.C. 801 (Pub. L. 104–121) if it has on the relationship between the If an action that would normally be resulted or is likely to result in an National Government and the States, or classified Routine and Frequent is annual effect on the economy of $100 on the distribution of power and reviewed by the Office of Management million or more or meets other criteria responsibilities among the various and Budget (OMB) under Executive specified in that Act. levels of government. Order 12866, then we would classify the Unfunded Mandates: Indicates Energy Impacts: Indicates whether the action as either ‘‘Economically whether the rule is covered by section action is a significant energy action Significant’’ or ‘‘Other Significant.’’ 202 of the Unfunded Mandates Reform under Executive Order 13211. e. Informational/Administrative/ Act of 1995 (Pub. L. 104–4). The Act Sectors Affected: Indicates the main Other: An action that is primarily requires that, before issuing an NPRM economic sectors regulated by the informational or pertains to an action likely to result in a mandate that may action. The regulated parties are outside the scope of Executive Order result in expenditures by State, local, identified by their North American 12866. and tribal governments, in the aggregate, Industry Classification System (NAICS) E.O. 13771 Designation: Each entry is or by the private sector of more than codes. These codes were created by the placed into one of the following $100 million in 1 year, the agency Census Bureau for collecting, analyzing, categories: prepare a written statement on federal and publishing statistical data on the a. Deregulatory: When finalized, an mandates addressing costs, benefits, and U.S. economy. There are more than action is expected to have total costs intergovernmental consultation. 1,000 NAICS codes for sectors in less than zero; Legal Authority: The sections of the agriculture, mining, manufacturing, b. Regulatory: The action is either: United States Code (U.S.C.), Public Law services, and public administration. (i) A significant regulatory action as (Pub. L.), Executive Order (E.O.), or International Trade Impacts: Indicates defined in section 3(f) of Executive common name of the law that whether the action is likely to have Order 12866, or authorizes the regulatory action. international trade or investment effects, (ii) a significant guidance document CFR Citation: The sections of the or otherwise be of international interest. (e.g., significant interpretive guidance) Code of Federal Regulations that would Agency Contact: The name, address, reviewed by OMB’s Office of be affected by the action. phone number, and email address, if Information and Regulatory Affairs Legal Deadline: An indication of available, of a person who is (OIRA) under the procedures of whether the rule is subject to a statutory knowledgeable about the regulation. Executive Order 12866 that, when or judicial deadline, the date of that Additional Information: Other finalized, is expected to impose total deadline, and whether the deadline information about the action including costs greater than zero; pertains to a Notice of Proposed docket information. c. Fully or Partially Exempt: The Rulemaking, a Final Action, or some URLs: For some actions, the internet action has been granted, or is expected other action. addresses are included for reading to be granted, a full or partial waiver Abstract: A brief description of the copies of rulemaking documents, under one or more of the following problem the action will address. submitting comments on proposals, and circumstances: Timetable: The dates and citations (if getting more information about the (i) It is expressly exempt by Executive available) for all past steps and a rulemaking and the program of which it Order 13771 (issued with respect to a projected date for at least the next step is a part. (Note: To submit comments on ‘‘military, national security, or foreign for the regulatory action. A date proposals, you can go to the associated affairs function of the United States’’; or displayed in the form 09/00/20 means electronic docket, which is housed at related to ‘‘agency organization, the agency is predicting the month and https://www.regulations.gov. Once management, or personnel’’), or year the action will take place but not there, follow the online instructions to (ii) it addresses an emergency such as the day it will occur. For some entries, access the docket in question and critical health, safety, financial, or non- the timetable indicates that the date of submit comments. A docket exempt national security matters (offset the next action is ‘‘to be determined.’’ identification [ID] number will assist in requirements may be exempted or Regulatory Flexibility Analysis the search for materials.) delayed), or Required: Indicates whether EPA has RIN: The Regulation Identifier (iii) it is required to meet a statutory prepared or anticipates preparing a Number is used by OMB to identify and or judicial deadline (offset requirements regulatory flexibility analysis under track rulemakings. The first four digits may be exempted or delayed), or section 603 or 604 of the RFA. of the RIN identify the EPA office with (iv) expected to generate de minimis Generally, such an analysis is required lead responsibility for developing the costs; for proposed or final rules subject to the action. d. Not subject to, not significant: Is a RFA that EPA believes may have a D. What tools are available for mining NPRM or final rule AND is neither an significant economic impact on a Regulatory Agenda data and for finding Executive Order 13771 regulatory action substantial number of small entities. more about EPA rules and policies? nor an Executive Order 13771 Small Entities Affected: Indicates deregulatory action; whether the rule is anticipated to have 1. Federal Regulatory Dashboard e. Other: At the time of designation, any effect on small businesses, small The https://www.reginfo.gov/ either the available information is too governments or small nonprofit searchable database, maintained by the preliminary to determine Executive organizations. Regulatory Information Service Center Order 13771 status or other reasonable Government Levels Affected: Indicates and OIRA, allows users to view the circumstances preclude a preliminary whether the rule may have any effect on Regulatory Agenda database (https:// Executive Order 13771 designation. levels of government and, if so, whether www.reginfo.gov/public/do/
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eAgendaMain), which includes search, 4. Public Dockets public comments on draft guidance, display, and data transmission options. policy statements, information When EPA publishes either an collection requests under the PRA, and 2. Subject Matter EPA Websites Advance Notice of Proposed other non-rule activities. Docket Rulemaking (ANPRM) or a Notice of information should be in that action’s Some actions listed in the Agenda Proposed Rulemaking (NPRM) in the agenda entry. All of EPA’s public include a URL for an EPA-maintained Federal Register, the Agency typically dockets can be located at https:// website that provides additional establishes a docket to accumulate www.regulations.gov. information about the action. materials developed throughout the 3. Deregulatory Actions and Regulatory development process for that III. Review of Regulations Under 610 of Reform rulemaking. The docket serves as the the Regulatory Flexibility Act repository for the collection of A. Reviews of Rules With Significant EPA maintains a list of its documents or information related to that Impacts on a Substantial Number of deregulatory actions under particular Agency action or activity. Small Entities development, as well as those that are EPA most commonly uses dockets for completed, at https://www.epa.gov/ rulemaking actions, but dockets may Section 610 of the RFA requires that laws-regulations/epa-deregulatory- also be used for RFA section 610 an agency review, within 10 years of actions. Additional information about reviews of rules with significant promulgation, each rule that has or will EPA’s regulatory reform activity is economic impacts on a substantial have a significant economic impact on available to the public at https:// number of small entities and for various a substantial number of small entities. www.epa.gov/laws-regulations/ non-rulemaking activities, such as At this time, EPA has one ongoing 610 regulatory-reform. Federal Register documents seeking review.
Review title RIN Docket ID No. Status
Section 610 Review of Renewable Fuels Standard Program ...... 2060–AU44 EPA–HQ–OAR–2019–0168 Ongoing.
EPA has established an official public the scale of the businesses, visit EPA’s RFA/SBREFA website at docket for this 610 review. While organizations, and governmental www.epa.gov/reg-flex. comments for this review are no longer jurisdictions subject to the regulation. IV. Thank You for Collaborating With being accepted, they can continue to be Under the RFA as amended by Us accessed at https:// SBREFA, the Agency must prepare a www.regulations.gov/ with docket Finally, we would like to thank those formal analysis of the potential negative identification number EPA–HQ–OAR– of you who choose to join with us in impacts on small entities, convene a 2019–0168. making progress on the complex issues Small Business Advocacy Review Panel involved in protecting human health B. What other special attention does (proposed rule stage), and prepare a and the environment. Collaborative EPA give to the impacts of rules on Small Entity Compliance Guide (final efforts such as EPA’s open rulemaking small businesses, small governments, rule stage) unless the Agency certifies a process are a valuable tool for and small nonprofit organizations? rule will not have a significant addressing the problems we face, and economic impact on a substantial the regulatory agenda is an important For each of EPA’s rulemakings, number of small entities. For more part of that process. consideration is given to whether there detailed information about the Agency’s Dated: August 9, 2019. will be any adverse impact on any small policy and practice with respect to entity. EPA attempts to fit the regulatory Brittany Bolen, implementing the RFA/SBREFA, please requirements, to the extent feasible, to Associate Administrator, Office of Policy.
10—PRERULE STAGE
Regulation Sequence No. Title Identifier No.
329 ...... Section 610 Review of Renewable Fuels Standard Program (Section 610 Review) ...... 2060–AU44
35—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
330 ...... Trichloroethylene (TCE); Rulemaking Under TSCA Section 6(a); Vapor Degreasing ...... 2070–AK11 331 ...... N-Methylpyrrolidone; Regulation of Certain Uses Under TSCA Section 6(a) ...... 2070–AK46
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72—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
332 ...... National Primary Drinking Water Regulations for Lead and Copper: Regulatory Revisions (Reg Plan Seq 2040–AF15 No. 130). References in boldface appear in The Regulatory Plan in part II of this issue of the Federal Register.
ENVIRONMENTAL PROTECTION Regulatory Flexibility Analysis spray degreasers. The uses identified in AGENCY (EPA) Required: No. the proposed rules are being considered Agency Contact: Jessica Mroz, as part of the risk evaluation currently 10 Environmental Protection Agency, being conducted for TCE under TSCA Prerule Stage Office of Air and Radiation, 1200 section 6(b). Pennsylvania Avenue NW, Washington, Timetable: 329. Section 610 Review of Renewable DC 20460, Phone: 202 564–1094, Email: Fuels Standard Program (Section 610 [email protected]. Action Date FR Cite Review) Julia Burch, Environmental Protection E.O. 13771 Designation: Not subject Agency, Office of Air and Radiation, NPRM ...... 01/19/17 82 FR 7432 to, not significant. 1200 Pennsylvania Ave. NW, NPRM Comment 02/15/17 82 FR 10732 Legal Authority: 5 U.S.C. 610 Washington, DC 20460, Phone: 202 564– Period Ex- tended. Abstract: The rulemaking ‘‘Regulation 0961, Email: [email protected]. NPRM Comment 05/01/17 82 FR 20310 of Fuels and Fuel Additives: Changes to RIN: 2060–AU44 Period Ex- Renewable Fuel Standard Program’’ was tended. finalized by EPA in March 2010 (75 FR 14669, March 26, 2010). The final ENVIRONMENTAL PROTECTION Final Rule ...... To Be Determined regulations made a number of changes AGENCY (EPA) to the existing Renewable Fuel Standard Regulatory Flexibility Analysis program while retaining many elements 35 Required: Yes. of the compliance and trading system Long-Term Actions Agency Contact: Toni Krasnic, already in place. The final rule also Environmental Protection Agency, implemented the revised statutory 330. Trichloroethylene (TCE); Office of Chemical Safety and Pollution definitions and criteria, most notably Rulemaking Under TSCA Section 6(a); Prevention, 1200 Pennsylvania Avenue the greenhouse gas emission thresholds Vapor Degreasing NW, Mail Code 7405M, Washington, DC for renewable fuels and new limits on E.O. 13771 Designation: Regulatory. 20460, Phone: 202 564–0984, Email: renewable biomass feedstocks. This Legal Authority: 15 U.S.C. 2605 Toxic [email protected]. entry in the regulatory agenda describes Substances Control Act Joel Wolf, Environmental Protection EPA’s review of this action pursuant to Abstract: Section 6(a) of the Toxic Agency, Office of Chemical Safety and section 610 of the Regulatory Flexibility Substances Control Act (TSCA) provides Pollution Prevention, 1200 Act (5 U.S.C. 610). As part of this authority for EPA to ban or restrict the Pennsylvania Avenue NW, Mail Code review, EPA is considering comments manufacture (including import), 7405M, Washington, DC 20460, Phone: on the following factors: (1) The processing, distribution in commerce, 202 564–0432, Email: [email protected]. continued need for the rule; (2) the and use of chemical substances, as well RIN: 2070–AK11 as any manner or method of disposal. nature of complaints or comments 331. N-Methylpyrrolidone; Regulation Section 26(l)(4) of TSCA authorizes EPA received concerning the rule; (3) the of Certain Uses Under TSCA Section to issue rules under TSCA section 6 for complexity of the rule; (4) the extent to 6(a) which the rule overlaps, duplicates, or chemicals listed in the 2014 update to conflicts with other Federal, State, or the TSCA Work Plan for Chemical E.O. 13771 Designation: Regulatory. local government rules; and (5) the Assessments for which EPA published Legal Authority: 15 U.S.C. 2605, Toxic degree to which the technology, completed risk assessments prior to Substances Control Act economic conditions, or other factors June 22, 2016, consistent with the scope Abstract: Section 6(a) of the Toxic have changed in the area affected by the of the completed risk assessment. In the Substances Control Act provides rule. The results of EPA’s review will be June 2014 TSCA Work Plan Chemical authority for EPA to ban or restrict the summarized in a report and placed in Risk Assessment for TCE, EPA manufacture (including import), the rulemaking docket at the conclusion characterized risks from the use of TCE processing, distribution in commerce, of this review. This review’s Docket ID in commercial degreasing and in some and use of chemical substances, as well number is EPA–HQ–OAR–2019–0168; consumer uses. EPA has preliminarily as any manner or method of disposal. the docket can be accessed at determined that these risks are Section 26(l)(4) of TSCA authorizes EPA www.regulations.gov. unreasonable risks. On January 19, to issue rules under TSCA section 6 for Timetable: 2017, EPA proposed to prohibit the chemicals listed in the 2014 update to manufacture, processing, distribution in the TSCA Work Plan for Chemical Action Date FR Cite commerce, or commercial use of TCE in Assessments for which EPA published vapor degreasing. A separate action (RIN completed risk assessments prior to Final Rule ...... 03/26/10 75 FR 14669 2070–AK03), published on December June 22, 2016, consistent with the scope Begin Review ...... 06/24/19 84 FR 29689 16, 2016, proposed to address the of the completed risk assessment and Review Extension 08/27/19 84 FR 44804 unreasonable risks from TCE when used other applicable requirements of section Notice. End Review ...... 04/00/20 as a spotting agent in dry cleaning and 6. N-methylpyrrolidone (NMP) is used in commercial and consumer aerosol in paint and coating removal in
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commercial processes and consumer by weight, to identify gloves that Hawthorne Street, San Francisco, CA products. In the March 2015 TSCA provide effective protection for the 94105, Phone: 415 972–3287, Email: Work Plan Chemical Risk Assessment formulation, and to provide warnings [email protected]. for NMP, EPA characterized risks from and instructions on any paint and Joel Wolf, Environmental Protection use of this chemical in paint and coating coating removal products containing Agency, Office of Chemical Safety and removal. On January 19, 2017, EPA NMP. In the final rule for methylene Pollution Prevention, 1200 preliminarily determined that the use of chloride in consumer paint and coating Pennsylvania Avenue NW, Mail Code NMP in paint and coating removal poses removal (RIN 2070–AK07), EPA 7405M, Washington, DC 20460, Phone: an unreasonable risk of injury to health. explained that the Agency was not 202 564–0432, Email: [email protected]. EPA also co-proposed two options for finalizing the proposed regulation for RIN: 2070–AK46 NMP in paint and coating removal. The NMP as part of that action. NMP use in first co-proposal would prohibit the paint and coating removal was manufacture, processing, and incorporated into the risk evaluation distribution in commerce of NMP for all currently being conducted under TSCA ENVIRONMENTAL PROTECTION consumer and most commercial paint section 6(b). AGENCY (EPA) and coating removal and the use of NMP Timetable: 72 for most commercial paint and coating removal. The second co-proposal would Action Date FR Cite Proposed Rule Stage require commercial users of NMP for NPRM ...... 01/17/17 82 FR 7464 332. National Primary Drinking Water paint and coating removal to establish a Regulations for Lead and Copper: worker protection program and not use Final Rule ...... To Be Determined Regulatory Revisions paint and coating removal products that contain greater than 3 percent NMP by Regulatory Flexibility Analysis Regulatory Plan: This entry is Seq. weight, with certain exceptions; and Required: Yes. No. 130 in part II of this issue of the require processors of products Agency Contact: Eileen Sheehan, Federal Register. containing NMP for paint and coating Environmental Protection Agency, RIN: 2040–AF15 removal to reformulate products such Office of Chemical Safety and Pollution [FR Doc. 2019–26566 Filed 12–23–19; 8:45 am] that they do not exceed 35 percent NMP Prevention, USEPA Region 9, 75 BILLING CODE 6560–50–P
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Vol. 84 Thursday, No. 247 December 26, 2019
Part XVI
General Services Administration
Semiannual Regulatory Agenda
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GENERAL SERVICES amended, Executive Order 13771 accordance with the Regulatory ADMINISTRATION ‘‘Reducing Regulation and Controlling Flexibility Act, because they are likely Regulatory Costs,’’ and Executive Order to have a significant economic impact 40 CFR 1900 13563 ‘‘Improving Regulation and on a substantial number of small Regulatory Review.’’ GSA’s purpose in entities; and 41 CFR Chapters 101, 102, 105, 300, publishing this agenda is to allow (2) Any rules that the Agency has 301, 302, and 304 interested persons an opportunity to identified for periodic review under participate in the rulemaking process. section 610 of the Regulatory Flexibility 48 CFR Chapter 5 This agenda updates the report Act. published on June 24, 2019, and Printing of these entries is limited to 48 CFR 6101 and 6102 includes regulations expected to be fields that contain information required issued and under review over the next by the Regulatory Flexibility Act’s Unified Agenda of Federal Regulatory 12 months. The next agenda is and Deregulatory Actions Agenda requirements. Additional scheduled to be published in the spring information on these entries is in the AGENCY: General Services of 2020. Unified Agenda available online. Administration (GSA). The complete Unified Agenda will be FOR FURTHER INFORMATION CONTACT: Lois ACTION: Semiannual regulatory agenda. available online at www.reginfo.gov. Because publication in the Federal Mandell, Division Director, Regulatory Secretariat Division, 1800 F Street NW, This agenda announces the proposed Register is mandated for the regulatory 2nd Floor, Washington, DC 20405–0001, regulatory actions that GSA plans for flexibility agendas required by the 202–501–2735. the next 12 months and those completed Regulatory Flexibility Act (5 U.S.C. since the fall 2018 edition. This agenda 602), GSA’s printed agenda entries Dated: July 25, 2019. was developed under the guidelines of include only: Jessica Salmoiraghi, Executive Orders (E.O.) 12866 (1) Rules that are in the Agency’s Associate Administrator, Office of ‘‘Regulatory Planning and Review,’’ as regulatory flexibility agenda, in Government-wide Policy.
GENERAL SERVICES ADMINISTRATION—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
333 ...... General Services Acquisition Regulation (GSAR); GSAR Case 2016–G511, Contract Requirements for 3090–AJ84 GSA Information Systems. 334 ...... General Services Acquisition Regulation (GSAR); GSAR Case 2019–G503, Streamlining GSA Commer- 3090–AK09 cial Contract Clause Requirements. 335 ...... Federal Permitting Improvement Steering Council (FPISC); FPISC Case 2019–001, Adding a New Sector 3090–AK13 of Covered Projects Under FAST–41 by the Federal Permitting Improvement Steering Council.
GENERAL SERVICES ADMINISTRATION—FINAL RULE STAGE
Regulation Sequence No. Title Identifier No.
336 ...... General Services Administration Acquisition Regulation (GSAR); GSAR Case 2015–G506, Adoption of 3090–AJ64 Construction Project Delivery Method Involving Early Industry Engagement. 337 ...... Federal Permitting Improvement Steering Council (FPISC); FPISC Case 2018–001; Fees for Governance, 3090–AJ88 Oversight, and Processing of Environmental Reviews and Authorizations.
GENERAL SERVICES ADMINISTRATION—COMPLETED ACTIONS
Regulation Sequence No. Title Identifier No.
338 ...... GSAR Case 2008–G517, Cooperative Purchasing—Acquisition of Security and Law Enforcement Related 3090–AI68 Goods and Services (Schedule 84) by State and Local Governments Through Federal Supply Sched- ules. 339 ...... General Services Administration Acquisition Regulation (GSAR); GSAR Case 2013–G502, Federal Supply 3090–AJ41 Schedule Contract Administration.
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GENERAL SERVICES Timetable: responsibility to protect public health, ADMINISTRATION (GSA) welfare, safety, and the environment. Action Date FR Cite While FAST–41 contains a list of sectors Office of Acquisition Policy whose infrastructure projects are Proposed Rule Stage NPRM ...... 12/00/19 eligible for inclusion, the Act NPRM Comment 02/00/20 333. General Services Acquisition Period End. specifically allows for the addition of Regulation (GSAR); GSAR Case 2016– other sectors as determined by the G511, Contract Requirements for GSA Regulatory Flexibility Analysis majority vote of the Federal Permitting Information Systems Required: Yes. Improvement Steering Council (FPISC Agency Contact: Michael Thompson, or the Council). Pursuant to that E.O. 13771 Designation: Other. Procurement Analyst, General Services authority, and consistent with Executive Legal Authority: 40 U.S.C. 121(c) Orders 13807 and 13817, the Council is Abstract: The General Services Administration, 1800 F Street NW, Washington, DC 20405, Phone: 202 208– proposing to include mining as a sector Administration (GSA) is proposing to eligible under the definition of a FAST– amend the General Services 1568, Email: michael.thompson@ 41 covered project. Similar to other Administration Acquisition Regulation gsa.gov. listed sectors, mining activities (GSAR) to streamline and update RIN: 3090–AJ84 routinely include construction of a requirements for contracts that involve • 334. General Services Acquisition variety of infrastructure projects, such GSA information systems. GSA’s unique Regulation (GSAR); GSAR Case 2019– as roads, electricity generation/ policies on cybersecurity and other G503, Streamlining GSA Commercial transmission, pipelines, and wastewater information technology requirements Contract Clause Requirements treatment facilities. To continue with have been previously communicated E.O. 13771 Designation: Other. the enhanced transparency inherent in through other means. By incorporating Legal Authority: 40 U.S.C. 121(c) FAST–41, the Council is requesting these requirements into the GSAR, the Abstract: The General Services GSAR will provide centralized guidance public comment on the addition of Administration (GSA) is proposing to mining as a covered sector under the to ensure consistent application across amend the General Services the organization. Integrating these Act. Inclusion of mining as a covered Administration Acquisition Regulation sector will not guarantee that all mining requirements into the GSAR will also (GSAR) to streamline requirements for allow industry to provide public projects will receive the benefits of GSA commercial contracts. This rule comments through the rulemaking enhanced coordination under FAST–41. will update GSAR Clauses 552.212–71 process. Identical to the treatment of other GSA’s cybersecurity requirements and 552.212–72 to remove any sectors, individual mining project mandate contractors to protect the requirements that are not necessary by sponsors will have to be approved by confidentiality, integrity, and law or Executive Order. FPISC. Timetable: availability of unclassified GSA Timetable: information and information systems Action Date FR Cite Action Date FR Cite from cybersecurity vulnerabilities, and threats in accordance with the Federal NPRM ...... 01/00/20 NPRM ...... 02/00/20 Information Security Modernization Act NPRM Comment 03/00/20 NPRM Comment 04/00/20 of 2014 and associated Federal Period End. Period End. cybersecurity requirements. This rule will require contracting officers to Regulatory Flexibility Analysis Regulatory Flexibility Analysis incorporate applicable GSA Required: Yes. Required: Yes. cybersecurity requirements within the Agency Contact: Johnnie McDowell, Agency Contact: Nicholas A. Falvo, statement of work to ensure compliance Procurement Analyst, General Services Senior Legal Advisor, Federal with Federal cybersecurity requirements Administration, 1800 F Street NW, Permitting Improvement Steering and implement best practices for Washington, DC 20405, Phone: 202 718– Council, General Services preventing cyber incidents. These GSA 6112, Email: [email protected]. Administration, 1800 F Street NW, requirements mandate applicable RIN: 3090–AK09 Room 5121, Washington, DC 20405, controls and standards (e.g., U.S. Office of Governmentwide Policy Phone: 202 430–4463, Email: [email protected]. National Institute of Standards and • Technology, U.S. National Archive and 335. Federal Permitting Improvement RIN: 3090–AK13 Records Administration Controlled Steering Council (FPISC); FPISC Case Unclassified Information standards). 2019–001, Adding a New Sector of Contract requirements for internal Covered Projects Under Fast–41 by the Federal Permitting Improvement GENERAL SERVICES information systems, external contractor ADMINISTRATION (GSA) systems, cloud systems, and mobile Steering Council systems will be covered by this rule. E.O. 13771 Designation: Regulatory. Office of Acquisition Policy This rule will also update existing Legal Authority: 42 U.S.C. Final Rule Stage GSAR provision 552.239–70, 4370m(6)(A) Information Technology Security Plan Abstract: Fixing America’s Surface 336. General Services Administration and Security Authorization, and GSAR Transportation Act (FAST–41) is Acquisition Regulation (GSAR); GSAR clause 552.239–71, Security intended to improve the timeliness, Case 2015–G506, Adoption of Requirements for Unclassified predictability, and transparency of the Construction Project Delivery Method Information Technology Resources, to Federal environmental review and Involving Early Industry Engagement only require the provision and clause authorization process for certain E.O. 13771 Designation: Deregulatory. when the contract will involve covered infrastructure projects across a Legal Authority: 40 U.S.C. 121(c) information or information systems broad range of sectors. It does so while Abstract: The General Services connected to a GSA network. upholding the U.S. Government’s Administration (GSA) is amending the
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General Services Administration GSA will amend this regulation on contained in Federal supply Acquisition Regulation (GSAR) to adopt behalf of the Federal Permitting classification code group 84 or any an additional project delivery method Improvement Steering Council. amended or subsequent version of that for construction, construction manager Timetable: Federal supply classification group). as constructor (CMc). The current FAR Completed: and GSAR lacks detailed coverage Action Date FR Cite differentiating various construction Reason Date FR Cite NPRM ...... 09/04/18 83 FR 44846 project delivery methods. GSA’s NPRM Comment 11/05/18 policies on CMc have been previously Final Rule ...... 04/11/19 84 FR 14624 Period End. Final Rule Effec- 05/13/19 issued through other means. By Final Rule ...... 07/00/20 incorporating CMc into the GSAR and tive. differentiating for various construction Regulatory Flexibility Analysis Regulatory Flexibility Analysis methods, the GSAR provides centralized Required: Yes. Required: Yes. guidance to ensure consistent Agency Contact: Amber Dawn application of construction project Levofsky, Program Analyst, General Agency Contact: Thomas O’Linn, principles across the organization. Services Administration, 1800 F Street Phone: 202 445–0390, Email: Timetable: NW, Room 3017, Washington, DC [email protected]. 20405–0001, Phone: 202 969–7298, RIN: 3090–AI68 Action Date FR Cite Email: [email protected]. 339. General Services Administration RIN: 3090–AJ88 NPRM ...... 11/08/18 83 FR 55838 Acquisition Regulation (GSAR); GSAR Correction ...... 11/27/18 83 FR 60818 Case 2013–G502, Federal Supply NPRM Comment 01/07/19 Schedule Contract Administration Period End. GENERAL SERVICES Final Rule ...... 12/00/19 E.O. 13771 Designation: Not subject ADMINISTRATION (GSA) to, not significant. Regulatory Flexibility Analysis Completed Actions Legal Authority: 40 U.S.C. 121(c) Required: Yes. Abstract: The General Services Agency Contact: Christina Mullins, 338. GSAR Case 2008–G517, Administration (GSA) amended the Procurement Analyst, General Services Cooperative Purchasing—Acquisition of General Services Administration Administration, 1800 F Street NW, Security and Law Enforcement Related Acquisition Regulation (GSAR) to Washington, DC 20405, Phone: 202 969– Goods And Services (Schedule 84) by clarify and update the contracting by 4066, Email: [email protected]. State and Local Governments Through negotiation GSAR section and RIN: 3090–AJ64 Federal Supply Schedules incorporate existing Federal Supply Office of Governmentwide Policy E.O. 13771 Designation: Not subject Schedule Contracting policies and to, not significant. procedures, and corresponding 337. Federal Permitting Improvement Legal Authority: 40 U.S.C. 121(c); 40 provisions and clauses. Steering Council (FPISC); FPISC Case U.S.C. 502(c)(1)(B) Completed: 2018–001; Fees for Governance, Abstract: The General Services Oversight, and Processing of Administration (GSA) amended the Reason Date FR Cite Environmental Reviews and General Services Administration Authorizations Acquisition Regulation (GSAR) to Final Rule ...... 04/23/19 84 FR 17030 Correction ...... 05/17/19 84 FR 22381 E.O. 13771 Designation: Fully or implement Public Law 110–248, The Local Preparedness Acquisition Act. Final Rule Effec- 05/23/19 Partially Exempt. tive. Legal Authority: 42 U.S.C. 4370m–8 The Act authorizes the Administrator of Abstract: GSA is amending a final rule General Services to provide for the use to establish a fee structure to reimburse by State or local governments of Federal Regulatory Flexibility Analysis the Federal Permitting Improvement Supply Schedules of the GSA for alarm Required: Yes. Steering Council and its Office of the and signal systems, facility management Agency Contact: Dana L. Bowman, Executive Director for reasonable costs systems, firefighting and rescue Phone: 202 357–9652, Email: incurred in coordinating environmental equipment, law enforcement and [email protected]. reviews and authorizations in security equipment, marine craft and RIN: 3090–AJ41 implementing title 41 of the Fixing related equipment, special purpose [FR Doc. 2019–26567 Filed 12–23–19; 8:45 am] America’s Surface Transportation Act. clothing, and related services (as BILLING CODE 6820–14–P
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Part XVII
National Aeronautics and Space Administration
Semiannual Regulatory Agenda
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NATIONAL AERONAUTICS AND whether a regulatory analysis is Directorate, NASA Headquarters, SPACE ADMINISTRATION required, and the status of regulations Washington, DC 20546. previously reported. FOR FURTHER INFORMATION CONTACT: 14 CFR Ch. V The regulatory plan is a statement of Cheryl E. Parker, (202) 358–0252. Regulatory Agenda the Agency’s priorities that describe SUPPLEMENTARY INFORMATION: OMB legislative and programmatic activities, guidelines dated June 26, 2019, ‘‘Fall AGENCY: National Aeronautics and highlight rulemaking that streamline’s 2019 Data Call for the Regulatory Plan Space Administration (NASA). regulations and report requirements, and Unified Agenda of Federal Regulatory and Deregulatory Actions,’’ ACTION: Semiannual regulatory agenda. identify regulations that are of particular concern to small businesses, include require a regulatory agenda of those SUMMARY: NASA’s regulatory agenda preliminary estimates of the anticipated regulations under development and describes those regulations being costs and benefits of each rule, and review to be published in the Federal considered for development or provide specific citation of actions Register each spring and fall. amendment by NASA, the need and required by statue or court order. Dated: July 26, 2019. legal basis for the actions being Verron Brade, ADDRESSES: Acting Associate considered, the name and telephone Administrator, Mission Support Acting Associate Administrator, Support number of the knowledgeable official, Directorate.
NATIONAL AERONAUTICS AND SPACE ADMINISTRATION—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
340 ...... NASA Harassment Report Case Files (10 HRCF) Exemption (Section 610 Review) ...... 2700–AE50
NATIONAL AERONAUTICS AND materials for potential law enforcement Timetable: SPACE ADMINISTRATION (NASA) purposes. The exemption would prevent these investigative case files from being Action Date FR Cite Proposed Rule Stage released under the Privacy Act. Case 340. NASA Harassment Report Case Files records are exempted from the NPRM ...... 04/00/20 Files (10 HRCF) Exemption (Section 610 following sections of the Privacy Act (5 Review) U.S.C. 552a): (c)(3) relating to access to Regulatory Flexibility Analysis E.O. 13771 Designation: Other. the disclosure accounting; (d) relating to Required: No. Legal Authority: 5 U.S.C. 552a, The access to the records; (e)(1) relating to Agency Contact: Patti Stockman, Privacy Act of 1974 the type of information maintained in National Aeronautics and Space Abstract: NASA is issuing a direct the records; (e)(4)(G), (H) and (I) relating Administration, 300 E Street SW, final rule to modify the Agency’s to publishing in the annual system Washington, DC 20546, Phone: 202 358– Privacy Act Regulations to exempt notice information as to agency 4787, Email: [email protected]. procedures for access and correction investigative materials found in NASA RIN: 2700–AE50 Harassment Report Case Files. The and information as to the categories of [FR Doc. 2019–26569 Filed 12–23–19; 8:45 am] harassment report case records are used sources of records; and (f) relating to for the purpose of investigative developing agency rules for gaining BILLING CODE 7510–13–P access and making corrections.
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Part XVIII
Office of Management and Budget
Semiannual Regulatory Agenda
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OFFICE OF MANAGEMENT AND with OMB’s internal procedures for measurement, assignment, and BUDGET implementing Executive Order 12866 allocation of costs to contracts entered (October 4, 1993, 58 FR 51735). OMB into with the United States Government. 48 CFR Ch. 99, 2 CFR Chapters 1 and policy guidelines are issued under For purposes of this agenda, we have 2 authority derived from several sources, excluded directives that outline including: Subtitles I, II, and V of title procedures to be followed in connection Federal Regulations, Guidance, OFPP 31, United States Code; Executive Order Policy Letters, and CASB Cost 11541; and other specific authority as with the President’s budget and Accounting Standards Included in the cited. OMB Guidance and OFPP Policy legislative programs, as well as Semiannual Agenda of Federal Letters communicate guidance and directives that affect only the internal Activities instructions of a continuing nature to functions, management, or personnel of Federal agencies. AGENCY: Office of Management and executive branch agencies. As such, Budget. most OMB Guidance and OFPP Policy FOR FURTHER INFORMATION CONTACT: See ACTION: Semiannual regulatory agenda. Letters are not regulations. Nonetheless, the agency contact person listed for each because these issuances are typically of entry in the agenda, c/o Office of SUMMARY: The Office of Management interest to the public, they are generally Management and Budget, Washington, and Budget (OMB) is publishing its published in the Federal Register at DC 20503. On the overall agenda, semiannual agenda of upcoming both the proposed (for public comment) activities for Federal regulations, OMB and final stages. For this reason, they contact Jamal Rittenberry, (202) 395– Guidance, Office of Federal are presented below in the standard 3589, at the above address. Procurement Policy (OFPP) Policy format of ‘‘pre-rule,’’ ‘‘proposed rule,’’ Tim Soltis, Letters, and Cost Accounting Standards and ‘‘final rule’’ stages. Deputy Controller, Office of Federal Financial (CAS) Board Cost Accounting CASB Cost Accounting Standards are Management. Standards. issued under authority derived from 41 OMB Guidance and OFPP Policy U.S.C. 1501 et seq. Cost Accounting Letters are published in accordance Standards are rules governing the
OFFICE OF MANAGEMENT AND BUDGET—FINAL RULE STAGE
Regulation Sequence No. Title Identifier No.
341 ...... Federal Acquisition Security Council Implementing Regulation ...... 0348–AB83
OFFICE OF MANAGEMENT AND Subchapter III creates the Federal Action Date FR Cite BUDGET (OMB) Acquisition Security Council, and Final Action ...... 12/00/19 Final Rule Stage identifies a number of functions to be performed by the Council. The FASC is 341. • Federal Acquisition Security chaired by a designated OMB Senior- Regulatory Flexibility Analysis Council Implementing Regulation Level official, and Public Law 115–390 Required: Yes. Agency Contact: Amy Hamilton, E.O. 13771 Designation: Other. requires that the FASC publish an Office of Management and Budget, Legal Authority: Pub. L. 115–390 sec. interim final rule to implement these Phone: 202 395–0372. 202(c) functions. RIN: 0348–AB83 Abstract: This interim final rule will Timetable: implement subchapter III of chapter 13 [FR Doc. 2019–26570 Filed 12–23–19; 8:45 am] of title 41, United States Code. BILLING CODE 3110–01–P
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Part XIX
Railroad Retirement Board
Semiannual Regulatory Agenda
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RAILROAD RETIREMENT BOARD or proposes to develop in the next 12 SUPPLEMENTARY INFORMATION: months and regulations that are Regulations that are routine in nature or 20 CFR Ch. II scheduled to be reviewed in that period. which pertain solely to internal Agency ADDRESSES: 844 North Rush Street, management have not been included in Semiannual Agenda of Regulations Chicago, IL 60611–1275. the agenda. Under Development or Review FOR FURTHER INFORMATION CONTACT: Dated: July 23, 2019. AGENCY: Railroad Retirement Board. Marguerite P. Dadabo, Assistant General By Authority of the Board. ACTION: Semiannual regulatory agenda. Counsel, Office of General Counsel, Railroad Retirement Board, (312) 751– Stephanie Hillyard, SUMMARY: This agenda contains a list of 4945, Fax (312) 751–7102, TDD (312) Secretary to the Board. regulations that the Board is developing 751–4701.
RAILROAD RETIREMENT BOARD—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
342 ...... Proposed Amendment to Update the Titles of Various Executive Committee Members Whose Office Titles 3220–AB72 Have Changed (Section 610 Review). 343 ...... Enforcement of Nondiscrimination on the Basis of Handicap in Programs or Activities Conducted by the 3220–AB73 Railroad Retirement Board (Section 610 Review).
RAILROAD RETIREMENT BOARD ‘‘Director of Administration/COOP Legal Authority: 29 U.S.C. 794 (RRB) Executive,’’ and to add the positions of Abstract: We propose to amend our ‘‘Chief Financial Officer’’ and ‘‘Director Long-Term Actions regulations at 20 CFR part 365 to update of Field Service’’ to the delegation of terminology to refer to individuals with 342. Proposed Amendment To Update authority chain. Finally, the delegation a disability. This amendment replaces the Titles of Various Executive of authority chain will be updated to the term ‘‘handicap’’ with the term Committee Members Whose Office reflect the addition of the updated titles ‘‘disability’’ to match the statutory Titles Have Changed (Section 610 and the removal of outdated positions. language in the Rehabilitation Act Review) Timetable: Amendment of 1992, Public Law 102– E.O. 13771 Designation: Fully or 569, 106 Stat. 4344. Action Date FR Cite Partially Exempt. Timetable: Legal Authority: 45 U.S.C. 231f; 45 Proposed Rule .... 10/00/21 U.S.C. 362 Action Date FR Cite Abstract: The Railroad Retirement Regulatory Flexibility Analysis Board proposes to amend its regulations Required: No. Proposed Rule .... 10/00/21 to update 20 CFR 375.5(b), which will Agency Contact: Marguerite P. change the titles of various Executive Dadabo, Assistant General Counsel, Regulatory Flexibility Analysis Committee members whose office titles Railroad Retirement Board, Office of Required: No. have changed. The Railroad Retirement General Counsel, 844 North Rush Street, Agency Contact: Marguerite P. Board (Board) proposes to amend its Room 811, Chicago, IL 60611, Phone: Dadabo, Assistant General Counsel, regulations governing the Board’s policy 312 751–4945, TDD Phone: 312 751– Railroad Retirement Board, Office of on delegation of authority in case of 4701, Fax: 312 751–7102. General Counsel, 844 North Rush Street, national emergency. The regulation to RIN: 3220–AB72 Room 811, Chicago, IL 60611, Phone: be amended is contained in section 312 751–4945, TDD Phone: 312 751– 375.5. In section 375.5(b) of the Board’s 343. Enforcement of Nondiscrimination 4701, Fax: 312 751–7102. regulations, the Board proposes to on the Basis of Handicap in Programs remove the language that refers to the or Activities Conducted by the Railroad RIN: 3220–AB73 ‘‘Director of Supply and Service’’ and Retirement Board (Section 610 Review) [FR Doc. 2019–26575 Filed 12–23–19; 8:45 am] the ‘‘Regional Directors,’’ to update the E.O. 13771 Designation: Fully or BILLING CODE 7905–01–P title of Director of Administration to Partially Exempt.
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Part XX
Small Business Administration
Semiannual Regulatory Agenda
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SMALL BUSINESS ADMINISTRATION Kish, Law Librarian, U.S. Small Regulatory Agenda, which will be Business Administration, 409 Third available online at www.reginfo.gov in a 13 CFR Ch. I Street SW, Washington, DC 20416, (202) format that offers users enhanced ability 205–6849, [email protected]. to obtain information about SBA’s rules. Semiannual Regulatory Agenda Specific: Please direct specific comments and inquiries on individual SBA is fully committed to AGENCY: U.S. Small Business implementing the Administration’s Administration (SBA). regulatory activities identified in this Agenda to the individual listed in the regulatory reform policies, as ACTION: Semiannual regulatory agenda. summary of the regulation as the point established by Executive Order 13771, SUMMARY: This semiannual Regulatory of contact for that regulation. Reducing Regulation and Controlling Agenda (Agenda) is a summary of SUPPLEMENTARY INFORMATION: The Regulatory Costs (January 30, 2017) and current and projected regulatory and Regulatory Flexibility Act (RFA) Executive Order 13777, Enforcing the deregulatory actions and completed requires SBA to publish in the Federal Regulatory Reform Agenda (February actions of the Small Business Register a semiannual regulatory 24, 2017). In order to fully implement Administration (SBA). This summary flexibility agenda describing those the goal of these executive orders, SBA information is intended to enable the Agency rules that are likely to have a seeks feedback from the public in public to be more aware of, and significant economic impact on a identifying any SBA regulations affected effectively participate in, SBA’s substantial number of small entities (5 parties believe impose unnecessary regulatory and deregulatory activities. U.S.C. 602). The summary information burdens or costs that exceed their Accordingly, SBA invites the public to published in the Federal Register is benefits; eliminate jobs or inhibit job submit comments on any aspect of this limited to those rules. Additional creation; or are ineffective or outdated. Agenda. information regarding all of the FOR FURTHER INFORMATION CONTACT: rulemakings SBA expects to consider in Christopher Pilkerton, General: Please direct general the next 12 months is included in the Acting Administrator. comments or inquiries to Imelda A. Federal Government’s complete
SMALL BUSINESS ADMINISTRATION—PRERULE STAGE
Regulation Sequence No. Title Identifier No.
344 ...... 8(a) Business Development (Section 610 Review) ...... 3245–AH19 345 ...... Government Contracting Programs (Section 610 Review) ...... 3245–AH20 346 ...... HUBZone Program (Section 610 Review) ...... 3245–AH21
SMALL BUSINESS ADMINISTRATION—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
347 ...... Small Business Development Center Program Revisions ...... 3245–AE05 348 ...... Small Business Size Standards: Educational Services; Health Care and Social Assistance; Arts, Enter- 3245–AG88 tainment and Recreation; Accommodation and Food Services; Other Services. 349 ...... Small Business Size Standards: Agriculture, Forestry, Fishing and Hunting; Mining, Quarrying, and Oil 3245–AG89 and Gas Extraction; Utilities; Construction. 350 ...... Small Business Size Standards: Transportation and Warehousing; Information; Finance and Insurance; 3245–AG90 Real Estate and Rental and Leasing. 351 ...... Small Business Size Standards: Professional, Scientific and Technical Services; Management of Compa- 3245–AG91 nies and Enterprises; Administrative and Support, Waste Management and Remediation Services. 352 ...... Small Business Size Standards: Manufacturing and Industries With Employee Based Size Standards in 3245–AH09 Other Sectors Except Wholesale Trade and Retail Trade. 353 ...... Small Business Size Standards: Wholesale Trade and Retail Trade ...... 3245–AH10
SMALL BUSINESS ADMINISTRATION—FINAL RULE STAGE
Regulation Sequence No. Title Identifier No.
354 ...... Small Business Timber Set-Aside Program ...... 3245–AG69 355 ...... National Defense Authorization Acts of 2016 and 2017, RISE After Disaster Act of 2015, and Other Small 3245–AG86 Business Government Contracting Amendments. 356 ...... Small Business Size Standards: Calculation of Annual Average Receipts ...... 3245–AH16 357 ...... Small Business Size Standards: Adjustment of Monetary Based Size Standards for Inflation ...... 3245–AH17
SMALL BUSINESS ADMINISTRATION—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
358 ...... Small Business Size Standards; Alternative Size Standard for 7(a), 504, and Disaster Loan Programs ...... 3245–AG16
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SMALL BUSINESS ADMINISTRATION 345. • Government Contracting Legal Authority: Regulatory (SBA) Programs (Section 610 Review) Flexibility Act, 5 U.S.C. 610; 15 U.S.C. Prerule Stage E.O. 13771 Designation: Other. 632; 15 U.S.C. 657a Legal Authority: Regulatory • Abstract: On June 11, 1998 (63 FR 344. 8(a) Business Development Flexibility Act, 5 U.S.C. 610; 15 U.S.C. 31908), SBA promulgated a rulemaking (Section 610 Review) 634; 15 U.S.C. 637; 15 U.S.C. 644 establishing eligibility requirements for Abstract: On January 31, 1996 (61 FR E.O. 13771 Designation: Other. qualified HUBZone small business 3312), SBA promulgated a rulemaking concerns, procedures for certification Legal Authority: 15 U.S.C. 637 identifying requirements for four program examinations and protests, and Government contracting assistance Abstract: On June 30, 1998 (63 FR provisions relating to HUBZone programs: Prime contracting assistance, 35739), SBA promulgated a rulemaking contracts, among other things. Certain subcontracting assistance, Government establishing eligibility requirements for sections within the rule may have been participation in the 8(a) Business property sales assistance, and the Certificate of Competency program. subsequently amended. The current Development and Federal Small requirements are codified in the Code of Disadvantaged Business programs, and Certain sections within the rule may Federal Regulations at 13 CFR part 126. application, certification, and protest have been subsequently amended. The In developing this rule, SBA performed procedures, among other things. Certain current requirements are codified in the a Regulatory Flexibility Analysis, which sections within the rule may have been Code of Federal Regulations at 13 CFR subsequently amended. The current part 125. In developing this rule, SBA indicated the rule could have a requirements are codified in the Code of performed a Regulatory Flexibility significant impact on a substantial Federal Regulations at 13 CFR part 124. Analysis, which indicated the rule number of small entities. SBA then used In developing this rule, SBA performed could have a significant impact on a this analysis to develop the rule in such a Regulatory Flexibility Analysis, which substantial number of small entities. a way that mitigated small entity impact indicated the rule could have a SBA then used this analysis to develop to the extent possible while still significant impact on a substantial the rule in such a way that mitigated fulfilling SBA’s statutory mandates. number of small entities. SBA then used small entity impact to the extent SBA is now initiating a review of this this analysis to develop the rule in such possible while still fulfilling the rule under section 610 of the Regulatory a way that mitigated small entity impact programs’ statutory mandates. SBA is Flexibility Act to determine if the rule to the extent possible while still now initiating a review of this rule should be amended or rescinded to fulfilling SBA’s statutory mandates. under section 610 of the Regulatory minimize adverse economic impacts on SBA is now initiating a review of this Flexibility Act to determine if the rule small entities. In the course of the rule under section 610 of the Regulatory should be continued without change, or review, SBA will consider the following Flexibility Act to determine if the rule should be amended or rescinded, to factors: (1) The continued need for the should be continued without change, or minimize adverse economic impacts on rule; (2) the comments received small entities. In the course of the should be amended or rescinded, to concerning the rule; (3) the complexity review, SBA will consider the following minimize adverse economic impacts on of the rule; (4) the extent to which the factors: (1) The continued need for the small entities. In the course of the rule overlaps, duplicates, or conflicts rule; (2) the comments received review, SBA will consider the following with Federal, State, or local government factors: (1) The continued need for the concerning the rule; (3) the complexity of the rule; (4) the extent to which the rules; and (5) the degree to which rule; (2) the comments received technology, economic conditions, or concerning the rule; (3) the complexity rule overlaps, duplicates, or conflicts other factors have changed in the area of the rule; (4) the extent to which the with Federal, State, or local government affected by the rule. SBA will solicit rule overlaps, duplicates, or conflicts rules; and (5) the degree to which with Federal, State, or local government technology, economic conditions, or comments. Comments may be submitted rules; and (5) the degree to which other factors have changed in the area through www.regulations.gov, referring technology, economic conditions, or affected by the rule. SBA will solicit to RIN 3245–AH21, and must be other factors have changed in the area comments. Comments may be submitted submitted on or before January 2, 2020. affected by the rule. SBA will solicit through www.regulations.gov, referring Timetable: comments. Comments may be submitted to RIN 3245–AH20, and must be through www.regulations.gov, referring submitted on or before January 2, 2020. Action Date FR Cite to RIN 3245–AH19, and must be Timetable: submitted on or before January 2, 2020. Begin Review ...... 12/00/19 Action Date FR Cite End Review ...... 01/00/20 Timetable: Begin Review ...... 12/00/19 Action Date FR Cite End Review ...... 01/00/20 Regulatory Flexibility Analysis Required: No. Begin Review ...... 12/00/19 Regulatory Flexibility Analysis Agency Contact: Brenda J. Fernandez, End Review ...... 01/00/20 Required: No. Procurement Analyst, Small Business Agency Contact: Brenda J. Fernandez, Administration, 409 Third Street SW, Procurement Analyst, Small Business Regulatory Flexibility Analysis Washington, DC 20416, Phone: 202 205– Administration, 409 Third Street SW, Required: No. 7337, Email: [email protected]. Washington, DC 20416, Phone: 202 205– Agency Contact: Brenda J. Fernandez, RIN: 3245–AH21 Procurement Analyst, Small Business 7337, Email: [email protected]. RIN: 3245–AH20 Administration, 409 Third Street SW, Washington, DC 20416, Phone: 202 205– 346. • HUBZone Program (Section 610 7337, Email: [email protected]. Review) RIN: 3245–AH19 E.O. 13771 Designation: Other.
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SMALL BUSINESS ADMINISTRATION Sector 71 (Arts, Entertainment and 205–6390, Email: khem.sharma@ (SBA) Recreation), Sector 72 (Accommodation sba.gov. and Food Services), and Sector 81 RIN: 3245–AG89 Proposed Rule Stage (Other Services) and make necessary 350. Small Business Size Standards: 347. Small Business Development adjustments to size standards in these Transportation and Warehousing; Center Program Revisions sectors. This is one of a series of Information; Finance and Insurance; proposed rules that will examine groups E.O. 13771 Designation: Other. Real Estate and Rental and Leasing Legal Authority: 15 U.S.C. 634(b)(6); of NAICS sectors. SBA will apply its 15 U.S.C. 648 Size Standards Methodology to this E.O. 13771 Designation: Other. Abstract: This rule proposes to update proposed rule. Legal Authority: 15 U.S.C. 632(a) the Small Business Development Center Timetable: Abstract: The Small Business Jobs Act (SBDC) program regulations by of 2010 (Jobs Act) requires SBA to proposing to amend: (1) Procedures for Action Date FR Cite conduct every five years a detailed review of all size standards and to make approving applications when a new NPRM ...... 01/00/20 Lead SBDC center is selected; (2) appropriate adjustments to reflect procedures and requirements regarding market conditions. As part of the second Regulatory Flexibility Analysis five-year review of size standards under findings and disputes resulting from Required: Yes. financial exams, programmatic reviews, the Jobs Act, in this proposed rule, SBA Agency Contact: Dr. Khem Raj will evaluate each industry that has a accreditation reviews, and other SBA Sharma, Chief, Office of Size Standards, oversight activities; (3) requirements for receipts-based standard in North Small Business Administration, 409 American Industry Classification new or renewal applications for SBDC Third Street SW, Washington, DC grants, including electronic submission System (NAICS) Sector 48–49 20416, Phone: 202 205–7189, Fax: 202 (Transportation and Warehousing), through the approved electronic 205–6390, Email: khem.sharma@ Government submission facility; (4) Sector 51 (Information), Sector 52 sba.gov. (Finance and Insurance), and Sector 53 procedures regarding the determination RIN: 3245–AG88 to affect suspension, termination or non- (Real Estate and Rental and Leasing) and renewal of an SBDC’s cooperative 349. Small Business Size Standards: make necessary adjustments to size agreement; and (5) provisions regarding Agriculture, Forestry, Fishing and standards in these sectors. This is one the collection and use of the individual Hunting; Mining, Quarrying, and Oil of a series of proposed rules that will SBDC client data. and Gas Extraction; Utilities; examine groups of NAICS sectors. SBA Timetable: Construction will apply its Size Standards Methodology to this proposed rule. E.O. 13771 Designation: Other. Action Date FR Cite Timetable: Legal Authority: 15 U.S.C. 632(a) ANPRM ...... 04/02/15 80 FR 17708 Abstract: The Small Business Jobs Act Action Date FR Cite ANPRM Comment 06/01/15 of 2010 (Jobs Act) requires SBA to Period End. conduct every five years a detailed NPRM ...... 01/00/20 NPRM ...... 03/00/20 review of all size standards and to make appropriate adjustments to reflect Regulatory Flexibility Analysis Regulatory Flexibility Analysis market conditions. As part of the second Required: Yes. Required: Yes. five-year review of size standards under Agency Contact: Dr. Khem Raj Agency Contact: Rachel Newman- the Jobs Act, in this proposed rule, SBA Sharma, Chief, Office of Size Standards, Karton, Program Manager, Small will evaluate each industry that has a Small Business Administration, 409 Business Administration, 409 3rd Street receipts-based standard in North Third Street SW, Washington, DC SW, Washington, DC 20416, Phone: 202 American Industry Classification 20416, Phone: 202 205–7189, Fax: 202 619–1816, Email: rachel.newman- System (NAICS) Sector 11 (Agriculture, 205–6390, Email: khem.sharma@ [email protected]. Forestry, Fishing and Hunting), Sector sba.gov. RIN: 3245–AE05 21 (Mining, Quarrying, and Oil and Gas RIN: 3245–AG90 348. Small Business Size Standards: Extraction), Sector 22 (Utilities), and 351. Small Business Size Standards: Educational Services; Health Care and Sector 23 (Construction), and make Professional, Scientific and Technical Social Assistance; Arts, Entertainment necessary adjustments to size standards Services; Management of Companies and Recreation; Accommodation and in these sectors. This is one of a series and Enterprises; Administrative and Food Services; Other Services of proposed rules that will examine Support, Waste Management and groups of NAICS sectors. SBA will Remediation Services E.O. 13771 Designation: Other. apply its Size Standards Methodology to Legal Authority: 15 U.S.C. 632(a) this proposed rule. E.O. 13771 Designation: Other. Abstract: The Small Business Jobs Act Timetable: Legal Authority: 15 U.S.C. 632(a) of 2010 (Jobs Act) requires SBA to Abstract: The Small Business Jobs Act conduct every five years a detailed Action Date FR Cite of 2010 (Jobs Act) requires SBA to review of all size standards and to make conduct every five years a detailed appropriate adjustments to reflect NPRM ...... 12/00/19 review of all size standards and to make market conditions. As part of the second appropriate adjustments to reflect five-year review of size standards under Regulatory Flexibility Analysis market conditions. As part of the second the Jobs Act, in this proposed rule, SBA Required: Yes. five-year review of size standards under will evaluate size standards for all Agency Contact: Dr. Khem Raj the Jobs Act, in this proposed rule, SBA industries in North American Industry Sharma, Chief, Office of Size Standards, will evaluate each industry that has a Classification System (NAICS) Sector 61 Small Business Administration, 409 receipts-based standard in North (Educational Services), Sector 62 Third Street SW, Washington, DC American Industry Classification (Health Care and Social Assistance), 20416, Phone: 202 205–7189, Fax: 202 System (NAICS) Sector 54 (Professional,
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Scientific and Technical Services), 205–6390, Email: khem.sharma@ participation falls below a certain Sector 55 (Management of Companies sba.gov. amount. SBA considered comments and Enterprises), and Sector 56 RIN: 3245–AH09 received during the Advance Notice of (Administrative and Support, Waste Proposed Rulemaking and Notice of 353. Small Business Size Standards: Management and Remediation Services) Proposed Rulemaking processes, Wholesale Trade and Retail Trade and make necessary adjustments to size including on issues such as, but not standards in these sectors. This is one E.O. 13771 Designation: Other. limited to, whether the saw timber of a series of proposed rules that will Legal Authority: 15 U.S.C. 632(a) volume purchased through stewardship examine groups of NAICS sectors. SBA Abstract: The Small Business Jobs Act timber contracts should be included in will apply its Size Standards of 2010 (Jobs Act) requires SBA to calculations, and whether the appraisal Methodology to this proposed rule. conduct every five years a detailed point used in set-aside sales should be Timetable: review of all size standards and to make the nearest small business mill. In appropriate adjustments to reflect addition, SBA is considering data from Action Date FR Cite market conditions. As part of the second the timber industry to help evaluate the 5-year review of size standards under current program and economic impact NPRM ...... 01/00/20 the Jobs Act, in this proposed rule, SBA of potential changes. will evaluate all industries in North Regulatory Flexibility Analysis Timetable: American Industry Classification Required: Yes. Action Date FR Cite Agency Contact: Dr. Khem Raj System (NAICS) Sector 42 (Wholesale Sharma, Chief, Office of Size Standards, Trade) and Sector 44–45 (Retail Trade) and make necessary adjustments to their ANPRM ...... 03/25/15 80 FR 15697 Small Business Administration, 409 ANPRM Comment 05/26/15 size standards. This is one of a series of Third Street SW, Washington, DC Period End. 20416, Phone: 202 205–7189, Fax: 202 proposed rules that will examine groups NPRM ...... 09/27/16 81 FR 66199 205–6390, Email: khem.sharma@ of NAICS sectors. SBA will apply its NPRM Comment 11/28/16 sba.gov. revised Size Standards Methodology, Period End. RIN: 3245–AG91 which is available on its website at Final Rule ...... 03/00/20 http://www.sba.gov/size, to this 352. Small Business Size Standards: proposed rule. Regulatory Flexibility Analysis Manufacturing and Industries With Timetable: Required: Yes. Employee Based Size Standards in Agency Contact: David W. Loines, Other Sectors Except Wholesale Trade Action Date FR Cite Director, Office of Government and Retail Trade Contracting, Small Business NPRM ...... 05/00/20 E.O. 13771 Designation: Other. Administration, 409 Third Street SW, Legal Authority: 15 U.S.C. 632(a) Washington, DC 20416, Phone: 202 205– Regulatory Flexibility Analysis Abstract: The Small Business Jobs Act 7311, Email: [email protected]. Required: Yes. of 2010 (Jobs Act) requires SBA to RIN: 3245–AG69 Agency Contact: Dr. Khem Raj conduct every five years a detailed Sharma, Chief, Office of Size Standards, 355. National Defense Authorization review of all size standards and to make Small Business Administration, 409 Acts of 2016 and 2017, Rise After appropriate adjustments to reflect Third Street SW, Washington, DC Disaster Act of 2015, and Other Small market conditions. As part of the second 20416, Phone: 202 205–7189, Fax: 202 Business Government Contracting 5-year review of size standards under 205–6390, Email: khem.sharma@ Amendments the Jobs Act, in this proposed rule, SBA sba.gov. E.O. 13771 Designation: Regulatory. will evaluate all industries in North RIN: 3245–AH10 Legal Authority: 15 U.S.C. 637(d)(17); American Industry Classification Pub. L. 114–328, sec. 1811, sec. 1821; System (NAICS) Sector 31–33 Pub. L. 114–92, sec. 863; Pub. L. 114– (Manufacturing) and industries with 88, sec. 2108 employee based size standards in other SMALL BUSINESS ADMINISTRATION Abstract: Section 1811 of the National sectors except Wholesale Trade and (SBA) Defense Authorization Act (NDAA) for Retail Trade and make necessary Final Rule Stage Fiscal Year 2017, Public Law 114–328, adjustments to their size standards. This December 23, 2016, (NDAA) of 2017 is one of a series of proposed rules that 354. Small Business Timber Set-Aside limits the scope of review of will examine groups of NAICS sectors. Program Procurement Center Representatives for SBA will apply its revised Size E.O. 13771 Designation: Regulatory. certain Department of Defense Standards Methodology, which is Legal Authority: 15 U.S.C. 631; 15 procurements performed outside of the available on its website at http:// U.S.C. 644(a) United States. Section 1821 of the www.sba.gov/size, to this proposed rule. Abstract: The U.S. Small Business NDAA of 2017 establishes that failure to Timetable: Administration (SBA or Agency) is act in good faith in providing timely Action Date FR Cite amending its Small Business Timber subcontracting reports shall be Set-Aside Program (the Program) considered a material breach of the NPRM ...... 05/00/20 regulations. The Small Business Timber contract. Section 863 of the NDAA for Set-Aside Program is rooted in the FY 2016, Public Law 114–92, November Regulatory Flexibility Analysis Small Business Act, which tasked SBA 25, 2015, establishes procedures for the Required: Yes. with ensuring that small businesses publication of acquisition strategies if Agency Contact: Dr. Khem Raj receive a fair proportion of the total the acquisition involves consolidation Sharma, Chief, Office of Size Standards, sales of government property. or substantial bundling. This rule also Small Business Administration, 409 Accordingly, the Program requires addresses changes requested by industry Third Street SW, Washington, DC Timber sales to be set aside for small or other agencies, including those 20416, Phone: 202 205–7189, Fax: 202 business when small business pertaining to exclusions from
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calculating compliance with the Action Date FR Cite 20416, Phone: 202 205–7189, Fax: 202 limitations on subcontracting, an 205–6390, Email: khem.sharma@ agency’s ability to set aside orders under NPRM ...... 06/24/19 84 FR 29399 sba.gov. set-aside contracts, and a contracting NPRM Comment 08/23/19 RIN: 3245–AH17 officer’s authority to request reports on Period End. Final Action ...... 11/00/19 a prime contractor’s compliance with the limitations on subcontracting. Regulatory Flexibility Analysis SMALL BUSINESS ADMINISTRATION Section 2108 of Public Law 114–88 Required: Yes. (SBA) provides agencies with double credit Agency Contact: Dr. Khem Raj when they award to a local small Sharma, Chief, Office of Size Standards, Long-Term Actions business in a disaster area. Small Business Administration, 409 Timetable: 358. Small Business Size Standards; Third Street SW, Washington, DC Alternative Size Standard for 7(a), 504, 20416, Phone: 202 205–7189, Fax: 202 Action Date FR Cite and Disaster Loan Programs 205–6390, Email: khem.sharma@ sba.gov. E.O. 13771 Designation: Other. NPRM ...... 12/04/18 83 FR 62516 Legal Authority: Pub. L. 111–240, sec. NPRM Comment 02/04/19 RIN: 3245–AH16 1116 Period End. 357. Small Business Size Standards: Final Action ...... 11/00/19 Abstract: SBA will propose Adjustment of Monetary Based Size amendments its size eligibility criteria Regulatory Flexibility Analysis Standards for Inflation for Business Loans, certified Required: Yes. E.O. 13771 Designation: Deregulatory. development company (CDC) loans Agency Contact: Dr. Khem Raj Legal Authority: 15 U.S.C. 632(a) under title V of the Small Business Sharma, Chief, Office of Size Standards, Abstract: In this interim final rule, the Investment Act (504) and economic Small Business Administration, 409 U.S. Small Business Administration injury disaster loans (EIDL). For the Third Street SW, Washington, DC (SBA or Agency) adjusts all monetary SBA 7(a) Business Loan Program and 20416, Phone: 202 205–7189, Fax: 202 based industry size standards (i.e., the 504 program, the amendments will 205–6390, Email: khem.sharma@ receipts, assets, net worth, and net provide an alternative size standard for sba.gov. income) for inflation since the last loan applicants that do not meet the RIN: 3245–AG86 adjustment in 2014. In accordance with small business size standards for their its regulations in 13 CFR 121.102(c), industries. The Small Business Jobs Act 356. Small Business Size Standards: SBA is required to review the effects of of 2010 (Jobs Act) established Calculation of Annual Average Receipts inflation on its monetary standards at alternative size standards that apply to E.O. 13771 Designation: Other. least once every five years and adjust both of these programs until SBA’s Legal Authority: 15 U.S.C. 632(a); Pub. them, if necessary. In addition, the Administrator establishes other L. 115–32 Small Business Jobs Act of 2010 (Jobs alternative size standards. For the Abstract: On December 17, 2018, the Act) also requires SBA to conduct every disaster loan program, the amendments President signed the Small Business five years a detailed review of all size will provide an alternative size standard Runway Extension Act (Pub. L. 115–32), standards and to make appropriate for loan applicants that do not meet the which amended section 3(a)(2)(C)(ii)(II) adjustments to reflect market Small Business Size Standard for their of the Small Business Act (15 U.S.C. conditions. This action will restore the industries. SBA loan program 632(a)(2)(C)(ii)(II)) by changing small business eligibility of businesses alternative size standards do not affect calculating average annual receipts for that have lost that status due to other Federal Government programs, size standard purposes. This rulemaking inflation. including Federal procurement. is to implement the new law by Timetable: Timetable: changing the period for calculating annual average revenue receipts for Action Date FR Cite Action Date FR Cite receipts based size standards from three (3) years to five (5) years in 13 CFR Interim Final Rule 07/18/19 84 FR 34261 ANPRM ...... 03/22/18 83 FR 12506 121.104. Interim Final Rule 08/19/19 ANPRM Comment 05/21/18 Effective. The Small Business Act (15 U.S.C. Period End. Interim Final Rule 09/16/19 NPRM ...... 12/00/20 632(a)) delegates to SBA’s Administrator Comment Pe- the responsibility for establishing, riod End. reviewing, and updating small business Final Action ...... 12/00/19 Regulatory Flexibility Analysis definitions, commonly referred to as Required: Yes. size standards. The Small Business Regulatory Flexibility Analysis Agency Contact: Khem Raj Sharma, Runway Extension Act amended the Required: Yes. Phone: 202 205–7189, Fax: 202 205– Small Business Act, changing the period Agency Contact: Dr. Khem Raj 6390, Email: [email protected]. for calculating average annual receipts Sharma, Chief, Office of Size Standards, RIN: 3245–AG16 from three (3) years to five (5) years. Small Business Administration, 409 [FR Doc. 2019–26574 Filed 12–23–19; 8:45 am] Timetable: Third Street SW, Washington, DC BILLING CODE 8025–01–P
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Part XXI
Department of Defense General Services Administration National Aeronautics and Space Administration
Semiannual Regulatory Agenda
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DEPARTMENT OF DEFENSE guidelines of Executive Orders (E.O.) FOR FURTHER INFORMATION CONTACT: Lois 12866 ‘‘Regulatory Planning and Mandell, Division Director, Regulatory GENERAL SERVICES Review,’’ as amended, Executive Order Secretariat Division, 1800 F Street NW, ADMINISTRATION 13771 ‘‘Reducing Regulation and 2nd Floor, Washington, DC 20405–0001, Controlling Regulatory Costs,’’ and 202–501–4755. NATIONAL AERONAUTICS AND Executive Order 13563 ‘‘Improving SPACE ADMINISTRATION Regulation and Regulatory Review.’’ SUPPLEMENTARY INFORMATION: DoD, GSA, The purpose in publishing this agenda and NASA, under their several statutory 48 CFR Ch. 1 is to allow interested persons an authorities, jointly issue and maintain opportunity to participate in the the FAR through periodic issuance of Semiannual Regulatory Agenda rulemaking process. Members of the changes published in the Federal AGENCY: Department of Defense (DoD), public may submit comments on Register and produced electronically as General Services Administration (GSA), individual proposed and interim final Federal Acquisition Circulars (FACs). and National Aeronautics and Space rulemakings at www.regulations.gov The electronic version of the FAR, Administration (NASA). during the comment period that follows including changes, can be accessed at ACTION: Semiannual regulatory agenda. publication in the Federal Register. http://www.acquisition.gov/far. This agenda updates the report SUMMARY: This agenda announces the published on June 24, 2019, and the Dated: July 24, 2019. proposed regulatory actions the Council next agenda is scheduled for publication William F. Clark, plans for the next 12 months and those in the spring of 2020. The complete Director, Office of Government-wide completed since the fall 2018 edition. Unified Agenda is available online at Acquisition Policy, Office of Acquisition This agenda was developed under the www.reginfo.gov. Policy, Office of Government-wide Policy.
DOD/GSA/NASA (FAR)—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
359 ...... FAR Acquisition Regulation (FAR); FAR Case 2015–038, Reverse Auction Guidance ...... 9000–AN31 360 ...... Federal Acquisition Regulation; FAR Case 2016–002, Applicability of Small Business Regulations Outside 9000–AN34 the United States. 361 ...... Federal Acquisition Regulation (FAR); FAR Case 2016–013, Tax on Certain Foreign Procurement ...... 9000–AN38 362 ...... Federal Acquisition Regulation (FAR); FAR Case 2017–003; Individual Sureties ...... 9000–AN39 363 ...... Federal Acquisition Regulation (FAR); FAR Case 2017–014, Use of Acquisition 360 to Encourage Vendor 9000–AN43 Feedback. 364 ...... Federal Acquisition Regulation (FAR); FAR Case 2017–013, Breaches of Personally Identifiable Informa- 9000–AN44 tion. 365 ...... Federal Acquisition Regulation (FAR); FAR Case 2017–011, Section 508-Based Standards in Information 9000–AN46 and Communication Technology. 366 ...... Federal Acquisition Regulation (FAR); FAR Case 2017–016, Controlled Unclassified Information (CUI) ..... 9000–AN56 367 ...... Federal Acquisition Regulation (FAR); FAR Case 2017–018, Violation of Arms Control Treaties or Agree- 9000–AN57 ments With the United States. 368 ...... Federal Regulation Acquisition (FAR); FAR Case 2017–019, Policy on Joint Ventures ...... 9000–AN59 369 ...... Federal Acquisition Regulation (FAR); FAR Case 2018–002, Protecting Life in Global Health Assistance .. 9000–AN62 370 ...... Federal Acquisition Regulation (FAR); FAR Case 2018–004; Increased Micro-Purchase and Simplified Ac- 9000–AN65 quisition Thresholds. 371 ...... Federal Acquisition Regulation (FAR); FAR Case 2018–006; Definition of Subcontract ...... 9000–AN66 372 ...... Federal Acquisition Regulation (FAR); FAR Case 2018–005, Modifications to Cost or Pricing Data and 9000–AN69 Reporting Requirements. 373 ...... Federal Acquisition Regulation (FAR); FAR Case 2018–012, Rights to Federally Funded Inventions and 9000–AN71 Licensing of Government-Owned Inventions. 374 ...... Federal Acquisition Regulation (FAR); FAR Case 2018–013, Exemption of Commercial and COTS Item 9000–AN72 Contracts From Certain Laws and Regulations. 375 ...... Federal Acquisition Regulation (FAR); FAR Case 2018–014, Increasing Task-Order Level Competition ..... 9000–AN73 376 ...... Federal Acquisition Regulation (FAR); FAR Case 2018–016, Lowest Price Technically Acceptable Source 9000–AN75 Selection Process. 377 ...... Federal Acquisition Regulation (FAR); FAR Case 2018–018, Revision of Definition of ‘‘Commercial Item’’ 9000–AN76 378 ...... Federal Acquisition Regulation (FAR); FAR Case 2018–019, Review of Commercial Clause Requirements 9000–AN77 and Flowdown. 379 ...... Federal Acquisition Regulation (FAR); FAR Case 2018–020, Construction Contract Administration ...... 9000–AN78 380 ...... Federal Acquisition Regulation (FAR); FAR Case 2018–021, Reserve Officer Training Corps and Military 9000–AN79 Recruiting on Campus. 381 ...... Federal Acquisition Regulation (FAR); FAR Case 2018–022; Orders Issued Via Fax or Electronic Com- 9000–AN80 merce. 382 ...... Federal Acquisition Regulation (FAR); FAR Case 2018–023, Taxes—Foreign Contracts in Afghanistan ..... 9000–AN81 383 ...... Federal Acquisition Regulation (FAR); FAR Case 2018–024; Use of Interagency Fleet Management Sys- 9000–AN82 tem Vehicles and Related Services. 384 ...... Federal Acquisition Regulation (FAR); FAR Case 2019–001, Analysis for Equipment Acquisitions ...... 9000–AN84 385 ...... Federal Acquisition Regulation (FAR); FAR Case 2019–002, Recreational Services on Federal Lands ...... 9000–AN85 386 ...... Federal Acquisition Regulation (FAR); FAR Case 2019–003, Substantial Bundling and Consolidation ...... 9000–AN86 387 ...... Federal Acquisition Regulation (FAR); FAR Case 2019–004, Good Faith in Small Business Subcon- 9000–AN87 tracting. 388 ...... Federal Acquisition Regulation (FAR); FAR Case 2019–007, Update of Historically Underutilized Business 9000–AN90 Zone Program.
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DOD/GSA/NASA (FAR)—PROPOSED RULE STAGE—Continued
Regulation Sequence No. Title Identifier No.
389 ...... Federal Acquisition Regulation (FAR); FAR Case 2019–008, Small Business Program Amendments ...... 9000–AN91 390 ...... Federal Acquisition Regulation (FAR); FAR Case 2019–009, Prohibition on Contracting With Entities 9000–AN92 Using Certain Telecommunications and Video Surveillance Services or Equipment. 391 ...... Federal Acquisition Regulation (FAR); FAR Case 2019–010, Efficient Federal Operations ...... 9000–AN94 392 ...... Federal Acquisition Regulation (FAR); FAR Case 2019–013, Inflation Adjustment of Acquisition-Related 9000–AN96 Thresholds. 393 ...... Federal Acquisition Regulation (FAR); FAR Case 2019–015, Improving Consistency Between Procure- 9000–AN98 ment & Non-Procurement Procedures on Suspension and Debarment. 394 ...... Federal Acquisition Regulation (FAR); FAR Case 2019–016, Maximizing Use of American-Made Goods, 9000–AN99 Products and Materials.
DOD/GSA/NASA (FAR)—FINAL RULE STAGE
Regulation Sequence No. Title Identifier No.
395 ...... Federal Acquisition Regulation (FAR); FAR Case 2013–002; Reporting of Nonconforming Items to the 9000–AM58 Government-Industry Data Exchange Program (Reg Plan Seq No. 151). 396 ...... Federal Acquisition Regulation (FAR); FAR Case 2014–002; Set-Asides Under Multiple Award Contracts 9000–AM93 397 ...... Federal Acquisition Regulation: FAR Case 2016–005; Effective Communication Between Government and 9000–AN29 Industry. 398 ...... Federal Acquisition Regulation (FAR); FAR Case 2017–005, Whistleblower Protection for Contractor Em- 9000–AN32 ployees. 399 ...... Federal Acquisition Regulation (FAR); FAR Case 2016–011, Revision of Limitations on Subcontracting .... 9000–AN35 400 ...... Federal Acquisition Regulations (FAR); FAR Case 2015–002, Requirements for DD Form 254, Contract 9000–AN40 Security Classification Specification. 401 ...... Federal Acquisition Regulation (FAR); FAR Case 2017–010, Evaluation Factors for Multiple-Award Con- 9000–AN54 tracts. 402 ...... Federal Acquisition Regulation (FAR); FAR Case 2018–003, Credit for Lower-Tier Small Business Sub- 9000–AN61 contracting. 403 ...... Federal Acquisition Regulation (FAR); FAR Case 2018–017—Prohibition on Certain Telecommunications 9000–AN83 and Video Surveillance Services or Equipment. 404 ...... Federal Acquisition Regulation (FAR); FAR Case 2019–005, Update to Contract Performance Assess- 9000–AN88 ment Reporting System (CPARS). References in boldface appear in The Regulatory Plan in part II of this issue of the Federal Register.
DOD/GSA/NASA (FAR)—COMPLETED ACTIONS
Regulation Sequence No. Title Identifier No.
405 ...... Federal Acquisition Regulation (FAR); FAR Case 2015–015; Strategic Sourcing Documentation ...... 9000–AM89 406 ...... Federal Acquisition Regulation (FAR); FAR Case 2015–033, Sustainable Acquisition ...... 9000–AN28 407 ...... Federal Acquisition Regulation (FAR); FAR Case 2017–006, Exception From Certified Cost or Pricing 9000–AN53 Data Requirements—Adequate Price Competition. 408 ...... Federal Acquisition Regulation (FAR); FAR Case 2017–020, Ombudsman for Indefinite-Delivery Contracts 9000–AN58 409 ...... Federal Acquisition Regulation (FAR); FAR Case 2018–010, Use of Product and Services of Kaspersky 9000–AN64 Lab.
DEPARTMENT OF DEFENSE/ implement policies addressing the increase competition and reduce the GENERAL SERVICES effective use of reverse auctions. cost of certain items. Reverse auctions ADMINISTRATION/NATIONAL Reverse auctions involve offerors differ from traditional auctions in that AERONAUTICS AND SPACE lowering their pricing over multiple sellers compete against one another to ADMINISTRATION (FAR) rounds of bidding in order to win provide the lowest price or highest- Proposed Rule Stage Federal contracts. This change value offer to a buyer. This change to incorporates guidance from the Office of the FAR will include guidance that will 359. FAR Acquisition Regulation (FAR); Federal Procurement Policy (OFPP) standardize agencies’ use of reverse FAR Case 2015–038, Reverse Auction memorandum, ‘‘Effective Use of Reverse auctions to help agencies maximize Guidance Auctions,’’ which was issued in competition and savings when using E.O. 13771 Designation: Other. response to recommendations from the reverse auctions. Legal Authority: 40 U.S.C. 121(c); 10 GAO report, Reverse Auctions: Timetable: U.S.C. ch. 137; 51 U.S.C. 20113 Guidance is Needed to Maximize Abstract: DoD, GSA, and NASA are Competition and Achieve Cost Savings Action Date FR Cite proposing to amend the Federal (GAO–14–108). Reverse auctions are Acquisition Regulation (FAR) to one tool used by Federal agencies to NPRM ...... 12/00/19
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Action Date FR Cite Agency Contact: Marilyn Chambers, sureties, thereby mitigating risk to the Procurement Analyst, DOD/GSA/NASA Government. NPRM Comment 02/00/20 (FAR), 1800 F Street NW, Washington, Timetable: Period End. DC 20405, Phone: 202 969–7185, Email: [email protected]. Action Date FR Cite Regulatory Flexibility Analysis RIN: 9000–AN34 Required: Yes. NPRM ...... 01/00/20 Agency Contact: Curtis E. Glover Sr., 361. Federal Acquisition Regulation NPRM Comment 03/00/20 Procurement Analyst, DOD/GSA/NASA (FAR); FAR Case 2016–013, Tax on Period End. (FAR), 1800 F Street NW, Washington, Certain Foreign Procurement Regulatory Flexibility Analysis DC 20405, Phone: 202 501–1448, Email: E.O. 13771 Designation: Fully or Required: Yes. [email protected]. Partially Exempt. Agency Contact: Zenaida Delgado, RIN: 9000–AN31 Legal Authority: 40 U.S.C. 121(c); 10 Procurement Analyst, DOD/GSA/NASA 360. Federal Acquisition Regulation; U.S.C. ch. 37; 51 U.S.C. 20113 (FAR), 1800 F Street NW, Washington, FAR Case 2016–002, Applicability of Abstract: DoD, GSA, and NASA are DC 20405, Phone: 202 969–7207, Email: Small Business Regulations Outside the issuing a final rule to amend the Federal [email protected]. United States Acquisition Regulation (FAR) to RIN: 9000–AN39 implement a final rule issued by the E.O. 13771 Designation: Fully or Department of the Treasury that 363. Federal Acquisition Regulation Partially Exempt. implements section 301 of the James (FAR); FAR Case 2017–014, Use of Legal Authority: 40 U.S.C. 121(c); 10 Zadroga 9/11 Health and Compensation Acquisition 360 To Encourage Vendor U.S.C. ch. 137; 51 U.S.C. 20113 Act of 2010, Public Law 111347. This Feedback Abstract: DoD, GSA, and NASA are section imposes on any foreign person E.O. 13771 Designation: Other. issuing a final rule to amend the Federal that receives a specified Federal Legal Authority: 40 U.S.C. 121(c); 10 Acquisition Regulation (FAR) consistent procurement payment a tax equal to two U.S.C. ch. 137; 51 U.S.C. 20113 with SBA’s regulation at 13 CFR 125.2 percent of the amount of such payment. Abstract: DoD, GSA, and NASA are as finalized in its rule ‘‘Acquisition This rule applies to foreign persons that proposing to amend the Federal Process: Task and Delivery Order are awarded Federal Government Acquisition Regulation (FAR) to address Contracts, Bundling, Consolidation’’ contracts to provide goods or services. the solicitation of contractor feedback issued on October 2, 2013, to clarify that Timetable: on both contract formation and contract overseas contracting is not excluded administration activities. Agencies from agency responsibilities to foster Action Date FR Cite would consider this feedback, as small business participation. appropriate, to improve the efficiency In its final rule, SBA has clarified NPRM ...... 09/20/19 84 FR 49498 NPRM Comment 11/19/19 and effectiveness of their acquisition that, as a general matter, its small activities. The rule would create FAR business contracting regulations apply Period End. Final Rule ...... 06/00/20 policy to encourage regular feedback in regardless of the place of performance. accordance with agency practice (both In light of these changes, there is a need Regulatory Flexibility Analysis for contract formation and to amend the FAR, both to bring its Required: Yes. administration activities) and a standard coverage into alignment with SBA’s Agency Contact: Zenaida Delgado, FAR solicitation provision to support a regulation, and to give agencies the tools Procurement Analyst, DOD/GSA/NASA sustainable model for broadened use of they need, especially the ability to use (FAR), 1800 F Street NW, Washington, the Acquisition 360 survey to elicit set-asides to maximize opportunities for DC 20405, Phone: 202 969–7207, Email: feedback on the pre-award and small businesses overseas. [email protected]. debriefing processes in a consistent and SBA has included contracts RIN: 9000–AN38 standardized manner. Agencies would performed outside of the United States be able to use the solicitation provision in agencies’ prime contracting goals 362. Federal Acquisition Regulation to notify interested sources that a since FY 2016. Although inclusion for (FAR); FAR Case 2017–003; Individual procurement is part of the Acquisition goaling purposes is not dependent on Sureties 360 survey and encourage stakeholders FAR changes, amending FAR part 19 E.O. 13771 Designation: Other. to voluntarily provide feedback on their will allow agencies to take advantage of Legal Authority: 40 U.S.C. 121(c); 10 experiences of the pre-award process. the tools authorized for providing small U.S.C. 137; 51 U.S.C. 20113 Timetable: business opportunities for contracts Abstract: DoD, GSA, and NASA are awarded outside of the United States. proposing to amend the Federal Action Date FR Cite This will make it easier for small Acquisition Regulation (FAR) to change ANPRM ...... 07/23/18 83 FR 34820 businesses to receive additional the kinds of assets that individual opportunities for contracts performed ANPRM Comment 09/21/18 sureties must use as security for their Period End. outside of the United States. individual surety bonds. This change Timetable: NPRM ...... 01/00/20 implements section 874 of the National NPRM Comment 03/00/20 Defense Authorization Act (NDAA) for Period End. Action Date FR Cite FY 2016 (Pub. L. 114–92), codified at 31 NPRM ...... 08/12/19 84 FR 39793 U.S.C. 9310, Individual Sureties. Regulatory Flexibility Analysis NPRM Comment 10/11/19 Individual sureties will no longer be Required: Yes. Period End. able to pledge real property, corporate Agency Contact: Curtis E. Glover Sr., Final Rule ...... 04/00/20 stocks, corporate bonds, or irrevocable Procurement Analyst, DOD/GSA/NASA letters of credit. The requirements of 31 (FAR), 1800 F Street NW, Washington, Regulatory Flexibility Analysis U.S.C. 9310 are intended to strengthen DC 20405, Phone: 202 501–1448, Email: Required: Yes. the assets pledged by individual [email protected].
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RIN: 9000–AN43 call volumes to Federal agencies. 367. Federal Acquisition Regulation Additionally, this rule harmonizes (FAR); FAR Case 2017–018, Violation of 364. Federal Acquisition Regulation standards with national and Arms Control Treaties or Agreements (FAR); FAR Case 2017–013, Breaches of international consensus standards. This With the United States Personally Identifiable Information would assist American ICT companies E.O. 13771 Designation: Other. E.O. 13771 Designation: Other. by helping them to achieve economies Legal Authority: 40 U.S.C. 121(c); 10 Legal Authority: 40 U.S.C. 121(c); 10 of scale created by a wider use of these U.S.C. ch. 137; 51 U.S.C. 20113 U.S.C. ch. 137; 51 U.S.C. 20113 technical standards. Abstract: DoD, GSA, and NASA are Abstract: DoD, GSA, and NASA are Timetable: issuing a proposed rule to address a proposing to amend the Federal public comment on the interim rule Acquisition Regulation (FAR) to create Action Date FR Cite issued to amend the Federal Acquisition and implement appropriate contract Regulation (FAR) to implement section clauses and regulatory coverage to NPRM ...... 11/00/19 1290(c)(3) of the National Defense address contractor requirements for a NPRM Comment 01/00/20 Authorization Act (NDAA) for FY 2017, breach response consistent with the Period End. which requires an offeror or any of its requirements. This FAR change will subsidiaries to certify that it does not implement the requirements outlined in Regulatory Flexibility Analysis engage in any activity that contributed the Office of Management and Budget Required: Yes. to or is a significant factor in the (OMB) Memorandum, M–17–12, Agency Contact: FAR Policy, DOD/ determination that a country is not in ‘‘Preparing for and Responding to a GSA/NASA (FAR), 1800 F Street NW, full compliance with its obligations Breach of Personally Identifiable Washington, DC 20405, Phone: 202 969– undertaken in all arms control, Information,’’ section V part B. 4075, Email: [email protected]. nonproliferation, and disarmament Timetable: RIN: 9000–AN46 agreements or commitments in which the United States is a participating state. Action Date FR Cite 366. Federal Acquisition Regulation Timetable: (FAR); FAR Case 2017–016, Controlled NPRM ...... 01/00/20 Unclassified Information (CUI) NPRM Comment 03/00/20 Action Date FR Cite Period End. E.O. 13771 Designation: Other. Interim Final Rule 06/15/18 83 FR 28145 Legal Authority: 40 U.S.C. 121(c); 10 Regulatory Flexibility Analysis Interim Final Rule 08/14/18 U.S.C. ch. 137; 51 U.S.C. 20113 Comment Pe- Required: Yes. Abstract: DoD, GSA, and NASA are riod End. Agency Contact: FAR Policy, DOD/ NPRM ...... 02/00/20 GSA/NASA (FAR), 1800 F Street NW, proposing to amend the Federal Acquisition Regulation (FAR) to NPRM Comment 04/00/20 Washington, DC 20405, Phone: 202 969– Period End. 4075, Email: [email protected]. implement the National Archives and RIN: 9000–AN44 Records Administration (NARA) Regulatory Flexibility Analysis Controlled Unclassified Information 365. Federal Acquisition Regulation Required: Yes. (CUI) program of Executive Order 13556 Agency Contact: Cecelia L. Davis, (FAR); FAR Case 2017–011, Section of November 4, 2010. As the executive Procurement Analyst, DOD/GSA/NASA 508-Based Standards in Information agent designated to oversee the (FAR), 1800 F Street NW, Washington, and Communication Technology Governmentwide CUI program, NARA DC 20405, Phone: 202 219–0202, Email: E.O. 13771 Designation: Other. issued implementing regulations in late [email protected]. Legal Authority: 40 U.S.C. 121(c); 10 2016 designed to address Federal RIN: 9000–AN57 U.S.C. ch. 137; 51 U.S.C. 20113 agency policies for designating, Abstract: DoD, GSA, and NASA are safeguarding, disseminating, marking, 368. Federal Regulation Acquisition proposing to amend the Federal decontrolling, and disposing of CUI. (FAR); FAR Case 2017–019, Policy on Acquisition Regulation (FAR) to The NARA rule, which is codified at 32 Joint Ventures incorporate revisions and updates to CFR 2002, affects contractors that E.O. 13771 Designation: Other. standards in section 508 of the handle, possess, use, share, or receive Legal Authority: 40 U.S.C. 121(c); 10 Rehabilitation Act of 1973, developed CUI. This FAR rule helps to ensure U.S.C. ch. 137; 51 U.S.C. 20113 by the Architectural and Transportation uniform implementation of the Abstract: DoD, GSA, and NASA are Barriers Compliance Board (also requirements of the CUI program in proposing to amend the Federal referred to as the ‘‘Access Board’’). This contracts across Government agencies. Acquisition Regulation (FAR) to FAR change incorporates the U.S. Timetable: implement regulatory changes made by Access Board’s final rule, ‘‘Information the Small Business Administration and Communication Technology (ICT) Action Date FR Cite (SBA), Small Business Mentor Prote´ge´ Standards and Guidelines,’’ published Programs, published on July 25, 2016 NPRM ...... 04/00/20 on January 18, 2017, which NPRM Comment 06/00/20 (81 FR 48557), regarding joint ventures implemented revisions and updates to Period End. and to clarify policy on 8(a) joint the section 508-based standards and ventures. The regulatory changes section 255-based guidelines. This rule provide industry with a new way to Regulatory Flexibility Analysis is expected to impose additional costs compete for small business or Required: Yes. on Federal agencies. The purpose is to socioeconomic set-asides using a joint increase productivity for Federal Agency Contact: FAR Policy, DOD/ venture made up of a mentor and a employees with disabilities, time GSA/NASA (FAR), 1800 F Street NW, prote´ge´. The 8(a) joint venture savings due to improved accessibility of Washington, DC 20405, Phone: 202 969– clarification prevents confusion on an Federal websites for members of the 4075, Email: [email protected]. 8(a) joint venture’s eligibility to compete public with disabilities, and reduced RIN: 9000–AN56 for an 8(a) competitive procurement.
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Timetable: Authorization Act (NDAA) for FY 2018. 372. Federal Acquisition Regulation Section 805 increases the micro- (FAR); FAR Case 2018–005, Action Date FR Cite purchase threshold (MPT) to $10,000 Modifications to Cost or Pricing Data and limits the use of convenience and Reporting Requirements NPRM ...... 01/00/20 checks to not more than one half of the NPRM Comment 03/00/20 E.O. 13771 Designation: Deregulatory. Period End. MPT amount (i.e., $5,000). Section 806 Legal Authority: 40 U.S.C. 121(c); 10 increases the simplified acquisition U.S.C. ch. 137; 51 U.S.C. 20113 Regulatory Flexibility Analysis threshold (SAT) to $250,000. Section Abstract: DoD, GSA, and NASA are Required: Yes. 1702(a) amends section 15(j)(1) of the issuing a final rule to amend the Federal Agency Contact: Marilyn Chambers, Small Business Act (15 U.S.C. 644(j)(1)) Acquisition Regulation (FAR) to Procurement Analyst, DOD/GSA/NASA to replace specific dollar thresholds increase the Truth in Negotiation Act (FAR), 1800 F Street NW, Washington, with the terms ‘‘micro-purchase (TINA) threshold to $2 million and DC 20405, Phone: 202 969–7185, Email: threshold’’ and ‘‘simplified acquisition require other than certified cost or [email protected]. threshold.’’ pricing data. The rule reduces the RIN: 9000–AN59 Timetable: burden on contractors because they would not be required to certify their 369. Federal Acquisition Regulation Action Date FR Cite cost or pricing data between $750,000 (FAR); FAR Case 2018–002, Protecting and $2 million. This change implements Life in Global Health Assistance NPRM ...... 10/02/19 84 FR 52420 section 811 of the National Defense NPRM Comment 12/02/19 Authorization Act (NDAA) for FY 2018. E.O. 13771 Designation: Regulatory. Period End. Legal Authority: 40 U.S.C. 121(c); 10 Final Rule ...... 02/00/20 Section 811 modifies 10 U.S.C. 2306a U.S.C. 137; 51 U.S.C. 20113 and 41 U.S.C. 3502. Abstract: DoD, GSA, and NASA are Timetable: Regulatory Flexibility Analysis proposing to amend the Federal Required: Yes. Acquisition Regulation (FAR) to Action Date FR Cite implement Presidential Memorandum, Agency Contact: Michael O. Jackson, Procurement Analyst, DOD/GSA/NASA NPRM ...... 10/02/19 84 FR 52428 ‘‘The Mexico City Policy,’’ issued on NPRM Comment 12/02/19 January 13, 2017, in accordance with (FAR), 1800 F Street NW, Washington, DC 20405, Phone: 202 208–4949, Email: Period End. the Department of State’s Final Rule ...... 02/00/20 implementation plan dated May 9, 2017. [email protected]. This rule would extend requirements of RIN: 9000–AN65 Regulatory Flexibility Analysis the memorandum and plans to new 371. Federal Acquisition Regulation Required: Yes. funding agreements for global health (FAR); FAR Case 2018–006; Definition Agency Contact: Ms. Zenaida assistance furnished by all Federal of Subcontract Delgado, Procurement Analyst, DOD/ departments or agencies. This expanded GSA/NASA (FAR), 1800 F Street NW, policy will cover global health E.O. 13771 Designation: Other. Washington, DC 20405, Phone: 202 969– assistance to include funding for Legal Authority: 40 U.S.C. 121(c); 10 7207, Email: [email protected]. international health programs, such as U.S.C. ch. 137; 51 U.S.C. 20113 RIN: 9000–AN69 those for HIV/AIDS, maternal and child Abstract: DoD, GSA, and NASA are 373. Federal Acquisition Regulation health, malaria, global health security, proposing to implement section 820 of (FAR); FAR Case 2018–012, Rights to and certain family planning and the National Defense Authorization Act Federally Funded Inventions and reproductive health. (NDAA) for FY 2018. Section 820 Licensing of Government-Owned Timetable: amends 41 U.S.C. 1906(c)(1) to change Inventions the definition of ‘‘subcontract’’ for the Action Date FR Cite procurement of commercial items to E.O. 13771 Designation: Other. Legal Authority: 40 U.S.C. 121(c); 10 exclude agreements entered into by a NPRM ...... 02/00/20 U.S.C. ch. 137; 51 U.S.C. 20113 NPRM Comment 04/00/20 contractor for the supply of Abstract: DoD, GSA, and NASA are Period End. commodities that are intended for use in proposing to amend the FAR to the performance of multiple contracts implement the changes to 37 CFR parts Regulatory Flexibility Analysis with the Federal Government and other 401 and 404, ‘‘Rights to Federally Required: Yes. parties and are not identifiable to any Funded Inventions and Licensing of Agency Contact: FAR Policy, DOD/ particular contract. Government-Owned Inventions,’’ dated GSA/NASA (FAR), 1800 F Street NW, Timetable: May 14, 2018. The changes reduce Washington, DC 20405, Phone: 202 969– regulatory burdens, provide greater 4075, Email: [email protected]. Action Date FR Cite clarity to large businesses by codifying RIN: 9000–AN62 NPRM ...... 02/00/20 the applicability of Bayh-Dole as 370. Federal Acquisition Regulation NPRM Comment 04/00/20 directed in Executive Order 12591, and (FAR); FAR Case 2018–004; Increased Period End. provide greater clarity to all Federal Micro-Purchase and Simplified funding recipients by updating Acquisition Thresholds Regulatory Flexibility Analysis regulatory provisions to align with Required: Yes. provisions of the Leahy-Smith America E.O. 13771 Designation: Deregulatory. Invents Act in terms of definitions and Legal Authority: 40 U.S.C. 121(c); 10 Agency Contact: Michael O. Jackson, Procurement Analyst, DOD/GSA/NASA timeframes. U.S.C. ch. 137; 51 U.S.C. 20113 Timetable: Abstract: DoD, GSA, and NASA are (FAR), 1800 F Street NW, Washington, issuing a final rule to amend the FAR to DC 20405, Phone: 202 208–4949, Email: Action Date FR Cite implement sections 805, 806, and [email protected]. 1702(a) of the National Defense RIN: 9000–AN66 NPRM ...... 02/00/20
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Action Date FR Cite 375. Federal Acquisition Regulation technical tradeoffs in the source (FAR); FAR Case 2018–014, Increasing selection process. NPRM Comment 04/00/20 Task-Order Level Competition Timetable: Period End. E.O. 13771 Designation: Other. Legal Authority: 40 U.S.C. 121(c); 10 Action Date FR Cite Regulatory Flexibility Analysis U.S.C. ch. 137; 51 U.S.C. 20113 Required: Yes. NPRM ...... 10/02/19 84 FR 52425 Abstract: DoD, GSA, and NASA are NPRM Comment 12/02/19 Agency Contact: Cecelia L. Davis, proposing to amend the Federal Period End. Procurement Analyst, DOD/GSA/NASA Acquisition Regulation (FAR) to Final Rule ...... 02/00/20 (FAR), 1800 F Street NW, Washington, implement section 876 of the John S. DC 20405, Phone: 202 219–0202, Email: McCain National Defense Authorization Regulatory Flexibility Analysis [email protected]. Act for fiscal year 2019, which would Required: Yes. RIN: 9000–AN71 provide civilian agencies with an Agency Contact: Michael O. Jackson, exception to the existing statutory Procurement Analyst, DOD/GSA/NASA 374. Federal Acquisition Regulation requirement to include price to the (FAR), 1800 F Street NW, Washington, (FAR); FAR Case 2018–013, Exemption Federal Government as an evaluation DC 20405, Phone: 202 208–4949, Email: of Commercial and COTS Item factor that must be considered in the [email protected]. Contracts From Certain Laws and evaluation of proposals for all contracts. RIN: 9000–AN75 Regulations The exception would only apply to IDIQ 377. Federal Acquisition Regulation E.O. 13771 Designation: Deregulatory. contracts and to Federal Supply (FAR); FAR Case 2018–018, Revision of Schedule contracts for services that are Legal Authority: 40 U.S.C. 121(c); 10 Definition of ‘‘Commercial Item’’ priced at an hourly rate. Furthermore, U.S.C. ch.137; 51 U.S.C. 20113 the exception would only apply in those E.O. 13771 Designation: Other. Abstract: DoD, GSA, and NASA are instances where the Government Legal Authority: 40 U.S.C.121(c); 10 proposing to amend the Federal intends to make a contract award to all U.S.C. ch. 137; 51 U.S.C. 20113 Acquisition Regulation (FAR) to qualifying offerors, thus affording Abstract: DoD, GSA, and NASA are implement paragraph (a) of section 839 maximum opportunity for effective proposing to amend the Federal of the John S. McCain National Defense competition at the task order level. An Acquisition Regulation (FAR) to Authorization Act for fiscal year 2019. offeror would be qualified only if it is separate the commercial item definition Paragraph (a) requires the FAR Council a responsible source and submits a into definitions of commercial product to review each past determination made proposal that conforms to the and commercial service. Section 836 of not to exempt contracts and requirements of the solicitation, meets the National Defense Authorization Act subcontracts for commercial products, any technical requirements, and is (NDAA) for fiscal year (FY) 2019 (Pub. commercial services, and commercially otherwise eligible for award. L. 115–232) set the effective date of the available off-the-shelf (COTS) items Timetable: new definitions to January 1, 2020. This from certain laws when these contracts is consistent with the recommendations would otherwise have been exempt Action Date FR Cite by the independent panel created by under 41 U.S.C. 1906(d) or 41 U.S.C. section 809 of the NDAA for FY 2016 1907(b). The FAR Council or the NPRM ...... 02/00/20 (Pub. L. 11492). This case implements Administrator for Federal Procurement NPRM Comment 04/00/20 amendment to 41 U.S.C. 103. Policy has to determine whether there Period End. Timetable: still exists specific reason not to provide exemptions from certain laws. If no Regulatory Flexibility Analysis Action Date FR Cite determination is made to continue to Required: Yes. Agency Contact: Curtis E. Glover Sr., exempt commercial contracts and NPRM ...... 12/00/19 Procurement Analyst, DOD/GSA/NASA NPRM Comment 02/00/20 subcontracts from certain laws, (FAR), 1800 F Street NW, Washington, Period End. paragraph (a) requires that revisions to DC 20405, Phone: 202 501–1448, Email: the FAR be proposed to reflect [email protected]. Regulatory Flexibility Analysis exemptions from those laws. Paragraph RIN: 9000–AN73 Required: Yes. (a) requires these revisions to be Agency Contact: Zenaida Delgado, proposed within one year of the date of 376. Federal Acquisition Regulation Procurement Analyst, DOD/GSA/NASA enactment of section 839. (FAR); FAR Case 2018–016, Lowest (FAR), 1800 F Street NW, Washington, Timetable: Price Technically Acceptable Source DC 20405, Phone: 202 969–7207, Email: Selection Process [email protected]. Action Date FR Cite E.O. 13771 Designation: Not subject RIN: 9000–AN76 to, not significant. NPRM ...... 12/00/19 Legal Authority: 40 U.S.C. 121(c); 10 378. Federal Acquisition Regulation NPRM Comment 02/00/20 (FAR); FAR Case 2018–019, Review of Period End. U.S.C. ch. 137; 51 U.S.C. 20113 Abstract: DoD, GSA, and NASA are Commercial Clause Requirements and issuing a final rule to amend the Federal Flowdown Regulatory Flexibility Analysis Acquisition Regulation (FAR) to E.O. 13771 Designation: Deregulatory. Required: Yes. implement section 880 of the John S. Legal Authority: 40 U.S.C. 121(c); 10 Agency Contact: Mahruba Uddowla, McCain National Defense Authorization U.S.C. ch. 137; 51 U.S.C. 20113 Procurement Analyst, DOD/GSA/NASA Act (NDAA) for Fiscal Year (FY) 2019 to Abstract: DoD, GSA, and NASA are (FAR), 1800 F Street NW, Washington, avoid using lowest price technically proposing to amend the Federal DC 20405, Phone: 703 605–2868, Email: acceptable source selection criteria in Acquisition Regulation (FAR) to [email protected]. circumstances that would deny the implement paragraphs (b) and (c) of RIN: 9000–AN72 Government the benefits of cost and section 839 of the John S. McCain
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National Defense Authorization Act for Action Date FR Cite Action Date FR Cite fiscal year 2019. Paragraph (b) requires the FAR NPRM ...... 01/00/20 NPRM Comment 10/22/19 Council to review the FAR to assess NPRM Comment 03/00/20 Period End. Period End. Final Rule ...... 03/00/20 every regulation that requires a specific clause in contracts for commercial Regulatory Flexibility Analysis Regulatory Flexibility Analysis products or commercial services, unless Required: Yes. Required: Yes. the regulation is required by law or Agency Contact: Marilyn Chambers, Agency Contact: Curtis E. Glover Sr., Executive Order. Paragraph (b) also Procurement Analyst, DOD/GSA/NASA Procurement Analyst, DOD/GSA/NASA requires that revisions to the FAR be (FAR), 1800 F Street NW, Washington, (FAR), 1800 F Street NW, Washington, proposed to eliminate those regulations DC 20405, Phone: 202 969–7185, Email: DC 20405, Phone: 202 501–1448, Email: unless the FAR Council makes a [email protected]. [email protected]. determination not to eliminate a RIN: 9000–AN78 RIN: 9000–AN80 regulation. Paragraph (c) requires the FAR 380. Federal Acquisition Regulation 382. Federal Acquisition Regulation Council to review the FAR to assess (FAR); FAR Case 2018–021, Reserve (FAR); FAR Case 2018–023, Taxes— every regulation that requires a prime Officer Training Corps and Military Foreign Contracts in Afghanistan contractor to include a specific clause in Recruiting on Campus E.O. 13771 Designation: Not subject subcontracts for commercially available E.O. 13771 Designation: Fully or to, not significant. off-the-shelf items, unless the clause is Partially Exempt. Legal Authority: 40 U.S.C. 121(c); 10 required by law or Executive Order. Legal Authority: 40 U.S.C. 121(c); 10 U.S.C. ch. 137; 51 U.S.C. 20113 Paragraph (c) also requires that revisions U.S.C. ch. 137; 51 U.S.C. 20113 Abstract: DoD, GSA, and NASA are to the FAR be proposed to eliminate Abstract: DoD, GSA and NASA are issuing a final rule to amend the Federal those regulations unless the FAR issuing a final rule to amend the Federal Acquisition Regulation (FAR) to Council makes a determination not to Acquisition Regulation (FAR) to implement the provisions on taxes, eliminate a regulation. implement the requirements at 10 duties, and fees contained in the Paragraphs (b) and (c) require these U.S.C. 983, which prohibits the award Security and Defense Cooperation revisions to be proposed within one of certain Federal contracts or grants to Agreement (dated 2014) and the North year of the date of the enactment of institutions of higher education that Atlantic Treaty Organization Status of section 839. prohibit Senior Reserve Officer Training Forces Agreement (dated 2014) with the Timetable: Corps units or military recruiting on Islamic Republic of Afghanistan. Both campus. Agreements exempt the United States Action Date FR Cite Timetable: Government, and its contractors and subcontractors (other than those who NPRM ...... 12/00/19 Action Date FR Cite are Afghan legal entities or residents), NPRM Comment 02/00/20 from paying any tax or similar charge Period End. NPRM ...... 09/24/19 84 FR 49974 assessed on activities associated with NPRM Comment 11/25/19 contracts performed within Afghanistan. Regulatory Flexibility Analysis Period End. Final Rule ...... 05/00/20 The Agreements also exempt the Required: Yes. acquisition, importation, exportation, Agency Contact: Mahruba Uddowla, Regulatory Flexibility Analysis reexportation, transportation, and use of Procurement Analyst, DOD/GSA/NASA Required: Yes. supplies and services in Afghanistan, by (FAR), 1800 F Street NW, Washington, Agency Contact: Cecelia L. Davis, or on behalf of the United States DC 20405, Phone: 703 605–2868, Email: Procurement Analyst, DOD/GSA/NASA Government, from any taxes, customs, [email protected]. (FAR), 1800 F Street NW, Washington, duties, fees, or similar charges in RIN: 9000–AN77 DC 20405, Phone: 202 219–0202, Email: Afghanistan. Timetable: 379. Federal Acquisition Regulation [email protected]. RIN: 9000–AN79 (FAR); FAR Case 2018–020, Action Date FR Cite Construction Contract Administration 381. Federal Acquisition Regulation (FAR); FAR Case 2018–022; Orders NPRM ...... 09/20/19 84 FR 49502 E.O. 13771 Designation: Other. Issued Via Fax or Electronic Commerce Correction ...... 10/15/19 84 FR 55109 Legal Authority: 40 U.S.C. 121(c); 10 NPRM Comment 11/19/19 U.S.C. ch. 137; 51 U.S.C. 20113 E.O. 13771 Designation: Not subject Period End. to, not significant. Final Rule ...... 03/00/20 Abstract: This proposal implements Legal Authority: 40 U.S.C. 121(c); 10 section 855 of the NDAA for FY 2019 U.S.C. ch. 137; 51 U.S.C. 20113 Regulatory Flexibility Analysis (Pub. L. 115–232). Section 855 requires, Abstract: DoD, GSA and NASA are Required: Yes. for solicitations for construction issuing a final rule to amend the Federal Agency Contact: FAR Policy, DOD/ contracts anticipated to be awarded to a Acquisition Regulation (FAR) clause GSA/NASA (FAR), 1800 F Street NW, small business, notification to 52.216–18, Ordering, to authorize Washington, DC 20405, Phone: 202 969– prospective offerors regarding agency issuance of orders via fax or email and 4075, Email: [email protected]. policies or practices in complying with clarify when an order is considered to RIN: 9000–AN81 FAR requirements relating to the timely be issued when utilizing these methods. definitization of requests for equitable 383. Federal Acquisition Regulation Timetable: adjustment and agency past (FAR); FAR Case 2018–024; Use of Interagency Fleet Management System performance in definitizing such Action Date FR Cite requests. Vehicles and Related Services Timetable: NPRM ...... 08/23/19 84 FR 44270 E.O. 13771 Designation: Other.
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Legal Authority: 40 U.S.C. 121(c); 10 RIN: 9000–AN84 Action Date FR Cite U.S.C. ch. 137; 51 U.S.C. 20113 385. Federal Acquisition Regulation Abstract: DoD, GSA, and NASA are NPRM Comment 05/00/20 (FAR); FAR Case 2019–002, proposing to amend the Federal Period End. Recreational Services on Federal Lands Acquisition Regulation (FAR) clause 52.251–1, Interagency Fleet E.O. 13771 Designation: Not subject Regulatory Flexibility Analysis Management System Vehicles and to, not significant. Required: Yes. Related Services, to provide contractors Legal Authority: 40 U.S.C. 121(c); 10 Agency Contact: Marilyn Chambers, who have been authorized to use fleet U.S.C. ch. 137; 51 U.S.C. 20113 Procurement Analyst, DOD/GSA/NASA vehicles with additional information on Abstract: DoD, GSA, and NASA are (FAR), 1800 F Street NW, Washington, how to request the vehicles from the issuing a final rule to amend the Federal DC 20405, Phone: 202 969–7185, Email: Government. Acquisition Regulation (FAR) to exempt [email protected]. Timetable: contracts for seasonal recreational RIN: 9000–AN86 services and seasonal recreational 387. Federal Acquisition Regulation Action Date FR Cite equipment rental on Federal lands from (FAR); FAR Case 2019–004, Good Faith the Executive Order 13658 minimum NPRM ...... 02/00/20 in Small Business Subcontracting NPRM Comment 04/00/20 wage requirements. This rule E.O. 13771 Designation: Other. Period End. implements Executive Order 13838 that Legal Authority: 40 U.S.C. 121(c); 10 was issued on May 25, 2018, and U.S.C. ch. 137; 51 U.S.C. 20113 Regulatory Flexibility Analysis associated Department of Labor final Abstract: DoD, GSA, and NASA are Required: Yes. rule published on September 26, 2018. proposing to amend the Federal Agency Contact: Curtis E. Glover Sr., In accordance with Executive Order Acquisition Regulation (FAR) to Procurement Analyst, DOD/GSA/NASA 13838, this proposed rule will not limit implement section 1821 of the National (FAR), 1800 F Street NW, Washington, Executive Order 13658’s coverage of Defense Authorization Act (NDAA) for DC 20405, Phone: 202 501–1448, Email: lodging and food services associated FY 2017 and the Small Business [email protected]. with seasonal recreational services, even Administration regulatory changes RIN: 9000–AN82 when seasonal recreational services or relating to small business seasonal recreational equipment rental 384. Federal Acquisition Regulation subcontracting plans. Section 1821 are also provided under the same requires examples of activities that (FAR); FAR Case 2019–001, Analysis contract. for Equipment Acquisitions would be considered a failure to make Timetable: a good faith effort to comply with small E.O. 13771 Designation: Other. business subcontracting plan Legal Authority: 40 U.S.C. 121(c); 10 Action Date FR Cite requirements. U.S.C. ch. 137; 51 U.S.C. 20113 Timetable: Abstract: DoD, GSA, and NASA are NPRM ...... 10/21/19 84 FR 56157 NPRM Comment 12/20/19 proposing to amend the FAR by Action Date FR Cite implementing section 555 of the Federal Period End. Final Rule ...... 04/00/20 Aviation Administration (FAA) NPRM ...... 01/00/20 Reauthorization Act for FY 2018 (Pub. NPRM Comment 03/00/20 Regulatory Flexibility Analysis L. 115–254), which requires equipment Period End. Required: Yes. to be acquired using the method of Agency Contact: FAR Policy, DOD/ acquisition most advantageous to the Regulatory Flexibility Analysis GSA/NASA (FAR), 1800 F Street NW, Government based on a case-by-case Required: Yes. Washington, DC 20405, Phone: 202 969– analysis of costs and other factors. Agency Contact: Marilyn Chambers, 4075, Email: [email protected]. Section 555 requires the methods of Procurement Analyst, DOD/GSA/NASA acquisition to be compared in the RIN: 9000–AN85 (FAR), 1800 F Street NW, Washington, analysis to include, at a minimum: (1) 386. Federal Acquisition Regulation DC 20405, Phone: 202 969–7185, Email: Purchase; (2) long-term lease or rental; (FAR); FAR Case 2019–003, Substantial [email protected]. RIN: 9000–AN87 (3) short-term lease or rental; (4) Bundling and Consolidation interagency acquisition; or, (5) E.O. 13771 Designation: Other. 388. Federal Acquisition Regulation acquisition agreements with a State or (FAR); FAR Case 2019–007, Update of Legal Authority: 40 U.S.C. 121(c); 10 local government. Section 555 exempts Historically Underutilized Business U.S.C. ch. 137; 51 U.S.C. 20113 certain acquisitions from this required Zone Program Abstract: DoD, GSA, and NASA are analysis. E.O. 13771 Designation: Other. Timetable: proposing to amend the Federal Acquisition Regulation (FAR) to Legal Authority: 40 U.S.C. 121(c); 10 U.S.C. ch. 137; 51 U.S.C. 20113 Action Date FR Cite implement section 863 of the National Defense Authorization Acts (NDAA) for Abstract: DoD, GSA, and NASA are NPRM ...... 02/00/20 FY 2016 and the Small Business proposing to amend the Federal NPRM Comment 04/00/20 Administration (SBA) implementing Acquisition Regulation (FAR) to Period End. regulations requiring publication of a implement regulatory changes proposed notice of substantial bundling and a by the Small Business Administration Regulatory Flexibility Analysis notice of consolidation of contract regarding the Historically Underutilized Required: Yes. requirements. Business Zone (HUBZone) Program. The Agency Contact: Michael O. Jackson, Timetable: proposed regulatory changes are Procurement Analyst, DOD/GSA/NASA intended to reduce the regulatory (FAR), 1800 F Street NW, Washington, Action Date FR Cite burden associated with the HUBZone DC 20405, Phone: 202 208–4949, Email: Program. [email protected]. NPRM ...... 03/00/20 Timetable:
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Action Date FR Cite contract or extending or renewing a Agency Contact: FAR Policy, DOD/ contract with an entity that uses any GSA/NASA (FAR), 1800 F Street NW, NPRM ...... 05/00/20 equipment, system, or service that uses Washington, DC 20405, Phone: 202 969– NPRM Comment 07/00/20 covered telecommunications equipment 4075, Email: [email protected]. Period End. and services from Huawei Technologies RIN: 9000–AN94 Company, ZTE Corporation, Hytera 392. • Federal Acquisition Regulation Regulatory Flexibility Analysis Communications Corporation, (FAR); FAR Case 2019–013, Inflation Required: Yes. Hangzhou Technology Company, or Adjustment of Acquisition-Related Agency Contact: Marilyn Chambers, Dahua Technology Company, to include Thresholds Procurement Analyst, DOD/GSA/NASA any subsidiaries or affiliates. This FAR (FAR), 1800 F Street NW, Washington, rule is needed to protect U.S. networks E.O. 13771 Designation: Other. DC 20405, Phone: 202 969–7185, Email: against cyber activities conducted Legal Authority: 40 U.S.C. 121(c) ; 10 [email protected]. through Chinese Government-supported U.S.C. ch. 137; 51 U.S.C. 20113 RIN: 9000–AN90 telecommunications equipment and Abstract: DoD, GSA, and NASA are 389. Federal Acquisition Regulation services. Paragraph (a)(1)(A) of section issuing a proposed rule amending the (FAR); FAR Case 2019–008, Small 889 is being implemented separately Federal Acquisition Regulation (FAR) to Business Program Amendments through FAR Case 2018–017. implement the inflation adjustment of acquisition-related dollar thresholds. A E.O. 13771 Designation: Other. Timetable: Legal Authority: 40 U.S.C. 121(c); 10 statute (41 U.S.C. 1908) requires an U.S.C. ch. 137; 51 U.S.C. 20113 Action Date FR Cite adjustment every 5 years of acquisition- Abstract: DoD, GSA, and NASA are related thresholds for inflation using the NPRM ...... 12/00/19 proposing to amend the Federal Consumer Price Index for all urban NPRM Comment 02/00/20 consumers, except for the Construction Acquisition Regulation (FAR) to Period End. implement regulatory changes proposed Wage Rate Requirements statute by the Small Business Administration (formerly Davis-Bacon Act), Service Regulatory Flexibility Analysis Contract Labor Standards statute, and regarding small business programs. The Required: Yes. proposed regulatory changes include the trade agreements thresholds. Agency Contact: FAR Policy, DOD/ Timetable: timing of the determination of size GSA/NASA (FAR), 1800 F Street NW, status for multiple-award contracts for Washington, DC 20405, Phone: 202 969– Action Date FR Cite which price is not evaluated at the 4075, Email: [email protected]. contract level; the grounds for size- RIN: 9000–AN92 NPRM ...... 12/00/19 status protests; and the grounds for NPRM Comment 02/00/20 socioeconomic status protests. 391. • Federal Acquisition Regulation Period End. Timetable: (FAR); FAR Case 2019–010, Efficient Federal Operations Regulatory Flexibility Analysis Action Date FR Cite E.O. 13771 Designation: Other. Required: Yes. Agency Contact: Michael O. Jackson, NPRM ...... 06/00/20 Legal Authority: 40 U.S.C. 121(c); 10 NPRM Comment 08/00/20 U.S.C. ch. 137; 51 U.S.C. 20113 Procurement Analyst, DOD/GSA/NASA Period End. Abstract: DoD, GSA, and NASA are (FAR), 1800 F Street NW, Washington, proposing to amend the Federal DC 20405, Phone: 202 208–4949, Email: Regulatory Flexibility Analysis Acquisition Regulation (FAR) to [email protected]. Required: Yes. implement Executive Order 13834, RIN: 9000–AN96 Agency Contact: Marilyn Chambers, ‘‘Efficient Federal Operations.’’ 393. • Federal Acquisition Regulation Procurement Analyst, DOD/GSA/NASA Executive Order 13834 directs Federal (FAR); FAR Case 2019–015, Improving (FAR), 1800 F Street NW, Washington, agencies to comply with statutory Consistency Between Procurement & DC 20405, Phone: 202 969–7185, Email: requirements related to energy and Non-Procurement Procedures on [email protected]. environmental performance in a manner Suspension and Debarment RIN: 9000–AN91 that increases efficiency, maximizes E.O. 13771 Designation: Other. performance, eliminates unnecessary 390. Federal Acquisition Regulation Legal Authority: 40 U.S.C. 121(c); 10 use of resources, and protects the (FAR); FAR Case 2019–009, Prohibition U.S.C. ch. 137; 51 U.S.C. 20113 environment. This rule promotes the on Contracting With Entities Using Abstract: DoD, GSA, and NASA are efficient acquisition of sustainable Certain Telecommunications and Video proposing to amend the Federal products, services, and construction Surveillance Services or Equipment Acquisition Regulation (FAR) to bring methods in order to reduce energy and the FAR and the Non-procurement E.O. 13771 Designation: Fully or water consumption, reliance on natural Common Rule (NCR) procedures on Partially Exempt. resources, and enhance pollution Legal Authority: 40 U.S.C. 121(c); 10 suspension and debarment into closer prevention, within the Federal U.S.C. ch. 137; 51 U.S.C. 20113 alignment. The FAR covers procurement Government. Abstract: DoD, GSA, and NASA are matters and the NCR covers other Timetable: proposing to amend the Federal transactions, such as grants, cooperative Acquisition Regulation (FAR) to Action Date FR Cite agreements, contracts of assistance, implement paragraph (a)(1)(B) of section loans and loan guarantees. 889 of the National Defense NPRM ...... 03/00/20 The Government uses suspension and Authorization Act (NDAA) for FY 19 NPRM Comment 05/00/20 debarment procedures to exercise (Pub. L. 115–232). Beginning two years Period End. business judgment. These procedures from the enacted date, paragraph give Federal officials a discretionary (a)(1)(B) of section 889 prohibits the Regulatory Flexibility Analysis means to exclude parties from Government from entering into a Required: Yes. participation in certain transactions,
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while affording those parties due Regulatory Flexibility Analysis Legal Authority: 40 U.S.C. 121(c); 10 process. Required: Yes. U.S.C. ch. 137; 51 U.S.C. 20113 Timetable: Agency Contact: Cecelia L. Davis, Abstract: DoD, GSA, and NASA are Procurement Analyst, DOD/GSA/NASA issuing a final rule amending the Action Date FR Cite (FAR), 1800 F Street NW, Washington, Federal Acquisition Regulation (FAR) to DC 20405, Phone: 202 219–0202, Email: implement section 887 of the NDAA for NPRM ...... 02/00/20 [email protected]. FY 2016 (Pub. L. 114–92). This law NPRM Comment 04/00/20 RIN: 9000–AN99 provides that Government acquisition Period End. personnel are permitted and encouraged to engage in responsible and Regulatory Flexibility Analysis constructive exchanges with industry. DEPARTMENT OF DEFENSE/ Required: Yes. This change will permit and encourage GENERAL SERVICES Agency Contact: Cecelia L. Davis, Government acquisition personnel to ADMINISTRATION/NATIONAL Procurement Analyst, DOD/GSA/NASA engage in responsible and constructive AERONAUTICS AND SPACE (FAR), 1800 F Street NW, Washington, exchanges with industry as part of ADMINISTRATION (FAR) DC 20405, Phone: 202 219–0202, Email: market research as long as those [email protected]. Final Rule Stage exchanges are consistent with existing RIN: 9000–AN98 laws and regulations and promote a fair 395. Federal Acquisition Regulation 394. • Federal Acquisition Regulation competitive environment. (FAR); FAR Case 2013–002; Reporting Timetable: (FAR); FAR Case 2019–016, Maximizing of Nonconforming Items to the Use of American-Made Goods, Products Government-Industry Data Exchange Action Date FR Cite and Materials Program E.O. 13771 Designation: Other. Regulatory Plan: This entry is Seq. NPRM ...... 11/29/16 81 FR 85914 NPRM Comment 03/02/17 Legal Authority: 40 U.S.C. 121(c); 10 No. 151 in part II of this issue of the U.S.C. ch. 137; 51 U.S.C. 20113 Period End. Federal Register. Final Rule ...... 01/00/20 Abstract: DoD, GSA, and NASA are RIN: 9000–AM58 proposing to amend the Federal 396. Federal Acquisition Regulation Regulatory Flexibility Analysis Acquisition Regulation (FAR) to Required: Yes. implement Executive Order (E.O.) (FAR); FAR Case 2014–002; Set-Asides Under Multiple Award Contracts Agency Contact: Michael O. Jackson, 13881, Maximizing Use of American- Procurement Analyst, DOD/GSA/NASA Made Goods, Products, and Materials. E.O. 13771 Designation: Fully or (FAR), 1800 F Street NW, Washington, The case proposes to amend the Partially Exempt. DC 20405, Phone: 202 208–4949, Email: applicable provisions in the FAR that Legal Authority: 40 U.S.C. 121(c); 10 [email protected]. would provide that materials shall be U.S.C. ch. 137; 51 U.S.C. 20113 RIN: 9000–AN29 considered to be of foreign origin if: (A) Abstract: DoD, GSA, and NASA are For iron and steel end products, the cost issuing a final rule amending the 398. Federal Acquisition Regulation of foreign iron and steel used in such Federal Acquisition Regulation (FAR) to (FAR); FAR Case 2017–005, iron and steel end products constitutes implement regulatory changes made by Whistleblower Protection for 5 percent or more of the cost of all the the Small Business Administration, Contractor Employees products used in such iron and steel which provide Governmentwide policy E.O. 13771 Designation: Not subject end products; or (B) for all other end for partial set-asides and reserves and to, not significant. products, the cost of the foreign for set-asides of orders for small Legal Authority: 40 U.S.C. 121(c); 10 products used in such end products business concerns under multiple- U.S.C. ch. 137; 51 U.S.C. 20113 constitutes 45 percent or more of the award contracts. Abstract: DoD, GSA, and NASA cost of all the products used in such end Timetable: issued a final rule to amend the Federal products. Acquisition Regulation (FAR) to The case also proposes to amend the Action Date FR Cite implement 41 U.S.C. 4712, applicable provisions in the FAR so that NPRM ...... 12/06/16 81 FR 88072 ‘‘Enhancement of Contractor Protection the executive agency concerned shall in NPRM Comment 02/06/17 From Reprisal for Disclosure of Certain each instance conduct the Period End. Information,’’ and makes the pilot reasonableness and public interest Final Rule ...... 11/00/19 program permanent. The pilot was determination referred to in sections enacted on January 2, 2013, by section 8302 and 8303 of title 41, United States Regulatory Flexibility Analysis 828 of the National Defense Code, on the basis of the following Required: Yes. Authorization Act (NDAA) for fiscal described differential formula, subject to Agency Contact: Mahruba Uddowla, year (FY) 2013. The rule clarifies that the terms thereof: The sum determined Procurement Analyst, DOD/GSA/NASA contractors and subcontractors are by computing 20 percent (for other than (FAR), 1800 F Street NW, Washington, prohibited from discharging, demoting, small businesses), or 30 percent (for DC 20405, Phone: 703 605–2868, Email: or otherwise discriminating against an small businesses), of the offer or offered [email protected]. employee as a reprisal for disclosing to price of materials of foreign origin. RIN: 9000–AM93 any of the entities such as agency Timetable: Inspector Generals and Congress 397. Federal Acquisition Regulation: information that the employee Action Date FR Cite FAR Case 2016–005; Effective reasonably believes is evidence of gross Communication Between Government mismanagement of a Federal contract; a NPRM ...... 01/00/20 and Industry gross waste of Federal funds; an abuse NPRM Comment 03/00/20 Period End. E.O. 13771 Designation: Not subject of authority relating to a Federal to, not significant. contract; a substantial and specific
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danger to public health or safety; or a Action Date FR Cite Legal Authority: 40 U.S.C. 121(c); 10 violation of law, rule, or regulation U.S.C. ch. 137; 51 U.S.C. 20113 related to a Federal contract (including NPRM Comment 02/04/19 Abstract: DoD, GSA, and NASA are the competition for or negotiation of a Period End. issuing a final rule to amend the Federal contract.) This rule enhances Final Rule ...... 01/00/20 Acquisition Regulation (FAR) to whistleblower protections for contractor implement section 825 of the National employees by making permanent the Regulatory Flexibility Analysis Defense Authorization Act (NDAA) for protection for disclosure of the Required: Yes. FY 17 (Pub. L. 114–328). Section 825 aforementioned information, and Agency Contact: FAR Policy, DOD/ amends 10 U.S.C. 2305(a)(3) to change ensuring that the prohibition on GSA/NASA (FAR), 1800 F Street NW, the requirement regarding the reimbursement for legal fees accrued in Washington, DC 20405, Phone: 202 969– consideration of cost or price to the defense against reprisal claims applies 4075, Email: [email protected]. Government as a factor in the evaluation RIN: 9000–AN35 to both contractors and subcontractors. of proposals for certain multiple-award Timetable: 400. Federal Acquisition Regulations task order contracts awarded by DoD, (FAR); FAR Case 2015–002, NASA, or the Coast Guard. At the Action Date FR Cite Requirements for DD Form 254, Government’s discretion, solicitations Contract Security Classification for multiple-award contracts, which NPRM ...... 12/26/18 83 FR 66223 Specification intend to award the same or similar NPRM Comment 02/25/19 services to each qualifying offeror, do Period End. E.O. 13771 Designation: Not subject not require price or cost as an Final Rule ...... 12/00/19 to, not significant. evaluation factor for the base contract Legal Authority: 40 U.S.C. 121(c); 10 award. This rule will streamline the U.S.C. ch. 137; 51 U.S.C. 20113 Regulatory Flexibility Analysis award of contracts for DoD, NASA, and Abstract: DoD, GSA, and NASA are Required: Yes. the Coast Guard because they will not issuing a final rule to amend the Federal Agency Contact: Cecelia L. Davis, be required to consider cost or price in Acquisition Regulation (FAR) to require Procurement Analyst, DOD/GSA/NASA the evaluation of the award decision. the use of Department of Defense (DoD) (FAR), 1800 F NW, Washington, DC Relieving the requirement to account for Wide Area Workflow (WAWF) for the 20405, Phone: 202 219–0202, Email: cost or price when evaluating proposals electronic submission of the DD Form [email protected]. for these types of contracts, which 254, ‘‘Contract Security Classification RIN: 9000–AN32 feature competitive orders, will enable Specification.’’ This form is used to procurement officials to focus their 399. Federal Acquisition Regulation convey security requirements regarding energy on establishing and evaluating (FAR); FAR Case 2016–011, Revision of classified information to contractors and the non-price factors that will result in Limitations on Subcontracting subcontractors and must be submitted to more meaningful distinctions among the Defense Security Services (DSS) E.O. 13771 Designation: Deregulatory. offerors. when contractors or subcontractors Legal Authority: 40 U.S.C. 121(c); 10 Timetable: U.S.C. ch. 137; 51 U.S.C. 20113 require access to classified information Abstract: DoD, GSA, and NASA are under contracts awarded by agencies Action Date FR Cite issuing a final rule to amend the Federal that are covered by the National Acquisition Regulation (FAR) to revise Industrial Security Program (NISP). By NPRM ...... 09/24/18 83 FR 48271 and standardize the limitations on changing the submittal process of the Correction ...... 10/23/18 83 FR 53421 NPRM Comment 11/23/18 subcontracting, including the form from a manual process to an automated one, the Government will Period End. nonmanufacturer rule, that apply to Final Rule ...... 12/00/19 small business concerns under FAR part reduce the cost of maintaining the forms, while also providing a 19 procurements. This rule incorporates Regulatory Flexibility Analysis centralized repository for classified The Small Business Administration’s Required: Yes. (SBA) final rule that implemented the contract security requirements and Agency Contact: Michael O. Jackson, statutory requirements of section 1651 supporting data. Procurement Analyst, DOD/GSA/NASA of the National Defense Authorization Timetable: (FAR), 1800 F Street NW, Washington, Act (NDAA) for fiscal year 2013. This Action Date FR Cite DC 20405, Phone: 202 208–4949, Email: action is necessary to meet the [email protected]. Congressional intent of clarifying the NPRM ...... 07/12/19 84 FR 33201 RIN: 9000–AN54 limitations on subcontracting with NPRM Comment 09/10/19 402. Federal Acquisition Regulation which small businesses must comply, as Period End. (FAR); FAR Case 2018–003, Credit for well as the ways in which they can Final Rule ...... 04/00/20 Lower-Tier Small Business comply. The rule will benefit both small Subcontracting businesses and Federal agencies. The Regulatory Flexibility Analysis rule will allow small businesses to take Required: Yes. E.O. 13771 Designation: Not subject advantage of subcontracts with similarly Agency Contact: Curtis E. Glover Sr., to, not significant. situated entities. As a result, these small Procurement Analyst, DOD/GSA/NASA Legal Authority: 40 U.S.C. 121(c); 10 businesses will be able to compete for (FAR), 1800 F Street NW, Washington, U.S.C. ch. 137; 51 U.S.C. 20113 larger contracts, which would positively DC 20405, Phone: 202 501–1448, Email: Abstract: DoD, GSA, and NASA are affect their potential for growth as well [email protected] issuing a final rule to amend the Federal as that of their potential subcontractors. RIN: 9000–AN40 Acquisition Regulation to implement Timetable: section 1614 of the National Defense 401. Federal Acquisition Regulation Authorization Act (NDAA) of fiscal year (FAR); FAR Case 2017–010, Evaluation Action Date FR Cite 2014, as implemented in the Small Factors for Multiple-Award Contracts Business Administration’s final rule NPRM ...... 12/04/18 83 FR 62540 E.O. 13771 Designation: Deregulatory. issued on December 23, 2016. Section
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1614 allows other than small business 404. Federal Acquisition Regulation enacted. This case was initially opened prime contractors to receive small (FAR); FAR Case 2019–005, Update to to implement section 836 of the Carl business subcontracting credit for Contract Performance Assessment Levin and Howard P. ‘‘Buck’’ McKeon subcontracts their subcontractors award Reporting System (CPARS) National Defense Authorization Act for to small businesses. E.O. 13771 Designation: Not subject Fiscal Year 2015 (Pub. L. 113291; 41 Timetable: to, not significant. U.S.C. 3301, note), which called for the Legal Authority: 40 U.S.C. 121(c); 10 creation of regulation governing the use Action Date FR Cite U.S.C. ch. 137; 51 U.S.C. 20113 of contract solutions established under the ‘‘Federal Strategic Sourcing NPRM ...... 06/26/19 84 FR 30071 Abstract: DoD, GSA, and NASA NPRM Comment 08/26/19 issued a final rule amending the Federal Initiative’’ (FSSI). Since then, OMB has Period End. Acquisition Regulation (FAR) to evolved and expanded FSSI into a larger Final Rule ...... 06/00/20 implement changes regarding the Past and more comprehensive ‘‘Category Performance Information Retrieval Management’’ framework. OMB Regulatory Flexibility Analysis System (PPIRS). This rule establishes Memorandum M–19–13, Category Required: Yes. that the Contract Performance Management: Making Smarter Use of Agency Contact: Marilyn Chambers, Assessment Reporting System (CPARS) Common Contract Solutions and Procurement Analyst, DOD/GSA/NASA is the official system for past Practices, issued on March 20, 2019, (FAR), 1800 F Street NW, Washington, performance information. provides the requisite guidance on the DC 20405, Phone: 202 969–7185, Email: Effective January 15, 2019, PPIRS was use of category management, including [email protected]. officially retired to conclude its merger requirements for the use of RIN: 9000–AN61 with the CPARS. Data from PPIRS has Governmentwide solutions. The FAR 403. Federal Acquisition Regulation been merged into CPARS.gov, making Council will review the need for (FAR); FAR Case 2018–017— CPARS the official system for past regulatory changes in light of the OMB Prohibition on Certain performance information. This merge guidance and related developments Telecommunications and Video simplifies functions such as creating since section 836 was enacted. Surveillance Services or Equipment and editing performance and integrity Completed: records, changes to administering users E.O. 13771 Designation: Fully or and running reports, generating Reason Date FR Cite Partially Exempt. performance records, and viewing/ Legal Authority: 40 U.S.C. 121(c); 10 managing performance records. Users Withdrawn ...... 05/28/19 U.S.C. ch. 137; 51 U.S.C. 20113 Abstract: DoD, GSA, and NASA are will now have one location and one account to perform all functionality. Regulatory Flexibility Analysis amending the Federal Acquisition Required: Yes. Regulation (FAR) to implement section Timetable: 889 of the National Defense Agency Contact: Michael O. Jackson, Action Date FR Cite Authorization Act (NDAA) for FY 19 Phone: 202 208–4949, Email: [email protected]. (Pub. L. 115–232). Section 889 prohibits Final Rule ...... 09/10/19 84 FR 47865 the procurement or use of covered Final Rule Effec- 10/10/19 RIN: 9000–AM89 telecommunications equipment and tive. 406. Federal Acquisition Regulation services from Huawei Technologies (FAR); FAR Case 2015–033, Sustainable Company, ZTE Corporation, Hytera Regulatory Flexibility Analysis Acquisition Communications Corporation, Required: Yes. Hangzhou Technology Company, or Agency Contact: Curtis E. Glover Sr., E.O. 13771 Designation: Other. Dahua Technology Company, to include Procurement Analyst, DOD/GSA/NASA Legal Authority: 40 U.S.C. 121(c); 10 any subsidiaries or affiliates. This FAR (FAR), 1800 F Street NW, Washington, U.S.C. ch. 137; 51 U.S.C. 20113 rule is needed to protect U.S. networks DC 20405, Phone: 202 501–1448, Email: Abstract: This case is closed because against cyber activities conducted [email protected]. it primarily implemented Executive through Chinese Government-supported RIN: 9000–AN88 Order 13693, Planning for Federal telecommunications equipment and Sustainability in the Next Decade, services. which has been rescinded and replaced Timetable: DEPARTMENT OF DEFENSE/ with Executive Order 13834, ‘‘Efficient GENERAL SERVICES Federal Operations,’’ dated May 17, Action Date FR Cite ADMINISTRATION/NATIONAL 2018. The remaining elements of the Interim Final Rule 08/13/19 84 FR 40216 AERONAUTICS AND SPACE case have been rolled into a new FAR Interim Final Rule 10/15/19 ADMINISTRATION (FAR) case, 2019–010, ‘‘Efficient Federal Comment Pe- Operations,’’ which will implement riod End. Completed Actions Executive Order 13834. Interim Final Rule 11/00/19 405. Federal Acquisition Regulation Completed: Interim Final Rule 01/00/20 (FAR); FAR Case 2015–015; Strategic Comment Pe- Sourcing Documentation Reason Date FR Cite riod End. E.O. 13771 Designation: Other. Withdrawn ...... 05/28/19 Regulatory Flexibility Analysis Legal Authority: 40 U.S.C. 121(c); 10 Required: Yes. U.S.C. ch 137; 51 U.S.C. 20113 Agency Contact: FAR Policy, DOD/ Abstract: This case is closed because Regulatory Flexibility Analysis GSA/NASA (FAR), 1800 F Street NW, it was implementing a statutory Required: Yes. Washington, DC 20405, Phone: 202 969– provision pertaining to a program Agency Contact: FAR Policy, Phone: 4075, Email: [email protected]. created by the Executive Branch that has 202 969–4075, Email: [email protected]. RIN: 9000–AN83 become outdated since the statute was RIN: 9000–AN28
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407. Federal Acquisition Regulation RIN: 9000–AN53 409. Federal Acquisition Regulation (FAR); FAR Case 2017–006, Exception (FAR); FAR Case 2018–010, Use of 408. Federal Acquisition Regulation From Certified Cost or Pricing Data (FAR); FAR Case 2017–020, Product and Services of Kaspersky Lab Requirements—Adequate Price Ombudsman for Indefinite-Delivery Competition E.O. 13771 Designation: Not subject Contracts E.O. 13771 Designation: Not subject to, not significant. to, not significant. E.O. 13771 Designation: Not subject Legal Authority: 40 U.S.C. 121(c); 10 Legal Authority: 40 U.S.C. 121(c); 10 to, not significant. U.S.C. ch. 137; 51 U.S.C. 20113 U.S.C. ch. 137; 51 U.S.C. 20113 Legal Authority: 40 U.S.C. 121(c); 10 Abstract: DoD, GSA, and NASA Abstract: DoD, GSA, and NASA are U.S.C. ch. 137; 51 U.S.C. 20113 issued a final rule to amend the Federal issuing a final rule to amend the Federal Abstract: DoD, GSA, and NASA Acquisition Regulation (FAR) to Acquisition Regulation (FAR) to issued a final rule to amend the Federal implement section 822 of the National implement section 1634 of the National Acquisition Regulation (FAR) by Defense Authorization Act (NDAA) of Defense Authorization Act (NDAA) for providing a new clause with contact fiscal year 2018 to prohibit any FY 2017 (Pub. L. 114–328). This rule information for the agency task and department, agency, organization, or applies to DoD, NASA, and the Coast delivery order ombudsman as required Guard, and implements exceptions for by the FAR. Specifically, FAR other element of the Federal these agencies at FAR 15.403(c)(1) from 16.504(a)(4)(v) requires that the name, Government from using products and certified cost or pricing data address, telephone number, facsimile services developed or provided by requirements when price is based on number, and email address of the Kaspersky Lab or any entity in which adequate price competition. This rule agency task and delivery order Kaspersky Lab has a majority also limits the exception for price based ombudsman be included in solicitations ownership. on adequate price competition to and contracts for an indefinite quantity Completed: circumstances in which there is requirement, if multiple awards may be adequate competition that results in at made for uniformity and consistency. Reason Date FR Cite least two or more responsive and viable Completed: competing bids. Final Rule ...... 09/10/19 84 FR 47861 Completed: Reason Date FR Cite Final Rule Effec- 09/10/19 tive. Reason Date FR Cite Final Rule ...... 09/06/19 84 FR 38836 Final Rule Effec- 09/06/19 Regulatory Flexibility Analysis Final Rule ...... 06/12/19 84 FR 27494 tive. Final Rule Effec- 07/12/19 Required: Yes. tive. Regulatory Flexibility Analysis Agency Contact: FAR Policy, Phone: 202 969–4075, Email: [email protected]. Regulatory Flexibility Analysis Required: Yes. Required: Yes. Agency Contact: Michael O. Jackson, RIN: 9000–AN64 Agency Contact: Michael O. Jackson, Phone: 202 208–4949, Email: [FR Doc. 2019–26576 Filed 12–23–19; 8:45 am] [email protected]. Phone: 202 208–4949, Email: BILLING CODE 5001–06–P [email protected]. RIN: 9000–AN58
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Part XXII
Commodity Futures Trading Commission
Semiannual Regulatory Agenda
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COMMODITY FUTURES TRADING SUPPLEMENTARY INFORMATION: The it presently expects may be considered COMMISSION Regulatory Flexibility Act (‘‘RFA’’), 5 during the course of the next year. U.S.C. 601, et seq., includes a Subject to a determination for each rule, 17 CFR Ch. I requirement that each agency publish it is possible as a general matter that semiannually in the Federal Register a some of these rules may have some Regulatory Flexibility Agenda regulatory flexibility agenda. Such impact on small entities.1 The AGENCY: Commodity Futures Trading agendas are to contain the following Commission notes also that, under the Commission. elements, as specified in 5 U.S.C. 602(a): RFA, it is not precluded from (1) A brief description of the subject ACTION: Semiannual regulatory agenda. considering or acting on a matter not area of any rule that the agency expects included in the regulatory flexibility to propose or promulgate, which is SUMMARY: The Commodity Futures agenda, nor is it required to consider or Trading Commission (‘‘Commission’’), likely to have a significant economic act on any matter that is listed in the impact on a substantial number of small in accordance with the requirements of agenda. See 5 U.S.C. 602(d). entities; the Regulatory Flexibility Act, is (2) A summary of the nature of any The Commission’s Fall 2019 publishing a semiannual agenda of such rule under consideration for each regulatory flexibility agenda is included rulemakings that the Commission subject area listed in the agenda, the in the Unified Agenda of Federal expects to propose or promulgate over objectives and legal basis for the Regulatory and Deregulatory Actions. the next year. The Commission issuance of the rule, and an approximate The complete Unified Agenda will be welcomes comments from small entities schedule for completing action on any available online at www.reginfo.gov, in and others on the agenda. rule for which the agency has issued a a format that offers users enhanced FOR FURTHER INFORMATION CONTACT: general notice of proposed rulemaking; ability to obtain information from the Christopher J. Kirkpatrick, Secretary of and Agenda database. the Commission, (202) 418–5964, (3) The name and telephone number [email protected], Commodity of an agency official knowledgeable Issued in Washington, DC, on July 26, Futures Trading Commission, Three about the items listed in the agenda. 2019, by the Commission. Lafayette Centre, 1155 21st Street NW, Accordingly, the Commission has Christopher J. Kirkpatrick, Washington, DC 20581. prepared an agenda of rulemakings that Secretary of the Commission.
COMMODITY FUTURES TRADING COMMISSION—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
410 ...... Regulation Automated Trading ...... 3038–AD52
COMMODITY FUTURES TRADING 2017. The Commission subsequently Action Date FR Cite COMMISSION (CFTC) extended the comment period until May ANPRM Comment 01/24/14 79 FR 4104 Long-Term Actions 1, 2017. The NPRM and Supplemental NPRM, through a set of proposed Period Ex- tended. 410. Regulation Automated Trading regulations collectively referred to as ANPRM Comment 02/14/14 E.O. 13771 Designation: Independent ‘‘Regulation AT,’’ would require Period Ex- agency. registration of certain market tended End. Legal Authority: 7 U.S.C. 1a(23); 7 participants that engage in proprietary NPRM ...... 12/17/15 80 FR 78824 U.S.C. 6c(a); 7 U.S.C. 7(d); 7 U.S.C. algorithmic trading; impose pre-trade NPRM Comment 03/16/16 Period End. 12(a)(5) risk control, testing, and certification NPRM Comment 06/10/16 81 FR 36484 Abstract: On November 7, 2016, the requirements on market participants, futures commission merchants, and/or Period Re- Commodity Futures Trading opened. Commission (‘‘Commission’’) approved designated contract markets; and set NPRM Comment 06/24/16 a supplemental notice of proposed forth preservation and access Period Re- rulemaking for Regulation AT obligations relating to algorithmic opened End. (‘‘Supplemental NPRM’’). The trading source code. Supplemental 11/25/16 81 FR 85334 Supplemental NPRM modifies certain Timetable: NPRM. rules proposed in the Commission’s Supplemental 01/24/17 NPRM Com- December 2015, notice of proposed Action Date FR Cite ment Period rulemaking (NPRM) for Regulation AT. End. The Supplemental NPRM was ANPRM ...... 09/12/13 78 FR 56542 Supplemental 01/26/17 82 FR 8502 published in the Federal Register on ANPRM Comment 12/11/13 NPRM Com- November 25, 2016, with a 90-day Period End. ment Period Ex- comment period closing on January 24, tended.
1 The Commission published its definition of a has previously certified, under section 605 of the Commission has chosen to publish an agenda that ‘‘small entity’’ for purposes of rulemaking RFA, 5 U.S.C. 605, that those items will not have includes significant and other substantive rules, proceedings at 47 FR 18618 (April 30, 1982). a significant economic impact on a substantial regardless of their potential impact on small Pursuant to that definition, the Commission is not number of small entities. For these reasons, the entities, to provide the public with broader notice required to list—but nonetheless does—many of the listing of a rule in this regulatory flexibility agenda of new or revised regulations the Commission may items contained in this regulatory flexibility should not be taken as a determination that the rule, agenda. See also 5 U.S.C. 602(a)(1). Moreover, for when proposed or promulgated, will in fact require consider and to enhance the public’s opportunity to certain items listed in this agenda, the Commission a regulatory flexibility analysis. Rather, the participate in the rulemaking process.
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Action Date FR Cite Agency Contact: Marilee Dahlman, Phone: 202 418–5264, Email: Supplemental 05/01/17 [email protected]. NPRM Com- ment Period Ex- RIN: 3038–AD52 tended End. [FR Doc. 2019–26635 Filed 12–23–19; 8:45 am] NPRM ...... 06/00/21 BILLING CODE 6351–01–P
Regulatory Flexibility Analysis Required: Yes.
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Vol. 84 Thursday, No. 247 December 26, 2019
Part XXIII
Bureau of Consumer Financial Protection
Semiannual Regulatory Agenda
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BUREAU OF CONSUMER FINANCIAL authorities relating to consumer tour to engage with Bureau PROTECTION financial products and services. These stakeholders, employees, and outside authorities include the authority to experts, building on feedback submitted 12 CFR CH. X issue regulations under more than a through more than 88,000 public dozen Federal consumer financial laws, comments in response to the Bureau’s Semiannual Regulatory Agenda which transferred to the Bureau from 2018 ‘‘Call for Evidence’’ initiative. This AGENCY: Bureau of Consumer Financial seven Federal agencies on July 21, 2011. Unified Agenda represents the first one Protection. The Bureau’s general purpose, as the Bureau has prepared following the specified in section 1021(a) of the Dodd- Director’s listening tour. It seeks to ACTION: Semiannual regulatory agenda. Frank Act, is to implement and enforce provide the public with visibility into SUMMARY: The Bureau of Consumer Federal consumer financial law the rulemaking activities in which the Financial Protection (Bureau) is consistently for the purpose of ensuring Bureau is likely to be engaged over the publishing this agenda as part of the that all consumers have access to next 12 months and those that are Fall 2019 Unified Agenda of Federal markets for consumer financial products contemplated in the ensuing year. To Regulatory and Deregulatory Actions. and services and that markets for enhance transparency, the Bureau has The Bureau reasonably anticipates consumer financial products and updated this Unified Agenda to identify having the regulatory matters identified services are fair, transparent, and current priorities and to delete outdated below under consideration during the competitive. items. Section 1021 of the Dodd-Frank Act period from October 1, 2019, to Implementing Statutory Directives September 30, 2020. The next agenda specifies the objectives of the Bureau, The Bureau is engaged in a number of will be published in spring 2020 and including ensuring that, with respect to rulemakings to implement directives will update this agenda through spring consumer financial products and mandated in the Economic Growth, 2021. Publication of this agenda is in services, consumers are provided with Regulatory Relief, and Consumer accordance with the Regulatory timely and understandable information Protection Act of 2018 (EGRRCPA), Flexibility Act (5 U.S.C. 601 et seq.). to make responsible decisions about financial transactions; consumers are Public Law 115–174, 132 Stat. 1297, the DATES: This information is current as of protected from unfair, deceptive, or Dodd-Frank Act, and other statutes. As July 25, 2019. abusive acts and practices and from part of these rulemakings, the Bureau is ADDRESSES: Bureau of Consumer discrimination; outdated, unnecessary, working to maximize consumer welfare Financial Protection, 1700 G Street NW, or unduly burdensome regulations are and achieve other statutory objectives Washington, DC 20552. regularly identified and addressed in through protecting consumers from FOR FURTHER INFORMATION CONTACT: A order to reduce unwarranted regulatory harm and minimizing regulatory staff contact is included for each burdens; that Federal consumer burden, including facilitating industry regulatory item listed herein. If you financial law is enforced consistently, compliance with rules. require this document in an alternative without regard to the status of a person For example, in March 2019, the electronic format, please contact CFPB_ as a depository institution, in order to Bureau published an Advance Notice of [email protected]. promote fair competition; and markets Proposed Rulemaking (ANPRM) to seek SUPPLEMENTARY INFORMATION: The for consumer financial products and public comment relating to Bureau is publishing its Fall 2019 services operate transparently and implementation of section 307 of the Agenda as part of the Fall 2019 Unified efficiently to facilitate access and EGRRCPA, which amends the Truth in Agenda of Federal Regulatory and innovation. Lending Act (TILA) to mandate that the Deregulatory Actions, which is As a general matter, the Bureau Bureau prescribe certain regulations coordinated by the Office of believes that it can best achieve these relating to ‘‘Property Assessed Clean Management and Budget under statutory purposes by using its various Energy’’ (PACE) financing. As defined Executive Order 12866. The agenda lists tools to focus on the prevention of by EGRRCPA section 307, PACE the regulatory matters that the Bureau consumer harm. With specific regard to financing results in a tax assessment on reasonably anticipates having under rulemaking, the Bureau seeks to a consumer’s real property and covers consideration during the period from articulate clear rules of the road for the costs of home improvements. The October 1, 2019, to September 30, 2020, regulated entities that promote required regulations must carry out the as described further below.1 The competition, increase transparency, and purposes of TILA’s ability-to-repay Bureau’s participation in the Unified preserve fair markets for financial (ATR) requirements, currently in place Agenda is voluntary. The complete products and services. If Congress for residential mortgage loans, with Unified Agenda is available to the directs the Bureau to promulgate rules respect to PACE financing, and apply public at the following website: http:// or address specific issues through TILA’s general civil liability provision www.reginfo.gov. rulemaking, the Bureau will comply for violations of the ATR requirements Pursuant to the Dodd-Frank Wall with the law. If the Bureau has the Bureau will prescribe for PACE Street Reform and Consumer Protection discretion, the Bureau will focus on financing. The regulations must Act, Public Law 111–203, 124 Stat. 1376 preventing consumer harm by ‘‘account for the unique nature’’ of (Dodd-Frank Act), the Bureau has maximizing informed consumer choice, PACE financing. The Bureau is rulemaking, supervisory, enforcement, and by reducing unwarranted regulatory reviewing the comments it received in consumer education, and other burden which can adversely affect response to the ANPRM, as it considers competition and consumers’ access to next steps to facilitate the development 1 The listing does not include certain routine, financial products and services. The of a Notice of Proposed Rulemaking frequent, or administrative matters. Further, the Bureau is working on various initiatives (NPRM). fields ‘‘Unfunded Mandates,’’ ‘‘E.O. 13771 to achieve these objectives as described The Bureau has also been engaged in Designation,’’ and ‘‘Federalism Implications’’ are below. a range of other activities to support its not required for independent regulatory agencies, including the Bureau, and, accordingly, the Bureau A new permanent director of the rulemaking to implement the EGRRCPA. has indicated responses of ‘‘no’’ or ‘‘Independent Bureau took office in December 2018. For example, the Bureau updated its Agency’’ for such fields. The Director embarked on a listening small entity compliance guides and
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other compliance aids to reflect the For example, to consider concerns In addition, in February 2019, the EGRRCPA’s statutory changes. The about possible unwarranted regulatory Bureau issued an NPRM relating to Bureau also issued written guidance as burden, the Bureau issued an NPRM in reconsideration of the mandatory encouraged by section 109 of the Act, May 2019 to reconsider the thresholds underwriting requirements of a 2017 which states that the Bureau ‘‘should for reporting data about closed-end rule titled Payday, Vehicle Title, and endeavor to provide clearer, mortgage loans and open-end lines of Certain High-Cost Installment Loans. In authoritative guidance’’ on certain credit under the Bureau’s 2015 Home the NPRM, the Bureau initially mortgage regulations.2 Finally, the Mortgage Disclosure Act (HMDA) rule. determined that the evidence Bureau anticipates engaging in guidance The NPRM also proposed to incorporate underlying the identification of the activity, as needed, to facilitate into Regulation C an interpretive and unfair and abusive practice in the compliance, regarding the EGRRCPA procedural rule that the Bureau issued mandatory underwriting provisions of provisions that do not require in August 2018 to clarify partial HMDA the 2017 rule was not sufficiently robust rulemaking to take effect. exemptions created by the EGRRCPA. and reliable to support that In anticipation of rulemaking activity, This summer, the Bureau reopened the determination, in light of the impact the Bureau has also conducted a comment period of certain aspects of the those provisions will have on the preliminary analysis of the number of proposed rule until mid-October. Thus, market for covered short-term and lenders potentially impacted by the Bureau plans to issue two separate longer-term balloon-payment loans, and implementation of section 108 of the final rules to address different aspects of the ability of consumers to obtain such EGRRCPA, which relates to escrow the proposed rule at different times—the loans, among other things. The Bureau requirements for loans made by certain first one in the fall of 2019 would also initially determined that its creditors. The Bureau released the address the proposed 2-year extension approach for its unfairness and analysis late this summer, which shows of the temporary threshold for collecting abusiveness determinations was that a limited number of additional and reporting data on open-end lines of sufficiently problematic to necessitate lenders would be exempt under section credit and the EGRRCPA partial reconsideration. Based on its 108 of the EGRRCPA once implemented exemption provisions, and the second reconsideration of those issues, the by rule. one in the spring of 2020 would address Bureau proposed to rescind the Section 1071 of the Dodd-Frank Act the proposed changes to the permanent mandatory underwriting provisions in amended the Equal Credit Opportunity thresholds for collecting and reporting their entirety. The comment period for Act to require, subject to rules data on open-end lines of credit and the NPRM closed in May 2019 and the prescribed by the Bureau, financial closed-end mortgage loans. Likewise, to Bureau is carefully reviewing the institutions to collect, report, and make consider concerns about possible approximately 190,000 comments it public certain information concerning unwarranted regulatory burden, the received. The Bureau expects to take credit applications made by women- Bureau also issued an ANPRM in May final action with respect to this proposal owned, minority-owned, and small 2019 concerning certain data points that in April 2020. businesses. The Bureau is hosting a are reported under the 2015 HMDA rule Finally, the Bureau issued an NPRM symposium on small business data and coverage of certain business or in May 2019, which would prescribe collection in November 2019 in order to commercial purpose loans. In June rules under Regulation F to govern the facilitate a robust discussion with 2019, the Bureau extended the comment activities of debt collectors, as that term outside experts on the issues implicated period on the ANPRM to mid-October. is defined under the Fair Debt by creating such a data collection and In summer 2020, the Bureau expects to Collection Practices Act. The Bureau’s reporting regime. After the symposium, issue an NPRM to follow up on the proposal would, among other things, the Bureau anticipates that its next step ANPRM. The Bureau also expects to address communications in connection will be the release of materials in issue an NPRM addressing the public with debt collection; interpret and apply advance of convening a panel under the disclosure of HMDA data in light of prohibitions on harassment or abuse, Small Business Regulatory Enforcement consumer privacy interests, so that false or misleading representations, and Fairness Act, in conjunction with the collection and reporting of data points unfair practices in debt collection; and Office of Management and Budget and and public disclosure of those data clarify requirements for certain the Small Business Administration’s points can be considered concurrently.3 consumer-facing debt collection Chief Counsel for Advocacy, to consult disclosures. The proposal builds on the with representatives of small businesses 3 The 2010 Dodd-Frank Act amendments to Bureau’s research and pre-rulemaking that may be affected by the rulemaking. HMDA direct the Bureau to develop regulations that activities regarding the debt collection modify or require modification of the public HMDA market, which remains a top source of Promoting Competition, Increasing data for the purpose of protecting consumer privacy complaints to the Bureau. The Bureau Transparency and Preserving Fair interests. The Bureau’s 2015 HMDA rule adopted a balancing test to determine whether and how also is engaged in testing of consumer Markets HMDA data should be modified prior to its disclosures related to time-barred debt 1. Continuation of Other Rulemakings disclosure to the public in order to protect disclosures that were not the focus of applicant and borrower privacy while also fulfilling the May 2019 proposal. After testing, The Bureau is continuing certain HMDA’s public disclosure purpose. The Bureau in the Bureau will assess whether to issue other rulemakings described in its 2018 issued final policy guidance applying the test to current data points and announced its intention a supplemental NPRM seeking Spring 2019 Agenda to articulate clear to conduct a notice-and-comment rulemaking to comments on any disclosure proposal rules of the road for regulated entities seek further input on the public release going related to the collection of time-barred that promote competition, increase forward. Commencing a notice-and-comment debt. The Bureau expects to take final transparency, and preserve fair markets rulemaking will also enable the Bureau to adopt a more definitive approach to disclosing HMDA data action with regard to the May 2019 for financial products and services. to the public in future years after considering new NPRM in 2020. information concerning the privacy risks and In addition to these three rulemakings 2 See, e.g., ‘‘TILA–RESPA Integrated Disclosure benefits of disclosure of the HMDA data. Until the in which the Bureau already has issued FAQs’’—available at https:// Bureau promulgates a final rule on the public www.consumerfinance.gov/policy-compliance/ disclosure of HMDA data, it anticipates that it will proposals, the Bureau also is continuing guidance/tila-respa-disclosure-rule/tila-respa- continue to disclose HMDA data in the manner work related to a potential rulemaking integrated-disclosure-faqs/. detailed in the final policy guidance. to amend the Bureau’s Remittance Rule.
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After completing an assessment in Evidence and various other outreach to The Bureau is engaged in other October 2018 of its rules to implement stakeholders, the Bureau has decided to rulemakings consistent with its general Dodd-Frank Act requirements for add two new entries to its long-term interest in modernizing disclosure rules remittance transfers,4 the Bureau issued regulatory agenda. This portion of the in light of new and emerging in April 2019 a Request for Information agenda focuses on potential regulatory technology. For example, the Bureau to gather information related to the actions that an agency may engage in issued an NPRM in May that, among scope of the Remittance Rule’s coverage beyond the current fiscal year, and other things, proposed regulations that and the expiration of a statutorily- currently includes issues such as would modernize content and delivery established exception in the Remittance potential rulemaking or other activity requirements for certain disclosures in Rule that permits insured banks and regarding the Dodd-Frank Act’s the debt collection context. The Bureau insured credit unions to estimate certain prohibition on abusive acts or practices. is interested in exploring ways to adapt required disclosures and other potential The Bureau is now adding entries to disclosure regulations so that they more remittance transfer issues. In its address issues of concern in connection effectively inform the increasing consideration of appropriate next steps, with loan originator compensation and number of consumers who use digital including potentially rulemaking, the to facilitate the use of electronic media for financial products and Bureau is considering stakeholder channels of communication in the services, including, but not limited to, feedback during the assessment process origination and servicing of credit card financial products, such as credit cards. and comments received in response to accounts. The Bureau is also actively reviewing the Request for Information. As to loan originator compensation, existing regulations. Section 1022(d) of the Bureau has received feedback that the Dodd-Frank Act requires the Bureau 2. New Projects and Further Planning aspects of Regulation Z’s loan originator to conduct an assessment of each In January 2019, the Bureau compensation requirements are significant rule or order adopted by the completed an assessment of rules unnecessarily restrictive. The Bureau is Bureau under Federal consumer implementing Dodd-Frank Act considering a rulemaking to address financial law and publish a report of provisions that require mortgage lenders certain of these concerns. In particular, each assessment not later than 5 years to determine consumers’ ability to repay the Bureau plans to examine whether to after the effective date of the subject loans and define certain ‘‘qualified permit adjustments to a loan originator’s matter or order. The Bureau will be mortgages’’ that are presumed to comply compensation in connection with conducting an assessment of its with the statutory requirements.5 The originating State housing finance regulations to consolidate various Bureau is now focusing its attention on authority loans in order to facilitate the mortgage origination disclosures under a regulatory provision that extends origination of such loans. The Bureau the Truth in Lending Act and Real qualified mortgage status to loans that also plans to examine whether to permit Estate Settlement Procedures Act. The are eligible to be purchased or creditors to decrease a loan originator’s Regulatory Flexibility Act (RFA) guaranteed by either Fannie Mae or compensation due to the loan requires the Bureau to consider the Freddie Mac (which are often called the originator’s error in order to provide effect on small entities of certain rules Government Sponsored Enterprises or clearer rules of the road for regulated it promulgates. The Bureau published in GSEs) while they operate under Federal entities. The Bureau has no current May 2019 its plan for conducting conservatorship or receivership. The plans to consider other significant reviews, consistent with section 610 of ‘‘GSE patch’’ provision is set to expire potential changes. the RFA, of certain regulations which in January 2021, meaning that loans As to electronic communications, the are believed to have a significant impact originated after that date would not be Bureau has received feedback that the on a substantial number of small eligible for qualified mortgage status intersection of certain requirements of entities. Congress specified that the under its criteria. In July 2019, the Regulation Z and the Electronic purpose of such reviews shall be to Bureau issued an ANPRM to solicit Signatures in Global and National determine whether such rules should be information about possible amendments Commerce Act (E-SIGN) are too continued without change, or should be to the qualified mortgage provisions of restrictive for consumers applying for amended or rescinded, consistent with Regulation Z, specifically information credit card accounts via electronic the stated objectives of the applicable about issues related to the scheduled channels and for consumers willing, or statutes, to minimize any significant expiration of the GSE patch. The Bureau preferring, to receive account economic impact of the rules upon a information electronically only. To currently plans to allow the GSE patch substantial number of such small decrease regulatory burdens that may be to expire and is considering whether to entities. The Bureau is reviewing inhibiting the use of electronic revise Regulation Z’s general qualified comments received in response to its communication, the Bureau is mortgage definition in light of this request for comment on the first such considering a rulemaking to address a planned expiration. The Bureau is review, concerning the impact on small range of issues at the intersection of E- further considering a limited extension banks and credit unions of a 2009 SIGN and Regulation Z with regard to of the expiration date only as necessary Regulation E amendment concerning credit cards. The Bureau also notes that overdraft. In 2020, the Bureau expects to to allow for a smooth and orderly similar concerns about the effect of E- conduct additional reviews pursuant to transition away from the GSE Patch. SIGN have been raised with respect to In light of feedback received in section 610 of the RFA, including a other types of consumer financial response to the Bureau’s 2018 Call for review of the Regulation Z rules that products and services including implement the Credit Card checking accounts. The Bureau 4 ‘‘Remittance rule assessment report’’—available Accountability Responsibility and at https://www.consumerfinance.gov/data-research/ anticipates that what it learns in Disclosure Act of 2009. research-reports/remittance-rule-assessment- considering these issues in the credit Finally, as required by the Dodd- report/. card context may assist the Bureau in Frank Act, the Bureau is also continuing 5 ‘‘2013 Ability-to-Repay and Qualified Mortgage assessing whether there are similar to monitor markets for consumer Assessment Report’’—available at https:// www.consumerfinance.gov/data-research/research- concerns with other financial products financial products and services to reports/2013-ability-repay-and-qualified-mortgage- and services that may be appropriate to identify risks to consumers and the assessment-report/. address in future rulemakings. proper functioning of such markets. As
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discussed in a recent report by the consumers. The Bureau also has created issues for potential future rulemaking Government Accountability Office, the a number of cross-Bureau working work. Bureau’s Division of Research, Markets, groups focused around specific markets Dated: July 26, 2019. and Regulations and specifically its which advance the Bureau’s market Lisa J. Cole, Markets Offices continuously monitor monitoring work. The Bureau’s market Acting Assistant Director for Regulations, market developments and risks to monitoring work assists in identifying Bureau of Consumer Financial Protection.
CONSUMER FINANCIAL PROTECTION BUREAU—PRERULE STAGE
Regulation Sequence No. Title Identifier No.
411 ...... Business Lending Data (Regulation B) ...... 3170–AA09
CONSUMER FINANCIAL PROTECTION BUREAU—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
412 ...... Debt Collection Rule ...... 3170–AA41
CONSUMER FINANCIAL PROTECTION currently collected by lenders in this Legal Authority: 15 U.S.C. 1692l(d) BUREAU (CFPB) market, and the potential complexity, Abstract: The Bureau issued a Notice cost of, and privacy issues related to, Prerule Stage of Proposed Rulemaking in May 2019, small business data collection. The which would prescribe rules under 411. Business Lending Data (Regulation Bureau is hosting a symposium on small Regulation F to govern the activities of B) business data collection later this year. debt collectors, as that term is defined E.O. 13771 Designation: Independent The information received in response to under the Fair Debt Collection Practices agency. the Request for Information and the Act. The Bureau’s proposal would, Legal Authority: 15 U.S.C. 1691c–2 symposium will help the Bureau as it among other things, address Abstract: Section 1071 of the Dodd- determines how to implement the rule communications in connection with Frank Wall Street Reform and Consumer efficiently while minimizing burdens on debt collection; interpret and apply Protection Act (Dodd-Frank Act) lenders. After the symposium, the prohibitions on harassment or abuse, amends the Equal Credit Opportunity Bureau anticipates that its next step will false or misleading representations, and Act (ECOA) to require financial be the release of materials in advance of unfair practices in debt collection; and institutions to report information convening a panel under the Small clarify requirements for certain concerning credit applications made by Business Regulatory Enforcement consumer-facing debt collection women-owned, minority-owned, and Fairness Act, in conjunction with disclosures. The proposal builds on the small businesses. The amendments to representatives of small businesses that Bureau’s research and pre-rulemaking ECOA made by the Dodd-Frank Act may be affected by the rulemaking. activities regarding the debt collection Timetable: require that certain data be collected, market, which remains a top source of maintained, and reported, including the Action Date FR Cite complaints to the Bureau. The Bureau number of the application and date the also is engaged in testing of consumer application was received; the type and Request for Infor- 05/15/17 82 FR 22318 disclosures related to time-barred debt purpose of the loan or credit applied for; mation. disclosures that were not addressed in the amount of credit applied for and Request for Infor- 09/14/17 the May 2019 proposal. After testing, approved; the type of action taken with mation Com- the Bureau will assess whether to regard to each application and the date ment Period publish a supplemental Notice of of such action; the census tract of the End. Pre-rule Activity ... 11/00/19 Proposed Rulemaking related to time- principal place of business; the gross barred debt disclosures. annual revenue of the business; and the Regulatory Flexibility Analysis Timetable: race, sex, and ethnicity of the principal Required: Yes. owners of the business. The Dodd-Frank Agency Contact: Elena Grigera Action Date FR Cite Act also provides authority for the Babinecz, Office of Regulations, Bureau to require any additional data Consumer Financial Protection Bureau, ANPRM ...... 11/12/13 78 FR 67847 that the Bureau determines would aid in Phone: 202 435–7700. ANPRM Comment 01/14/14 79 FR 2384 fulfilling the purposes of this section. RIN: 3170–AA09 Period Ex- The Bureau may adopt exceptions to tended. any requirement of section 1071 and ANPRM Comment 02/10/14 may exempt any financial institution Period End. from its requirements, as the Bureau CONSUMER FINANCIAL PROTECTION ANPRM Comment 02/28/14 BUREAU (CFPB) Period Ex- deems necessary and appropriate to tended End. carry out section 1071’s purposes. The Proposed Rule Stage Pre-Rule Activity 07/28/16 Bureau issued a Request for Information 412. Debt Collection Rule NPRM ...... 05/21/19 84 FR 23274 in 2017 seeking public comment on, NPRM Comment 08/02/19 84 FR 37806 among other things, the types of credit E.O. 13771 Designation: Independent Period Ex- products offered and the types of data agency. tended.
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Action Date FR Cite Agency Contact: Kristin McPartland, Office of Regulations, Consumer NPRM Comment 08/19/19 Financial Protection Bureau, Phone: 202 Period End. 435–7700. NPRM Comment 09/18/19 Period Ex- RIN: 3170–AA41 tended End. [FR Doc. 2019–26636 Filed 12–23–19; 8:45 am] Other ...... 01/00/20 BILLING CODE 4810–AM–P
Regulatory Flexibility Analysis Required: Yes.
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Part XXIV
Consumer Product Safety Commission
Semiannual Regulatory Agenda
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CONSUMER PRODUCT SAFETY businesses, small governmental approximate schedule of target dates, COMMISSION organizations, and other small entities. subject to revision, for the development Section 602 of the RFA (5 U.S.C. 602) or completion of each activity; and the 16 CFR Ch. II requires each agency to publish, twice name and telephone number of a each year, a regulatory flexibility agenda knowledgeable agency official Semiannual Agenda and Regulatory containing a brief description of the concerning particular items on the Plan subject area of any rule expected to be agenda. AGENCY: U.S. Consumer Product Safety proposed or promulgated, which is The internet is the basic means Commission. likely to have a ‘‘significant economic through which the Unified Agenda is ACTION: Semiannual regulatory agenda. impact’’ on a ‘‘substantial number’’ of disseminated. small entities. The agency must also The complete Unified Agenda will be SUMMARY: The Commission publishes its provide a summary of the nature of the available online at www.reginfo.gov, in semiannual regulatory flexibility agenda rule and a schedule for acting on each a format that offers users the ability to in this document. The document also rule for which the agency has issued a obtain information from the Agenda includes an agenda of regulatory actions notice of proposed rulemaking. database. that the Commission expects to be The regulatory flexibility agenda is Because publication in the Federal under development or review by the required to contain the name and Register is mandated for the regulatory agency during the next year. This address of the agency official flexibility agendas required by the document meets the requirements of the knowledgeable about the items listed. Regulatory Flexibility Act (5 U.S.C. Regulatory Flexibility Act and Executive Furthermore, agencies are required to 602), the Commission’s printed agenda Order 12866. The Commission provide notice of their agendas to small entries include only: welcomes comments on the agenda and entities and to solicit their comments by (1) Rules that are in the agency’s on the individual agenda entries. direct notification or by inclusion in regulatory flexibility agenda, in DATES: Comments should be received in publications likely to be obtained by accordance with the Regulatory the Division of the Secretariat on or such entities. Flexibility Act because they are likely to before January 27, 2020. Additionally, Executive Order 12866 have a significant economic impact on requires each agency to publish, twice ADDRESSES: Comments on the regulatory a substantial number of small entities; each year, a regulatory agenda of flexibility agenda should be captioned, and regulations under development or ‘‘Regulatory Flexibility Agenda,’’ and be (2) Rules that the agency has review during the next year, and the emailed to: [email protected]. identified for periodic review under executive order states that such an Comments may also be mailed or section 610 of the Regulatory Flexibility agenda may be combined with the delivered to the Division of the Act. agenda published in accordance with Secretariat, U.S. Consumer Product Printing of these entries is limited to the RFA. The regulatory flexibility Safety Commission, Room 820, 4330 fields that contain information required agenda lists the regulatory activities East-West Highway, Bethesda, MD by the Regulatory Flexibility Act’s expected to be under development or 20814–4408. agenda requirements. Additional review during the next 12 months. It information on these entries is available FOR FURTHER INFORMATION CONTACT: For includes all such activities, whether or in the Unified Agenda published on the further information on the agenda, in not they may have a significant internet. general, contact Adrienne Layton, economic impact on a substantial Directorate for Health Sciences, U.S. number of small entities. This agenda The agenda reflects an assessment of Consumer Product Safety Commission, also includes regulatory activities that the likelihood that the specified event 4330 East-West Highway, Bethesda, MD appeared in the fall 2018 agenda and will occur during the next year; the 20814–4408, [email protected]. For have been completed by the precise dates for each rulemaking are further information regarding a Commission prior to publication of this uncertain. New information, changes of particular item on the agenda, consult agenda. Although CPSC, as an circumstances, or changes in law may the individual listed in the column independent regulatory agency, is not alter anticipated timing. In addition, no headed, ‘‘Contact,’’ for that particular required to comply with Executive final determination by staff or the item. Orders, the Commission does follow Commission regarding the need for, or the substance of, any rule or regulation SUPPLEMENTARY INFORMATION: The Executive Order 12866 regarding the Regulatory Flexibility Act (RFA) (5 publication of its regulatory agenda. should be inferred from this agenda. U.S.C. 601 to 612) contains several The agenda contains a brief Dated: July 23, 2019. provisions intended to reduce description and summary of each Alberta E. Mills, unnecessary and disproportionate regulatory activity, including the Secretary, Consumer Product Safety regulatory requirements on small objectives and legal basis for each; an Commission.
CONSUMER PRODUCT SAFETY COMMISSION—FINAL RULE STAGE
Regulation Sequence No. Title Identifier No.
413 ...... Flammability Standard for Upholstered Furniture (Reg Plan Seq No. 152) ...... 3041–AB35 414 ...... Regulatory Options for Table Saws (Reg Plan Seq No. 153) ...... 3041–AC31 415 ...... Fireworks Devices ...... 3041–AC35 References in boldface appear in The Regulatory Plan in part II of this issue of the Federal Register.
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CONSUMER PRODUCT SAFETY COMMISSION—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
416 ...... Portable Generators ...... 3041–AC36 417 ...... Recreational Off-Road Vehicles ...... 3041–AC78
CONSUMER PRODUCT SAFETY the NPRM. The NPRM was published Action Date FR Cite COMMISSION (CPSC) on February 2, 2017. The comment Staff Sent Final 09/26/18 Final Rule Stage period on the NPRM closed on July 17, 2017. CPSC received more than 2,400 Rule Briefing 413. Flammability Standard for written comments. The Commission Package to Upholstered Furniture Commission. provided an opportunity for oral Commission Deci- 11/00/19 Regulatory Plan: This entry is Seq. presentation of comments on March 7, sion. No. 152 in part II of this issue of the 2018. Staff sent the final rule briefing Federal Register. package to the Commission on Regulatory Flexibility Analysis RIN: 3041–AB35 September 26, 2018. The Commission Required: Yes. 414. Regulatory Options for Table Saws held a public briefing on the matter on Agency Contact: Rodney Valliere October 3, 2018.The next expected Ph.D., Project Manager, Directorate for Regulatory Plan: This entry is Seq. action is the Commission’s decision on Laboratory Sciences, Consumer Product No. 153 in part II of this issue of the the draft final rule. Safety Commission, National Product Federal Register. Testing and Evaluation Center, 5 RIN: 3041–AC31 Timetable: Research Place, Rockville, MD 20850, 415. Fireworks Devices Phone: 301 987–2526, Email: rvalliere@ Action Date FR Cite cpsc.gov. E.O. 13771 Designation: Independent RIN: 3041–AC35 agency. Staff Sent Draft 06/26/06 Legal Authority: 15 U.S.C. 1261 ANPRM to Abstract: Staff prepared a draft Commission. advance notice of proposed rulemaking Commission Deci- 06/30/06 CONSUMER PRODUCT SAFETY (ANPRM) concerning fireworks devices, sion. COMMISSION (CPSC) requesting comments on whether there ANPRM ...... 07/12/06 71 FR 39249 Long-Term Actions is a need for the agency to update and ANPRM Comment 09/11/06 strengthen its regulation of fireworks Period End. 416. Portable Generators Staff Released a 01/31/13 devices. Staff sent the ANPRM to the E.O. 13771 Designation: Independent Commission for consideration on June Fireworks Safe- ty Standards agency. 26, 2006. On June 30, 2006, the Development Legal Authority: 15 U.S.C. 2051 Commission voted to issue an ANPRM, Status Report. Abstract: On December 5, 2006, the which was issued on July 12, 2006. The Staff Released a 10/23/13 Commission voted to issue an advance comment period on the ANPRM closed Fireworks Safe- notice of proposed rulemaking on September 11, 2006. In June 2011, ty Standards (ANPRM) under the Consumer Product the Commission directed staff to review Development Safety Act (CPSA) concerning portable progress made since the issuance of the Status Report. generators. The ANPRM discusses FY 2006 ANPRM regarding consumer Staff Released 11/24/14 regulatory options that could reduce fireworks regulations. In FY 2012, staff Fireworks Safe- deaths and injuries related to portable concentrated efforts on developing an ty Standards Development generators, particularly those involving updated test method to evaluate aerial Status Report carbon monoxide (CO) poisoning. The firework break charge energy release, Draft. ANPRM was published in the Federal assess potential hazards to consumers Staff Sent Briefing 12/30/15 Register on December 12, 2006. Staff associated with ‘‘adult snapper’’ Package to reviewed public comments and fireworks, and propose appropriate Commission conducted technical activities. In FY solutions. In January 2013, October with Rule Re- 2006, staff awarded a contract to 2013, and February 2014, staff released view Rec- develop a prototype generator engine status reports providing information ommendations. with reduced CO in the exhaust. Also in regarding staff’s fireworks research. In Staff Sent Draft 12/14/16 FY 2006, staff entered into an the FY 2015 Operating Plan, the NPRM to Com- interagency agreement (IAG) with the Commission directed staff to conduct a mission. National Institute of Standards and rule review of the current fireworks Commission Deci- 01/25/17 Technology (NIST) to conduct tests with sion. a generator, in both off-the-shelf and regulations. Staff sent a briefing package NPRM ...... 02/02/17 82 FR 9012 prototype configurations, operating in to the Commission on December 30, Comment Period 04/18/17 82 FR 17947 2015, responding to the Commission’s Extended. the garage attached to NIST’s test house. request for a rule review. Staff sent a Comment Period 07/17/17 NIST’s test house, a double-wide draft NPRM and briefing package to the End. manufactured home, is designed for Commission on December 14, 2016. The Notice of Oppor- 02/05/18 83 FR 5056 conducting residential indoor air quality Commission held a briefing on the tunity for Oral (IAQ) studies, and the scenarios tested matter on January 11, 2017. On January Presentation of are typical of those involving consumer 25, 2017, the Commission voted to issue Comments. fatalities. These tests provide empirical
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data on CO accumulation in the garage comment period on TN 2048 that ends controls for throttle and braking, bench and infiltration into the house; staff on September 9, 2019. or bucket seats, a rollover protective used these data to evaluate the efficacy Timetable: structure, and a maximum speed greater of the prototype in reducing the risk of than 30 mph. On October 21, 2009, the fatal or severe CO poisoning. Under this Action Date FR Cite Commission voted to publish an IAG, NIST also modeled the CO Staff Sent 07/06/06 advance notice of proposed rulemaking infiltration from the garage under a ANPRM to (ANPRM) in the Federal Register. The variety of other conditions, including Commission. ANPRM was published in the Federal different ambient conditions and longer Staff Sent Supple- 10/12/06 Register on October 28, 2009, and the generator run times. In FY 2009, staff mental Material comment period ended December 28, entered into a second IAG with NIST to Commission. 2009. The Commission received two with the goal of developing CO emission Commission Deci- 10/26/06 letters requesting an extension of the performance requirements for a possible sion. Staff Sent Draft 11/21/06 comment period. The Commission proposed regulation that would be extended the comment period until based on health effects criteria. In 2011, ANPRM to Commission. March 15, 2010. Staff conducted testing staff prepared a package containing staff ANPRM ...... 12/12/06 71 FR 74472 and evaluation programs to develop and contractor reports on the technology ANPRM Comment 02/12/07 performance requirements addressing demonstration of the low CO emission Period End. vehicle stability, vehicle handling, and prototype portable generator. This Staff Releases 10/10/12 occupant protection. On October 29, included, among other staff reports, a Research Re- 2014, the Commission voted to publish summary of the prototype development port for Com- ment. an NPRM proposing standards and durability results, as well as end-of- addressing vehicle stability, vehicle life emission test results performed on NPRM ...... 11/21/16 81 FR 83556 NPRM Comment 12/13/16 81 FR 89888 handling, and occupant protection. The the generator by an independent Period Ex- NPRM was published in the Federal emissions laboratory. Staff’s assessment tended. Register on November 19, 2014. On of the ability of the prototype to reduce Public Hearing for 03/08/17 82 FR 8907 January 23, 2015, the Commission the CO poisoning hazard was also Oral Comments. published a notice of extension of the included. In September 2012, staff NPRM Comment 04/24/17 comment period for the NPRM, released this package and solicited Period End. comments from stakeholders. Staff Sends No- 06/26/19 extending the comment period to April 8, 2015. Congress directed in fiscal year In October 2016, staff delivered a tice of Avail- ability to the 2016 and reaffirmed in subsequent fiscal briefing package with a draft notice of Commission. year appropriations that none of the proposed rulemaking (NPRM) to the Commission Deci- 07/02/19 amounts made available by the Commission. In November 2016, the sion. Appropriations Bill may be used to Commission voted to approve the Notice of Avail- 07/09/19 84 FR 32729 NPRM. The notice was published in the ability. finalize or implement the Safety Federal Register on November 21, 2016, Staff Sends Brief- 11/00/20 Standard for Recreational Off-Highway with a comment period deadline of ing Package to Vehicles published by the CPSC in the February 6, 2017. In December 2016, the the Commission. Federal Register on November 19, 2014 Commission voted to extend the (79 FR 68964), (ROV NPRM) until after comment period until April 24, 2017, in Regulatory Flexibility Analysis the National Academy of Sciences response to a request to extend the Required: Yes. completes a study to determine specific Agency Contact: Janet L. Buyer, comment period an additional 75 days. information as set forth in the Project Manager, Directorate for The Commission held a public hearing Appropriations Bill. Staff ceased work Engineering Sciences, Consumer on March 8, 2017, to provide an on a Final Rule briefing package in FY Product Safety Commission, National opportunity for stakeholders to present 2015 and instead engaged the Product Testing and Evaluation Center, oral comments on the NPRM. Recreational Off-Highway Vehicle 5 Research Place, Rockville, MD 20850, Association (ROHVA) and Outdoor In 2018, two voluntary standards Phone: 301 987–2293, Email: jbuyer@ adopted different CO mitigation Power Equipment Institute (OPEI) in the cpsc.gov. development of voluntary standards for requirements intended to address the RIN: 3041–AC36 CO poisoning hazard associated with ROVs. Staff conducted dynamic and portable generators. In FY 2019 CPSC 417. Recreational Off-Road Vehicles static tests on ROVs, shared test results will solicit public comments on staff’s E.O. 13771 Designation: Independent with ROHVA and OPEI, and plans to assess the effectiveness of those agency. participated in the development of requirements through a Federal Register Legal Authority: 15 U.S.C. 2056; 15 revised voluntary standards to address notice containing a Notice of U.S.C. 2058 staff’s concerns with vehicle stability, Availability of two NIST reports co- Abstract: The Commission is vehicle handling, and occupant authored by CPSC staff and soliciting considering whether recreational off- protection. The voluntary standards for comments on the one containing staff’s road vehicles (ROVs) present an ROVs were revised and published in plan, NIST Technical Note 2048, unreasonable risk of injury that should 2016 (ANSI/ROHVA 1–2016 and ANSI/ Simulation and Analysis Plan to be regulated. ROVs are motorized OPEI B71.9–2016). Staff assessed the Evaluate the Impact of CO Mitigation vehicles having four or more low- new voluntary standard requirements Requirement for Portable Generators . pressure tires designed for off-road use and prepared a termination of On July 2, 2019, the Commission voted and intended by the manufacturer rulemaking briefing package that was to approve the publication of the primarily for recreational use by one or submitted to the Commission on Federal Register notice as drafted and it more persons. The salient November 22, 2016. The Commission was published in the Federal Register characteristics of an ROV include a voted not to terminate the rulemaking on July 9, 2019, opening a 60-day steering wheel for steering control, foot associated with ROVs. Staff continues to
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monitor and participate in voluntary Action Date FR Cite Action Date FR Cite standards activity related to ROVs. Timetable: Staff Sends Sup- 10/17/14 Commission Deci- 01/25/17 plemental Infor- sion Not to Ter- mation on minate. Action Date FR Cite ROVs to Com- Staff is Evaluating 11/00/20 mission. Voluntary Staff Sends 10/07/09 Commission Deci- 10/29/14 Standards. ANPRM Brief- sion. ing Package to NPRM Published 11/19/14 79 FR 68964 Commission. Regulatory Flexibility Analysis in FEDERAL Required: Yes. Commission Deci- 10/21/09 REGISTER. sion. NPRM Comment 01/23/15 80 FR 3535 Agency Contact: Caroleene Paul, ANPRM ...... 10/28/09 74 FR 55495 Period Ex- Project Manager, Directorate for ANPRM Comment 12/22/09 74 FR 67987 tended. Engineering Sciences, Consumer Period Ex- Extended Com- 04/08/15 Product Safety Commission, National tended. ment Period Product Testing and Evaluation Center, Extended Com- 03/15/10 End. 5 Research Place, Rockville, MD 20850, ment Period Staff Sends Brief- 11/22/16 Phone: 301 987–2225, Email: cpaul@ End. ing Package cpsc.gov. Staff Sends 09/24/14 Assessing Vol- RIN: 3041–AC78 NPRM Briefing untary Stand- Package to ards to Com- [FR Doc. 2019–26554 Filed 12–23–19; 8:45 am] Commission. mission. BILLING CODE 6355–01–P
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Vol. 84 Thursday, No. 247 December 26, 2019
Part XXV
Federal Communications Commission
Semiannual Regulatory Agenda
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FEDERAL COMMUNICATIONS Unified Agenda of Major and Other Notice of Inquiry (NOI)—issued by the COMMISSION Significant Proceedings Commission when it is seeking information on a broad subject or trying 47 CFR Ch. I The Commission encourages public to generate ideas on a given topic. A participation in its rulemaking process. comment period is specified during Semiannual Regulatory Agenda To help keep the public informed of which all interested parties may submit significant rulemaking proceedings, the comments. AGENCY: Federal Communications Commission has prepared a list of Notice of Proposed Rulemaking Commission. important proceedings now in progress. (NPRM)—issued by the Commission The General Services Administration ACTION: Semiannual regulatory agenda. when it is proposing a specific change publishes the Unified Agenda in the to Commission rules and regulations. Federal Register in the spring and fall Before any changes are actually made, SUMMARY: Twice a year, in spring and of each year. interested parties may submit written fall, the Commission publishes in the The following terms may be helpful in comments on the proposed revisions. Federal Register a list in the Unified understanding the status of the Further Notice of Proposed Agenda of those major items and other proceedings included in this report: Rulemaking (FNPRM)—issued by the significant proceedings under Commission when additional comment Docket Number—assigned to a development or review that pertain to in the proceeding is sought. proceeding if the Commission has the Regulatory Flexibility Act (U.S.C. Memorandum Opinion and Order issued either a Notice of Proposed 602). The Unified Agenda also provides (MO&O)—issued by the Commission to Rulemaking or a Notice of Inquiry the Code of Federal Regulations deny a petition for rulemaking, concerning the matter under citations and legal authorities that conclude an inquiry, modify a decision, consideration. The Commission has govern these proceedings. The complete or address a petition for reconsideration used docket numbers since January 1, Unified Agenda will be published on of a decision. 1978. Docket numbers consist of the last the internet in a searchable format at Rulemaking (RM) Number—assigned two digits of the calendar year in which www.reginfo.gov. to a proceeding after the appropriate the docket was established plus a bureau or office has reviewed a petition sequential number that begins at 1 with ADDRESSES: Federal Communications for rulemaking, but before the the first docket initiated during a Commission, 445 12th Street SW, Commission has taken action on the calendar year (e.g., Docket No. 15–1 or Washington, DC 20554. petition. Docket No. 17–1). The abbreviation for Report and Order (R&O)—issued by FOR FURTHER INFORMATION CONTACT: the responsible bureau usually precedes the Commission to state a new or Maura McGowan, Telecommunications the docket number, as in ‘‘MB Docket amended rule or state that the Policy Specialist, Federal No. 17–289,’’ which indicates that the Commission rules and regulations will Communications Commission, 445 12th responsible bureau is the Media Bureau. not be revised. Street SW, Washington, DC 20554, (202) A docket number consisting of only five 418–0990. digits (e.g., Docket No. 29622) indicates Marlene H. Dortch, that the docket was established before Secretary, Federal Communications SUPPLEMENTARY INFORMATION: January 1, 1978. Commission.
CONSUMER AND GOVERNMENTAL AFFAIRS BUREAU—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
418 ...... Rules and Regulations Implementing the Telephone Consumer Protection Act (TCPA) of 1991 (CG Dock- 3060–AI14 et No. 02–278). 419 ...... Rules and Regulations Implementing Section 225 of the Communications Act (Telecommunications Relay 3060–AI15 Service) (CG Docket No. 03–123). 420 ...... Structure and Practices of the Video Relay Service (VRS) Program (CG Docket No. 10–51) ...... 3060–AJ42 421 ...... Misuse of Internet Protocol (IP) Captioned Telephone Service; Telecommunications Relay Services and 3060–AK01 Speech-to-Speech Services; CG Docket No. 13–24. 422 ...... Advanced Methods to Target and Eliminate Unlawful Robocalls (CG Docket No. 17–59) ...... 3060–AK62
OFFICE OF ENGINEERING AND TECHNOLOGY—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
423 ...... Federal Earth Stations—Non-Federal Fixed Satellite Service Space Stations; Spectrum for Non-Federal 3060–AK09 Space Launch Operations; ET Docket No. 13–115. 424 ...... Authorization of Radio Frequency Equipment; ET Docket No. 13–44 ...... 3060–AK10 425 ...... Spectrum Access for Wireless Microphone Operations (GN Docket Nos. 14–166 and 12–268) ...... 3060–AK30 426 ...... Encouraging the Provision of New Technologies and Services to the Public (GN Docket No. 18–22) ...... 3060–AK80 427 ...... Spectrum Horizon (ET Docket No. 18–21) ...... 3060–AK81 428 ...... Amendment of Parts 1, 2, 15, 90, and 95 of the Commission’s Rules to Permit Radar Services in the 76– 3060–AK82 81 GHz Band (ET Docket No. 15–26).
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INTERNATIONAL BUREAU—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
429 ...... International Settlements Policy Reform (IB Docket No. 11–80) ...... 3060–AJ77 430 ...... Comprehensive Review of Licensing and Operating Rules for Satellite Services (IB Docket No. 12–267) .. 3060–AJ98 431 ...... Update to Parts 2 and 25 Concerning NonGeostationary, Fixed-Satellite Service Systems, and Related 3060–AK59 Matters: IB Docket No. I6–408. 432 ...... Amendment of Parts 2 and 25 of the FCC Rules to Facilitate the Use of Earth Stations in Motion Commu- 3060–AK84 nicating With Geostationary Orbit Space Stations in FSS Bands: IB Docket No. 17–95. 433 ...... Further Streamlining Part 25 Rules Governing Satellite Services: IB Docket No. 18–314 ...... 3060–AK87 434 ...... Streamlining Licensing Procedures for Small Satellites; IB Docket No. 18–86 ...... 3060–AK88 435 ...... Facilitating the Communications of Earth Stations in Motion With Non-Geostationary Orbit Space Stations: 3060–AK89 IB Docket No. 18–315. 436 ...... Mitigation of Orbital Debris in the New Space Age: IB Docket No. 18–313 ...... 3060–AK90
MEDIA BUREAU—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
437 ...... Cable Television Rate Regulation ...... 3060–AF41 438 ...... Implementation of the Cable Communications Policy Act of 1984 as Amended by the Cable Television 3060–AI69 Consumer Protection and Competition Act of 1992 (MB Docket No. 05–311). 439 ...... Authorizing Permissive Use of the ‘‘Next Generation’’ Broadcast Television Standard (GN Docket No. 16– 3060–AK56 142). 440 ...... Electronic Delivery of MVPD Communications (MB Docket No. 17–317) ...... 3060–AK70 441 ...... 2018 Quadrennial Regulatory Review of the Commission’s Broadcast Ownership Rules (MB Docket 18– 3060–AK77 349). 442 ...... Children’s Television Programming Rules (MB Docket 18–202) ...... 3060–AK78 443 ...... Amendment of Part 74 of the Commission’s Rules Regarding FM Translator Interference (MB Docket 18– 3060–AK79 119). 444 ...... Channel Lineup Requirements—Sections 76.1705 and 76.1700(a)(4): Modernization of Media Regulation 3060–AK85 Initiative: MB Docket Nos. 18–92 and 17–105. 445 ...... Equal Employment Opportunity Enforcement (MB Docket 19–77) ...... 3060–AK86
MEDIA BUREAU—COMPLETED ACTIONS
Regulation Sequence No. Title Identifier No.
446 ...... Digital Must-Carry (CS Docket No. 98–120) ...... 3060–AG91 447 ...... Enhanced and Standardized Disclosure (MM Docket No. 00–168; MB Docket No. 11–189) ...... 3060–AH71 448 ...... Digital Television Distributed Transmission System Technologies (MB Docket No. 05–312) ...... 3060–AI68 449 ...... An Inquiry Into the Commission’s Policies and Rules Regarding AM Radio Service Directional Antenna 3060–AJ17 Performance Verification (MM Docket No. 93–177).
OFFICE OF MANAGING DIRECTOR—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
450 ...... Assessment and Collection of Regulatory Fees ...... 3060–AK64
PUBLIC SAFETY AND HOMELAND SECURITY BUREAU—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
451 ...... Wireless E911 Location Accuracy Requirements: PS Docket No. 07–114 ...... 3060–AJ52 452 ...... Proposed Amendments to Service Rules Governing Public Safety Narrowband Operations in the 769–775 3060–AK19 and 799–805 MHz Bands; PS Docket No. 13–87. 453 ...... Improving Outage Reporting for Submarine Cables and Enhancing Submarine Cable Outage Data; GN 3060–AK39 Docket No. 15–206. 454 ...... Amendments to Part 4 of the Commission’s Rules Concerning Disruptions to Communications: PS Docket 3060–AK40 No. 15–80. 455 ...... New Part 4 of the Commission’s Rules Concerning Disruptions to Communications; ET Docket No. 04–35 3060–AK41 456 ...... Wireless Emergency Alerts (WEA): PS Docket No. 15–91 ...... 3060–AK54 457 ...... Blue Alert EAS Event Code ...... 3060–AK63
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WIRELESS TELECOMMUNICATIONS BUREAU—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
458 ...... Universal Service Reform Mobility Fund (WT Docket No. 10–208) ...... 3060–AJ58 459 ...... Improving Spectrum Efficiency Through Flexible Channel Spacing and Bandwidth Utilization for Economic 3060–AJ71 Area-Based 800 MHz Specialized Mobile Radio Licensees (WT Docket Nos. 12–64 and 11–110). 460 ...... Expanding the Economic and Innovation Opportunities of Spectrum Through Incentive Auctions (GN 3060–AJ82 Docket No. 12–268). 461 ...... Amendment of Parts 1, 2, 22, 24, 27, 90, and 95 of the Commission’s Rules to Improve Wireless Cov- 3060–AJ87 erage Through the Use of Signal Boosters (WT Docket No. 10–4). 462 ...... Amendment of the Commission’s Rules Governing Certain Aviation Ground Station Equipment (Squitter) 3060–AJ88 (WT Docket Nos. 10–61 and 09–42). 463 ...... Promoting Technological Solutions to Combat Wireless Contraband Device Use in Correctional Facilities; 3060–AK06 GN Docket No. 13–111. 464 ...... Promoting Investment in the 3550–3700 MHz Band; GN Docket No. 17–258 ...... 3060–AK12 465 ...... 800 MHz Cellular Telecommunications Licensing Reform; Docket No. 12–40 ...... 3060–AK13 466 ...... Updating Part 1 Competitive Bidding Rules (WT Docket No. 14–170) ...... 3060–AK28 467 ...... Use of Spectrum Bands Above 24 GHz for Mobile Services—Spectrum Frontiers: WT Docket 10–112 ...... 3060–AK44 468 ...... Transforming the 2.5 GHz Band ...... 3060–AK75 469 ...... Expanding Flexible Use of the 3.7 to 4.2 GHz Band: GN Docket No. 18–122 ...... 3060–AK76 470 ...... Amendment of the Commission’s Rules to Promote Aviation Safety: WT Docket No. 19–140 ...... 3060–AK92
WIRELESS TELECOMMUNICATIONS BUREAU—COMPLETED ACTIONS
Regulation Sequence No. Title Identifier No.
471 ...... Review of Part 87 of the Commission’s Rules Concerning Aviation (WT Docket No. 01–289) ...... 3060–AI35 472 ...... Amendment of Part 101 of the Commission’s Rules for Microwave Use and Broadcast Auxiliary Service 3060–AJ47 Flexibility. 473 ...... Fixed and Mobile Services in the Mobile Satellite Service Bands at 1525–1559 MHz and 1626.5–1660.5 3060–AJ59 MHz, 1610–1626.5 MHz and 2483.5–2500 MHz, and 2000–2020 MHz and 2180–2200 MHz.
WIRELINE COMPETITION BUREAU—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
474 ...... Telecommunications Carriers’ Use of Customer Proprietary Network Information and Other Customer In- 3060–AG43 formation (CC Docket No. 96–115). 475 ...... Numbering Resource Optimization ...... 3060–AH80 476 ...... Jurisdictional Separations ...... 3060–AJ06 477 ...... Service Quality Measurement Plan for Interstate Special Access (WC Docket No. 02–112; CC Docket No. 3060–AJ08 00–175; WC Docket No. 06–120). 478 ...... Development of Nationwide Broadband Data to Evaluate Reasonable and Timely Deployment of Ad- 3060–AJ15 vanced Services to All Americans. 479 ...... Local Number Portability Porting Interval and Validation Requirements (WC Docket No. 07–244) ...... 3060–AJ32 480 ...... Rural Call Completion; WC Docket No. 13–39 ...... 3060–AJ89 481 ...... Rates for Inmate Calling Services; WC Docket No. 12–375 ...... 3060–AK08 482 ...... Comprehensive Review of the Part 32 Uniform System of Accounts (WC Docket No. 14–130) ...... 3060–AK20 483 ...... Restoring Internet Freedom (WC Docket No. 17–108); Protecting and Promoting the Open Internet (GN 3060–AK21 Docket No. 14–28). 484 ...... Technology Transitions; GN Docket No 13–5, WC Docket No. 05–25; Accelerating Wireline Broadband 3060–AK32 Deployment by Removing Barriers to Infrastructure Investment; WC Docket No. 17–84. 485 ...... Numbering Policies for Modern Communications, WC Docket No. 13–97 ...... 3060–AK36 486 ...... Implementation of the Universal Service Portions of the 1996 Telecommunications Act ...... 3060–AK57 487 ...... Toll Free Assignment Modernization and Toll Free Service Access Codes: WC Docket No. 17–192, CC 3060–AK91 Docket No. 95–155.
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FEDERAL COMMUNICATIONS Agency Contact: Kristi Thornton, Action Date FR Cite COMMISSION (FCC) Associate Division Chief, Federal Communications Commission, 445 12th Declaratory Ruling 07/06/06 71 FR 38268 Consumer and Governmental Affairs Street SW, Washington, DC 20554, on Reconsider- Bureau Phone: 202 418–2467, Email: ation. Long-Term Actions [email protected]. Order on Recon- 08/16/06 71 FR 47141 sideration. 418. Rules and Regulations RIN: 3060–AI14 MO&O ...... 08/16/06 71 FR 47145 Implementing the Telephone Consumer 419. Rules and Regulations Clarification ...... 08/23/06 71 FR 49380 FNPRM ...... 09/13/06 71 FR 54009 Protection Act (TCPA) of 1991 (CG Implementing Section 225 of the Docket No. 02–278) Final Rule; Clari- 02/14/07 72 FR 6960 Communications Act fication. E.O. 13771 Designation: Independent (Telecommunications Relay Service) Order ...... 03/14/07 72 FR 11789 agency. (CG Docket No. 03–123) R&O ...... 08/06/07 72 FR 43546 Legal Authority: 47 U.S.C. 227 Public Notice ...... 08/16/07 72 FR 46060 Abstract: In this docket, the E.O. 13771 Designation: Independent Order ...... 11/01/07 72 FR 61813 Commission considers rules and agency. Public Notice ...... 01/04/08 73 FR 863 policies to implement the Telephone Legal Authority: 47 U.S.C. 151; 47 R&O/Declaratory 01/17/08 73 FR 3197 Consumer Protection Act of 1991 U.S.C. 154; 47 U.S.C. 225 Ruling. Order ...... 02/19/08 73 FR 9031 (TCPA). The TCPA places requirements Abstract: This proceeding continues Order ...... 04/21/08 73 FR 21347 on robocalls (calls using an automatic the Commission’s inquiry into R&O ...... 04/21/08 73 FR 21252 telephone dialing system, an autodialer, improving the quality of Order ...... 04/23/08 73 FR 21843 a prerecorded or, an artificial voice), telecommunications relay service (TRS) Public Notice ...... 04/30/08 73 FR 23361 telemarketing calls, and unsolicited fax and furthering the goal of functional Order ...... 05/15/08 73 FR 28057 advertisements. equivalency, consistent with Congress’ Declaratory Ruling 07/08/08 73 FR 38928 Timetable: mandate that TRS regulations encourage FNPRM ...... 07/18/08 73 FR 41307 the use of existing technology and not R&O ...... 07/18/08 73 FR 41286 Action Date FR Cite Public Notice ...... 08/01/08 73 FR 45006 discourage or impair the development of Public Notice ...... 08/05/08 73 FR 45354 new technology. In this docket, the NPRM ...... 10/08/02 67 FR 62667 Public Notice ...... 10/10/08 73 FR 60172 FNPRM ...... 04/03/03 68 FR 16250 Commission explores ways to improve Order ...... 10/23/08 73 FR 63078 Order ...... 07/25/03 68 FR 44144 emergency preparedness for TRS 2nd R&O and 12/30/08 73 FR 79683 Order Effective .... 08/25/03 facilities and services, new TRS Order on Re- Order on Recon- 08/25/03 68 FR 50978 technologies, public access to consideration. sideration. information and outreach, and issues Order ...... 05/06/09 74 FR 20892 Order ...... 10/14/03 68 FR 59130 related to payments from the Interstate Public Notice ...... 05/07/09 74 FR 21364 FNPRM ...... 03/31/04 69 FR 16873 TRS Fund. NPRM ...... 05/21/09 74 FR 23815 Order ...... 10/08/04 69 FR 60311 Public Notice ...... 05/21/09 74 FR 23859 Order ...... 10/28/04 69 FR 62816 Timetable: Public Notice ...... 06/12/09 74 FR 28046 Order on Recon- 04/13/05 70 FR 19330 Order ...... 07/29/09 74 FR 37624 sideration. Action Date FR Cite Public Notice ...... 08/07/09 74 FR 39699 Order ...... 06/30/05 70 FR 37705 Order ...... 09/18/09 74 FR 47894 NPRM ...... 12/19/05 70 FR 75102 NPRM ...... 08/25/03 68 FR 50993 Order ...... 10/26/09 74 FR 54913 Public Notice ...... 04/26/06 71 FR 24634 R&O, Order on 09/01/04 69 FR 53346 Public Notice ...... 05/12/10 75 FR 26701 Order ...... 05/03/06 71 FR 25967 Reconsideration. Order Denying 07/09/10 NPRM ...... 12/14/07 72 FR 71099 FNPRM ...... 09/01/04 69 FR 53382 Stay Motion Declaratory Ruling 02/01/08 73 FR 6041 Public Notice ...... 02/17/05 70 FR 8034 (Release Date). R&O ...... 07/14/08 73 FR 40183 Declaratory Rul- 02/25/05 70 FR 9239 Order ...... 08/13/10 75 FR 49491 Order on Recon- 10/30/08 73 FR 64556 ing/Interpreta- Order ...... 09/03/10 75 FR 54040 sideration. tion. NPRM ...... 11/02/10 75 FR 67333 NPRM ...... 03/22/10 75 FR 13471 Public Notice ...... 03/07/05 70 FR 10930 NPRM ...... 05/02/11 76 FR 24442 R&O ...... 06/11/12 77 FR 34233 Order ...... 03/23/05 70 FR 14568 Order ...... 07/25/11 76 FR 44326 Public Notice ...... 06/30/10 75 FR 34244 Public Notice/An- 04/06/05 70 FR 17334 Final Rule (Order) 09/27/11 76 FR 59551 Public Notice (Re- 10/03/12 77 FR 60343 nouncement of Final Rule; An- 11/22/11 76 FR 72124 consideration Date. nouncement of Petitions Filed). Order ...... 07/01/05 70 FR 38134 Effective Date. Announcement of 10/16/12 77 FR 63240 Order on Recon- 08/31/05 70 FR 51643 Proposed Rule 02/28/12 77 FR 11997 Effective Date. sideration. (Public Notice). Opposition End 10/18/12 R&O ...... 08/31/05 70 FR 51649 Proposed Rule 02/01/12 77 FR 4948 Date. Order ...... 09/14/05 70 FR 54294 (FNPRM). Rule Corrections 11/08/12 77 FR 66935 Order ...... 09/14/05 70 FR 54298 First R&O ...... 07/25/12 77 FR 43538 Declaratory Ruling 11/29/12 Public Notice ...... 10/12/05 70 FR 59346 Public Notice ...... 10/29/12 77 FR 65526 (release date). R&O/Order on 12/23/05 70 FR 76208 Order on Recon- 12/26/12 77 FR 75894 Declaratory Ruling 05/09/13 Reconsideration. sideration. (release date). Order ...... 12/28/05 70 FR 76712 Order ...... 02/05/13 78 FR 8030 Declaratory Ruling 10/09/15 80 FR 61129 Order ...... 12/29/05 70 FR 77052 Order (Interim 02/05/13 78 FR 8032 and Order. NPRM ...... 02/01/06 71 FR 5221 Rule). NPRM ...... 05/20/16 81 FR 31889 Declaratory Rul- 05/31/06 71 FR 30818 NPRM ...... 02/05/13 78 FR 8090 Declaratory Ruling 07/05/16 ing/Clarification. Announcement of 03/07/13 78 FR 14701 R&O ...... 11/16/16 81 FR 80594 FNPRM ...... 05/31/06 71 FR 30848 Effective Date. Next Action Unde- FNPRM ...... 06/01/06 71 FR 31131 NPRM Comment 03/13/13 termined. Declaratory Rul- 06/21/06 71 FR 35553 Period End. ing/Dismissal of FNPRM ...... 07/05/13 78 FR 40407 Regulatory Flexibility Analysis Petition. FNPRM Comment 09/18/13 Required: Yes. Clarification ...... 06/28/06 71 FR 36690 Period End.
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Action Date FR Cite Action Date FR Cite efficient way to make VRS available and to determine what is the most fair, R&O ...... 07/05/13 78 FR 40582 Public Notice 07/31/17 efficient, and transparent cost-recovery R&O ...... 08/15/13 78 FR 49693 Comment Pe- methodology. In addition, the FNPRM ...... 08/15/13 78 FR 49717 riod End. Commission looks at various ways to FNPRM Comment 09/30/13 Public Notice— 08/17/17 measure the quality of VRS so as to Period End. Correction Comment Pe- ensure a better consumer experience. R&O ...... 08/30/13 78 FR 53684 Timetable: FNPRM ...... 09/03/13 78 FR 54201 riod End. R&O ...... 08/22/17 82 FR 39673 NPRM ...... 10/23/13 78 FR 63152 Action Date FR Cite FNPRM Comment 11/18/13 Announcement of 10/17/17 82 FR 48203 Effective Date. Period End. Declaratory Ruling 05/07/10 75 FR 25255 Petiton for Recon- 12/16/13 78 FR 76096 Public Notice; Pe- 10/25/17 82 FR 49303 tition for Recon- Declaratory Ruling 07/13/10 75 FR 39945 sideration; Re- Order ...... 07/13/10 75 FR 39859 quest for Com- sideration. Oppositions Due 11/20/17 Notice of Inquiry .. 07/19/10 75 FR 41863 ment. NPRM ...... 08/23/10 75 FR 51735 Date. Petition for Re- 12/16/13 78 FR 76097 Interim Final Rule 02/15/11 76 FR 8659 R&O and Declara- 06/27/18 83 FR 30082 consideration; Public Notice ...... 03/02/11 76 FR 11462 tory Ruling. Request for R&O ...... 05/02/11 76 FR 24393 FNPRM ...... 07/18/18 83 FR 33899 Comment. FNPRM ...... 05/02/11 76 FR 24437 FNPRM Comment 11/15/18 Request for Clari- 12/30/13 78 FR 79362 NPRM ...... 05/02/11 76 FR 24442 Period End. fication; Re- R&O (Correction) 05/27/11 76 FR 30841 Public Notice ...... 08/23/18 83 FR 42630 quest for Com- Order ...... 07/25/11 76 FR 44326 Public Notice Op- 09/17/18 ment; Correc- 2nd R&O ...... 08/05/11 76 FR 47469 position Period tion. Order (Interim 08/05/11 76 FR 47476 End. Petition for Re- 01/10/14 Final Rule). Announcement of 02/04/19 84 FR 1409 consideration Final Rule; An- 09/26/11 76 FR 59269 Effective Date. Comment Pe- nouncement of R&O ...... 03/08/19 84 FR 8457 riod End. Effective Date. FNPRM ...... 03/14/19 84 FR 9276 Final Rule; Peti- 09/27/11 76 FR 59557 NPRM Comment 01/21/14 FNPRM Comment 04/29/19 tion for Recon- Period End. Period End. sideration; Pub- Announcement of 07/11/14 79 FR 40003 R&O ...... 06/06/19 84 FR 26364 lic Notice. Effective Date. FNPRM ...... 06/06/19 84 FR 26379 Oppositions Due 10/07/11 Announcement of 08/28/14 79 FR 51446 Petition for Recon 06/18/19 84 FR 28264 Date. Effective Date. Request for Final Rule; Clari- 10/31/11 76 FR 67070 Correction—An- 08/28/14 79 FR 51450 Comment. fication (MO&O). nouncement of Petition for Recon 07/15/19 FNPRM ...... 10/31/11 76 FR 67118 Effective Date. Comment Pe- Interim Final Rule; 11/03/11 76 FR 68116 Technical Amend- 09/09/14 79 FR 53303 riod End. Announcement ments. FNPRM Comment 08/05/19 of Effective Public Notice ...... 09/15/14 79 FR 54979 Period End. Date. R&O and Order ... 10/21/14 79 FR 62875 Next Action Unde- Final Rule; An- 11/04/11 76 FR 68328 FNPRM ...... 10/21/14 79 FR 62935 termined. FNPRM Comment 12/22/14 nouncement of Effective Date. Period End. Regulatory Flexibility Analysis Final Action (An- 10/30/14 79 FR 64515 Final Rule; An- 11/07/11 76 FR 68642 Required: Yes. nouncement of nouncement of Agency Contact: Eliot Greenwald, Effective Date). Effective Date. Deputy Chief, Disability Rights Office, FNPRM Comment 12/30/11 Final Rule Effec- 10/30/14 Federal Communications Commission, Period End. tive. FNPRM ...... 02/01/12 77 FR 4948 FNPRM ...... 11/08/15 80 FR 72029 445 12th Street SW, Washington, DC FNPRM Comment 03/19/12 FNPRM Comment 01/01/16 20554, Phone: 202 418–2235, Email: Period End. Period End. [email protected]. RIN: 3060–AI15 Final Rule; Cor- 03/27/12 77 FR 18106 Public Notice ...... 01/20/16 81 FR 3085 rection. Public Notice 02/16/16 420. Structure and Practices of the Correcting 06/07/12 77 FR 33662 Comment Pe- Video Relay Service (VRS) Program Amendments. riod End. (CG Docket No. 10–51) Order (Release 07/25/12 R&O ...... 03/21/16 81 FR 14984 Date). FNPRM ...... 08/24/16 81 FR 57851 E.O. 13771 Designation: Independent Correcting 10/04/12 77 FR 60630 FNPRM Comment 09/14/16 agency. Amendments. Period End. Legal Authority: 47 U.S.C. 151; 47 Public Notice ...... 10/29/12 77 FR 65526 NOI and FNPRM 04/12/17 82 FR 17613 U.S.C. 154; 47 U.S.C. 225; 47 U.S.C. Comment Period 11/29/12 NOI and FNPRM 05/30/17 303(r) End. Comment Pe- Abstract: The Commission takes a FNPRM ...... 07/05/13 78 FR 40407 riod End. fresh look at its VRS rules to ensure that R&O ...... 07/05/13 78 FR 40582 R&O ...... 04/13/17 82 FR 17754 it is available to and used by the full FNPRM Comment 09/18/13 R&O ...... 04/27/17 82 FR 19322 spectrum of eligible users, encourages Period End. FNPRM ...... 04/27/17 82 FR 19347 innovation, and is provided efficiently Public Notice ...... 09/11/13 78 FR 55696 FNPRM Comment 07/11/17 Public Notice ...... 09/15/14 79 FR 54979 Period End. to be less susceptible to the waste, Comment Period 10/10/14 R&O ...... 06/23/17 82 FR 28566 fraud, and abuse that have plagued the End. Public Notice ...... 07/21/17 82 FR 33856 program and threatened its long-term Final Action (An- 10/30/14 79 FR 64515 Public Notice— 07/25/17 82 FR 34471 viability. The Commission also nouncement of Correction. considers the most effective and Effective Date).
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Action Date FR Cite to the provision and marketing of IP Agency Contact: Eliot Greenwald, CTS, as well as compensation of TRS Deputy Chief, Disability Rights Office, Final Rule Effec- 10/30/14 providers. IP CTS is a form of relay Federal Communications Commission, tive. service designed to allow people with 445 12th Street SW, Washington, DC FNPRM ...... 11/18/15 80 FR 72029 hearing loss to speak directly to another 20554, Phone: 202 418–2235, Email: FNPRM Comment 02/01/16 party on a telephone call and to [email protected]. Period End. RIN: 3060–AK01 R&O ...... 03/21/16 81 FR 14984 simultaneously listen to the other party FNPRM ...... 08/24/16 81 FR 57851 and read captions of what that party is 422. Advanced Methods To Target and FNPRM Comment 09/14/16 saying over an IP-enabled device. To Eliminate Unlawful Robocalls (CG Period End. ensure that IP CTS is provided Docket No. 17–59) NOI and FNPRM 04/12/17 82 FR 17613 efficiently to persons who need to use NOI and FNPRM 05/30/17 this service, the Commission adopted E.O. 13771 Designation: Independent Comment Pe- rules establishing several requirements agency. riod End. and issued an FNPRM to address Legal Authority: 47 U.S.C. 201 and R&O ...... 04/13/17 82 FR 17754 additional issues. 202; 47 U.S.C. 227; 47 U.S.C. 251(e) R&O ...... 04/27/17 82 FR 19322 Timetable: Abstract: The Telephone Consumer FNPRM ...... 04/27/17 82 FR 19347 Protection Act of 1991 restricts the use FNPRM Comment 07/01/17 Action Date FR Cite of robocalls autodialed or prerecorded Period End. calls in certain instances. In CG Docket Order ...... 06/23/17 82 FR 28566 NPRM ...... 02/05/13 78 FR 8090 Public Notice ...... 07/21/17 82 FR 33856 No. 17–59, the Commission considers Order (Interim 02/05/13 78 FR 8032 rules and policies aimed at eliminating Public Notice 07/31/17 Rule). Comment Pe- unlawful robocalling. Among the issues Order ...... 02/05/13 78 FR 8030 it examines in this docket are whether riod End. Announcement of 03/07/13 78 FR 14701 Public Notice Cor- 07/25/17 82 FR 34471 Effective Date. to allow carriers to block calls that rection. NPRM Comment 03/12/13 purport to be from unallocated or Public Notice Cor- 08/17/17 Period End. unassigned phone numbers through the rection Com- R&O ...... 08/30/13 78 FR 53684 use of spoofing, whether to allow ment Period FNPRM ...... 09/03/13 78 FR 54201 carriers to block calls based on their End. FNPRM Comment 11/18/13 own analyses of which calls are likely R&O and Order ... 08/22/17 82 FR 39673 Period End. Announcement of 10/17/17 82 FR 48203 to be unlawful and whether to establish Petition for Re- 12/16/13 78 FR 76097 a database of reassigned phone numbers Effective Date. consideration Public Notice; Pe- 10/25/17 82 FR 49303 Request for to help prevent robocalls to consumers, tition for Recon- Comment. who did not consent to such calls. sideration. Petiton for Recon- 01/10/14 Timetable: Oppositions Due 11/20/17 sideration Com- Date. ment Period Action Date FR Cite R&O ...... 06/06/19 84 FR 26364 End. FNPRM ...... 06/06/19 84 FR 26379 Announcement of 07/11/14 79 FR 40003 NPRM/NOI ...... 05/17/17 82 FR 22625 FNPRM Comment 08/05/19 Effective Date. 2nd NOI ...... 07/13/17 Period End. Announcement of 08/28/14 79 FR 51446 NPRM Comment 07/31/17 Next Action Unde- Effective Date. Period End. termined. Correction—An- 08/28/14 79 FR 51450 FNPRM ...... 01/08/18 83 FR 770 nouncement of R&O ...... 01/12/18 83 FR 1566 Regulatory Flexibility Analysis Effective Date. 2nd FNPRM ...... 04/23/18 83 FR 17631 Required: Yes. Technical Amend- 09/09/14 79 FR 53303 2nd FNPRM 06/07/18 Agency Contact: Eliot Greenwald, ments. Comment Pe- Deputy Chief, Disability Rights Office, R&O and Declara- 06/27/18 83 FR 30082 riod End. Federal Communications Commission, tory Ruling. 2nd FNPRM 07/09/18 FNPRM ...... 07/18/18 83 FR 33899 Reply Comment 445 12th Street SW, Washington, DC Period End. 20554, Phone: 202 418–2235, Email: Public Notice ...... 08/23/18 83 FR 42630 Public Notice Op- 09/07/18 2nd R&O ...... 03/26/19 84 FR 11226 [email protected]. position Period 3rd FNPRM ...... 06/24/19 84 FR 29478 RIN: 3060–AJ42 End. Declaratory Ruling 06/24/19 84 FR 29387 421. Misuse of Internet Protocol (IP) FNPRM Comment 11/15/18 Next Action Unde- termined. Captioned Telephone Service; Period End. Telecommunications Relay Services Announcement of 02/04/19 84 FR 1409 Effective Date. Regulatory Flexibility Analysis and Speech-to-Speech Services; CG R&O ...... 03/08/19 84 FR 8457 Required: Yes. Docket No. 13–24 FNPRM ...... 03/14/19 84 FR 9276 Agency Contact: Josh Zeldis, Attorney E.O. 13771 Designation: Independent FNPRM Comment 04/29/19 Advisor, Federal Communications agency. Period End. Commission, 445 12th Street SW, Legal Authority: 47 U.S.C. 151; 47 Petition for Recon 06/18/19 84 FR 28264 Washington, DC 20554, Phone: 202 418– U.S.C. 154; 47 U.S.C. 225 Request for 0715, Email: [email protected]. Abstract: The Federal Comment. Petition for Recon 07/15/19 Karen Schroeder, Attorney Advisor, Communications Commission (FCC) Comment Pe- Federal Communications Commission, initiated this proceeding in its effort to riod End. 445 12th Street SW, Washington, DC ensure that Internet-Protocol Captioned Next Action Unde- 20554, Phone: 202 418–0654, Email: Telephone Service (IP CTS) is provided termined. [email protected]. effectively and in the most efficient Jerusha Burnett, Attorney Advisor, manner. In doing so, the FCC adopted Regulatory Flexibility Analysis Federal Communications Commission, rules to address certain practices related Required: Yes. 445 12th Street SW, Washington, DC
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20554, Phone: 202 418–0526, Email: RIN: 3060–AK09 equipment compliance. Finally, it [email protected]. proposes certain modifications to the 424. Authorization of Radio Frequency RIN: 3060–AK62 rules regarding TCBs that approve Equipment; ET Docket No. 13–44 terminal equipment under part 68 of the E.O. 13771 Designation: Independent rules that are consistent with our agency. proposed modifications to the rules for FEDERAL COMMUNICATIONS Legal Authority: 47 U.S.C. 151; 47 COMMISSION (FCC) TCBs that approve RF equipment. U.S.C. 154(i); 47 U.S.C. 157(a); 47 U.S.C. Specifically, the Commission proposes Office of Engineering and Technology 301; 47 U.S.C. 303(f); 47 U.S.C. 303(g); to recognize the National Institute for 47 U.S.C. 303(r); 47 U.S.C. 307(e); 47 Long-Term Actions Standards and Technology (NIST) as the U.S.C. 332 organization that designates TCBs in the 423. Federal Earth Stations—Non- Abstract: The Commission is United States and to modify the rules to Federal Fixed Satellite Service Space responsible for an equipment reference the current International Stations; Spectrum For Non-Federal authorization program for radio Organization for Standardization and Space Launch Operations; ET Docket frequency (RF) devices under part 2 of International Electrotechnical its rules. This program is one of the No. 13–115 Commission (ISO/IEC) guides used to primary means that the Commission accredit TCBs. E.O. 13771 Designation: Independent uses to ensure that the multitude of RF agency. This Report and Order updates the devices used in the United States Commission’s radiofrequency (RF) Legal Authority: 47 U.S.C. 154; 47 operate effectively without causing U.S.C. 302(a); 47 U.S.C. 303; 47 U.S.C. equipment authorization program to harmful interference and otherwise build on the success realized by its use 336 comply with the Commission rules. All Abstract: The Notice of Proposed of Commission-recognized RF devices subject to equipment Telecommunications Certification Rulemaking proposes to make spectrum authorization must comply with the Bodies (TCBs). The rules the allocation proposals for three different Commission’s technical requirement Commission is adopting will facilitate space-related purposes. The before they can be imported or the continued rapid introduction of new Commission makes two alternative marketed. The Commission or a and innovative products to the market proposals to modify the Allocation Telecommunication Certification Body while ensuring that these products do Table to provide interference protection (TCB) must approve some of these not cause harmful interference to each for Fixed-Satellite Service (FSS) and devices before they can be imported or other or to other communications Mobile-Satellite Service (MSS) earth marketed, while others do not require devices and services. stations operated by Federal agencies such approval. The Commission last Timetable: under authorizations granted by the comprehensively reviewed its National Telecommunications and equipment authorization program more Action Date FR Cite Information Administration (NTIA) in than 10 years ago. The rapid innovation certain frequency bands. The in equipment design since that time has NPRM ...... 05/03/13 78 FR 25916 Commission also proposes to amend a led to ever-accelerating growth in the R&O ...... 06/12/15 80 FR 33425 footnote to the Allocation Table to number of parties applying for Memorandum, 06/29/16 81 FR 42264 permit a Federal MSS system to operate equipment approval. The Commission Opinion & in the 399.9 to 400.05 MHz band; it also therefore believes that the time is now Order. makes alternative proposals to modify right for us to comprehensively review Next Action Unde- termined. the Allocation Table to provide access our equipment authorization processes to spectrum on an interference protected to ensure that they continue to enable basis to Commission licensees for use Regulatory Flexibility Analysis this growth and innovation in the Required: Yes. during the launch of launch vehicles wireless equipment market. In May (i.e., rockets). The Commission also Agency Contact: Hugh Van Tuyl, 2012, the Commission began this reform Electronics Engineer, Federal seeks comment broadly on the future process by issuing an Order to increase spectrum needs of the commercial space Communications Commission, Office of the supply of available grantee codes. Engineering and Technology, 445 12th sector. The Commission expects that, if With this Notice of Proposed adopted, these proposals would advance Street SW, Washington, DC 20554, Rulemaking (NPRM), the Commission Phone: 202 418–7506, Fax: 202 418– the commercial space industry and the continues its work to review and reform important role it will play in our 1944, Email: [email protected]. the equipment authorization processes RIN: 3060–AK10 Nation’s economy and technological and rules. This Notice of Proposed innovation now and in the future. Rulemaking proposes certain changes to 425. Spectrum Access for Wireless Timetable: the Commission’s part 2 equipment Microphone Operations (GN Docket authorization processes to ensure that Nos. 14–166 and 12–268) Action Date FR Cite they continue to operate efficiently and E.O. 13771 Designation: Independent NPRM ...... 07/01/13 78 FR 39200 effectively. In particular, it addresses agency. Next Action Unde- the role of TCBs in certifying RF Legal Authority: 47 U.S.C. 151; 47 termined. equipment and post-market U.S.C. 154(i); 47 U.S.C. 157(a); 47 U.S.C. surveillance, as well as the 301; 47 U.S.C. 303(f); 47 U.S.C. 303(g); Regulatory Flexibility Analysis Commission’s role in assessing TCB 47 U.S.C. 303(r); 47 U.S.C. 307(e); 47 Required: Yes. performance. The NPRM also addressed U.S.C. 332 Agency Contact: Nicholas Oros, the role of test laboratories in the RF Abstract: The Notice of Proposed Rule Electronics Engineer, Federal equipment approval process, including Making initiated a proceeding to Communications Commission, 445 12th accreditation of test labs and the address how to accommodate the long- Street SW, Washington, DC 20554, Commission’s recognition of laboratory term needs of wireless microphone Phone: 202 418–0636, Email: accreditation bodies, and measurement users. Wireless microphones play an [email protected]. procedures used to determine RF important role in enabling broadcasters
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and other video programming networks microphones on an unlicensed basis all too often regulatory delays can to serve consumers, including as they and that meet certain criteria to obtain adversely impact newly proposed cover breaking news and broadcast live a part 74 license to operate in the TV technologies or services. sports events. They enhance event bands (and the 600 MHz service band Timetable: productions in a variety of settings during the post-auction transition including theaters and music venues, period), thereby allowing them to Action Date FR Cite film studios, conventions, corporate register in the white spaces databases NPRM ...... 04/04/18 83 FR 14395 events, houses of worship, and internet for interference protection from Comment Period 05/04/18 webcasts. They also help create high- unlicensed white space devices at End. quality content that consumers demand venues where their events/productions Next Action Unde- and value. Recent actions by the are performed. In addition, we propose termined. Commission, and in particular the to permit these same users, based on repurposing of broadcast television demonstrated need, also to obtain a part Regulatory Flexibility Analysis band spectrum for wireless services set 74 license to operate on other bands Required: Yes. forth in the Incentive Auction Report available for use by part 74 wireless Agency Contact: Paul Murray, and Order, will significantly alter the microphone licensees, provided that Attorney Advisor, Federal regulatory environment in which they meet the applicable requirements Communications Commission, Office of wireless microphones operate, which for operating in those bands. Engineering and Technology, 445 12th necessitates our addressing how to Timetable: Street SW, Washington, DC 20554, accommodate wireless microphone Phone: 202 418–0688, Fax: 202 418– users in the future. Action Date FR Cite 7447, Email: [email protected]. In the Report and Order, the RIN: 3060–AK80 Commission takes several steps to NPRM ...... 11/21/14 79 FR 69387 427. Spectrum Horizon (ET Docket No. accommodate the long-term needs of NPRM Comment 01/05/15 18–21) wireless microphone users. Wireless Period End. microphones play an important role in NPRM Reply 01/26/15 E.O. 13771 Designation: Independent Comment Pe- agency. enabling broadcasters and other video riod End. programming networks to serve Legal Authority: 47 U.S.C. 151 and R&O ...... 11/17/15 80 FR 71702 152; 47 U.S.C. 154; 47 U.S.C. 157; 47 consumers, including as they cover FNPRM ...... 09/01/17 82 FR 41583 breaking news and live sports events. Order on Recon .. 09/01/17 82 FR 41549 U.S.C. 201; 47 U.S.C. 301; 47 U.S.C. They enhance event productions in a Next Action Unde- 302(a); 47 U.S.C. 303; 47 U.S.C. 307; 47 variety of settings including theaters termined. U.S.C. 310; 47 U.S.C. 332; sec. 76 of and music venues, film studios, 1996 Telecom Act, as amended, 47 conventions, corporate events, houses of Regulatory Flexibility Analysis U.S.C. 302 and sec. 1.411 worship, and internet webcasts. They Required: Yes. Abstract: In this proceeding, the FCC also help create high-quality content Agency Contact: Paul Murray, seeks to implement a plan to make the that consumers demand and value. In Attorney Advisor, Federal spectrum above 95 GHz more readily particular, the Commission provides Communications Commission, Office of accessible for new innovative services additional opportunities for wireless Engineering and Technology, 445 12th and technologies. Throughout its microphone operations in the TV bands Street SW, Washington, DC 20554, history, when the Commission has following the upcoming incentive Phone: 202 418–0688, Fax: 202 418– expanded access to what was thought to auction, and the Commission provides 7447, Email: [email protected]. be the upper reaches of the usable new opportunities for wireless RIN: 3060–AK30 spectrum, new technological advances have emerged to push the boundary of microphone operations to access 426. Encouraging the Provision of New spectrum in other frequency bands usable spectrum even further. The Technologies and Services to the Public frequencies above 95 GHz are today’s where they can share use of the bands (GN Docket No. 18–22) without harming existing users. spectrum horizons. The Notice sought In the Order on Reconsideration, we E.O. 13771 Designation: Independent comment on proposed rules to permit address the four petitions for agency. licensed fixed point-to-point operations reconsideration of the Wireless Legal Authority: 47 U.S.C. 151; 47 in a total of 102.2 gigahertz of spectrum; Microphones R&O concerning licensed U.S.C. 154(i); 47 U.S.C. 154(3) on making 15.2 gigahertz of spectrum wireless microphone operations in the Abstract: In this proceeding, the FCC available for unlicensed use; and on TV bands, the 600 MHz duplex gap, and seeks to establish rules describing creating a new category of experimental several other frequency bands, as well guidelines and procedures to implement licenses to increase opportunities for as three petitions for reconsideration of the stated policy goal of section 7 to entities to develop new services and the TV bands part 15 R&O concerning encourage the provision of new technologies from 95 GHz to 3 THz with unlicensed wireless microphone technologies and services to the public. no limits on geography or technology. operations in the TV bands, the 600 Although the forces of competition and Timetable: MHz guard bands and duplex gap, and technological growth work together to the 600 MHz service band. Because enable the development and Action Date FR Cite these petitions involve several deployment of many new technologies and services to the public, the NPRM ...... 04/02/18 83 FR 13888 overlapping technical and operational ANPRM Comment 05/02/18 issues concerning wireless Commission has at times been slow to Period End. microphones, we consolidate our identify and take action to ensure that R&O ...... 06/14/19 84 FR 25685 consideration of them in this one order. important new technologies or services Next Action Unde- In the Further Notice, we propose to are made available as quickly as termined. permit certain professional theater, possible. The Commission has sought to music, performing arts, or similar overcome these impediments by Regulatory Flexibility Analysis organizations that operate wireless streamlining many of its processes but Required: Yes.
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Agency Contact: Michael Ha, Deputy FEDERAL COMMUNICATIONS Division, Federal Communications Division Chief, Federal COMMISSION (FCC) Commission, International Bureau, 445 12th Street SW, Washington, DC 20554, Communications Commission, 445 12th International Bureau Street SW, Washington, DC 20554, Phone: 202 418–7443, Fax: 202 418– Phone: 201 418–2099, Email: Long-Term Actions 2824, Email: [email protected]. [email protected]. 429. International Settlements Policy RIN: 3060–AJ77 RIN: 3060–AK81 Reform (IB Docket No. 11–80) 430. Comprehensive Review of Licensing and Operating Rules for 428. Amendment of Parts 1, 2, 15, 90, E.O. 13771 Designation: Independent Satellite Services (IB Docket No. 12– and 95 of the Commission’s Rules To agency. Legal Authority: 47 U.S.C. 151 to 152; 267) Permit Radar Services in the 76–81 47 U.S.C. 154; 47 U.S.C. 201 to 205; 47 GHZ Band (ET Docket No. 15–26) E.O. 13771 Designation: Independent U.S.C. 208; 47 U.S.C. 211; 47 U.S.C. 214; agency. E.O. 13771 Designation: Independent 47 U.S.C. 303(r); 47 U.S.C. 309; 47 Legal Authority: 47 U.S.C. 154(i); 47 agency. U.S.C. 403 U.S.C. 157(a); 47 U.S.C. 161; 47 U.S.C. Abstract: The FCC is reviewing the 303(c); 47 U.S.C. 303(g); 47 U.S.C. 303(r) Legal Authority: 47 U.S.C. 151 and International Settlements Policy (ISP). It 152; 47 U.S.C. 154(i); 47 U.S.C. 301; 47 governs the ways U.S. carriers negotiate Abstract: The Commission adopted a U.S.C. 302(a); 47 U.S.C. 303(f) with foreign carriers for the exchange of Notice of Proposed Rulemaking (NPRM) to initiate a comprehensive review of Abstract: In this Report and Order, the international traffic and is the structure part 25 of the Commission’s rules, FCC establishes a flexible and by which the Commission has sought to respond to concerns that foreign carriers which governs the licensing and streamlined regulatory framework for operation of space stations and earth radar applications that will operate with market power are able to take advantage of the presence of multiple stations. The Commission proposed within the 76–81 GHz band. amendments to modernize the rules to Specifically, the FCC give vehicular U.S. carriers serving a particular market. In 2011, the FCC released an NPRM that better reflect evolving technology, to radars and certain airport-based radars eliminate unnecessary technical and protection from harmful interference as proposed to further deregulate the international telephony market and information filing requirements, and to well as a contiguous five gigahertz reorganize and simplify existing allocation, facilitating the development enable U.S. consumers to enjoy competitive prices when they make requirements. In the ensuing Report and and deployment of new safety devices. calls to international destinations. First, Order, the Commission adopted most of Doing so also harmonizes FCC rules it proposed to remove the ISP from all its proposed changes and revised more with international efforts to create a international routes except Cuba. than 150 rule provisions. Several global allocation for vehicular radars, Second, the FCC sought comment on a proposals raised by commenters in the while promoting efficient use of proposal to enable the Commission to proceeding, however, were not within spectrum by consolidating such radars better protect U.S. consumers from the the scope of the original NPRM. To into a single band. In addition, the FCC effects of anticompetitive conduct by address these and other issues, the established a comprehensive and foreign carriers in instances Commission released a Further Notice consistent set of rules and policies to necessitating Commission intervention. of Proposed Rulemaking (FNPRM). The govern the operation of vehicular radars In 2012, the FCC adopted a Report and FNPRM proposed additional rule and certain airport-based radars in the Order that eliminated the ISP on all changes to facilitate international 76–81 GHz band. routes but maintained the coordination of proposed satellite networks, to revise system Timetable: nondiscrimination requirement of the ISP on the U.S.-Cuba route and codified implementation milestones and the associated bond, and to expand the Action Date FR Cite it in 47 CFR 63.22(f). In the Report and Order, the FCC also adopted measures applicability of routine licensing standards. Following the FNPRM, the NPRM ...... 03/06/15 80 FR 12120 to protect U.S. consumers from NPRM Comment 04/06/15 anticompetitive conduct by foreign Commission issued a Second Report Period End. carriers. In 2016, the FCC released an and Order adopting most of its R&O ...... 09/20/17 82 FR 43865 FNPRM seeking comment on removing proposals in the FNPNRM. Among other Next Action Unde- the discrimination requirement on the changes, the Commission established a termined. U.S.-Cuba route. two-step licensing procedure for most Timetable: geostationary satellite applicants to facilitate international coordination, Regulatory Flexibility Analysis simplified the satellite development Required: Yes. Action Date FR Cite milestones, adopted an escalating bond Agency Contact: Howard Griboff, NPRM ...... 05/13/11 76 FR 42625 requirement to discourage speculation, Deputy Chief, Policy Division, Federal NPRM Comment 09/02/11 and refined the two-degree orbital Communications Commission, Period End. spacing policy for most geostationary International Bureau, 445 12th Street Report and Order 02/15/13 78 FR 11109 satellites to protect existing services. In SW, Washington, DC 20554, Phone: 202 FNPRM ...... 03/04/16 81 FR 11500 addition, in May 2016, the International FNPRM Comment 04/18/16 418–0657, Fax: 202 418–2824, Email: Period End. Bureau published a Public Notice [email protected]. Next Action Unde- inviting comment on the appropriate RIN: 3060–AK82 termined. implementation schedule for a Carrier Identification requirement adopted in Regulatory Flexibility Analysis the first Report and Order in this Required: Yes. proceeding. In July 2017, the Agency Contact: David Krech, Assoc. Commission adopted a waiver of the Chief, Telecommunications & Analysis Carrier Identification requirement for
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certain earth stations that cannot be Regulatory Flexibility Analysis Action Date FR Cite suitably upgraded. Required: Yes. Timetable: Agency Contact: Clay DeCell, Next Action Unde- Attorney Advisor, Federal termined. Action Date FR Cite Communications Commission, 445 12th Regulatory Flexibility Analysis NPRM ...... 11/08/12 77 FR 67172 Street SW, Washington, DC 20554, Phone: 202 418–0803, Email: Required: Yes. NPRM Comment 02/13/13 Agency Contact: Cindy Spiers, [email protected]. Period End. Attorney Advisor, Federal Report and Order 02/12/14 79 FR 8308 RIN: 3060–AK59 Communications Commission, 445 12th FNPRM ...... 10/31/14 79 FR 65106 FNPRM Comment 03/02/15 432. • Amendment of Parts 2 and 25 of Street SW, Washington, DC 20554, Period End. the FCC Rules To Facilitate the Use of Phone: 202 418–1593, Email: Public Notice ...... 05/31/16 81 FR 34301 Earth Stations in Motion [email protected]. 2nd R&O ...... 08/18/16 81 FR 55316 Communicating With Geostationary RIN: 3060–AK84 Next Action Unde- Orbit Space Stations in FSS Bands: IB 433. • Further Streamlining Part 25 termined. Docket No. 17–95 Rules Governing Satellite Services: IB Regulatory Flexibility Analysis E.O. 13771 Designation: Independent Docket No. 18–314 Required: Yes. agency. E.O. 13771 Designation: Independent Agency Contact: Clay DeCell, Legal Authority: 47 U.S.C. 154(i); 47 agency. Attorney Advisor, Federal U.S.C. 157(a); 47 U.S.C. 303; 47 U.S.C. Legal Authority: 47 U.S.C. secs. 154(i); Communications Commission, 445 12th 308(b); 47 U.S.C. 316 47 U.S.C. 161; 47 U.S.C. 303; 47 U.S.C. Street SW, Washington, DC 20554, Abstract: In June 2017, the 316 Phone: 202 418–0803, Email: Commission began a rulemaking to Abstract: Under the Commission’s rules, satellite operators must follow [email protected]. streamline, consolidate, and harmonize separate application and authorization RIN: 3060–AJ98 rules governing earth stations in motion processes for the satellites and earth (ESIMs) used to provide satellite-based 431. Update to Parts 2 and 25 stations that make up their networks services on ships, airplanes and vehicles Concerning Nongeostationary, Fixed- and have no option for a single, unified communicating with geostationary- Satellite Service Systems, and Related network license. In this Notice of satellite orbit (GSO), fixed-satellite Matters: IB Docket No. I6–408 Proposed Rulemaking, the FCC proposes service (FSS) satellite systems. In E.O. 13771 Designation: Independent to create a new, optional, unified license September 2018, the Commission agency. to include both space stations and earth adopted rules governing Legal Authority: 47 U.S.C. 154(i); 47 stations operating in a geostationary- U.S.C. 303; 47 U.S.C. 316 communications of ESIMs with GSO satellite orbit, fixed-satellite service Abstract: On January 11, 2017, the satellites. These rules addressed (GSO FSS) satellite network. In Commission began a rulemaking to communications in the conventional addition, the Commission proposes to update its rules and policies concerning C-, Ku-, and Ka-bands, as well as repeal or modify unnecessarily non-geostationary-satellite orbit portions of the extended Ku-band. At burdensome rules in Part 25 governing (NGSO), fixed-satellite service (FSS) the same time, the Commission also satellite services, such as annual systems and related matters. The released a Further Notice of Proposed reporting requirements. These proposals proposed changes would, among other Rulemaking that sought comment on would greatly simplify the things, provide for more flexible use of allowing ESIMs to operate in all of the Commission’s licensing and regulation the 17.8–20.2 GHz bands for FSS, frequency bands in which earth stations of satellite systems. promote shared use of spectrum among at fixed locations operating in GSO FSS Timetable: NGSO FSS satellite systems, and satellite networks can be blanket- remove unnecessary design restrictions licensed. Specifically, comment was Action Date FR Cite on NGSO FSS systems. The Commission sought on expanding the frequencies available for communications of ESIMs NPRM ...... 01/31/19 84 FR 638 subsequently adopted a Report and NPRM Comment 03/18/19 Order establishing new sharing criteria with GSO FSS satellites to include the following frequency bands: 10.7–10.95 Period End. among NGSO FSS systems and NPRM Reply 04/16/19 providing additional flexibility for FSS GHz, 11.2–11.45 GHz, 17.8–18.3 GHz, Comment Pe- spectrum use. The Commission also 18.8–19.3 GHz, 19.3–19.4 GHz, 19.6– riod End. released a Further Notice of Proposed 19.7 GHz (space-to-Earth); and 28.6– Next Action Unde- Rulemaking proposing to remove the 29.1 GHz (Earth-to-space). termined. domestic coverage requirement for Timetable: NGSO FSS systems. Regulatory Flexibility Analysis Timetable: Action Date FR Cite Required: Yes. Agency Contact: Clay Decell, Attorney Action Date FR Cite NPRM ...... 06/16/17 82 FR 27652 Advisor, Federal Communications NPRM Comment 08/30/17 Commission, 445 12th Street, NPRM ...... 01/11/17 82 FR 3258 Period End. Washington, DC 20554, Phone: 202 418– NPRM Comment 04/10/17 OMB-approval for 08/28/18 Information Col- 0803, Email: [email protected]. Period End. RIN: 3060–AK87 FNPRM ...... 11/15/17 82 FR 52869 lection of R&O R&O ...... 12/18/17 82 FR 59972 Comment Pe- 434. • Streamlining Licensing FNPRM Comment 01/02/18 riod End. Procedures for Small Satellites; IB Period End. FNPRM ...... 02/22/19 84 FR 5654 Docket No. 18–86 Next Action Unde- R&O ...... 03/25/19 84 FR 11090 termined. FNPRM Comment 04/28/19 E.O. 13771 Designation: Independent Period End. agency.
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Legal Authority: 47 U.S.C. 154(i); 47 Regulatory Flexibility Analysis Street SW, Washington, DC 20554, U.S.C. 157; 47 U.S.C. 158; 47 U.S.C. 301; Required: Yes. Phone: 202 418–1593, Email: 47 U.S.C. 303; 47 U.S.C. 308; 47 U.S.C. Agency Contact: Merissa Velez, [email protected]. 309 Attorney Advisor, Federal RIN: 3060–AK89 Abstract: On April 17, 2018, the Communications Commission, 445 12th Commission released a Notice of Street SW, Washington, DC 20554, 436. • Mitigation of Orbital Debris in Proposed Rulemaking (NPRM) Phone: 202 418–0751, Email: the New Space Age: IB Docket No. 18– proposing to modify the Commission’s [email protected]. 313 part 25 satellite licensing rules to create RIN: 3060–AK88 E.O. 13771 Designation: Independent a new category of application specific to • small satellites. The Commission sought 435. Facilitating the Communications agency. of Earth Stations in Motion With Non- comment on criteria that would define Legal Authority: 47 U.S.C. 154; 47 this new category and proposed that Geostationary Orbit Space Stations: IB Docket No. 18–315 U.S.C. 157; 47 U.S.C. 301; 47 U.S.C. 302; applicants meeting the criteria could 47 U.S.C. 303; 47 U.S.C. 307; 47 U.S.C. take advantage of a simplified E.O. 13771 Designation: Independent 308; 47 U.S.C. 309; 47 U.S.C. 310; 47 application, faster processing, and lower agency. U.S.C. 319; 47 U.S.C. 332; 47 U.S.C. 336; fees, among other things. The proposed Legal Authority: 47 U.S.C. 154(i); 47 47 U.S.C. 605; 47 U.S.C. 721 streamlined licensing process was U.S.C. 157(a); 47 U.S.C. 303; 47 U.S.C. developed based on the features and 308(b); 47 U.S.C. 316 Abstract: The Commission’s current characteristics that typically distinguish Abstract: In November 2018, the orbital debris rules were first adopted in small satellite operations from other Commission adopted a notice of 2004. Since then, significant changes types of satellite operations, such as proposed rulemaking that proposed to have occurred in satellite technologies shorter orbital lifetime and less expand the scope of the Commission’s and market conditions, particularly in intensive frequency use. The NPRM rules governing ESIMs operations to Low Earth Orbit, i.e., below 2000 detailed this small satellite procedure, cover communications with NGSO FSS kilometers altitude. These changes which would serve as an optional satellites. Comment was sought on include the increasing use of lower cost alternative to existing procedures for establishing a regulatory framework for small satellites and proposals to deploy authorization of small satellites. The communications of ESIMs with NGSO large constellations of non-geostationary NPRM also provided background FSS satellites that would be analogous satellite orbit (NGSO) systems, some information on the Commission’s other to that which exists for ESIMs involving thousands of satellites. processes for licensing and authorizing communicating with GSO FSS satellites. The NPRM proposes changes to small satellites, including under the In this context, comment was sought on: improve disclosure of debris mitigation experimental (part 5) and amateur (part (1) Allowing ESIMs to communicate in plans. The NPRM also makes proposals 97) rules, although no changes were many of the same conventional Ku- and seeks comment related to satellite proposed to either of those parts. The band, extended Ku-band, and Ka-band disposal reliability and methodology, NPRM also sought comment on topics frequencies that were allowed for appropriate deployment altitudes in related to spectrum use by small communications of ESIMs with GSO low-Earth-orbit, and on-orbit lifetime, satellites. The Commission asked for FSS satellites (with the exception of the with a particular focus on large NGSO comment on typical small satellite 18.6–18.8 GHz and 29.25–29.5 GHz satellite constellations. Other aspects of frequency use characteristics, how to frequency bands); (2) extending blanket the NPRM include new rule proposals facilitate compatibility with Federal licensing to ESIMs communicating with for geostationary orbit satellite (GSO) operations, use of particular spectrum NGSO satellites; and (3) revisions to license term extension requests, and for inter-satellite links by small specific provisions in the Commission’s consideration of disclosure satellites, and other issues related to rules to implement these changes. The requirements related to several emerging operations by small satellites in specific frequency bands for technologies and new types of frequency bands. Finally, the NPRM communications of ESIMs with NGOS commercial operations, including sought comment on the appropriate FSS satellites on which comment was rendezvous and proximity operations. application fee that would apply to the sought are as follows: 10.7–11.7 GHz; proposed optional part 25 streamlined 11.7–12.2 GHz; 14.0–14.5 GHz; 17.8– Timetable: process. The Commission proposed a 18.3 GHz; 18.3–18.6 GHz; 18.8–19.3 $30,000 application fee. It noted that GHz; 19.3–19.4 GHz; 19.6–19.7 GHz; Action Date FR Cite any changes to the annual regulatory 19.7–20.2 GHz; 28.35–28.6 GHz; 28.6– NPRM ...... 02/19/19 84 FR 4742 fees applicable to the small satellites 29.1 GHz; and 29.5–30.0 GHz. authorized under the streamlined NPRM Comment 05/06/19 Timetable: Period End. process would be addressed through the Next Action Unde- separate annual proceeding for review Action Date FR Cite termined. of regulatory fees. Timetable: NPRM ...... 12/28/18 83 FR 67180 NPRM Comment 03/13/19 Regulatory Flexibility Analysis Action Date FR Cite Period End. Required: Yes. Next Action Unde- Agency Contact: Merissa Velez, NPRM ...... 04/18/18 83 FR 24064 termined. NPRM Comment 08/07/18 Attorney Advisor, Federal Period End. Regulatory Flexibility Analysis Communications Commission, 445 12th R&O (adopted 08/01/19 Required: Yes. Street SW, Washington, DC 20554, date). Agency Contact: Cindy Spiers, Phone: 202 418–0751, Email: Next Action Unde- [email protected]. termined. Attorney Advisor, Federal Communications Commission, 445 12th RIN: 3060–AK90
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FEDERAL COMMUNICATIONS Regulatory Flexibility Analysis Regulatory Flexibility Analysis COMMISSION (FCC) Required: Yes. Required: Yes. Agency Contact: Martha Heller, Chief, Agency Contact: Holly Saurer, Deputy Media Bureau Policy, Media Bureau, Federal Chief, Media Bureau, Federal Long-Term Actions Communications Commission, 445 12th Communications Commission, 445 12th Street SW, Washington, DC 20554, Street SW, Washington, DC 20554, 437. Cable Television Rate Regulation Phone: 202 418–2120, Email: Phone: 202 418–7283, Fax: 202 418– E.O. 13771 Designation: Independent [email protected]. 1069, Email: [email protected]. agency. RIN: 3060–AF41 RIN: 3060–AI69 Legal Authority: 47 U.S.C. 154; 47 439. Authorizing Permissive Use of the U.S.C. 543 438. Implementation of the Cable ‘‘Next Generation’’ Broadcast Abstract: The Commission has Communications Policy Act of 1984 as Television Standard (GN Docket No. adopted rate regulations to implement Amended by the Cable Television 16–142) section 623 of the 1992 Cable Act to Consumer Protection and Competition ensure that cable subscribers Act of 1992 (MB Docket No. 05–311) E.O. 13771 Designation: Independent nationwide enjoy the rates that would E.O. 13771 Designation: Independent agency. be charged by cable systems operating agency. Legal Authority: 47 U.S.C. 151; 47 in a competitive environment. Legal Authority: 47 U.S.C. 151; 47 U.S.C. 154; 47 U.S.C. 157; 47 U.S.C. 301; Timetable: U.S.C. 154(i); 47 U.S.C. 541(a)(1); 47 47 U.S.C. 303; 47 U.S.C. 307 to 309; 47 U.S.C. 556(c) U.S.C. 316; 47 U.S.C. 319; 47 U.S.C. Action Date FR Cite Abstract: Section 621(a)(1) of the 325(b); 47 U.S.C. 336; 47 U.S.C. 399(b); Communications Act of 1934, as 47 U.S.C. 403; 47 U.S.C. 534; 47 U.S.C. NPRM ...... 01/04/93 58 FR 48 535 R&O and FNPRM 05/21/93 58 FR 29736 amended, states in relevant part that ‘‘a franchising authority . . . may not Abstract: In this proceeding, the MO&O and 08/18/93 58 FR 43816 Commission seeks to authorize FNPRM. unreasonably refuse to award an Third R&O ...... 11/30/93 58 FR 63087 additional competitive franchise.’’ This television broadcasters to use the ‘‘Next Order on Recon, 04/15/94 59 FR 17943 proceeding sought to implement section Generation’’ ATSC 3.0 broadcast Fourth R&O, 621(a)(1)’s directive by examining television transmission standard on a and Fifth NPRM. whether the franchising process voluntary, market-driven basis, while Third Order on 04/15/94 59 FR 17961 unreasonably impedes the achievement they continue to deliver current- Recon. of the interrelated Federal goals of generation digital television broadcast Fifth Order on 10/13/94 59 FR 51869 service to their viewers. In the Report Recon and enhanced cable competition and accelerated broadband deployment and, and Order, the Commission adopted FNPRM. rules to afford broadcasters flexibility to Fourth Order on 10/21/94 59 FR 53113 if so, how the Commission should act to Recon. address that problem. The subsequent deploy ATSC 3.0-based transmissions, Sixth Order on 12/06/94 59 FR 62614 Report and Order found that certain while minimizing the impact on, and Recon, Fifth actions by local franchising authorities costs to, consumers and other industry R&O, and Sev- constitute an unreasonable refusal to stakeholders. enth NPRM. award a competitive franchise within The FNPRM sought comment on three Seventh Order on 01/25/95 60 FR 4863 the meaning of section 621(a)(1). The topics: (1) Issues related to the local Recon. item included a Further Notice of simulcasting requirement, (2) whether Ninth Order on 02/27/95 60 FR 10512 to let broadcasters use vacant channels Recon. Proposed Rulemaking (FNPRM) seeking comment on how the findings should in the broadcast band, and (3) the Eighth Order on 03/17/95 60 FR 14373 import of the Next Gen standard on Recon. affect existing franchises. In the Second Sixth R&O and 07/12/95 60 FR 35854 Report and Order, a number of the rules simulcasting stations. Eleventh Order promulgated in this docket were Timetable: on Recon. extended to incumbent cable operators. Action Date FR Cite Thirteenth Order 10/05/95 60 FR 52106 The Second FNPRM addressed two on Recon. issues raised by a remand from the U.S. Twelfth Order on 10/26/95 60 FR 54815 NPRM ...... 03/10/17 82 FR 13285 Recon. Court of Appeals for the Sixth Circuit NPRM Comment 05/09/17 Tenth Order on 04/08/96 61 FR 15388 concerning how local franchising Period End. Recon. authorities may regulate cable operators FNPRM ...... 12/20/17 82 FR 60350 Order on Recon 04/15/96 61 FR 16447 and cable television services. R&O ...... 02/02/18 83 FR 4998 of the First Timetable: FNPRM Comment 02/20/18 R&O and Period End. FNPRM. Action Date FR Cite FNPRM Reply 03/20/18 MO&O ...... 02/12/97 62 FR 6491 Comment Pe- Report on Cable 02/24/97 62 FR 8245 NPRM ...... 12/19/05 70 FR 73973 riod End. Industry Prices. NPRM Comment 02/13/06 Next Action Unde- R&O ...... 03/31/97 62 FR 15118 Period End. termined. Fourteenth Order 10/15/97 62 FR 53572 R&O and FNPRM 03/21/07 72 FR 13230 on Recon. FNPRM Comment 04/20/07 Regulatory Flexibility Analysis NPRM and Order 09/05/02 67 FR 56882 Period End. Required: Yes. Inactive per 12/12/11 Second R&O ...... 11/23/07 72 FR 65670 Agency Contact: Evan Baranoff, Maura Second FNPRM .. 10/15/18 83 FR 51911 Attorney, Policy Division, Federal McGowan. Third R&O (re- 08/02/19 Communications Commission, Media FNPRM and R&O 11/27/18 83 FR 60804 lease date). Bureau, 445 12th Street SW, Next Action Unde- Next Action Unde- termined. termined. Washington, DC 20554, Phone: 202 418– 7142, Email: [email protected].
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RIN: 3060–AK56 Rule. The Commission also sought Agency Contact: Kathy Berthot, comment on potential pro-diversity Attorney, Policy Division, Media 440. Electronic Delivery of MVPD proposals including extending cable Bureau, Federal Communications Communications (MB Docket No. 17– procurement requirements to Commission, 445 12th Street SW, 317) broadcasters, adopting formulas aimed Washington, DC 20554, Phone: 202 418– E.O. 13771 Designation: Independent at creating media ownership limits that 7454, Email: [email protected]. agency. promote diversity, and developing a RIN: 3060–AK78 Legal Authority: 47 U.S.C., sec. 151 model for market-based, tradeable 443. Amendment of Part 74 of the Abstract: In this proceeding, the diversity credits to serve as an Commission’s Rules Regarding FM Commission addresses ways to alternative method for setting Translator Interference (MB Docket 18– modernize certain notice provisions in ownership limits. part 76 of the Commission’s rules Timetable: 119) governing multichannel video and cable E.O. 13771 Designation: Independent television service. The Commission Action Date FR Cite agency. considers allowing various types of Legal Authority: 47 U.S.C. 151; 47 written communications from cable NPRM (release 12/13/18 U.S.C. 154(i) and 154(j); 47 U.S.C. 301; operators to subscribers to be delivered date). 47 U.S.C. 303; 47 U.S.C. 307 to 309; 47 Next Action Unde- electronically. Additionally, the termined. U.S.C. 316; 47 U.S.C. 319 Commission considers permitting cable Abstract: In this proceeding, the operators to reply to consumer requests Regulatory Flexibility Analysis Commission proposes to streamline the or complaints by email in certain Required: Yes. rules relating to interference caused by circumstances. The Commission also Agency Contact: Brendan Holland, FM translators and expedite the evaluates updating the requirement in Chief, Industry Analysis Division, translator complaint resolution process. the Commission’s rules that requires Media Bureau, Federal Communications The rule changes are intended to limit broadcast television stations to send Commission, 445 12th Street SW, or avoid protracted and contentious carriage election notices via certified Washington, DC 20554, Phone: 202 418– interference resolution disputes, mail. 2486, Email: [email protected]. provide translator licensees both Timetable: RIN: 3060–AK77 additional flexibility to remediate interference and additional investment Action Date FR Cite 442. Children’s Television certainty, and allow earlier and Programming Rules (MB Docket 18– expedited resolution of interference NPRM ...... 01/16/18 83 FR 2119 202) complaints by affected stations. NPRM Comment 02/15/18 E.O. 13771 Designation: Independent Timetable: Period End. R&O and FNPRM 07/11/19 agency. Action Date FR Cite (release date). Legal Authority: 47 U.S.C. 303; 47 Next Action Unde- U.S.C. 303b; 47 U.S.C. 307; 47 U.S.C. NPRM ...... 06/06/18 83 FR 26229 termined. 336 Abstract: The Children’s Television NPRM Comment 07/06/18 Act (CTA) of 1990 requires that the Period End. Regulatory Flexibility Analysis R&O ...... 06/14/19 84 FR 27734 Required: Yes. Commission consider, in its review of Next Action Unde- Agency Contact: Martha Heller, Chief, television license renewals, the extent to termined. Policy, Media Bureau, Federal which the licensee has served the Communications Commission, 445 12th educational and informational needs of Regulatory Flexibility Analysis Street SW, Washington, DC 20554, children through its overall Required: Yes. Phone: 202 418–2120, Email: programming, including programming Agency Contact: Christine Goepp, [email protected]. specifically designed to serve such Attorney, Audio Div., Media Bureau, RIN: 3060–AK70 needs. The Commission adopted rules Federal Communications Commission, implementing the CTA in 1991 and 441. 2018 Quadrennial Regulatory 445 12th Street SW, Washington, DC revised these rules in 1996, 2004, and Review of the Commission’s Broadcast 20554, Phone: 202 418–7834, Email: 2006. In this proceeding, the Ownership Rules (MB Docket 18–349) [email protected]. Commission proposes to revise the RIN: 3060–AK79 E.O. 13771 Designation: Independent children’s television programming rules 444. • Channel Lineup Requirements— agency. to modify outdated requirements and to Sections 76.1705 and 76.1700(A)(4): Legal Authority: 47 U.S.C. 151; 47 give broadcasters greater flexibility in Modernization of Media Regulation U.S.C. 152(a); 47 U.S.C. 154(i); 47 U.S.C. serving the educational and Initiative: MB Docket Nos. 18–92 and 257; 47 U.S.C. 303; 47 U.S.C. 307; 47 informational needs of children. U.S.C. 309 and 310; 47 U.S.C. 403; sec. Timetable: 17–105 202(h) of the Telecommunications Act E.O. 13771 Designation: Independent Abstract: Section 202(h) of the Action Date FR Cite agency. Telecommunications Act of 1996 Legal Authority: 47 U.S.C. 151; 47 requires the Commission to review its NPRM ...... 07/25/18 83 FR 35158 U.S.C. 154(i); 47 U.S.C. 154(j); 47 U.S.C. broadcast ownership rules every 4 years NPRM Comment 09/28/18 303(r); 47 U.S.C. 521; 47 U.S.C. 544(e) Period End. and to determine whether any such R&O and FNPRM 07/12/19 Abstract: In this proceeding, the rules are necessary in the public interest (release date). Commission considers whether to as the result of competition. The rules Next Action Unde- eliminate rules pertaining to cable subject to review in the 2018 termined. operators’ channel lineups. The quadrennial review are the Local Radio Commission evaluates whether the Ownership Rule, the Local Television Regulatory Flexibility Analysis requirements are unnecessary as Ownership Rule, and the Dual Network Required: Yes. channel lineups are readily available to
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consumers through a variety of other Abstract: Section 614(b)(4)(B) of the Action Date FR Cite means. Through this proceeding, the Communications Act requires that, at Commission continues the effort to the time the Commission prescribes Second R&O and 03/22/05 70 FR 14412 modernize its regulations and reduce standards for advanced television, it First Order on unnecessary requirements that can should ‘‘initiate a proceeding to Recon. impede competition and innovation in establish any changes in the signal Second FNPRM .. 06/06/07 72 FR 31244 Second FNPRM 07/16/07 the media marketplace. carriage requirements of cable television Comment Pe- Timetable: systems necessary to ensure cable riod End. carriage of those broadcast signals of Third R&O and 02/01/08 73 FR 6043 Action Date FR Cite local commercial television stations Third FNPRM. which have been changed to conform Fourth R&O ...... 10/17/08 73 FR 61742 NPRM ...... 05/01/18 83 FR 19033 Declaratory Order 10/29/08 73 FR 64260 R&O ...... 05/01/19 84 FR 18406 with such modified standards.’’ In August of 1998, the FCC issued a Notice Fourth FNPRM .... 02/26/12 77 FR 9187 Next Action Unde- FNPRM Comment 04/12/12 termined. of Proposed Rulemaking seeking comments on the requirements of that Period End. Fifth R&O ...... 06/18/12 77 FR 36178 Regulatory Flexibility Analysis section. In June 2000, based on Withdrawn ...... 07/29/19 Required: Yes. responses to the Notice of Proposed Agency Contact: Kim Matthews, Rulemaking, the Commission clarified Regulatory Flexibility Analysis Attorney, Policy Division, Federal that DTV-only television stations, in the Required: Yes. Communications Commission, Media context of auctioning analog channels Agency Contact: Evan Baranoff, Bureau, 445 12th Street SW, 59–69, will ultimately have must-carry Attorney, Policy Division, Federal Washington, DC 20554, Phone: 202 418– rights. In January of 2001, the Communications Commission, Media 2154, Fax: 202 418–2053, Email: Commission issued a First Report and Bureau, 445 12th Street SW, [email protected]. Order and Further Notice of Proposed Washington, DC 20554, Phone: 202 418– RIN: 3060–AK85 Rulemaking resolving a number of 7142, Email: [email protected]. technical and legal issues, including 445. • Equal Employment Opportunity RIN: 3060–AG91 clarification that digital-only TV Enforcement (MB Docket 19–77) stations are entitled to mandatory 447. Enhanced and Standardized E.O. 13771 Designation: Independent carriage. In the Second Report and Disclosure (MM Docket No. 00–168; MB agency. Order and First Order on Docket No. 11–189) Legal Authority: 47 U.S.C. 151; 47 Reconsideration, adopted in February E.O. 13771 Designation: Independent U.S.C. 154(i); 47 U.S.C. 154(j); 47 U.S.C. 2005, the Commission affirmed its agency. 334; 47 U.S.C. 554 tentative conclusion not to impose dual Legal Authority: 47 U.S.C. 154(i); 47 Abstract: In this proceeding, the carriage and affirmed its prior U.S.C. 303; 47 U.S.C. 307; 47 U.S.C. 309; Commission seeks comment on ways in determination that broadcasters were 47 U.S.C. 336 which it can make improvements to entitled to carriage of one digital Abstract: This proceeding concerns equal employment opportunity (EEO) programming stream. In the Third rules and policies on how commercial compliance and enforcement. Report and Order and Third Further television broadcast station licensees Timetable: Notice of Proposed Rulemaking adopted provide public interest information to in September 2007, the Commission Action Date FR Cite the public. The 2000 NPRM proposed addressed issues concerning the carriage amendments to the public inspection NPRM (release 06/21/19 of digital broadcast television signals file rules that would standardize the date). after the conclusion of the digital format used for providing public Next Action Unde- television transition. The Commission interest information to the public and termined. adopted rules to ensure that cable make information contained in public subscribers will continue to be able to inspection files available on the Regulatory Flexibility Analysis view broadcast stations after the internet. The intended effect of this Required: Yes. transition. In the Fourth Report and action is to propose rules that would Agency Contact: Radhika Karmarker, Order, the carriage obligations of small make information regarding how Attorney Advisor, TAPD, Federal cable systems were addressed. In the television broadcast stations meet their Communications Commission, 445 12th Fifth Report and Order, the Commission fundamental public interest obligation Street SW, Washington, DC 20554, sunset some of the initial rules adopted to serve the needs and interests of their Phone: 202 418–1523, Email: to accommodate the broadcast DTV communities of license easier to [email protected]. transition, based on changes in the understand or more accessible to the RIN: 3060–AK86 marketplace and technology that have public. In the 2008 Report and Order, a occurred since the transition. standardized form was adopted and a The Sixth Report and Order granted requirement was imposed obligating FEDERAL COMMUNICATIONS certain small cable systems an stations to place a portion of its public COMMISSION (FCC) exemption from the requirement to inspection file on the internet. In 2011, carry high-definition broadcast signals. on reconsideration, the Commission Media Bureau Timetable: vacated the prior Report and Order and Completed Actions sought comment on proposals intended Action Date FR Cite to make broadcaster information more 446. Digital Must-Carry (CS Docket No. accessible to the public. Comment was 98–120) NPRM ...... 08/07/98 63 FR 42330 MO&O and 07/12/00 65 FR 42879 also sought on proposals to streamline E.O. 13771 Designation: Independent FNPRM. the standardized disclosure form. The agency. FNPRM ...... 03/26/01 66 FR 16523 Second Report and Order modernized Legal Authority: 47 U.S.C. 534 First R&O ...... 03/26/01 66 FR 16533 the procedures television broadcasters
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use to inform the public about how they 449. An Inquiry Into the Commission’s Action Date FR Cite are serving their communities by Policies and Rules Regarding AM Radio establishing a requirement that stations Service Directional Antenna NPRM ...... 06/06/17 82 FR 26019 post their public files online in a Performance Verification (MM Docket R&O ...... 09/22/17 82 FR 44322 Commission-hosted database. No. 93–177) NPRM ...... 06/14/18 83 FR 27846 NPRM Comment 06/21/18 Timetable: E.O. 13771 Designation: Independent Period End. agency. R&O ...... 09/18/18 83 FR 47079 Action Date FR Cite Legal Authority: 47 U.S.C. 151; 47 NPRM ...... 06/05/19 84 FR 26234 U.S.C. 154(i); 47 U.S.C. 303; 47 U.S.C. NPRM Comment 06/07/19 NPRM ...... 10/19/00 65 FR 62683 Period End. R&O ...... 03/13/08 73 FR 13452 308 Abstract: This proceeding is part of a Next Action Unde- Order on Recon .. 11/17/11 76 FR 71267 termined. FNPRM ...... 11/22/11 76 FR 72144 streamlining initiative to simplify the Notice of Inquiry 12/15/11 76 FR 77999 Media Bureau’s licensing procedures. Regulatory Flexibility Analysis (NOI). The Report and Order in this proceeding Required: Yes. 2nd R&O ...... 05/11/12 77 FR 27631 simplified traditional proof of Agency Contact: Roland Helvajian, Withdrawn ...... 07/29/19 performance requirements for Office of the Managing Director, Federal directional AM stations. The Second Communications Commission, 445 12th Regulatory Flexibility Analysis Report and Order further reduces Street SW, Washington, DC 20554, Required: Yes. regulatory burdens on AM broadcasters Phone: 202 418–0444, Email: Agency Contact: Mary Beth Murphy, by permitting the use of computer [email protected]. Chief, Policy Division, Media Bureau, modeling. The Second Further Notice RIN: 3060–AK64 Federal Communications Commission, seeks comment on proposals to 445 12th Street SW, Washington, DC synchronize rules regarding tower 20554, Phone: 202 418–2132, Email: construction near AM antennas. Timetable: FEDERAL COMMUNICATIONS [email protected]. COMMISSION (FCC) RIN: 3060–AH71 Action Date FR Cite Public Safety and Homeland Security 448. Digital Television Distributed Bureau Transmission System Technologies (MB NPRM ...... 07/27/99 64 FR 40539 Docket No. 05–312) R&O ...... 04/25/01 66 FR 20752 Long-Term Actions FNPRM ...... 04/25/01 66 FR 20779 E.O. 13771 Designation: Independent Second R&O ...... 10/30/08 73 FR 64558 451. Wireless E911 Location Accuracy agency. Second FNPRM .. 12/11/08 73 FR 75376 Requirements: PS Docket No. 07–114 Second FNPRM 01/12/09 Legal Authority: 47 U.S.C. 151; 47 E.O. 13771 Designation: Independent Comment Pe- agency. U.S.C. 154(i) to (j); 47 U.S.C. 157; 47 riod End. U.S.C. 301; . . . Withdrawn ...... 07/29/19 Legal Authority: 47 U.S.C. 151; 47 U.S.C. 154; 47 U.S.C. 332 Abstract: A digital television Regulatory Flexibility Analysis Abstract: This rulemaking is related to transmission system (DTS) employs the proceedings in which the FCC multiple synchronized transmitters Required: Yes. Agency Contact: Ann Gallagher, previously acted to improve the quality spread around a station’s service area. of all emergency services. Wireless Such distributed transmitters fill in Audio Division. Media Bureau, Federal Communications Commission, 445 12th carriers must provide specific automatic unserved areas in the parent station’s location information in connection with coverage area. The Notice of Proposed Street SW, Washington, DC 20554, Phone: 202 418–2716, Email: 911 emergency calls to Public Safety Rulemaking (NPRM) examines issues Answering Points (PSAPs). Wireless related to the use of DTS and proposes [email protected]. RIN: 3060–AJ17 licensees must satisfy enhanced 911 rules for future DTS operation. The location accuracy standards at either a Report and Order adopts the technical county-based or a PSAP-based and licensing rules necessary to geographic level. implement DTS service. FEDERAL COMMUNICATIONS Timetable: Timetable: COMMISSION (FCC) Action Date FR Cite Action Date FR Cite Office of Managing Director Long-Term Actions NPRM ...... 06/20/07 72 FR 33948 NPRM ...... 12/07/05 70 FR 72763 R&O ...... 02/14/08 73 FR 8617 NPRM Comment 02/06/06 450. Assessment and Collection of Public Notice ...... 09/25/08 73 FR 55473 Period End. Regulatory Fees FNPRM; NOI ...... 11/02/10 75 FR 67321 R&O ...... 12/05/08 73 FR 74047 Public Notice ...... 11/18/09 74 FR 59539 Withdrawn ...... 07/29/19 E.O. 13771 Designation: Independent 2nd R&O ...... 11/18/10 75 FR 70604 agency. Second NPRM .... 08/04/11 76 FR 47114 Legal Authority: 47 U.S.C. 159 Second NPRM 11/02/11 Regulatory Flexibility Analysis Abstract: Section 9 of the Comment Pe- Required: Yes. Communications Act of 1934, as riod End. Agency Contact: Evan Baranoff, amended (47 U.S.C. 159), requires the Final Rule ...... 04/28/11 76 FR 23713 Attorney, Policy Division, Federal Federal Communications Commission NPRM, 3rd R&O, 09/28/11 76 FR 59916 and 2nd Communications Commission, Media to recover the cost of its activities by Bureau, 445 12th Street SW, FNPRM. assessing and collecting annual 3rd FNPRM ...... 03/28/14 79 FR 17820 Washington, DC 20554, Phone: 202 418– regulatory fees from beneficiaries of the Order Extending 06/10/14 79 FR 33163 7142, Email: [email protected]. activities. Comment Pe- RIN: 3060–AI68 Timetable: riod.
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Action Date FR Cite 453. Improving Outage Reporting for entities. In May 2016, the Commission Submarine Cables and Enhancing released a Report and Order, FNPRM, 3rd FNPRM Com- 07/14/14 Submarine Cable Outage Data; GN and Order on Reconsideration (see also ment Period Docket No. 15–206 Dockets 11–82 and 04–35). The R&O End. E.O. 13771 Designation: Independent adopted rules to update the part 4 Public Notice (Re- 11/20/14 requirements to reflect technology lease Date). agency. Public Notice 12/17/14 Legal Authority: 47 U.S.C. 151; 47 transitions. The FNPRM sought Comment Pe- U.S.C. 154; 47 U.S.C. 34 to 39; 47 U.S.C. comment on sharing information in the riod End. 301 reporting database. Comments and 4th R&O ...... 03/04/15 80 FR 11806 Abstract: This proceeding takes steps replies were received by the Final Rule ...... 08/03/15 80 FR 45897 toward assuring the reliability and Commission in August and September Order Granting 07/10/17 resiliency of submarine cables, a critical 2016. Waiver. piece of the Nation’s communications Timetable: NPRM ...... 09/26/18 83 FR 54180 infrastructure, by proposing to require 4th NPRM ...... 03/18/19 84 FR 13211 Action Date FR Cite Next Action Unde- submarine cable licensees to report to termined. the Commission when outages occur NPRM ...... 06/16/15 80 FR 34321 and communications are disrupted. The NPRM Comment 07/31/15 Regulatory Flexibility Analysis Commission’s intent is to enhance Period End. Required: Yes. national security and emergency FNPRM ...... 07/12/16 81 FR 45095 preparedness by these actions. R&O ...... 07/12/16 81 FR 45055 Agency Contact: Brenda Boykin, Timetable: FNPRM Comment 09/12/16 Attorney Advisor, Public Safety and Period End. Homeland Security Bureau, Federal Action Date FR Cite Order Denying 09/18/16 Communications Commission, 445 12th Reply Comment Street SW, Washington, DC 20554, NPRM (Release 09/17/15 Deadline Exten- Phone: 202 418–2062, Email: Date). sion Request. [email protected]. R&O ...... 06/24/16 81 FR 52354 Announcement of 06/22/17 82 FR 28410 Effective Date RIN: 3060–AJ52 Petitions for 09/08/16 Recon. for Rule 452. Proposed Amendments to Service Petitions for 10/31/16 81 FR 75368 Changes in Rules Governing Public Safety Recon—Public R&O. Narrowband Operations in the 769–775 Comment. Next Action Unde- termined. and 799–805 MHz Bands; PS Docket Next Action Unde- termined. No. 13–87 Regulatory Flexibility Analysis E.O. 13771 Designation: Independent Regulatory Flexibility Analysis Required: Yes. agency. Required: Yes. Agency Contact: Robert Finley, Legal Authority: 47 U.S.C. 151; 47 Agency Contact: Brenda Villanueva, Attorney Advisor, Public Safety and U.S.C. 160; 47 U.S.C. 201; 47 U.S.C. 303; Attorney Advisor, Public Safety and Homeland Security Bureau, Federal 47 U.S.C. 337(a); 47 U.S.C. 403 Homeland Security Bureau, Federal Communications Commission, 445 12th Abstract: This proceeding seeks to Communications Commission, 445 12th Street SW, Washington, DC 20554, amend the Commission’s rules to Street SW, Washington, DC 20554, Phone: 202 418–7835, Email: promote spectrum efficiency, Phone: 202 418–7005, Email: [email protected]. RIN: 3060–AK40 interoperability, and flexibility in 700 [email protected]. RIN: 3060–AK39 MHz public safety narrowband 455. New Part 4 of the Commission’s operations (769–775 and 799–805 MHz). 454. Amendments to Part 4 of the Rules Concerning Disruptions to Timetable: Commission’s Rules Concerning Communications; ET Docket No. 04–35 Disruptions to Communications: PS E.O. 13771 Designation: Independent Action Date FR Cite Docket No. 15–80 agency. Legal Authority: 47 U.S.C. 154 and NPRM ...... 04/19/13 78 FR 23529 E.O. 13771 Designation: Independent Final Rule ...... 12/20/14 79 FR 71321 agency. 155; 47 U.S.C. 201; 47 U.S.C. 251; 47 Final Rule Effec- 01/02/15 Legal Authority: 47 CFR 0; 47 CFR 4; U.S.C. 307; 47 U.S.C. 316 tive. 47 CFR 63 Abstract: The proceeding creates a FNPRM ...... 09/29/16 81 FR 65984 Abstract: The 2004 Report and Order new part 4 in title 47 and amends part Order on Recon .. 09/29/16 81 FR 66830 (R&O) extended the Commission’s 63.100. The proceeding updates the 2nd R&O and 07/30/18 83 FR 30364 communication disruptions reporting Commission’s communication Order on Recon. rules to non-wireline carriers and disruptions reporting rules for wireline Next Action Unde- streamlined reporting through a new providers formerly in 47 CFR 63.100 termined. electronic template (see docket ET and extends these rules to other non- Docket 04–35). In 2015, this proceeding, wireline providers. Through this Regulatory Flexibility Analysis PS Docket 15–80, was opened to amend proceeding, the Commission streamlines Required: Yes. the original communications disruption the reporting process through an Agency Contact: Brian Marenco, reporting rules from 2004 in order to electronic template. The Report and Electronics Engineer, Federal reflect technology transitions observed Order received several petitions for Communications Commission, 445 12th throughout the telecommunications reconsideration, of which two were Street SW, Washington, DC 20554, sector. The Commission seeks to further eventually withdrawn. In 2015, seven Phone: 202 418–0838, Email: study the possibility to share the were addressed in an Order on [email protected]. reporting database information and Reconsideration and in 2016 another RIN: 3060–AK19 access with State and other Federal petition was addressed in an Order on
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Reconsideration. One petition (CPUC Abstract: This proceeding was EAS with the implementation of the Petition) remains pending regarding initiated to improve Wireless Blue Alert Act. On June 22, 2017, the NORS database sharing with States, Emergency Alerts (WEA) messaging, FCC released an NPRM proposing to which is addressed in a separate ensure that WEA alerts reach only those revise the EAS rules to adopt a new proceeding, PS Docket 15–80. To the individuals to whom they are relevant, event code, which would allow extent the communication disruption and establish an end-to-end testing transmission of Blue Alerts to the public rules cover VoIP, the Commission program based on advancements in over the EAS and thus satisfy the stated studies and addresses these questions in technology. need for a dedicated EAS event code. a separate docket, PS Docket 11–82. Timetable: On December 14, 2017, the Commission In May 2016, the Commission released an Order adopting a new Blue released a Report and Order, FNPRM, Action Date FR Cite Alert EAS Code-BLU. EAS participants and Order on Reconsideration (see must be able to implement the BLU Dockets 11–82 and 15–80). The Order NPRM ...... 11/19/15 80 FR 77289 code by January 19, 2019. BLU alerts NPRM Comment 01/13/16 on Reconsideration addressed outage Period End. must be available to wireless emergency reporting for events at airports, and the NPRM Reply 02/12/16 alerts by July, 2019. FNPRM sought comment on database Comment Pe- Timetable: sharing. The Commission received riod End. comments and replies in August and Order ...... 11/01/16 81 FR 75710 Action Date FR Cite September 2016. FNPRM ...... 11/08/16 81 FR 78539 Timetable: Comment Period 12/08/16 NPRM ...... 06/30/17 82 FR 29811 End. NPRM Comment 07/31/17 Action Date FR Cite Petition for Recon 12/19/16 81 FR 91899 Period End. Order on Recon .. 12/04/17 82 FR 57158 NPRM Reply 08/29/17 NPRM ...... 03/26/04 69 FR 15761 2nd R&O and 2nd 02/28/18 83 FR 8619 Comment Pe- R&O ...... 11/26/04 69 FR 68859 Order on Recon. riod End. Denial for Petition 12/02/04 Public Notice ...... 04/26/18 83 FR 18257 Order ...... 12/14/18 83 FR 2557 for Partial Stay. Public Notice 05/29/18 Next Action Unde- Seek Comment 02/02/10 Comment Pe- termined. on Petition for riod End. Recon. Public Notice 06/11/18 Regulatory Flexibility Analysis Reply Period End 03/19/10 Reply Comment Required: Yes. Seek Comment 07/02/10 Period End. Agency Contact: Linda Pintro, on Broadband Next Action Unde- Attorney Advisor, Policy and Licensing and Inter- termined. Division, PSHSB, Federal connected Communications Commission, 445 12th VOIP Service Regulatory Flexibility Analysis Providers. Street SW, Washington, DC 21043, Required: Yes. Phone: 202 418–7490, Email: Reply Period End 08/16/12 Agency Contact: Elizabeth Cuttner, R&O and Order 06/16/15 80 FR 34321 [email protected]. Attorney Advisor, Policy and Licensing RIN: 3060–AK63 on Recon. Div, PSHSB, Federal Communications FNPRM ...... 07/12/16 81 FR 45095 R&O ...... 07/12/16 81 FR 45055 Commission, 445 12th Street SW, Order Denying 09/08/16 Washington, DC 20554, Phone: 202 418– Extension of 2145, Email: [email protected]. FEDERAL COMMUNICATIONS Time to File RIN: 3060–AK54 COMMISSION (FCC) Reply Com- ments. 457. Blue Alert EAS Event Code Wireless Telecommunications Bureau Announcement of 06/22/17 82 FR 28410 E.O. 13771 Designation: Independent Long-Term Actions Effective Date agency. for Rule Legal Authority: 47 U.S.C. 151 and 458. Universal Service Reform Mobility Changes in 152; 47 U.S.C. 154(i) and 154(o); 47 Fund (WT Docket No. 10–208) R&O. Next Action Unde- U.S.C. 301; 47 U.S.C. 303(r) and (v); 47 E.O. 13771 Designation: Independent termined. U.S.C. 307; 47 U.S.C. 309 ; 47 U.S.C. agency. 335; 47 U.S.C. 403; 47 U.S.C.544(g); 47 Legal Authority: 47 U.S.C. 151; 47 Regulatory Flexibility Analysis U.S.C. 606 and 615 U.S.C. 154(i); 47 U.S.C. 155; 47 U.S.C. Required: Yes. Abstract: In 2015, Congress adopted 160; 47 U.S.C. 201; 47 U.S.C. 205; 47 Agency Contact: Robert Finley, the Blue Alert Act to help the States U.S.C. 225; 47 U.S.C. 254; 47 U.S.C. 301; Attorney Advisor, Public Safety and provide effective alerts to the public and 47 U.S.C. 303; 47 U.S.C. 303(c); 47 Homeland Security Bureau, Federal law enforcement when police and other U.S.C. 303(f); 47 U.S.C. 303(r); 47 U.S.C. Communications Commission, 445 12th law enforcement officers are killed or 303(y); 47 U.S.C. 309; 47 U.S.C. 310 Street SW, Washington, DC 20554, are in danger. To ensure that these State Abstract: This proceeding establishes Phone: 202 418–7835, Email: plans are compatible and integrated the Mobility Fund, which the [email protected]. throughout the United States as Commission is implementing in two RIN: 3060–AK41 envisioned by the Blue Alert Act, the phases. Mobility Fund Phase I consisted Blue Alert Coordinator made a series of of two reverse auctions that provided 456. Wireless Emergency Alerts (WEA): recommendations in a 2016 Report to initial infusions of funds toward solving PS Docket No. 15–91 Congress. Among these persistent gaps in mobile services E.O. 13771 Designation: Independent recommendations, the Blue Alert through targeted, one-time support for agency. Coordinator identified the need for a the build-out of current and next- Legal Authority: Pub. L. 109–347, title dedicated EAS event code for Blue generation wireless infrastructure in VI; 47 U.S.C. 151; 47 U.S.C. 154(i) Alerts, and noted the alignment of the areas where these services are
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unavailable. The Mobility Fund Phase II 459. Improving Spectrum Efficiency for a portion, based on the value of the (MF–II) reverse auction aims to provide Through Flexible Channel Spacing and relinquished rights as determined by an support funds over a 10-year term to Bandwidth Utilization for Economic auction, of the proceeds of bidding for support build-out of current and next- Area-Based 800 MHz Specialized the new licenses. In addition to granting generation wireless infrastructure in Mobile Radio Licensees (WT Docket the Commission general authority to areas where unsubsidized services are Nos. 12–64 and 11–110) conduct incentive auctions, the unavailable. MF–II began with a one- E.O. 13771 Designation: Independent Spectrum Act requires the Commission time collection of existing wireless agency. to conduct an incentive auction of broadband coverage data from current Legal Authority: 47 U.S.C. 151 to 152; broadcast TV spectrum and sets forth special requirements for such an providers to determine the areas in 47 U.S.C. 154; 47 U.S.C. 301; 47 U.S.C. 302(a); 47 U.S.C. 303; 47 U.S.C. 307 to auction. which qualified service has been The Spectrum Act requires that the deployed, which data was used to create 308 Abstract: This proceeding was incentive auction consist of a reverse a map of areas presumptively eligible auction ‘‘to determine the amount of for MF–II support. Entities could initiated to allow Economic Area-based 800 MHz SMR licensees in 813.5–824/ compensation that each broadcast challenge asserted unsubsidized 4G LTE television licensee would accept in coverage through the Mobility Fund 858.5–869 MHz to exceed the channel spacing and bandwidth limitation in return for voluntarily relinquishing Phase II challenge process, and section 90.209 of the Commission’s some or all of its spectrum usage rights providers may file response data rules, subject to conditions. and a forward auction’’ that would countering challenges. The results of the Timetable: allow mobile broadband providers to challenge process will determine the bid for licenses in the reallocated final list of areas eligible for funding Action Date FR Cite spectrum. Broadcast television licensees through the MF–II auction. who elected to voluntarily participate in NPRM ...... 03/29/12 77 FR 18991 the auction had three basic options: Timetable: NPRM Comment 04/13/12 Voluntarily go off the air, share Period End. Action Date FR Cite spectrum, or move channels in R&O ...... 05/24/12 77 FR 33972 exchange for receiving part of the Petition for Recon 08/16/12 77 FR 53163 NPRM ...... 10/14/10 75 FR 67060 proceeds from auctioning that spectrum Public Notice. to wireless providers. NPRM Comment 01/18/11 Petition for Recon 09/27/12 Period End. PN Comment In June 2014, the Commission R&O ...... 11/29/11 76 FR 73830 Period End. adopted a Report and Order that laid out FNPRM ...... 12/16/11 76 FR 78384 Next Action Unde- the general framework for the incentive R&O ...... 12/28/11 76 FR 81562 termined. auction. The incentive auction started 2nd R&O ...... 07/03/12 77 FR 39435 on March 29, 2016, with the submission 4th Order on 08/14/12 77 FR 48453 Regulatory Flexibility Analysis of initial commitments by eligible Recon. Required: Yes. broadcast licensees that had submitted FNPRM ...... 07/09/14 79 FR 39196 Agency Contact: Linda Chang, timely and complete applications. The R&O, Declaratory 07/09/14 79 FR 39163 Associate Chief, Mobility Division, incentive auction officially ended on Ruling, Order, Federal Communications Commission, April 13, 2017, with the release of the MO&O, and 7th Wireless Telecommunications Bureau, Auction Closing and Channel Order on Recon. 445 12th Street SW, Washington, DC Reassignment Public Notice that also FNPRM Comment 09/08/14 20554, Phone: 202 418–1339, Fax: 202 marked the start of the 39-month Period End. 418–7447, Email: [email protected]. transition period during which full R&O ...... 10/07/16 81 FR 69696 RIN: 3060–AJ71 power and Class A television stations FNPRM ...... 10/07/16 81 FR 69772 will transition their stations to their FNPRM ...... 03/13/17 82 FR 13413 460. Expanding the Economic and post-auction channel assignments in the R&O ...... 03/28/17 82 FR 15422 Innovation Opportunities of Spectrum reorganized television bands. Pursuant R&O Correction ... 04/04/17 82 FR 16297 Through Incentive Auctions (GN to Congress’ directive, the Commission Order on Recon 09/08/17 82 FR 42473 Docket No. 12–268) will reimburse those stations for the and 2nd R&O. E.O. 13771 Designation: Independent reasonable costs associated with 2nd Order on 04/25/18 83 FR 17934 agency. relocating to their post-auction channel Recon. Legal Authority: 47 U.S.C. Order and MO&O 08/30/18 83 FR 44241 assignments and will reimburse 309(j)(8)(G); 47 U.S.C. 1452 multichannel video programming NPRM ...... 08/30/18 83 FR 44254 Abstract: In February 2012, the 3rd R&O ...... 03/06/19 84 FR 8003 distributors for their costs associated Middle Class Tax Relief and Job with continuing to carry the signals of Next Action Unde- Creation Act was enacted (Pub. L. 112– termined. those stations. 96, 126 Stat. 156 (2012)). Title VI of that The March 2018 Consolidated statute, commonly known as the Appropriations Act (Pub. L. 115–141, Regulatory Flexibility Analysis Spectrum Act, provides the Commission 132 Stat. 348 (2018)) authorizes the Required: Yes. with the authority to conduct incentive Commission to reimburse eligible Agency Contact: Audra Hale-Maddox, auctions to meet the growing demand entities for costs associated with the Attorney Advisor, Federal for wireless broadband. Pursuant to the post-incentive auction transition Communications Commission, 445 12th Spectrum Act, the Commission may through July 3, 2023, and also directed Street SW, Washington, DC 20554, conduct incentive auctions that will the Commission to reimburse costs Phone: 202 418–2109, Email: offer new initial spectrum licenses reasonably incurred by low-power [email protected]. subject to flexible-use service rules on television stations, TV translator spectrum made available by licensees stations, and FM broadcast stations as a RIN: 3060–AJ58 that voluntarily relinquish some or all of result of the post-auction reorganization their spectrum usage rights in exchange of the television band. The Commission
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will initiate a new rulemaking to Action Date FR Cite facilities by streamlining the process of establish eligibility requirements and deploying contraband wireless device develop procedures for reimbursing Next Action Unde- interdiction systems (CIS)—systems that these additional entities, and to identify termined. use radio communications signals reasonable costs for reimbursement. The requiring Commission authorization—in Notice of Proposed Rulemaking and Regulatory Flexibility Analysis correctional facilities. In particular, the Order was adopted at the Commission’s Required: Yes. Commission eliminates certain filing August 2018 meeting. A Report and Agency Contact: Amanda Huetinck, requirements and provides for Order adopting rules for the Attorney Advisor, WTB, Federal immediate approval of the lease reimbursement of eligible costs to those Communications Commission, 445 12th applications needed to operate these newly eligible entities was adopted by Street SW, Washington, DC 20554, systems. the Commission on March 15, 2019. Phone: 202 418–7090, Email: In the Further Notice, the Commission Timetable: [email protected]. seeks comment on a process for wireless RIN: 3060–AJ87 providers to disable contraband wireless Action Date FR Cite 462. Amendment of the Commission’s devices once they have been identified. Rules Governing Certain Aviation The Commission also seeks comment on NPRM ...... 11/21/12 77 FR 69933 additional methods and technologies R&O ...... 08/15/14 79 FR 48441 Ground Station Equipment (Squitter) (WT Docket Nos. 10–61 and 09–42) that might prove successful in Final Rule ...... 10/11/17 82 FR 47155 combating contraband device use in NPRM ...... 08/27/18 83 FR 43613 E.O. 13771 Designation: Independent correctional facilities, and on various R&O ...... 03/26/19 84 FR 11233 agency. other proposals related to the Next Action Unde- Legal Authority: 48 Stat. 1066, 1082 as termined. authorization process for CISs and their amended; 47 U.S.C. 154; 47 U.S.C. 303; deployment. 47 U.S.C. 307(e); 47 U.S.C. 151 to 156; Timetable: Regulatory Flexibility Analysis 47 U.S.C. 301 Required: Yes. Abstract: This action amends part 87 Action Date FR Cite Agency Contact: Charles Eberle, rules to authorize new ground station Senior Counsel, Incentive Auctions technologies to promote safety and NPRM ...... 06/18/13 78 FR 36469 Task Force, Federal Communications allow use of frequency 1090 MHz by NPRM Comment 08/08/13 Commission, 445 12th Street, aeronautical utility mobile stations for Period End. FNPRM ...... 05/18/17 82 FR 22780 Washington, DC 20554, Phone: 202 418– airport surface detection equipment 2248, Email: [email protected]. R&O ...... 05/18/17 82 FR 22742 (commonly referred to as ‘‘squitters’’) to Final Rule Effec- 06/19/17 RIN: 3060–AJ82 help reduce collisions between aircraft tive (Except for 461. Amendment of Parts 1, 2, 22, 24, and airport ground vehicles. Rules Requiring 27, 90, and 95 of the Commission’s Timetable: OMB Approval). Rules To Improve Wireless Coverage FNPRM Comment 07/17/17 Action Date FR Cite Period End. Through the Use of Signal Boosters (WT Final Rule Effec- 10/20/17 82 FR 48773 Docket No. 10–4) NPRM ...... 04/28/10 75 FR 22352 tive for 47 CFR E.O. 13771 Designation: Independent R&O ...... 03/01/13 78 FR 61023 1.9020(n), agency. NPRM (release 06/07/19 1.9030(m), date). 1.9035 (o), and Legal Authority: 15 U.S.C. 79; 47 Next Action Unde- 20.23(a). U.S.C. 151; 47 U.S.C. 154(i); 47 U.S.C. termined. Final Rule Effec- 02/12/18 154(j); 47 U.S.C. 155; 47 U.S.C. 157; 47 tive for 47 CFR U.S.C. 225; 47 U.S.C. 227; 47 U.S.C. Regulatory Flexibility Analysis 1.902(d)(8), 303(r) Required: Yes. 1.9035(d)(4), Abstract: This action adopts new Agency Contact: Tim Maguire, 20.18(a), and 20.18(r). technical, operational, and registration Electronics Engineer, Federal requirements for signal boosters. It Next Action Unde- Communications Commission, 445 12th termined. creates two classes of signal boosters— Street SW, Washington, DC 20554, consumer and industrial—with distinct Phone: 202 418–2155, Fax: 202 418– Regulatory Flexibility Analysis regulatory requirements for each, 7247, Email: [email protected]. Required: Yes. thereby establishing a two-step RIN: 3060–AJ88 Agency Contact: Melissa Conway, transition process for equipment Attorney Advisor, Mobility Div., certification for both consumer and 463. Promoting Technological Solutions To Combat Wireless Contraband Device Wireless Bureau, Federal industrial signal boosters sold and Communications Commission, 445 12th marketed in the United States. Use in Correctional Facilities; GN Docket No. 13–111 Street SW, Washington, DC 20554, Timetable: Phone: 202 418–2887, Email: E.O. 13771 Designation: Independent [email protected]. Action Date FR Cite agency. RIN: 3060–AK06 Legal Authority: 47 U.S.C. 151 to 152; NPRM ...... 05/10/11 76 FR 26983 47 U.S.C. 154(i); 47 U.S.C. 154(j); 47 464. Promoting Investment in the 3550– R&O ...... 04/11/13 78 FR 21555 U.S.C. 301; 47 U.S.C. 303(a); 47 U.S.C. 3700 MHz Band; GN Docket No. 17–258 Petition for Re- 06/06/13 78 FR 34015 consideration. 303(b); 47 U.S.C. 307 to 310; 47 U.S.C. E.O. 13771 Designation: Independent Order on Recon- 11/08/14 79 FR 70790 332; 47 U.S.C. 302(a) agency. sideration. Abstract: In the Report and Order, the Legal Authority: 47 U.S.C. 151 and FNPRM ...... 11/28/14 79 FR 70837 Commission addresses the problem of 152; 47 U.S.C. 154(i); 47 U.S.C. 154(j); 2nd R&O and 2nd 03/23/18 83 FR 17131 illegal use of contraband wireless 47 U.S.C. 302(a); 47 U.S.C. 303 and 304; FNPRM. devices by inmates in correctional 47 U.S.C. 307(e); 47 U.S.C. 316
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Abstract: The Report and Order and 465. 800 MHz Cellular petition, thus affirming its decision in Second Further Notice of Proposed Telecommunications Licensing Reform; the 3d R&O. Rulemaking (NPRM) adopted by the Docket No. 12–40 Timetable: Commission established a new Citizens E.O. 13771 Designation: Independent Broadband Radio Service for shared Action Date FR Cite agency. wireless broadband use of the 3550 to NPRM ...... 03/16/12 77 FR 15665 3700 MHz band. The Citizens Legal Authority: 47 U.S.C. 151 to 152; NPRM Comment 05/15/12 Broadband Radio Service is governed by 47 U.S.C. 154(i) to 154(j); 47 U.S.C. 301 Period End. a three-tiered spectrum authorization to 303; 47 U.S.C. 307 to 309; 47 U.S.C. NPRM Reply 06/14/12 framework to accommodate a variety of 332 Comment Pe- riod End. commercial uses on a shared basis with Abstract: The proceeding was launched to revisit and update rules R&O ...... 12/05/14 79 FR 72143 incumbent Federal and non-Federal FNPRM ...... 12/22/14 79 FR 76268 users of the band. Access and operations governing the 800 MHz Cellular Final Rule Effec- 01/05/15 will be managed by a dynamic spectrum Radiotelephone Service (Cellular tive (With 3 Ex- access system. The three tiers are: Service). On November 10, 2014, the ceptions). Incumbent Access, Priority Access, and FCC released a Report and Order (R&O) FNPRM Comment 01/21/15 Period End. General Authorized Access. Rules and Further Notice of Proposed Rulemaking (FNPRM). In the R&O, the FNPRM Reply 02/20/15 governing the Citizens Broadband Radio FCC eliminated or streamlined Comment Pe- Service are found in part 96 of the numerous regulatory requirements; in riod End. Commission’s rules. 2nd R&O ...... 04/12/17 82 FR 17570 the FNPRM, the FCC sought comment 2nd FNPRM ...... 04/14/17 82 FR 17959 The Order on Reconsideration and on additional reforms of the Cellular Final Rule Effec- 05/12/17 Second Report and Order addressed rules, including radiated power and tive (With 9 Ex- several Petitions for Reconsideration other technical rules, to promote ceptions). submitted in response to the Report and flexibility and help foster deployment of 2nd FNPRM 05/15/17 Order and resolved the outstanding new technologies such as LTE. On Comment Pe- issues raised in the Second Further March 24, 2017, the FCC released a riod End. Second Report and Order (2d R&O) and 2nd FNPRM 06/14/17 Notice of Proposed Rulemaking. Reply Comment Second Further Notice of Proposed The 2017 NPRM sought comment on Period End. Rulemaking (2d FNPRM). In the 2d limited changes to the rules governing 3rd R&O ...... 08/02/18 83 FR 37760 R&O, the FCC revised the Cellular Priority Access Licenses in the band, Final Rule Effec- 09/04/18 radiated power rules to permit tive (With 1 Ex- adjacent channel emissions limits, and compliance with limits based on power ception). public release of base station spectral density as an option for Order on Recon- 04/09/19 84 FR 14080 registration information. licensees deploying wideband sideration. Timetable: technologies such as LTE, made Next Action Unde- conforming revisions to related termined. Action Date FR Cite technical rules, and adopted additional Regulatory Flexibility Analysis licensing reforms. In the 2d FNPRM, the Required: Yes. NPRM ...... 01/08/13 78 FR 1188 FCC sought comment on other measures NPRM Comment 03/19/13 Agency Contact: Nina Shafran, to give Cellular and other Part 22 Attorney Advisor, Wireless Bureau, Period End. commercial mobile radio service FNPRM ...... 06/02/14 79 FR 31247 Mobility Div., Federal Communications licensees more flexibility and Commission, 445 12th Street SW, FNPRM Comment 08/15/14 administrative relief, and on ways to Period End. Washington, DC 20554, Phone: 202 418– R&O and 2nd 06/15/15 80 FR 34119 consolidate and simplify the rules for 2781, Email: [email protected]. FNPRM. the Cellular Service and other RIN: 3060–AK13 2nd FNPRM 08/14/15 geographically licensed wireless Comment Pe- services. On July 13, 2018, the FCC 466. Updating Part 1 Competitive riod End. released a Third Report and Order (3d Bidding Rules (WT Docket No. 14–170) Order on Recon 07/26/16 81 FR 49023 R&O) in which it deleted certain Part 22 E.O. 13771 Designation: Independent and 2nd R&O. rules that imposed needless agency. NPRM ...... 11/28/17 82 FR 56193 recordkeeping and reporting obligations; Legal Authority: 47 U.S.C. 151; 47 NPRM Comment 01/29/18 it also deleted certain Cellular Service- U.S.C. 154(i); 47 U.S.C. 303(r); 47 U.S.C. Period End. specific and Part 22 rules that are 309(j); 47 U.S.C. 316 R&O ...... 12/07/18 83 FR 6306 duplicative of other rules and are thus Abstract: This proceeding was Next Action Unde- no longer necessary. These revisions initiated to revise some of the termined. reduce regulatory burdens for Cellular Commission’s general part 1 rules and other Part 22 licensees and provide governing competitive bidding for Regulatory Flexibility Analysis them with enhanced flexibility, thereby spectrum licenses to reflect changes in Required: Yes. freeing up more resources for the marketplace, including the Agency Contact: Paul Powell, investment in new technologies and challenges faced by new entrants, as well as to advance the statutory Assistant Chief, Mobility Division, greater spectrum efficiency to meet increasing consumer demand for directive to ensure that small WTB, Federal Communications advanced wireless services. On March businesses, rural telephone companies, Commission, 445 12th Street SW, 22, 2019, the FCC released an Order on and businesses owned by members of Washington, DC 20554, Phone: 202 418– Reconsideration addressing a petition minority groups and women are given 1613, Email: [email protected]. for reconsideration of a rule deletion in the opportunity to participate in the RIN: 3060–AK12 the 3d R&O. The FCC denied the provision of spectrum-based services. In
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July 2015, the Commission revised its Action Date FR Cite directly to an auction for some or all of competitive bidding rules, specifically the spectrum. adopting revised requirements for FNPRM ...... 08/24/16 81 FR 58269 Timetable: eligibility for bidding credits, a new Comment Period 09/30/16 rural service provider bidding credit, a End. Action Date FR Cite prohibition on joint bidding agreements FNPRM Reply 10/31/16 and other changes. Comment Pe- NPRM ...... 06/07/18 83 FR 26396 riod End. Timetable: NPRM Comment 06/21/18 83 FR 31515 R&O ...... 11/14/16 81 FR 79894 Period Ex- R&O ...... 01/02/18 83 FR 37 tended. Action Date FR Cite FNPRM ...... 01/02/18 83 FR 85 NPRM Comment 09/07/18 FNPRM Comment 01/23/18 Period End. NPRM ...... 11/14/14 79 FR 68172 Public Notice ...... 03/16/15 80 FR 15715 Period End. Next Action Unde- Public Notice ...... 04/23/15 80 FR 22690 R&O ...... 07/20/18 83 FR 34478 termined. R&O ...... 09/18/15 80 FR 56764 FNPRM ...... 07/20/18 83 FR 34520 Public Notice on 11/10/15 80 FR 69630 FNPRM Comment 09/28/18 Regulatory Flexibility Analysis Petitions for Re- Period End. Required: Yes. consideration. R&O ...... 02/05/19 84 FR 1618 Agency Contact: John Schauble, R&O ...... 05/01/19 84 FR 18405 Deputy Chief, Broadband Division, Order on Recon .. To Be Determined Next Action Unde- Federal Communications Commission, termined. Wireless Telecommunications Bureau, Regulatory Flexibility Analysis 445 12th Street SW, Washington, DC Regulatory Flexibility Analysis Required: Yes. 20554, Phone: 202 418–0797, Email: Required: Yes. Agency Contact: Kelly Quinn, [email protected]. Assistant Chief, Auctions and Spectrum Agency Contact: John Schauble, RIN: 3060–AK75 Access Division, Federal Deputy Chief, Broadband Division, Communications Commission, 445 12th Federal Communications Commission, 469. Expanding Flexible Use of the 3.7 Street SW, Washington, DC 20554, Wireless Telecommunications Bureau, to 4.2 GHz Band: GN Docket No. 18–122 Phone: 202 418–0660, Email: 445 12th Street SW, Washington, DC E.O. 13771 Designation: Independent [email protected]. 20554, Phone: 202 418–0797, Email: agency. RIN: 3060–AK28 [email protected]. Legal Authority: 47 U.S.C. 151 to 153; RIN: 3060–AK44 467. Use of Spectrum Bands Above 24 47 U.S.C. 154(i); 47 U.S.C. 157; 47 GHz for Mobile Services—Spectrum 468. Transforming the 2.5 GHz Band U.S.C. 201; 47 U.S.C. 301 to 304; 47 Frontiers: WT Docket 10–112 U.S.C. 307 to 310; 47 U.S.C. 1302; . . . E.O. 13771 Designation: Independent Abstract: In this proceeding, the E.O. 13771 Designation: Independent agency. Commission is pursuing the joint goals agency. Legal Authority: 47 U.S.C. 151 to 153; of making spectrum available for new Legal Authority: 47 U.S.C. 151 to 154; 47 U.S.C. 154(i); 47 U.S.C. 157; 47 wireless uses, while balancing desired 47 U.S.C. 157; 47 U.S.C. 160; 47 U.S.C. U.S.C. 201; 47 U.S.C. 301 and 302; 47 speed to the market, efficiency of use, 201; 47 U.S.C. 225; 47 U.S.C. 227; 47 U.S.C. 304; 47 U.S.C. 307 to 310; 47 and effectively accommodating U.S.C. 301 and 302; 47 U.S.C. 302(a); 47 U.S.C. 1302 incumbent Fixed Satellite Service (FSS) U.S.C. 303 and 304; 47 U.S.C. 307; 47 Abstract: The 2.5 GHz band (2496– and Fixed Service (FS) operations in the U.S.C. 309 and 310; 47 U.S.C. 316; 47 2690 MHz) constitutes the single largest band. To gain a clearer understanding of U.S.C. 319; 47 U.S.C. 332; 47 U.S.C. 336; band of contiguous spectrum below 3 the operations of current users in the 47 U.S.C. 1302 GHz and has been identified as prime band, the Commission collects Abstract: In this proceeding, the spectrum for next generation mobile information on current FSS uses. The Commission adopted service rules for operations, including 5G uses. Commission then seeks comment on licensing of mobile and other uses for Significant portions of this band, various proposals for transitioning all or millimeter wave (mmW) bands. These however, currently lie fallow across part of the band for flexible use, high frequencies previously have been approximately one-half of the United terrestrial mobile spectrum, with best suited for satellite or fixed States, primarily in rural areas. clearing for flexible use beginning at 3.7 microwave applications; however, Moreover, access to the Educational GHz and moving higher up in the band recent technological breakthroughs have Broadband Service (EBS) has been as more spectrum is cleared. The newly enabled advanced mobile strictly limited since 1995, and current Commission also seeks comment on services in these bands, notably licensees are subject to a regulatory potential changes to the Commission’s including very high speed and low regime largely unchanged from the days rules to promote more efficient and latency services. This action will help when educational TV was the only use intensive fixed use of the band on a facilitate Fifth Generation mobile envisioned for this spectrum. The shared basis starting in the top segment services and other mobile services. In Commission proposes to allow more of the band and moving down the band. developing service rules for mmW efficient and effective use of this To add a mobile, except aeronautical bands, the Commission will facilitate spectrum band by providing greater mobile, allocation and to develop rules access to spectrum, develop a flexible flexibility to current EBS licensees as that would enable the band to be spectrum policy, and encourage well as providing new opportunities for transitioned for more intensive fixed wireless innovation. additional entities to obtain unused 2.5 and flexible uses, the Commission Timetable: GHz spectrum to facilitate improved encourages commenters to discuss and Action Date FR Cite access to next generation wireless quantify the costs and benefits broadband, including 5G. The associated with any proposed approach NPRM ...... 01/13/16 81 FR 1802 Commission also seeks comment on along with other helpful technical or NPRM Comment 02/26/16 additional approaches for transforming procedural details. Period End. the 2.5 GHz band, including by moving Timetable:
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Action Date FR Cite Action Date FR Cite 472. Amendment of Part 101 of the Commission’s Rules for Microwave Use NPRM ...... 08/29/18 83 FR 44128 Next Action Unde- and Broadcast Auxiliary Service NPRM Comment 11/27/18 termined. Flexibility Period End. E.O. 13771 Designation: Independent Public Notice ...... 05/20/19 84 FR 22733 Regulatory Flexibility Analysis Certifications and 05/28/19 agency. Data Filing Required: Yes. Legal Authority: 47 U.S.C. 151 and Deadline. Agency Contact: Jeff Tobias, Attorney 152; 47 U.S.C. 154(i) and 157; 47 U.S.C. Public Notice ...... 06/03/19 84 FR 22514 Advisor, Federal Communications 160 and 201; 47 U.S.C. 214; 47 U.S.C. Public Notice 07/03/19 Commission, Wireless 301 to 303; 47 U.S.C. 307 to 310; 47 Comment Pe- Telecommunications Bureau, 445 12th U.S.C. 319 and 324; 47 U.S.C. 332 and riod End. Street SW, Washington, DC 20554, 333 Public Notice 07/18/19 Phone: 202 418–1617, Email: Abstract: In this document, the Reply Comment Period End. [email protected]. Commission commences a proceeding Next Action Unde- RIN: 3060–AK92 to remove regulatory barriers to the use termined. of spectrum for wireless backhaul and other point-to-point and point-to- Regulatory Flexibility Analysis multipoint communications. FEDERAL COMMUNICATIONS Required: Yes. Timetable: COMMISSION (FCC) Agency Contact: Peter Daronco, Deputy Division Chief, Broadband Wireless Telecommunications Bureau Action Date FR Cite Division, Federal Communications Completed Actions NPRM ...... 08/05/10 75 FR 52185 Commission, Wireless NPRM Comment 11/22/10 Telecommunications Bureau, 445 12th 471. Review of Part 87 of the Period End. Street SW, Washington, DC 20554, Commission’s Rules Concerning R&O ...... 09/27/11 76 FR 59559 Phone: 202 418–7235, Email: Aviation (WT Docket No. 01–289) FNPRM ...... 09/27/11 76 FR 59614 [email protected]. FNPRM Comment 10/25/11 RIN: 3060–AK76 E.O. 13771 Designation: Independent Period End. agency. R&O ...... 09/05/12 77 FR 54421 • 470. Amendment of the Commission’s Legal Authority: 47 U.S.C. 154; 47 FNPRM ...... 09/05/12 77 FR 54511 Rules To Promote Aviation Safety: WT U.S.C. 303; 47 U.S.C. 307(e) FNPRM Comment 10/22/12 Docket No. 19–140 Period End. Abstract: This proceeding is intended E.O. 13771 Designation: Independent to streamline, consolidate, and revise Regulatory Flexibility Analysis agency. our part 87 rules governing the Aviation Required: Yes. Legal Authority: 47 U.S.C. 154; 47 Radio Service. The rule changes are Agency Contact: John Schauble, U.S.C. 303; 307(e) designed to ensure these rules reflect Deputy Chief, Broadband Division, Abstract: The Federal current technological advances. Federal Communications Commission, Communications Commission regulates Timetable: Wireless Telecommunications Bureau, the Aviation Radio Service, a family of 445 12th Street SW, Washington, DC services using dedicated spectrum to Action Date FR Cite 20554, Phone: 202 418–0797, Email: enhance the safety of aircraft in flight, [email protected]. facilitate the efficient movement of NPRM ...... 10/16/01 66 FR 64785 RIN: 3060–AJ47 aircraft both in the air and on the NPRM Comment 03/14/02 ground, and otherwise ensure the Period End. 473. Fixed and Mobile Services in the reliability and effectiveness of aviation R&O and FNPRM 10/16/03 Mobile Satellite Service Bands at 1525– communications. Recent technological FNPRM ...... 04/12/04 69 FR 19140 1559 MHz and 1626.5–1660.5 MHz, advances have prompted the FNPRM Comment 07/12/04 1610–1626.5 MHz and 2483.5–2500 Period End. MHz, and 2000–2020 MHz and 2180– Commission to open this new R&O ...... 06/14/04 69 FR 32577 rulemaking proceeding to ensure the NPRM ...... 12/06/06 71 FR 70710 2200 MHz timely deployment and use of today’s NPRM Comment 03/06/07 E.O. 13771 Designation: Independent state-of-the-art safety-enhancing Period End. agency. technologies. With this Notice of Final Rule ...... 12/06/06 71 FR 70671 Legal Authority: 47 U.S.C. 151 and Proposed Rulemaking, the Commission 3rd R&O ...... 03/29/11 76 FR 17347 154; 47 U.S.C. 303 and 310 proposes changes to its part 87 Aviation Stay Order ...... 03/29/11 76 FR 17353 Abstract: The Commission proposes Radio Service rules to support the 3rd FNPRM ...... 01/30/13 78 FR 6276 steps making additional spectrum deployment of more advanced avionics R&O ...... 12/12/18 83 FR 63806 Withdrawn ...... 07/29/19 available for new investment in mobile technology, increase the efficient use of broadband networks, while ensuring limited spectrum resources, and that the United States maintains robust generally improve aviation safety. Regulatory Flexibility Analysis mobile satellite service capabilities. Timetable: Required: Yes. Mobile broadband is emerging as one of Agency Contact: Jeff Tobias, Attorney America’s most dynamic innovation and Action Date FR Cite Advisor, Federal Communications economic platforms. Yet tremendous Commission, Wireless demand growth soon will test the limits NPRM ...... 07/02/19 84 FR 31542 Telecommunications Bureau, 445 12th of spectrum availability. Some 90 NPRM Comment 09/03/19 Street SW, Washington, DC 20554, Period End. megahertz of spectrum, allocated to the NPRM Reply 09/30/19 Phone: 202 418–1617, Email: Mobile Satellite Service (MSS) in the 2 Comment Pe- [email protected]. GHz band, Big LEO band, and L-band, riod End. RIN: 3060–AI35 are potentially available for terrestrial
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mobile broadband use. The Commission of 1934, as amended. CPNI includes, utilization data reporting requirement, a seeks to remove regulatory barriers to among other things, to whom, where, uniform set of categories of numbers for terrestrial use and to promote additional and when a customer places a call, as which carriers must report their investments, such as those recently well as the types of service offerings to utilization, and a utilization threshold made possible by a transaction between which the customer subscribes and the framework to increase carrier Harbinger Capital Partners and SkyTerra extent to which the service is used. accountability and incentives to use Communications, while retaining Timetable: numbers efficiently. In addition, the sufficient market-wide MSS capability. Commission adopted a single system for The Commission proposes to add co- Action Date FR Cite allocating numbers in blocks of 1,000, primary Fixed and Mobile allocations to rather than 10,000, wherever possible, the 2 GHz band, consistent with the NPRM ...... 05/28/96 61 FR 26483 and established a plan for national Public Notice ...... 02/25/97 62 FR 8414 rollout of thousands-block number International Table of Allocations. This Second R&O and 04/24/98 63 FR 20364 allocation modification is a FNPRM. pooling. The Commission also adopted precondition for more flexible licensing Order on Recon .. 10/01/99 64 FR 53242 numbering resource reclamation of terrestrial services within the band. Final Rule, An- 01/26/01 66 FR 7865 requirements to ensure that unused Second, the Commission proposes to nouncement of numbers are returned to the North apply the Commission’s secondary Effective Date. American Numbering Plan (NANP) market policies and rules applicable to Clarification Order 09/07/01 66 FR 50140 inventory for assignment to other terrestrial services to all transactions and Second carriers. Also, to encourage better involving the use of MSS bands for NPRM. management of numbering resources, Third R&O and 09/20/02 67 FR 59205 terrestrial services to create greater carriers are required, to the extent Third FNPRM. possible, to first assign numbering predictability and regulatory parity with NPRM ...... 03/15/06 71 FR 13317 bands licensed for terrestrial mobile NPRM ...... 06/08/07 72 FR 31782 resources within thousands blocks (a broadband service. The Commission Final Rule, An- 06/08/07 72 FR 31948 form of sequential numbering). also requests comment on further steps nouncement of In the NRO Second Report and Order, we can take to increase the value, Effective Date. the Commission adopted a measure that utilization, innovation, and investment Public Notice ...... 07/13/12 77 FR 35336 requires all carriers to use at least 60 in MSS spectrum generally. Final Rule ...... 09/21/17 82 FR 44188 percent of their numbering resources Timetable: Next Action Unde- before they may get additional numbers termined. in a particular area. That 60 percent Action Date FR Cite utilization threshold increases to 75 Regulatory Flexibility Analysis percent over the next three years. The NPRM ...... 07/15/10 75 FR 49871 Required: Yes. Commission also established a 5-year NPRM Comment 09/30/10 Agency Contact: Melissa Kirkel, term for the national pooling Period End. Attorney Advisor, Federal administrator and an auditing program R&O ...... 04/06/11 76 FR 31252 Communications Commission, Wireline to verify carrier compliance with the Competition Bureau, 445 12th Street Commission’s rules. Furthermore, the Regulatory Flexibility Analysis SW, Washington, DC 20554, Phone: 202 Commission declined to amend the Required: Yes. 418–7958, Fax: 202 418–1413, Email: existing Federal rules for area code Agency Contact: Blaise Scinto, Chief, [email protected]. relief or specify any new Federal Broadband Division, WTB, Federal RIN: 3060–AG43 guidelines for the implementation of Communications Commission, 445 12th area code relief. The Commission also Street SW, Washington, DC 20554, 475. Numbering Resource Optimization declined to state a preference for either Phone: 202 418–1380, Email: E.O. 13771 Designation: Independent all-services overlays or geographic splits [email protected]. agency. as a method of area code relief. RIN: 3060–AJ59 Legal Authority: 47 U.S.C. 151; 47 Regarding mandatory nationwide 10- U.S.C. 154; 47 U.S.C. 201 et seq.; 47 digit dialing, the Commission declined U.S.C. 251(e) to adopt this measure at the present FEDERAL COMMUNICATIONS Abstract: In 1999, the Commission time. Furthermore, the Commission COMMISSION (FCC) released the Numbering Resource declined to mandate nationwide Optimization Notice of Proposed expansion of the ‘‘D digit’’ (the ‘‘N’’ of Wireline Competition Bureau Rulemaking (Notice) in CC Docket 99– an NXX or central office code) to Long-Term Actions 200. The Notice examined and sought include zero or one, or to grant State comment on several administrative and commissions the authority to implement 474. Telecommunications Carriers’ Use technical measures aimed at improving the expansion of the ‘‘D’’ digit as a of Customer Proprietary Network the efficiency with which numbering resource optimization Information and Other Customer telecommunications numbering measure presently. Information (CC Docket No. 96–115) resources are used and allocated. It In the NRO Third Report and Order, E.O. 13771 Designation: Independent incorporated input from the North the Commission addressed national agency. American Numbering Council (NANC), thousands-block number pooling Legal Authority: 47 U.S.C. 151; 47 a Federal advisory committee, which administration issues, including U.S.C. 154; 47 U.S.C. 222; 47 U.S.C. 272; advises the Commission on issues declining to alter the implementation 47 U.S.C. 303(r) related to number administration. date for covered CMRS carriers to Abstract: The Commission adopted In the Numbering Resource participate in pooling. The Commission rules implementing the new statutory Optimization First Report and Order also addressed Federal cost recovery for framework governing carrier use and and Further Notice of Proposed national thousands-block number disclosure of customer proprietary Rulemaking (NRO First Report and pooling, and continued to require States network information (CPNI) created by Order), released on March 31, 2000, the to establish cost recovery mechanisms section 222 of the Communications Act Commission adopted a mandatory for costs incurred by carriers
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participating in pooling trials. The whether all MSAs included in Commission sought comment on Commission reaffirmed the Months-To- Combined Metropolitan Statistical whether it should delegate authority to Exhaust (MTE) requirement for carriers. Areas (CMSAs) on the Census Bureau’s all States to implement mandatory The Commission declined to lower the list of the largest 100 MSAs should be thousands-block number pooling utilization threshold established in the included on the Commission’s list of the consistent with the parameters set forth Second Report and Order, and declined top 100 MSAs. in the NRO Order. to exempt pooling carriers from the In the NRO Fourth Report and Order In its 2013 Notice of Proposed utilization threshold. The Commission and Further Notice of Proposed Rulemaking, the Commission proposed also established a safety valve Rulemaking, the Commission reaffirmed to allow interconnected Voice over mechanism to allow carriers that do not that carriers must deploy LNP in internet Protocol (VOIP) providers to meet the utilization threshold in a given switches within the 100 largest obtain telephone numbers directly from rate center to obtain additional Metropolitan Statistical Areas (MSAs) the North American Numbering Plan numbering resources. In the NRO Third for which another carrier has made a Administrator and the Pooling Report and Order, the Commission specific request for the provision of Administrator, subject to certain lifted the ban on technology-specific LNP. The Commission delegated the requirements. The Commission also overlays (TSOs) and delegated authority authority to State commissions to sought comment on a forward-looking to the Common Carrier Bureau, in require carriers operating within the approach to numbers for other types of consultation with the Wireless largest 100 MSAs that have not received providers and uses, including telematics Telecommunications Bureau, to resolve a specific request for LNP from another and public safety, and the benefits and any such petitions. Furthermore, the carrier to provide LNP, under certain number exhaust risks of granting Commission found that carriers who circumstances and on a case-by-case providers other than interconnected violate its numbering requirements, or basis. The Commission concluded that VoIP providers direct access. fail to cooperate with an auditor all carriers, except those specifically In its 2015 Report and Order, the conducting either a ‘‘for cause’’ or exempted, are required to participate in Commission established an random audit, should be denied thousands-block number pooling in authorization process to enable numbering resources in certain accordance with the national rollout interconnected VoIP providers that instances. The Commission also schedule, regardless of whether they are choose to obtain access to North reaffirmed the 180-day reservation required to provide LNP, including American Numbering Plan telephone period, declined to impose fees to commercial mobile radio service numbers directly from the North extend the reservation period, and (CMRS) providers that were required to American Numbering Plan found that State commissions should be deploy LNP as of November 24, 2003. Administrator and/or the Pooling Administrator (Numbering allowed password-protected access to The Commission specifically exempted Administrators), rather than through the NANP Administrator database for from the pooling requirement rural intermediaries. The Order also set forth data pertaining to NPAs located within telephone companies and Tier III CMRS several conditions designed to minimize their State. The measures adopted in the providers that have not received a number exhaust and preserve the NRO orders will allow the Commission request to provide LNP. The integrity of the numbering system. to monitor more closely the way Commission also exempted from the Specifically, the Commission required numbering resources are used within pooling requirement carriers that are the only service provider receiving interconnected VoIP providers obtaining the NANP, and will promote more numbering resources in a given rate numbers to comply with the same efficient allocation and use of NANP center. Additionally, the Commission requirements applicable to carriers resources by tying a carrier’s ability to sought further comment on whether seeking to obtain numbers. The obtain numbering resources more these exemptions should be expanded requirements included any State closely to its actual need for numbers to to include carriers where there are only requirements pursuant to numbering serve its customers. two service providers receiving authority delegated to the States by the In NRO Third Order on Recon in CC numbering resources in the rate center. Commission, as well as industry Docket No. 99–200, Third Further Finally, the Commission reaffirmed that guidelines and practices, among others. Notice of Proposed Rulemaking in CC the 100 largest MSAs are identified in The Commission also required Docket No. 99–200, and Second Further the 1990 U.S. Census reports, as well as interconnected VoIP providers to Notice of Proposed Rulemaking in CC those areas included on any subsequent comply with facilities readiness Docket No, 95–116, the Commission U.S. Census report of the 100 largest requirements adapted to this context, reversed its clarification that those MSAs. and with numbering utilization and requirements extend to all carriers in In the NRO Order and Fifth Further optimization requirements. In addition, the largest 100 MSAs, regardless of Notice of Proposed Rulemaking, the as conditions to requesting and whether they have received a request Commission granted petitions for obtaining numbers directly from the from another carrier to provide LNP. delegated authority to implement Numbering Administrators, the The Commission also sought comment mandatory thousands-block pooling Commission required interconnected on whether the Commission should filed by the Public Service Commission VoIP providers to (1) provide the again extend the LNP requirements to of West Virginia, the Nebraska Public relevant State commissions with all carriers in the largest 100 MSAs, Service Commission, the Oklahoma regulatory and numbering contacts regardless of whether they receive a Corporation Commission, the Michigan when requesting numbers in those request to provide LNP. The Public Service Commission, and the States, (2) request numbers from the Commission also sought comment on Missouri Public Service Commission. In Numbering Administrators under their whether all carriers in the top 100 MSAs granting these petitions, the own unique OCN, (3) file any requests should be required to participate in Commission permitted these States to for numbers with the relevant State thousands-block number pooling, optimize numbering resources and commissions at least 30 days prior to regardless of whether they are required further extend the life of the specific requesting numbers from the Numbering to be LNP capable. In addition, the numbering plan areas. In the Further Administrators, and (4) provide Commission sought comment on Notice of Proposed Rulemaking, the customers with the opportunity to
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access all abbreviated dialing codes part 36 separations rules. In 2006, the Action Date FR Cite (N11 numbers) in use in a geographic Commission issued an Order and area. Finally, the Order also modified Further Notice of Proposed Rulemaking R&O ...... 05/15/09 74 FR 23955 Commission’s rules in order to permit that extended the separations freeze for R&O ...... 05/25/10 75 FR 30301 VoIP Positioning Center providers to a period of 3 years and sought comment R&O ...... 05/27/11 76 FR 30840 obtain pseudo-Automatic Number on comprehensive reform. In 2009, the R&O ...... 05/23/12 77 FR 30410 R&O ...... 06/13/14 79 FR 36232 Identification codes directly from the Commission issued a Report and Order R&O ...... 06/02/17 82 FR 25535 Numbering Administrators for purposes extending the separations freeze an Recommended 10/27/17 of providing E911 services. additional year to June 2010. In 2010, Decision. Timetable: the Commission issued a Report and NPRM ...... 03/13/18 83 FR 10817 Order extending the separations freeze NPRM Comment 04/27/18 Action Date FR Cite for an additional year to June 2011. In Period End. 2011, the Commission adopted a Report NPRM ...... 07/27/18 83 FR 35589 NPRM ...... 06/17/99 64 FR 32471 and Order extending the separations NPRM Comment 09/10/18 R&O and FNPRM 06/16/00 65 FR 37703 freeze for an additional year to June Period End. Second R&O and 02/08/01 66 FR 9528 R&O ...... 12/11/18 83 FR 63581 Second FNPRM. 2012. In 2012, the Commission issued a R&O ...... 02/15/19 84 FR 4351 Third R&O and 02/12/02 67 FR 643 Report and Order extending the Announcement of 03/01/19 84 FR 6977 Second Order separations freeze for an additional 2 OMB Approval. on Recon. years to June 2014. In 2014, the Next Action Unde- Third R&O on 04/05/02 67 FR 16347 Commission issued a Report and Order termined. Recon and extending the separations freeze for an Third FNPRM. additional 3 years to June 2017. Regulatory Flexibility Analysis Fourth R&O and 07/21/03 68 FR 43003 In 2016, the Commission issued a Required: Yes. Fourth NPRM. Report and Order extending the Agency Contact: William Kehoe, Order and Fifth 03/15/06 71 FR 13393 separations freeze for an additional 18 Assistant Division Chief, PPD, Federal FNPRM. months until January 1, 2018. In 2017, Communications Commission, Wireline Order ...... 06/19/13 78 FR 36679 NPRM & NOI ...... 06/19/13 78 FR 36725 the Joint Board issued a Recommended Competition Bureau, 445 12th Street R&O ...... 10/29/15 80 FR 66454 Decision recommending changes to the SW, Washington, DC 20554, Phone: 202 Next Action Unde- part 36 rules designed to harmonize 418–7122, Fax: 202 418–1413, Email: termined. them with the Commission’s previous [email protected]. amendments to its part 32 accounting RIN: 3060–AJ06 Regulatory Flexibility Analysis rules. In February 2018, the Commission 477. Service Quality Measurement Plan Required: Yes. issued a Notice of Proposed Rulemaking for Interstate Special Access (WC Agency Contact: Marilyn Jones, proposing amendments to part 36 Docket No. 02–112; CC Docket No. 00– Senior Counsel, Federal consistent with the Joint Board’s 175; WC Docket No. 06–120) Communications Commission, Wireline recommendations. In October 2018, the Competition Bureau, 445 12th Street Commission issued a Report and Order E.O. 13771 Designation: Independent SW, Washington, DC 20554, Phone: 202 adopting each of the Joint Board’s agency. 418–2357, Fax: 202 418–2345, Email: recommendations and amending the Legal Authority: 47 U.S.C. 151 and [email protected]. Part 36 consistent with those 152; 47 U.S.C. 154(i) and (j); 47 U.S.C. RIN: 3060–AH80 recommendations. In July 2018, the 201 to 204; 47 U.S.C. 214; 47 U.S.C. 220(a); 47 U.S.C. 251 and 252; 47 U.S.C. 476. Jurisdictional Separations Commission issued a Notice of Proposed Rulemaking proposing to 272; 47 U.S.C. 303(r) E.O. 13771 Designation: Independent extend the separations freeze for an Abstract: Pursuant to the agency. additional 15 years and to provide rate- Communications Act of 1934, as Legal Authority: 47 U.S.C. 151; 47 of-return carriers that had elected to amended, the Commission imposed two U.S.C. 154(i) and 154(j); 47 U.S.C. 205; freeze their category relationships a time information collections as conditions of 47 U.S.C. 221(c); 47 U.S.C. 254; 47 limited opportunity to opt out of that substantial regulatory relief granted to U.S.C. 403; 47 U.S.C. 410 freeze. In December 2018, the the Bell Operating Companies (BOCs), Abstract: Jurisdictional separations is Commission issued a Report and Order including their independent incumbent the process, pursuant to part 36 of the extending the freeze for up to 6 years local exchange carrier affiliates. The Commission’s rules, by which until December 31, 2024, and granting first information collection requires the incumbent local exchange carriers rate-of-return carriers that had elected to BOCs, including their independent apportion regulated costs between the freeze their category relationships a one- incumbent local exchange carrier (LEC) intrastate and interstate jurisdictions. In time opportunity to opt out of that affiliates, to report special access 1997, the Commission initiated a freeze. performance metrics on a quarterly proceeding seeking comment on the Timetable: basis. The second information collection extent to which legislative changes, required the BOCs, and their technological changes, and marketplace Action Date FR Cite independent incumbent LEC affiliates, changes warrant comprehensive reform to provide their residential customers of the separations process. In 2001, the NPRM ...... 11/05/97 62 FR 59842 with the total number of long distance Commission adopted the Federal-State NPRM Comment 12/10/97 telecommunications service minutes Joint Board on Jurisdictional Period End. they use each month. The second Separations’ Joint Board’s Order ...... 06/21/01 66 FR 33202 Order and 05/26/06 71 FR 29882 information collection expired in 2011. recommendation to impose an interim FNPRM. On May 4, 2018, USTelecom filed a freeze on the part 36 category Order and 08/22/06 forbearance petition in which it sought relationships and jurisdictional cost FNPRM Com- forbearance from, among other things, allocation factors for a period of 5 years, ment Period obligations under section 272 of the pending comprehensive reform of the End. Communications Act, including special
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access performance metrics reporting Action Date FR Cite Abstract: In 2007, the Commission requirements for all carriers. See released a Notice of Proposed Petition of USTelecom for Forbearance US Telecom Peti- 09/05/18 Rulemaking in WC Docket No. 07–244. Pursuant to 47 U.S.C. 160(c) to tion for Forbear- The Notice sought comment on whether Accelerate Investment in Broadband ance Reply the Commission should adopt rules and Next-Generation Networks, WC Comment Pe- specifying the length of the porting riod End. Docket No. 18–141 (filed May 4, 2018). Next Action Unde- intervals or other details of the porting The Commission has sought comment termined. process. It also tentatively concluded on the USTelecom petition—Petition of that the Commission should adopt rules USTelecom for Forbearance Pursuant to Regulatory Flexibility Analysis reducing the porting interval for 47 U.S.C. 160(c) to Accelerate Required: Yes. wireline-to-wireline and intermodal Investment in Broadband and Next- Agency Contact: Heather simple port requests, specifically, to a Generation Networks, WC Docket No. Hendrickson, Federal Communications 48-hour porting interval. 18–141, Order, DA 18–574 (June 1, Commission, 445 12th Street SW, In the Local Number Portability 2018). Washington, DC 20554, Phone: 202 418– Porting Interval and Validation 7295, Email: heather.hendrickson@ Requirements First Report and Order Comments and oppositions were due fcc.gov. and a further Notice of Proposed June 7, 2018, and replies by June 22, RIN: 3060–AJ08 Rulemaking, released on May 13, 2009, 2018 (DA18–475). These dates were the Commission reduced the porting 478. Development of Nationwide extended until August 6, 2018, and interval for simple wireline and simple Broadband Data To Evaluate September 5, 2018 (DA–18–574). The intermodal port requests, requiring all Reasonable and Timely Deployment of Commission extended the date by entities subject to its local number Advanced Services to All Americans which the petition would be deemed portability (LNP) rules to complete granted in the absence of a Commission E.O. 13771 Designation: Independent simple wireline-to-wireline and simple decision that the petition fails to meet agency. intermodal port requests within one the standards for forbearance under Legal Authority: 15 U.S.C. 251; 47 business day. In a related further Notice section 10(a) of the Act by 90 days until U.S.C. 252; 47 U.S.C. 257; 47 U.S.C. 271; of Proposed Rulemaking (NPRM), the August 2, 2019. (DA 19–75). 47 U.S.C. 1302; 47 U.S.C. 160(b); 47 Commission sought comment on what The Commission terminated these U.S.C. 161(a)(2) further steps, if any, the Commission two information collections. See Abstract: The Report and Order should take to improve the process of Petition of USTelecom for Forbearance streamlined and reformed the changing providers. Pursuant to 47 U.S.C. 160(c) to Commission’s Form 477 Data Program, In the LNP Standard Fields Order, Accelerate Investment in Broadband which is the Commission’s primary tool released on May 20, 2010, the and Next-Generation Networks, to collect data on broadband and Commission adopted standardized data Memorandum Opinion and Order, WC telephone services. fields for simple wireline and Timetable: Docket No. 18–141, FCC 19–31 (April intermodal ports. The Order also adopts the NANC’s recommendations for 15, 2019). Action Date FR Cite Timetable: porting process provisioning flows and NPRM ...... 05/16/07 72 FR 27519 for counting a business day in the Action Date FR Cite Order ...... 07/02/08 73 FR 37861 context of number porting. Order ...... 10/15/08 73 FR 60997 Timetable: NPRM ...... 10/02/01 66 FR 50139 NPRM ...... 02/08/11 76 FR 10827 Order ...... 06/27/13 78 FR 49126 NPRM Comment 11/01/01 Action Date FR Cite NPRM ...... 08/24/17 82 FR 40118 Period End. NPRM Comment 09/25/17 NPRM ...... 02/21/08 73 FR 9507 NPRM ...... 05/29/03 68 FR 32007 Period End. R&O and NPRM 07/02/09 74 FR 31630 NPRM Comment 06/30/03 NPRM Reply 10/10/17 R&O ...... 06/22/10 75 FR 35305 Period End. Comment Pe- Public Notice ...... 12/21/11 76 FR 79607 R&O ...... 10/12/07 72 FR 58021 riod End. Public Notice ...... 06/06/13 78 FR 34015 NPRM ...... 01/22/13 78 FR 4369 Next Action Unde- R&O ...... 05/26/15 80 FR 29978 R&O ...... 11/13/13 78 FR 67956 termined. Next Action Unde- FNPRM ...... 11/13/13 78 FR 68005 termined. FNPRM Comment 12/20/13 Regulatory Flexibility Analysis Period End. Required: Yes. Regulatory Flexibility Analysis FNPRM Reply 01/13/14 Agency Contact: Suzanne Mendez, Required: Yes. Comment Pe- Program Analyst, OEA, Federal Agency Contact: Michelle Sclater, riod End. Communications Commission, 445 12th Attorney, Wireline Competition Bureau, OMB Approval ..... 06/12/14 79 FR 33709 Street SW, Washington, DC 20554, Federal Communications Commission, Inactive per 03/31/16 Phone: 202 418–0941, Email: 445 12th Street SW, Washington, DC Maura McGowan. [email protected]. 20554, Phone: 202 418–0388, Email: RIN: 3060–AJ15 Notice and Re- 05/16/17 82 FR 22545 [email protected]. RIN: 3060–AJ32 quest for Com- 479. Local Number Portability Porting ment. Interval and Validation Requirements 480. Rural Call Completion; WC Docket Comment Period 07/17/17 (WC Docket No. 07–244) No. 13–39 End. OMB Approval ..... 09/06/17 E.O. 13771 Designation: Independent E.O. 13771 Designation: Independent US Telecom Peti- 08/06/18 agency. agency. tion for Forbear- Legal Authority: 47 U.S.C. 151; 47 Legal Authority: 47 U.S.C. 154; 47 ance Comment U.S.C. 154(i); 47 U.S.C. 154(j); 47 U.S.C. U.S.C. 217; 47 U.S.C. 201; 47 U.S.C. 202; Period End. 251; 47 U.S.C. 303(r) 47 U.S.C. 218; 47 U.S.C. 220; 47 U.S.C.
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262; 47 U.S.C. 403(b)(2)(B); 47 U.S.C. Action Date FR Cite reporting requirements related to video 251(a); 47 U.S.C. 225; 47 U.S.C. 620; 47 visitation. The court held that the U.S.C. 251; 47 U.S.C. 251(e); 47 U.S.C. 2nd Order ...... 04/17/18 83 FR 21723 Commission lacked jurisdiction over 254(k); 47 U.S.C. 616; 47 U.S.C. 226; 47 3rd FNPRM ...... 04/17/18 83 FR 21983 intrastate ICS calls and that the rate caps U.S.C. 227; 47 U.S.C. 228; 47 U.S.C. 3rd FNPRM Com- 06/04/18 the Commission adopted for interstate 1401–1473 ment Period calls were arbitrary and capricious. The Abstract: The Third RCC Order began End. 3rd FNPRM Reply 06/19/18 court also remanded the Commission’s implementation of the Improving Rural Comment Pe- caps on ancillary fees. On September 26, Call Quality and Reliability Act of 2017 riod End. 2017, the court denied a petition for (RCC Act), by adopting rules designed to 3rd Order ...... 08/13/18 83 FR 47296 rehearing en banc. On December 21, ensure the integrity of our nation’s 4th Order ...... 03/15/19 84 FR 25692 2017, the court issued two separate telephone network and prevent unjust Next Action Unde- orders: One vacating the 2016 Order on or unreasonable discrimination among termined. Reconsideration insofar as it purports to areas of the United States in the delivery set rate caps on inmate calling services, of telephone service. In particular, the Regulatory Flexibility Analysis and one dismissing as moot challenges Third RCC Order adopted rules to Required: Yes. to the Commission’s First Report and establish a registry for intermediate Agency Contact: Zachary Ross, Order on ICS. providers entities that transmit, but do Attorney Advisor, Competiton Policy Timetable: not originate or terminate, voice calls. Division, WCB, Federal The Order requires intermediate Communications Commission, 445 12th Action Date FR Cite providers to register with the Street SW, Washington, DC 20554, Commission before offering to transmit Phone: 202 418–1033, Email: NPRM ...... 01/22/13 78 FR 4369 FNPRM ...... 11/13/13 78 FR 68005 covered voice communications, and [email protected]. RIN: 3060–AJ89 R&O ...... 11/13/13 78 FR 67956 requires covered providers entities that FNPRM Comment 12/20/13 select the initial long-distance route for 481. Rates for Inmate Calling Services; Period End. a large number of lines to use only WC Docket No. 12–375 Announcement of 06/20/14 79 FR 33709 registered intermediate providers to Effective Date. E.O. 13771 Designation: Independent transmit covered voice communications. 2nd FNPRM ...... 11/21/14 79 FR 69682 agency. The Fourth RCC Order completed the 2nd FNPRM 01/15/15 Legal Authority: 47 U.S.C. 151 and Commission’s implementation of the Comment Pe- 152; 47 U.S.C. 154(i) and (j); 47 U.S.C. RCC Act by adopting service quality riod End. 225; 47 U.S.C. 276; 47 U.S.C. 303(r); 47 standards for intermediate providers, as 2nd FNPRM 01/20/15 CFR 64 Reply Comment well as an exception to those standards Abstract: In the Second Report and Period End. for intermediate providers that qualify Order, the Federal Communications 3rd FNPRM ...... 12/18/15 80 FR 79020 for the covered provider safe harbor in Commission adopted rule changes to 2nd R&O ...... 12/18/15 80 FR 79136 our existing rules. The Order also set ensure that rates for both interstate and 3rd FNPRM Com- 01/19/16 forth procedures to enforce our intrastate inmate calling services (ICS) ment Period End. intermediate provider requirements. are fair, just, and reasonable limits on Finally, the Fourth RCC Order adopted 3rd FNPRM Reply 02/08/16 ancillary service charges imposed by Comment Pe- provisions to sunset the rural call ICS providers. In the Second Report and completion data recording and retention riod End. Order, the Commission set caps on all Order on Recon- 09/12/16 81 FR 62818 requirements adopted in the First RCC interstate and intrastate calling rates for sideration. Order one year after the effective date of ICS, established a tiered rate structure Announcement of 03/01/17 82 FR 12182 the new intermediate provider service based on the size and type of facility OMB Approval. quality standards. being served, limited the types of Correction to An- 03/08/17 82 FR 12922 Timetable: ancillary services that ICS providers nouncement of OMB Approval. Action Date FR Cite may charge for and capped the charges Next Action Unde- for permitted fees, banned flat-rate termined. NPRM ...... 04/12/13 78 FR 21891 calling, facilitated access to ICS by Public Notice ...... 05/07/13 78 FR 26572 people with disabilities by requiring Regulatory Flexibility Analysis NPRM Comment 05/28/13 providers to offer free or steeply Required: Yes. Period End. discounted rates for calls using TTY, Agency Contact: William Kehoe, R&O and FNPRM 12/17/13 78 FR 76218 and imposed reporting and certification Assistant Division Chief, PPD, Federal PRA 60 Day No- 12/30/13 78 FR 79448 requirements to facilitate continued tice. Communications Commission, Wireline FNPRM Comment 02/18/14 oversight of the ICS market. In the Third Competition Bureau, 445 12th Street Period End. Further Notice portion of the item, the SW, Washington, DC 20554, Phone: 202 PRA Comments 03/11/14 Commission sought comment on ways 418–7122, Fax: 202 418–1413, Email: Due. to promote competition for ICS, video [email protected]. Public Notice ...... 05/06/14 79 FR 25682 visitation, and rates for international RIN: 3060–AK08 Order on Recon- 12/10/14 79 FR 73227 calls, and considered an array of sideration. solutions to further address areas of 482. Comprehensive Review of the Part Erratum ...... 01/08/15 80 FR 1007 concern in the ICS industry. In an Order 32 Uniform System of Accounts (WC Public Notice ...... 03/04/15 80 FR 11593 Docket No. 14–130) 2nd FNPRM ...... 07/27/17 82 FR 34911 on Reconsideration, the Commission 2nd FNPRM 08/28/17 amended its rate caps and the definition E.O. 13771 Designation: Independent Comment Pe- of ‘‘mandatory tax or mandatory fee.’’ agency. riod End. On June 13, 2017, the D.C. Circuit Legal Authority: 47 U.S.C. 151; 47 Reply Comment 09/25/17 vacated the rate caps adopted in the U.S.C. 154(i); 47 U.S.C. 201(b); 47 U.S.C. Period End. Second Report and Order, as well as 219 and 220
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Abstract: The Commission initiates a Action Date FR Cite Action Date FR Cite rulemaking proceeding to review the Uniform System of Accounts (USOA) to R&O ...... 04/04/17 82 FR 20833 NPRM Reply 09/15/14 consider ways to minimize the Next Action Unde- Comment Pe- compliance burdens on incumbent local termined. riod End. exchange carriers while ensuring that R&O on Remand, 04/13/15 80 FR 19737 Regulatory Flexibility Analysis Declaratory Rul- the Agency retains access to the ing, and Order. information it needs to fulfill its Required: Yes. Agency Contact: Robin Cohn, NPRM ...... 06/02/17 82 FR 25568 regulatory duties. In light of the NPRM Comment 07/03/17 Commission’s actions in areas of price Attorney Advisor, Federal Period End. cap regulation, universal service reform, Communications Commission, 445 12th Declaratory Rul- 02/22/18 83 FR 7852 and intercarrier compensation reform, Street SW, Washington, DC 20554, ing, R&O, and the Commission stated that it is likely Phone: 202 418–2747, Email: Order. appropriate to streamline the existing [email protected]. Next Action Unde- rules even though those reforms may RIN: 3060–AK20 termined. not have eliminated the need for 483. Restoring Internet Freedom (WC Regulatory Flexibility Analysis accounting data for some purposes. The Docket No. 17–108); Protecting and Required: Yes. Commission’s analysis and proposals Promoting the Open Internet (GN Agency Contact: Melissa Kirkel, are divided into three parts. First, the Docket No. 14–28) Attorney Advisor, Federal Commission proposes to streamline the Communications Commission, Wireline USOA accounting rules while E.O. 13771 Designation: Independent Competition Bureau, 445 12th Street preserving their existing structure. agency. SW, Washington, DC 20554, Phone: 202 Second, the Commission seeks more Legal Authority: 47 U.S.C. 151; 47 418–7958, Fax: 202 418–1413, Email: focused comment on the accounting U.S.C. 154(i) and (j); 47 U.S.C. 201(b) [email protected]. requirements needed for price cap Abstract: In December 2017, the RIN: 3060–AK21 carriers to address our statutory and Commission adopted the Restoring regulatory obligations. Third, the Internet Freedom Declaratory Ruling, 484. Technology Transitions; GN Commission seeks comment on several Report and Order, and Order (Restoring Docket No. 13–5, WC Docket No. 05–25; related issues, including state Internet Freedom Order), which restored Accelerating Wireline Broadband requirements, rate effects, the light-touch regulatory framework Deployment by Removing Barriers to implementation, continuing property under which the internet had grown and Infrastructure Investment; WC Docket records, and legal authority. thrived for decades by classifying No. 17–84 On February 23, 2017, the broadband Internet access service as an information service. The Restoring E.O. 13771 Designation: Independent Commission adopted a Report and agency. Order that revised the part 32 USOA to Internet Freedom Order ends title II regulation of the internet and returns Legal Authority: 47 U.S.C. 214; 47 substantially reduce accounting burdens U.S.C. 251 for both price cap and rate-of-return broadband internet access service to its long-standing classification as an Abstract: On April 20, 2017, the carriers. First, the Order streamlines the Commission adopted a Notice of USOA for all carriers. In addition, the information service; reinstates the determination that mobile broadband Proposed Rulemaking, Notice of USOA will be aligned more closely with Inquiry, and Request for Comment generally accepted accounting internet access service is not a commercial mobile service and returns (Wireline Infrastructure NPRM, NOI, principles, or GAAP. Second, the Order and RFC) seeking input on a number of allows price cap carriers to use GAAP it to its original classification as a private mobile service; finds that actions designed to accelerate: (1) The for all regulatory accounting purposes as deployment of next-generation networks long as they comply with targeted transparency, Internet Service Providers (ISPs) economic incentives, and and services by removing barriers to accounting rules, which are designed to infrastructure investment at the Federal, mitigate any impact on pole attachment antitrust and consumer protection laws will protect the openness of the internet, State, and local level; (2) the transition rates. Alternatively, price cap carriers from legacy copper networks and can elect to use GAAP accounting for all and that title II regulation is unnecessary to do so; and adopts a services to next-generation fiber-based purposes other than those associated networks and services; and (3) the with pole attachment rates and continue transparency rule similar to that in the 2010 Open Internet Order, requiring reduction of Commission regulations to use the part 32 accounts for pole that raise costs and slow, rather than attachment rates for up to 12 years. disclosure of network management practices, performance characteristics, facilitate, broadband deployment. Third, the Order addresses several On November 16, 2017, the and commercial terms of service. miscellaneous issues, including referral Commission adopted a Report and Additionally, the transparency rule to the Federal-State Joint Board on Order (R&O), Declaratory Ruling, and requires ISPs to disclose any blocking, Separations the issue of examining Further Notice of Proposed Rulemaking throttling, paid prioritization, or affiliate jurisdictional separations rules in light (Wireline Infrastructure Order) that prioritization, and eliminates the of the reforms adopted to part 32. takes a number of actions and seeks internet conduct standard and the Timetable: comment on further actions designed to bright-line conduct rules set forth in the accelerate the deployment of next- 2015 title II Order. Action Date FR Cite generation networks and services Timetable: through removing barriers to NPRM ...... 09/15/14 79 FR 54942 NPRM Comment 11/14/14 Action Date FR Cite infrastructure investment. Period End. The Wireline Infrastructure Order NPRM Reply 12/15/14 NPRM ...... 07/01/14 79 FR 37448 took a number of actions. First, the Comment Pe- NPRM Comment 07/18/14 Report and Order revised the pole riod End. Period End. attachment rules to reduce costs for
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attachers, reforms the pole access infrastructure by preempting State and a one-touch make-ready regime, in complaint procedures to settle access local laws that inhibit broadband which a new attacher may elect to disputes more swiftly, and increases deployment. It also sought comment on perform all simple work to prepare a access to infrastructure for certain types whether there are State laws governing pole for new wireline attachments in the of broadband providers. Second, the the maintenance or retirement of copper communications space. This new Report and Order revised the section facilities that serve as a barrier to framework includes safeguards to 214(a) discontinuance rules and the deploying next-generation technologies promote coordination among parties network change notification rules, and services that the Commission might and ensures that new attachers perform including those applicable to copper seek to preempt. work safely and reliably. The retirements, to expedite the process for Previously, in November 2014, the Commission retained its multi-party carriers seeking to replace legacy Commission adopted a Notice of pole attachment process for attachments network infrastructure and legacy Proposed Rulemaking and Declaratory that are complex or above the services with advanced broadband Ruling that: (1) Proposed new backup communications space of a pole, but networks and innovative new services. power rules; (2) proposed new or made significant modifications to speed Third, the Report and Order reversed a revised rules for copper retirements and deployment, promote accurate billing, 2015 ruling that discontinuance service discontinuances; and (3) expand the use of self-help for new authority is required for solely adopted a functional test in determining attachers when attachment deadlines wholesale services to carrier-customers. what constitutes a service for purposes are missed, and reduce the likelihood of Fourth, the Declaratory Ruling of section 214(a) discontinuance review. coordination failures that lead to abandoned the 2014 ‘‘functional test’’ In August 2015, the Commission unwarranted delays. The Commission interpretation of when section 214 adopted a Report and Order, Order on also improved its pole attachment rules discontinuance applications are Reconsideration, and Further Notice of by codifying and redefining required, bringing added clarity to the Proposed Rulemaking that: (i) Commission precedent that requires section 214(a) discontinuance process Lengthened and revised the copper utilities to allow attachers to overlash for carriers and consumers alike. retirement process; (ii) determined that existing wires, thus maximizing the Finally, the Further Notice of Proposed a carrier must obtain Commission usable space on the pole; eliminating Rulemaking sought comment on approval before discontinuing a service outdated disparities between the pole additional potential pole attachment used as a wholesale input if the carrier’s attachment rates that incumbent carriers reforms, reforms to the network change actions will discontinue service to a must pay compared to other similarly- disclosure and section 214(a) carrier-customer’s retail end users; (iii) situated cable and telecommunications discontinuance processes, and ways to adopted an interim rule requiring attachers; and clarifying that the facilitate rebuilding networks impacted incumbent LECs that seek to Commission will preempt, on an by natural disasters. discontinue certain TDM-based expedited case-by-case basis, State and On June 7, 2018, the Commission wholesale services to commit to certain local laws that inhibit the rebuilding or adopted a Second Report and Order rates, terms, and conditions; (iv) restoration of broadband infrastructure (Wireline Infrastructure Second Report proposed further revisions to the copper after a disaster. The Commission also and Order) taking further actions retirement discontinuance process; and adopted a Declaratory Ruling that designed to expedite the transition from (v) upheld the November 2014 interpreted section 253(a) of the legacy networks and services to next Declaratory Ruling. In July 2016, the Communications Act to prohibit State generation networks and advanced Commission adopted a Second Report and local express and de facto moratoria services that benefit the American and Order, Declaratory Ruling, and on the deployment of public and to promote broadband Order on Reconsideration that: (i) telecommunications services or deployment by further streamlining the Adopted a new test for obtaining facilities and directed the Wireline section 214(a) discontinuance rules, streamlined treatment when carriers Competition and Wireless network change disclosure processes, seek Commission authorization to and part 68 customer notification discontinue legacy services in favor of Telecommunications Bureaus to act process. services based on newer technologies; promptly on petitions challenging The Wireline Infrastructure NPRM, (ii) set forth consumer education specific alleged moratoria. NOI, and RFC sought comment on requirements for carriers seeking to Timetable: additional issues not addressed in the discontinue legacy services in favor of November Wireline Infrastructure Order services based on newer technologies; Action Date FR Cite or the June Wireline Infrastructure (iii) allowed notice to customers of Second Report and Order. It sought discontinuance applications by email; NPRM ...... 01/06/15 80 FR 450 comment on changes to the (iv) required carriers to provide notice NPRM Comment 02/05/15 Commission’s pole attachment rules to: of discontinuance applications to Tribal Period End. (1) Streamline the timeframe for gaining entities; (v) made a technical rule NPRM Reply 03/09/15 access to utility poles; (2) reduce Comment Pe- change to create a new title for copper riod End. charges paid by attachers for work done retirement notices and certifications; FNPRM ...... 09/25/15 80 FR 57768 to make a pole ready for new and (vi) harmonized the timeline for R&O ...... 09/25/15 80 FR 57768 attachments; and (3) establish a formula competitive LEC discontinuances FNPRM Comment 10/26/15 for computing the maximum pole caused by incumbent LEC network Period End. attachment rate that may be imposed on changes. FNPRM Reply 11/24/15 an incumbent LEC. On August 2, 2018, the Commission Comment Pe- The Wireline Infrastructure NPRM, adopted a Third Report and Order and riod End. NOI, and RFC also sought comment on Declaratory Ruling (Wireline 2nd R&O ...... 09/12/16 81 FR 62632 whether the Commission should enact Infrastructure Third Report and Order) NPRM ...... 05/16/17 82 FR rules, consistent with its authority establishing a new framework for the 224533 under section 253 of the Act, to promote vast majority of pole attachments NPRM Comment 06/15/17 the deployment of broadband governed by Federal law by instituting Period End.
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Action Date FR Cite applicable to carriers seeking to obtain all consumers at just, reasonable and numbers. These requirements include affordable rates. The Act established NPRM Reply 07/17/17 any State requirements pursuant to principles for universal service that Comment Pe- numbering authority delegated to the specifically focused on increasing riod End. States by the Commission, as well as access to evolving services for R&O ...... 12/28/17 82 FR 61520 industry guidelines and practices, consumers living in rural and insular FNPRM Comment 01/17/18 among others. The Order also requires areas, and for consumers with low- Period End. FNPRM Reply 02/16/18 interconnected VoIP providers to incomes. Additional principles called Comment Pe- comply with facilities readiness for increased access to high-speed riod End. requirements adapted to this context, internet in the nation’s schools, 2nd R&O ...... 07/09/18 83 FR 31659 and with numbering utilization and libraries, and rural healthcare facilities. 3rd R&O ...... 09/14/18 83 FR 46812 optimization requirements. As The FCC established four programs Next Action Unde- conditions to requesting and obtaining within the Universal Service Fund to termined. numbers directly from the numbering implement the statute: Connect America administrators, interconnected VoIP Fund (formally known as High-Cost Regulatory Flexibility Analysis providers are also required to: (1) Support) for rural areas; Lifeline (for Required: Yes. Provide the relevant State commissions low-income consumers), including Agency Contact: Michele Levy with regulatory and numbering contacts initiatives to expand phone service for Berlove, Special Counsel, Federal when requesting numbers in those Native Americans; Schools and Communications Commission, 445 12th states; (2) request numbers from the Libraries (E-rate); and Rural Healthcare. Street SW, Washington, DC 20554, numbering administrators under their The Universal Service Fund is paid Phone: 202 418–1477, Email: own unique OCN; (3) file any requests for by contributions from [email protected]. for numbers with the relevant State telecommunications carriers, including RIN: 3060–AK32 commissions at least 30 days prior to wireline and wireless companies, and 485. Numbering Policies for Modern requesting numbers from the numbering interconnected Voice over Internet Communications, WC Docket No. 13–97 administrators; and (4) provide Protocol (VoIP) providers, including cable companies that provide voice E.O. 13771 Designation: Independent customers with the opportunity to service, based on an assessment on their agency. access all abbreviated dialing codes Legal Authority: 47 U.S.C. 151; 47 (N11 numbers) in use in a geographic interstate and international end-user U.S.C. 153 to 154; 47 U.S.C. 201 to 205; area. revenues. The Universal Service 47 U.S.C. 251; 47 U.S.C. 303(r) Finally, the Order also modifies Administrative Company, or USAC, Abstract: This Order establishes a Commission’s rules in order to permit administers the four programs and process to authorize interconnected VoIP Positioning Center (VPC) providers collects monies for the Universal VoIP providers to obtain North to obtain pseudo-Automatic Number Service Fund under the direction of the American Numbering Plan (NANP) Identification (p-ANI) codes directly FCC. telephone numbers directly from the from the numbering administrators for On April 19, 2018, the Commission numbering administrators, rather than purposes of providing E911 services. decided the legacy support issue arising through intermediaries. Section Timetable: from the ongoing reform and modernization of the universal service 52.15(g)(2)(i) of the Commission’s rules Action Date FR Cite limits access to telephone numbers to fund and intercarrier compensation entities that demonstrate they are systems. NPRM ...... 06/19/13 78 FR 36725 On May 29, 2018, the Commission authorized to provide service in the area NPRM Comment 07/19/13 approved additional funding to restore for which the numbers are being Period End. communications networks in Puerto requested. The Commission has R&O ...... 10/29/15 80 FR 66454 Rico and the Virgin Islands and sought interpreted this rule as requiring Next Action Unde- comment on almost $900 million in evidence of either a State certificate of termined. long-term funding for network public convenience and necessity Regulatory Flexibility Analysis expansion. (CPCN) or a Commission license. Required: Yes. On June 25, 2018, the Commission Neither authorization is typically Agency Contact: Michelle Sclater, addressed the current funding shortfall available in practice to interconnected Attorney, Wireline Competition Bureau, in the Rural Healthcare Program by VoIP providers. Thus, as a practical Federal Communications Commission, raising the annual program budget cap matter, generally only 445 12th Street SW, Washington, DC to $571 million. telecommunications carriers are able to 20554, Phone: 202 418–0388, Email: On January 31, 2019, the Commission provide the proof of authorization [email protected]. temporarily waived the E-Rate required under our rules, and thus able RIN: 3060–AK36 amortization requirement and proposed to obtain numbers directly from the to eliminate the requirement. 486. Implementation of the Universal numbering administrators. This Order Timetable: establishes an authorization process to Service Portions of the 1996 enable interconnected VoIP providers Telecommunications Act Action Date FR Cite that choose direct access to request E.O. 13771 Designation: Independent numbers directly from the numbering agency. R&O and FNPRM 01/13/17 82 FR 4275 administrators. Next, the Order sets Legal Authority: 47 U.S.C. 151 et seq. NPRM Comment 02/13/17 forth several conditions designed to Abstract: The Telecommunications Period End. NPRM Reply 02/27/17 minimize number exhaust and preserve Act of 1996 expanded the traditional Comment Pe- the integrity of the numbering system. goal of universal service to include riod End. The Order requires interconnected increased access to both R&O and Order 03/21/17 82 FR 14466 VoIP providers obtaining numbers to telecommunications and advanced on Recon. comply with the same requirements services such as high-speed internet for Order on Recon .. 05/19/17 82 FR 22901
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Action Date FR Cite there have been multiple, competing Action Date FR Cite requests. Order on Recon .. 06/08/17 82 FR 26653 By using an auction, the FCC will NPRM Comment 11/13/17 Memorandum, 06/21/17 82 FR ensure that sought-after numbers are Period End. Opinion & 228224 awarded to the parties that value them Final Rule ...... 10/23/18 83 FR 53377 Order. most. In addition, the FCC will reserve Next Action Unde- Next Action Unde- termined. termined. certain 833 numbers for distribution to government and non-profit entities that Regulatory Flexibility Analysis request them for public health and Regulatory Flexibility Analysis Required: Yes. safety purposes. The FCC will study the Required: Yes. Agency Contact: Nakesha Woodward, results of the auction to determine how Agency Contact: Matthew Collins, Program Support Assistant, Federal to best use the mechanism to distribute Attorney Advisor, Federal Communications Commission, 445 12th toll-free numbers equitably and Communications Commission, 445 12th Street SW, Washington, DC 20554, efficiently in the future as well. Street SW, Washington, DC 20554, Phone: 202 418–1502, Email: Revenues from the auction will be used Phone: 202 418–7141, Email: [email protected]. to defray the cost of toll-free numbering [email protected]. RIN: 3060–AK57 administration, reducing the cost of numbering for all users. The Order RIN: 3060–AK91 487. • Toll Free Assignment establishing the toll-free number auction [FR Doc. 2019–26556 Filed 12–23–19; 8:45 am] Modernization and Toll Free Service will also authorize and accommodate Access Codes: WC Docket No. 17–192, BILLING CODE 6712–01–P the use of a secondary market for CC Docket No. 95–155 numbers awarded at auction to further E.O. 13771 Designation: Independent distribute these numbers to the entities agency. that value them most. The Order also Legal Authority: 47 U.S.C. 151; 47 adopted several definitional and U.S.C. 154(i); 47 U.S.C. 201(b); 47 U.S.C. technical updates to improve clarity and 251(e)(1) flexibility in toll-free number Abstract: In this Report and Order assignment. (Order), the Federal Communications Timetable: Commission (FCC) initiates an auction to distribute certain toll free numbers. Action Date FR Cite The numbers to be auctioned will be in the new 833 toll free code for which NPRM ...... 10/13/17 82 FR 47669
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Part XXVI
Federal Reserve System
Semiannual Regulatory Agenda
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FEDERAL RESERVE SYSTEM ADDRESSES: Comments should be Agency, in the Unified Agenda is on a addressed to Ann E. Misback, Secretary voluntary basis. 12 CFR Ch. II of the Board, Board of Governors of the The Board’s agenda is divided into Federal Reserve System, Washington, four sections. The first, Proposed Rule Regulatory Agenda; Semiannual DC 20551. Stage, reports on matters the Board may Regulatory Agenda FOR FURTHER INFORMATION CONTACT: A consider for public comment during the AGENCY: Board of Governors of the staff contact for each item is indicated next 6 months. The second section, Federal Reserve System. with the regulatory description below. Final Rule Stage, reports on matters that have been proposed and are under ACTION: Semiannual regulatory agenda. SUPPLEMENTARY INFORMATION: The Board Board consideration. The third section, is publishing its fall 2019 agenda as part Long-Term Actions, reports on matters SUMMARY: The Board is issuing this of the Fall 2019 Unified Agenda of agenda under the Regulatory Flexibility where the next action is undetermined, Federal Regulatory and Deregulatory 00/00/0000, or will occur more than 12 Act and the Board’s Statement of Policy Actions, which is coordinated by the Regarding Expanded Rulemaking months after publication of the Agenda. Office of Management and Budget under And a fourth section, Completed Procedures. The Board anticipates Executive Order 12866. The agenda also having under consideration regulatory Actions, reports on regulatory matters identifies rules the Board has selected the Board has completed or is not matters as indicated below during the for review under section 610(c) of the • period October 1, 2019, through March expected to consider further. A dot ( ) Regulatory Flexibility Act, and public preceding an entry indicates a new 31, 2020. The next agenda will be comment is invited on those entries. published in spring 2020. matter that was not a part of the Board’s The complete Unified Agenda will be previous agenda. DATES: Comments about the form or available to the public at the following content of the agenda may be submitted website: www.reginfo.gov. Participation Yao-Chin Chao, any time during the next 6 months. by the Board, as an independent Assistant Secretary of the Board.
FEDERAL RESERVE SYSTEM—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
488 ...... Source of Strength (Section 610 Review) ...... 7100–AE73 489 ...... Regulation LL—Savings and Loan Holding Companies and Regulation MM—Mutual Holding Companies 7100–AD80 (Docket No: R–1429).
FEDERAL RESERVE SYSTEM—COMPLETED ACTIONS
Regulation Sequence No. Title Identifier No.
490 ...... Regulation CC—Availability of Funds and Collection of Checks (Docket No: R–1409) ...... 7100–AD68 491 ...... Reduced Reporting for Covered Depository Institutions (Docket No: R–1618) ...... 7100–AF12
FEDERAL RESERVE SYSTEM (FRS) Action Date FR Cite Claudia Von Pervieux, Senior Counsel, Federal Reserve System, Legal Long-Term Actions Next Action Unde- To Be Determined Division, Washington, DC 20551, Phone: 488. Source of Strength (Section 610 termined. 202 452–2552. Review) RIN: 7100–AE73 Regulatory Flexibility Analysis 489. Regulation LL—Savings and Loan Required: Undetermined. E.O. 13771 Designation: Independent Holding Companies and Regulation agency. Agency Contact: Conni Allen, Special MM-Mutual Holding Companies Legal Authority: 12 U.S.C. 1831(o) Counsel, Federal Reserve System, (Docket No: R–1429) Division of Supervision and Regulation, Abstract: The Board of Governors of Washington, DC 20551, Phone: 202 912– E.O. 13771 Designation: Independent the Federal Reserve System (Board), the 4334. agency. Office of the Comptroller of the Legal Authority: 5 U.S.C. 552; 5 U.S.C. Melissa Clark, Lead Financial 559; 5 U.S.C. 1813; 5 U.S.C. 1817; 5 Currency (OCC), and the Federal Institution Policy Analyst, Federal Deposit Insurance Corporation (FDIC) U.S.C. 1828 Reserve System, Division of Supervision Abstract: The Dodd-Frank Wall Street plan to issue a proposed rule to and Regulation, Washington, DC 20551, implement section 616(d) of the Dodd- Reform and Consumer Protection Act Phone: 202 452–2277. (the Dodd-Frank Act) transferred Frank Wall Street Reform and Consumer Barbara Bouchard, Senior Associate Protection Act. Section 616(d) requires responsibility for supervision of Savings Director, Federal Reserve System, and Loan Holding Companies (SLHCs) that bank holding companies, savings Division of Supervision and Regulation, and their non-depository subsidiaries and loan holding companies, and other Washington, DC 20551, Phone: 202 452– from the Office of Thrift Supervision companies that directly or indirectly 3072. (OTS) to the Board of Governors of the control an insured depository Jay Schwarz, Special Counsel, Federal Federal Reserve System (the Board), on institution serve as a source of strength Reserve System, Legal Division, July 21, 2011. The Act also transferred for the insured depository institution. Washington, DC 20551, Phone: 202 452– supervisory functions related to Federal Timetable: 2970. savings associations and State savings
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associations to the Office of the shareholders. These amendments Action Date FR Cite Comptroller of the Currency (OCC) and include revisions to parts 215 (Insider the Federal Deposit Insurance Transactions) and part 223 Board Requested 03/25/11 76 FR 16862 Corporation (FDIC), respectively. The (Transactions with Affiliates) of Board Comment. Board on August 12, 2011, approved an regulations. Board Requested 02/04/14 79 FR 6673 interim final rule for SLHCs, including Comment on Timetable: Revised Pro- a request for public comment. The posal. interim final rule transferred from the Action Date FR Cite Board Published 06/15/17 82 FR 27552 OTS to the Board the regulations Final Rule on necessary for the Board to supervise Board Requested 09/13/11 76 FR 56508 Subpart C. Comment. SLHCs, with certain technical and Board Published 07/03/19 84 FR 31687 Board Expects 12/00/20 Final Rule on substantive modifications. The interim Further Action. final rule has three components: (1) Subpart B. New Regulation LL (part 238), which Final Rule Effec- 07/03/19 Regulatory Flexibility Analysis tive. sets forth regulations generally Required: Yes. governing SLHCs; (2) new Regulation Agency Contact: Keisha Patrick, MM (part 239), which sets forth Regulatory Flexibility Analysis Senior Counsel, Federal Reserve regulations governing SLHCs in mutual Required: Yes. System, Legal Division, Washington, DC form; and (3) technical amendments to Agency Contact: Gavin Smith, Senior 20551, Phone: 202 452–3559. existing Board regulations necessary to Counsel, Federal Reserve System, Legal accommodate the transfer of supervisory RIN: 7100–AD80 Division, Washington, DC 20551, Phone: authority for SLHCs from the OTS to the 202 452–3474. Board. The structure of interim final Ian Spear, Manager, Federal Reserve Regulation LL closely follows that of the FEDERAL RESERVE SYSTEM (FRS) System, Division of Reserve Bank Board’s Regulation Y, which governs Operations and Payment Systems, bank holding companies, in order to Completed Actions Washington, DC 20551, Phone: 202 452– provide an overall structure to rules that 490. Regulation CC—Availability of 3959. were previously found in disparate Funds and Collection of Checks (Docket RIN: 7100–AD68 locations. In many instances, interim No: R–1409) final Regulation LL incorporated OTS 491. Reduced Reporting for Covered regulations with only technical E.O. 13771 Designation: Independent Depository Institutions (Docket No: R– modifications to account for the shift in agency. 1618) supervisory responsibility from the OTS Legal Authority: 12 U.S.C. 4001 to 4010; 12 U.S.C. 5001 to 5018 E.O. 13771 Designation: Independent to the Board. Interim final Regulation LL agency. also reflects statutory changes made by Abstract: The Board of Governors of Legal Authority: 12 U.S.C. 1817(a)(12) the Dodd-Frank Act with respect to the Federal Reserve System (the Board) SLHCs, and incorporates Board is amending Regulation CC, which Abstract: The Office of the precedent and practices with respect to implements the Expedited Funds Comptroller of the Currency (OCC), the applications processing procedures and Availability Act (EFA Act), which Board of Governors of the Federal control issues, among other matters. governs the availability of funds after a Reserve System (Board), and the Federal Interim final Regulation MM organized check deposit, as well as check Deposit Insurance Corporation (FDIC) existing OTS regulations governing collection and return. In March 2011, (collectively, the Agencies) issued a SLHCs in mutual form (MHCs) and their the Board proposed amendments to final rule to implement section 205 of subsidiary holding companies into a Regulation CC to facilitate the banking the Economic Growth, Regulatory single part of the Board’s regulations. In industry’s ongoing transition to fully Relief, and Consumer Protection Act by many instances, interim final Regulation electronic interbank check collection expanding the eligibility to file the MM incorporated OTS regulations with and return, including proposed agencies’ most streamlined report of only technical modifications to account amendments to subpart C to encourage condition, the FFIEC 051 Call Report, to for the shift in supervisory depository banks to receive and paying include certain insured depository responsibility from the OTS to the banks to send returned checks institutions with less than $5 billion in Board. Interim final Regulation MM also electronically and proposed total consolidated assets that meet other reflects statutory changes made by the amendments to subpart B’s funds criteria and, establishing reduced Dodd-Frank Act with respect to MHCs. availability schedule provisions. reporting on the FFIEC 051 Call Report The interim final rule also made Subsequently, section 1086 of the Dodd- for the first and third reports of technical amendments to Board rules to Frank Wall Street Reform and Consumer condition for a year. The OCC and facilitate supervision of SLHCs, Protection Act amended the EFA Act to Board also are finalizing similar reduced including to rules implementing provide the Consumer Financial reporting for certain uninsured Community Reinvestment Act Protection Bureau (CFPB) with joint institutions that they supervise with less requirements and to Board procedural rulemaking authority with the Board than $5 billion in total consolidated and administrative rules. In addition, over certain EFA Act provisions, assets that otherwise meet the same the Board made technical amendments including those implemented by subpart criteria. This Federal Register notice to implement section 312(b)(2)(A) of the B of Regulation CC. Based on its also includes a Paperwork Reduction Act, which transfers to the Board all analysis of comments received, the Act notice to reduce the amount of data rulemaking authority under section 11 Board revised its proposed amendments required to be reported on the FFIEC of the Home Owner’s Loan Act relating to subpart C of Regulation CC. The 051 Call Report for the first and third to transactions with affiliates and Board finalized its proposed calendar quarters, and other related extensions of credit to executive amendments to subpart C in June 2017. changes. officers, directors, and principal Timetable: Timetable:
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Action Date FR Cite Agency Contact: Laura Bain, Senior Attorney, Federal Reserve System, Legal Board Requested 11/19/18 83 FR 58432 Division, Washington, DC 20551, Phone: Comments. 202 736–5546. Board Adopted 06/21/19 84 FR Final Rule. 290053 Claudia Von Pervieux, Senior Final Action Effec- 07/22/19 Counsel, Federal Reserve System, Legal tive. Division, Washington, DC 20551, Phone: 202 452–2552. Regulatory Flexibility Analysis RIN: 7100–AF12 Required: Yes. [FR Doc. 2019–26557 Filed 12–23–19; 8:45 am] BILLING CODE 6210–01–P
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Part XXVII
National Labor Relations Board
Semiannual Regulatory Agenda
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NATIONAL LABOR RELATIONS Regulatory Flexibility Act (RFA), 5 can find, review, and comment on BOARD U.S.C. 601–612, as amended by the Federal rulemakings that are published Small Business Regulatory Enforcement in the Federal Register and open for 29 CFR Ch. I Fairness Act. comment. The complete Unified Agenda is Regulatory Agenda; Semiannual available online at www.reginfo.gov. FOR FURTHER INFORMATION CONTACT: For Regulatory Agenda Publication in the Federal Register is further information concerning the mandated only for regulatory flexibility regulatory actions listed in the agenda, AGENCY: National Labor Relations agendas required under the RFA. contact Farah Z. Qureshi, Associate Board. Because the RFA does not require Executive Secretary, National Labor ACTION: Semiannual regulatory agenda. regulatory flexibility agendas for the Relations Board, 1015 Half Street SE, regulations proposed and issued by the Washington, DC 20570; telephone 202– SUMMARY: The following agenda of the Board, the Board’s agenda appears only 273–1949, TTY/TDD 1–800–315–6572; National Labor Relations Board (NLRB) on the internet at www.reginfo.gov. email [email protected]. is published in accordance with The Board’s agenda refers to Executive Order 12866, ‘‘Regulatory www.regulations.gov, the Government Farah Z. Qureshi, Planning and Review,’’ and the website at which members of the public Associate Executive Secretary.
NATIONAL LABOR RELATIONS BOARD—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
492 ...... Blocking Charge, Voluntary Recognition, and 9(a) ...... 3142–AA16
NATIONAL LABOR RELATIONS BOARD—FINAL RULE STAGE
Regulation Sequence No. Title Identifier No.
493 ...... Joint-Employer Rulemaking ...... 3142–AA13
NATIONAL LABOR RELATIONS Agency Contact: Farah Qureshi, Action Date FR Cite BOARD (NLRB) National Labor Relations Board, 1015 Half Street SE, Washington, DC 20570, NPRM ...... 09/14/18 83 FR 46681 Proposed Rule Stage Phone: 202 273–1949, Email: NPRM Comment 11/05/18 83 FR 55329 492. Blocking Charge, Voluntary [email protected]. Period Ex- Recognition, and 9(a) tended. Roxanne Rothschild, National Labor NPRM Comment 12/13/18 83 FR 64053 E.O. 13771 Designation: Independent Relations Board, 1015 Half Street SE, Period Ex- agency. Washington, DC 20570, Phone: 202 273– tended. 2917, Email: roxanne.rothschild@ NPRM Comment 01/11/19 Legal Authority: 29 U.S.C. 156 nlrb.gov. Period Ex- Abstract: The National Labor RIN: 3142–AA16 tended. Relations Board (the Board) will be NPRM Comment 01/28/19 revising the representation election Period End. regulations located at 29 CFR part 103, Final Rule ...... 12/00/19 with a specific focus on revisions of the NATIONAL LABOR RELATIONS Board’s current election bar policies. BOARD (NLRB) Regulatory Flexibility Analysis Timetable: Required: Yes. Final Rule Stage Agency Contact: Roxanne Rothschild, Action Date FR Cite 493. Joint-Employer Rulemaking National Labor Relations Board, 1015 Half Street SE, Washington, DC 20570, NPRM ...... 08/12/19 84 FR 39930 E.O. 13771 Designation: Independent Phone: 202 273–2917, Email: NPRM Comment 10/10/19 84 FR 54533 agency. [email protected]. Period Ex- Legal Authority: 29 U.S.C. 156 Farah Qureshi, National Labor tended. NPRM Comment 12/10/19 Abstract: The National Labor Relations Board, 1015 Half Street SE, Period Ex- Relations Board will be engaging in Washington, DC 20570, Phone: 202 273– tended End. rulemaking to establish the standard for 1949, Email: [email protected]. determining joint-employer status under RIN: 3142–AA13 Regulatory Flexibility Analysis the National Labor Relations Act. [FR Doc. 2019–26558 Filed 12–23–19; 8:45 am] Required: Yes. Timetable: BILLING CODE 7545–01–P
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Part XXVIII
Nuclear Regulatory Commission
Semiannual Regulatory Agenda
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NUCLEAR REGULATORY dockets to Carol Gallagher; telephone: B. Submitting Comments COMMISSION 301–415–3463; email: Carol.Gallagher@ Please include Docket ID NRC–2019– nrc.gov. [NRC–2019–0144] 0144 in your comment submission. For additional direction on obtaining The NRC cautions you not to include 10 CFR Chapter I information and submitting comments, identifying or contact information that see ‘‘Obtaining Information and you do not want to be publicly Regulatory Agenda; Semiannual Submitting Comments’’ in the disclosed in your comment submission. Regulatory Agenda SUPPLEMENTARY INFORMATION section of The NRC will post all comment this document. submissions at http://www.regulations AGENCY: Nuclear Regulatory .gov as well as enter the comment Commission. FOR FURTHER INFORMATION CONTACT: submissions into the Agencywide ACTION: Semiannual regulatory agenda. Cindy Bladey, Office of Nuclear Material Safety and Safeguards, U.S. Documents Access and Management System (ADAMS). The NRC does not SUMMARY: We are publishing our Nuclear Regulatory Commission, semiannual regulatory agenda (the Washington, DC 20555–0001, telephone: routinely edit comment submissions to Agenda) in accordance with Public Law 301–415–3280; email: Cindy.Bladey@ remove identifying or contact 96–354, ‘‘The Regulatory Flexibility nrc.gov. Persons outside the information. If you are requesting or aggregating Act,’’ and Executive Order 12866, Washington, DC, metropolitan area may comments from other persons for ‘‘Regulatory Planning and Review.’’ call, toll-free: 1–800–368–5642. For submission to the NRC, then you should This Agenda issuance also contains our further information on the substantive inform those persons not to include annual regulatory plan, which contains content of any rulemaking activity listed identifying or contact information that information on some of the more in the Agenda, contact the individual they do not want to be publicly important regulatory actions that we are listed under the heading ‘‘Agency disclosed in their comment submission. considering issuing in proposed or final Contact’’ for that rulemaking activity. Your request should state that the NRC form during Fiscal Year 2019. NRC’s SUPPLEMENTARY INFORMATION: does not routinely edit comment complete Agenda, available on the submissions to remove such information Office of Management and Budget’s Obtaining Information and Submitting before making the comment website at https://www.reginfo.gov, is a Comments submissions available to the public or compilation of all rulemaking activities A. Obtaining Information entering the comment into ADAMS. on which we have recently completed action or have proposed or are Please refer to Docket ID NRC–2019– Introduction 0144 when contacting the NRC about considering action. We have completed The Agenda is a compilation of all the availability of information for this 6 rulemaking activities since rulemaking activities on which an document. You may obtain publicly- publication of our last Agenda on June agency has recently completed action or available information related to this 24, 2019 (84 FR 29780). This issuance has proposed or is considering action. document by any of the following of our Agenda contains 28 active and 22 The Agenda reports rulemaking methods: long-term rulemaking activities: 2 are activities in three major categories: Economically Significant; 16 represent • Federal Rulemaking Website: Go to Completed, active, and long-term. Other Significant agency priorities; 28 http://www.regulations.gov and search Completed rulemaking activities are are Substantive, Nonsignificant for Docket ID NRC–2019–0144. those that were completed since rulemaking activities; and 4 are • NRC’s Public Document Room: You publication of an agency’s last Agenda; Administrative rulemaking activities. In may examine and purchase copies of active rulemaking activities are those addition, 3 rulemaking activities impact public documents at the NRC’s PDR, that an agency currently plans to have small entities; the entries for these Room O1–F21, One White Flint North, an Advance Notice of Proposed activities are printed in this document. 11555 Rockville Pike, Rockville, Rulemaking, a Proposed Rule, or a Final We are requesting comment on the Maryland 20852. Rule issued within the next 12 months; rulemaking activities as identified in • Reginfo.gov: and long-term rulemaking activities are this Agenda. rulemaking activities under Æ For completed rulemaking DATES: Submit comments on rulemaking development but for which an agency activities go to https://www.reginfo.gov/ activities as identified in this Agenda by does not expect to have a regulatory public/do/eAgendaHistory?showStage= January 27, 2020. action within the 12 months after completed, select ‘‘Fall 2019 The ADDRESSES: Submit comments on any publication of the current edition of the Regulatory Plan and the Unified Agenda rulemaking activity in the Agenda by Unified Agenda. of Federal Regulatory and Deregulatory the date and methods specified in the The NRC assigns a ‘‘Regulation Actions’’ from drop-down menu, and Federal Register notice for the Identifier Number’’ (RIN) to a select ‘‘Nuclear Regulatory rulemaking activity. Comments received rulemaking activity when our Commission’’ from drop-down menu. on rulemaking activities for which the Commission initiates a rulemaking and Æ comment period has closed will be For active rulemaking activities go approves a rulemaking plan, or when considered if it is practical to do so, but to https://www.reginfo.gov/public/do/ the NRC staff begins work on a assurance of consideration cannot be eAgendaMain and select ‘‘Nuclear Commission delegated rulemaking that given except for comments received on Regulatory Commission’’ from drop- does not require a rulemaking plan. The or before the closure date specified in down menu. Office of Management and Budget uses the Federal Register notice. You may Æ For long-term rulemaking activities this number to track all relevant submit comments on this Agenda go to https://www.reginfo.gov/public/ documents throughout the entire through the Federal Rulemaking website do/eAgendaMain, select link for ‘‘lifecycle’’ of a particular rulemaking by going to https://www.regulations.gov ‘‘Current Long Term Actions’’, and activity. The NRC reports all rulemaking and searching for Docket ID NRC–2019– select ‘‘Nuclear Regulatory activities in the Agenda that have been 0144. Address questions about NRC Commission’’ from drop down menu. assigned a RIN and meet the definition
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for a completed, an active, or a long- public early notice and opportunity to small entities and related Small Entity term rulemaking activity. participate in our rulemaking process. Compliance Guides are available from The information contained in this However, we may consider or act on any the NRC’s website at http:// Agenda is updated to reflect any action rulemaking activity even though it is not www.nrc.gov/about-nrc/regulatory/ that has occurred on a rulemaking included in the Agenda. rulemaking/flexibility-act/small- activity since publication of our last entities.html. Agenda on June 26, 2019 (84 FR 29780). Section 610 Periodic Reviews Under Specifically, the information in this the Regulatory Flexibility Act Public Comments Received on NRC Agenda has been updated through July Section 610 of the Regulatory Unified Agenda 26, 2019. The NRC provides additional Flexibility Act (RFA) requires agencies information on planned rulemaking and to conduct a review within 10 years of The comment period on the NRC’s petition for rulemaking activities, promulgation of those regulations that last Agenda (published on June 14, 2019 including priority and schedule, on our have or will have a significant economic (84 FR 29780)) closed on July 24, 2019. website at https://www.nrc.gov/about- impact on a substantial number of small We received one written comment nrc/regulatory/rulemaking/rules- entities. We undertake these reviews to expressing support for the NRC’s semi- petitions.html#cprlist. decide whether the rules should be annual review. unchanged, amended, or withdrawn. At The date for the next scheduled action Dated at Rockville, Maryland, this 26th day this time, we do not have any rules that under the heading ‘‘Timetable’’ is the of July 2019. date the next regulatory action for the have a significant economic impact on rulemaking activity is scheduled to be a substantial number of small entities; Cindy Bladey, published in the Federal Register. The therefore, we have not included any Chief, Regulatory Analysis and Rulemaking date is considered tentative and is not RFA Section 610 periodic reviews in Support Branch, Division of Rulemaking, binding on the Commission or its staff. this edition of the Agenda. A complete Office of Nuclear Material Safety and The Agenda is intended to provide the listing of our regulations that impact Safeguards.
NUCLEAR REGULATORY COMMISSION—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
494 ...... Revision of Fee Schedules: Fee Recovery for FY 2020 [NRC–2017–0228] (Reg Plan Seq No. 164) ...... 3150–AK10 References in boldface appear in The Regulatory Plan in part II of this issue of the Federal Register.
NUCLEAR REGULATORY COMMISSION—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
495 ...... Revision of Fee Schedules: Fee Recovery for FY 2021 [NRC–2018–0292] ...... 3150–AK24
NUCLEAR REGULATORY COMMISSION—COMPLETED ACTIONS
Regulation Sequence No. Title Identifier No.
496 ...... Revision of Fee Schedules: Fee Recovery for FY 2019 [NRC–2017–0032] ...... 3150–AJ99
NUCLEAR REGULATORY Legal Authority: 31 U.S.C. 483; 42 Regulatory Flexibility Analysis COMMISSION (NRC) U.S.C. 2201; 42 U.S.C. 2214; 42 U.S.C. Required: Yes. Proposed Rule Stage 5841 Agency Contact: Anthony Rossi, Abstract: This rulemaking would Nuclear Regulatory Commission, Office 494. Revision of Fee Schedules: Fee amend the NRC’s regulations for fee of the Chief Financial Officer, Recovery for FY 2020 [NRC–2017–0228] schedules. The NRC conducts this Washington, DC 20555–0001, Phone: Regulatory Plan: This entry is Seq. rulemaking annually to recover 301 415–7341, Email: anthony.rossi@ No. 164 in part II of this issue of the approximately 100 percent of the NRC’s nrc.gov. Federal Register. FY 2021 budget authority, less excluded RIN: 3150–AK24 RIN: 3150–AK10 activities to implement NEIMA. This rulemaking would affect the fee schedules for licensing, inspection, and NUCLEAR REGULATORY NUCLEAR REGULATORY annual fees charged to the NRC’s COMMISSION (NRC) COMMISSION (NRC) applicants and licensees. Completed Actions Long-Term Actions Timetable: 496. Revision of Fee Schedules: Fee 495. Revision of Fee Schedules: Fee Action Date FR Cite Recovery for FY 2021 [NRC–2018–0292] Recovery for FY 2019 [NRC–2017–0032] E.O. 13771 Designation: Independent NPRM ...... 01/00/21 E.O. 13771 Designation: Independent agency. agency.
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Legal Authority: 31 U.S.C. 483; 42 licensing, inspection, and annual fees Completed: U.S.C. 2201; 42 U.S.C. 2214; 42 U.S.C. charged to its applicants and licensees. 5841 The licensing and inspection fees are Reason Date FR Cite Abstract: This rule would implement established under 10 CFR part 170 and the Omnibus Budget Reconciliation Act recover the NRC’s cost of providing Final Rule ...... 05/17/19 84 FR 22331 of 1990 (OBRA–90), as amended, which services to identifiable applicants and Final Rule Effec- 07/16/19 requires the NRC to recover licensees. Examples of services tive. approximately 90 percent of its budget provided by the NRC for which 10 CFR authority in a given fiscal year, less the part 170 fees are assessed include Regulatory Flexibility Analysis amounts appropriated from the Waste license application reviews, license Required: Yes. Incidental to Reprocessing, generic renewals, license amendment reviews, Agency Contact: Anthony Rossi, homeland security activities, and and inspections. The annual fees Phone: 301 415–7341, Email: Inspector General services for the established under 10 CFR part 171 [email protected]. Defense Nuclear Facilities Safety Board, recover budgeted costs for generic (e.g., through fees assessed to licensees. This research and rulemaking) and other RIN: 3150–AJ99 rulemaking would amend the regulatory activities not recovered under [FR Doc. 2019–26562 Filed 12–23–19; 8:45 am] Commission’s fee schedules for 10 CFR part 170 fees. BILLING CODE 7590–01–P
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Part XXIX
Securities and Exchange Commission
Semiannual Regulatory Agenda
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SECURITIES AND EXCHANGE ADDRESSES: Comments may be U.S.C. 602(a)). The RFA specifically COMMISSION submitted by any of the following provides that publication of the agenda methods: does not preclude an agency from 17 CFR Ch. II considering or acting on any matter not Electronic Comments included in the agenda and that an • [Release Nos. 33–10674, 34–86748, IA–5328, Use the Commission’s internet agency is not required to consider or act IC–33607, File No. S7–12–19] comment form (http://www.sec.gov/ on any matter that is included in the rules/other.shtml); or agenda (5 U.S.C. 602(d)). The Regulatory Agenda; Semiannual • Send an email to rule-comments@ Commission may consider or act on any Regulatory Agenda sec.gov. Please include File Number S7– matter earlier or later than the estimated 12–19 on the subject line. date provided on the agenda. While the AGENCY: Securities and Exchange agenda reflects the current intent to Commission. Paper Comments • complete a number of rulemakings in ACTION: Semiannual regulatory agenda. Send paper comments to Secretary, the next year, the precise dates for each Securities and Exchange Commission, rulemaking at this point are uncertain. SUMMARY: The Securities and Exchange 100 F Street NE, Washington, DC Actions that do not have an estimated Commission is publishing the 20549–1090. date are placed in the long-term Chairman’s agenda of rulemaking All submissions should refer to File No. category; the Commission may actions pursuant to the Regulatory S7–12–19. This file number should be nevertheless act on items in that Flexibility Act (RFA) (Pub. L. 96–354, included on the subject line if email is category within the next 12 months. The 94 Stat. 1164) (Sep. 19, 1980). The items used. To help us process and review agenda includes new entries, entries listed in the Regulatory Flexibility your comments more efficiently, please carried over from prior publications, Agenda for Fall 2019 reflect only the use only one method. The Commission and rulemaking actions that have been priorities of the Chairman of the U.S. will post all comments on the completed (or withdrawn) since Securities and Exchange Commission, Commission’s internet website (http:// publication of the last agenda. and do not necessarily reflect the view www.sec.gov/rules/other.shtml). The following abbreviations for the and priorities of any individual Comments are also available for website acts administered by the Commission Commissioner. viewing and printing in the are used in the agenda: Information in the agenda was Commission’s Public Reference Room, ‘‘Securities Act’’—Securities Act of 1933 100 F Street NE, Washington, DC 20549, accurate on August 7, 2019, the date on ‘‘Exchange Act’’—Securities Exchange on official business days between the which the Commission’s staff completed Act of 1934 hours of 10:00 a.m. and 3:00 p.m. All compilation of the data. To the extent ‘‘Investment Company Act’’— comments received will be posted possible, rulemaking actions by the Investment Company Act of 1940 without change. Persons submitting Commission since that date have been ‘‘Investment Advisers Act’’—Investment comments are cautioned that we do not reflected in the agenda. The Advisers Act of 1940 redact or edit personal identifying Commission invites questions and ‘‘Dodd Frank Act’’—Dodd-Frank Wall information from submissions. You public comment on the agenda and on Street Reform and Consumer should submit only information that the individual agenda entries. Protection Act you wish to make available publicly. The Commission is now printing in ‘‘JOBS Act’’—Jumpstart Our Business the Federal Register, along with our FOR FURTHER INFORMATION CONTACT: Startups Act preamble, only those agenda entries for Mykaila DeLesDernier, Office of the ‘‘FAST Act’’—Fixing America’s Surface which we have indicated that General Counsel, 202–551–5129. Transportation Act preparation of an RFA analysis is SUPPLEMENTARY INFORMATION: The RFA The Commission invites public required. requires each Federal agency, twice comment on the agenda and on the The Commission’s complete RFA each year, to publish in the Federal individual agenda entries. Register an agenda identifying rules that agenda will be available online at By the Commission. www.reginfo.gov. the agency expects to consider in the next 12 months that are likely to have Dated: August 23, 2019. DATES: Comments should be received on a significant economic impact on a Vanessa A. Countryman, or before January 27, 2020. substantial number of small entities (5 Secretary.
3 OOD—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
497 ...... Amendments to Certain Provisions of the Auditor Independence Rules ...... 3235–AM63
DIVISION OF CORPORATION FINANCE—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
498 ...... Listing Standards for Recovery of Erroneously Awarded Compensation ...... 3235–AK99 499 ...... Filing Fee Processing ...... 3235–AL96 500 ...... Accredited Investor Definition ...... 3235–AM19 501 ...... Regulation Crowdfunding Amendments ...... 3235–AM20 502 ...... Regulation A Amendments ...... 3235–AM21 503 ...... Harmonization of Exempt Offerings ...... 3235–AM27
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DIVISION OF CORPORATION FINANCE—PROPOSED RULE STAGE—Continued
Regulation Sequence No. Title Identifier No.
504 ...... Amendments to Rule 701/Form S–8 ...... 3235–AM38 505 ...... Rule 14a–8 Amendments ...... 3235–AM49 506 ...... Amendments to Form 13F Filer Threshold ...... 3235–AM65
DIVISION OF CORPORATION FINANCE—FINAL RULE STAGE
Regulation Sequence No. Title Identifier No.
507 ...... Amendments to Financial Disclosures About Acquired Businesses ...... 3235–AL77 508 ...... Amendments to the Financial Disclosures for Registered Debt Security Offerings ...... 3235–AM12 509 ...... Extending the Testing the Waters Provision to Non-Emerging Growth Companies ...... 3235–AM23 510 ...... Accelerated Filer Definition ...... 3235–AM41
DIVISION OF CORPORATION FINANCE—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
511 ...... Pay Versus Performance ...... 3235–AL00 512 ...... Universal Proxy ...... 3235–AL84 513 ...... Corporate Board Diversity ...... 3235–AL91 514 ...... Conflict Minerals Amendments ...... 3235–AM14 515 ...... Mandated Electronic Filings ...... 3235–AM15
DIVISION OF CORPORATION FINANCE—COMPLETED ACTIONS
Regulation Sequence No. Title Identifier No.
516 ...... Simplification of Disclosure Requirements for Emerging Growth Companies and Forward Incorporation by 3235–AL88 Reference on Form S–1 for Smaller Reporting Companies. 517 ...... Form 10–K Summary ...... 3235–AL89 518 ...... Amendments to Implement FAST Act Report ...... 3235–AM00
DIVISION OF INVESTMENT MANAGEMENT—PROPOSED RULE STAGE
Regulation Sequence No. Title Identifier No.
519 ...... Use of Derivatives by Registered Investment Companies and Business Development Companies ...... 3235–AL60
DIVISION OF INVESTMENT MANAGEMENT—FINAL RULE STAGE
Regulation Sequence No. Title Identifier No.
520 ...... Fund of Funds Arrangements ...... 3235–AM29 521 ...... Offering Reform for Business Development Companies Under the Small Business Credit Availability Act 3235–AM31 and Closed-End Funds Under the Economic Growth, Regulatory Relief, and Consumer Protection Act.
DIVISION OF INVESTMENT MANAGEMENT—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
522 ...... Reporting of Proxy Votes on Executive Compensation and Other Matters ...... 3235–AK67 523 ...... Amendments to the Custody Rules for Investment Companies ...... 3235–AM66 524 ...... Amendments to the Family Office Rule ...... 3235–AM67 525 ...... Amendments to Rule 17a–7 Under the Investment Company Act ...... 3235–AM69
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DIVISION OF INVESTMENT MANAGEMENT—COMPLETED ACTIONS
Regulation Sequence No. Title Identifier No.
526 ...... Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures to Retail Customers 3235–AL27 and Restrictions on the Use of Certain Names or Titles.
DIVISION OF TRADING AND MARKETS—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
527 ...... Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 ...... 3235–AL14
DIVISION OF TRADING AND MARKETS—COMPLETED ACTIONS
Regulation Sequence No. Title Identifier No.
528 ...... Regulation Best Interest ...... 3235–AM35
OFFICES AND OTHER PROGRAMS—COMPLETED ACTIONS
Regulation Sequence No. Title Identifier No.
529 ...... Auditor Independence With Respect to Loans or Debtor-Creditor Relationships ...... 3235–AM01
SECURITIES AND EXCHANGE Action Date FR Cite Timetable: COMMISSION (SEC) NPRM ...... 04/00/20 Action Date FR Cite 3 OOD NPRM ...... 07/14/15 80 FR 41144 Proposed Rule Stage Regulatory Flexibility Analysis Required: Yes. NPRM Comment 09/14/15 497. • Amendments to Certain Period End. Agency Contact: Duc Dang, Attorney, Second NPRM .... 09/00/20 Provisions of the Auditor Independence Office of Chief Accountant, Securities Rules and Exchange Commission, 100 F Street Regulatory Flexibility Analysis NE, Washington, DC 20549, Phone: 202 E.O. 13771 Designation: Independent Required: Yes. 551–3386, Email: [email protected]. agency. Agency Contact: Anne M. Krauskopf, RIN: 3235–AM63 Division of Corporation Finance, Legal Authority: 15 U.S.C. 77(f); 15 Securities and Exchange Commission, U.S.C. 77(g); 15 U.S.C. 77(h); 15 U.S.C. 100 F Street NE, Washington, DC 20549, 77(j); 15 U.S.C. 77(s); 15 U.S.C. 77(z–2); Phone: 202 551–3500, Email: 15 U.S.C. 77(z–3); 15 U.S.C. 77(aa(25)); SECURITIES AND EXCHANGE COMMISSION (SEC) [email protected]. 15 U.S.C. 77(aa(26)); 15 U.S.C. RIN: 3235–AK99 77(nn(25)); 15 U.S.C. 77(nn(26)); 15 Division of Corporation Finance U.S.C. 78(c); 15 U.S.C. 78(j–1); 15 U.S.C. 499. Filing Fee Processing Proposed Rule Stage 78(l); 15 U.S.C. 78(m); 15 U.S.C. 78(n); E.O. 13771 Designation: Independent 15 U.S.C. 78(o(d)); 15 U.S.C. 78(q); 15 498. Listing Standards for Recovery of agency. U.S.C. 78(u–5); 15 U.S.C. 78(w); 15 Erroneously Awarded Compensation Legal Authority: 15 U.S.C. 77s; 15 U.S.C. 78(ll); 15 U.S.C. 78(mm); 15 E.O. 13771 Designation: Independent U.S.C. 78w; 15 U.S.C. 80a–37 U.S.C. 80(a–8); 15 U.S.C. 80(a–20); 15 Abstract: The Division is considering agency. U.S.C. 80(a–29); 15 U.S.C. 80(a–30); 15 recommending that the Commission Legal Authority: Pub. L. 111–203, sec. U.S.C. 80(a–31); 15 U.S.C. 80(a–37(a)); propose rule amendments to modernize 954; 15 U.S.C. 78j–4 15 U.S.C. 80(b–3); 15 U.S.C. 80(b–11); the processing of EDGAR filing fees by Abstract: The Commission proposed 15 U.S.C. 7202; 15 U.S.C. 7262; Pub. L. structuring fee-related information in rules to implement section 954 of the 112–106, sec. 102(c); 126 Stat. 310 certain Commission filings. Dodd-Frank Act, which requires the (2012) Timetable: Commission to adopt rules to direct Abstract: The Office of the Chief national securities exchanges to prohibit Action Date FR Cite Accountant is considering the listing of securities of issuers that recommending that the Commission have not developed and implemented a NPRM ...... 11/00/19 propose amendments to update certain policy providing for disclosure of the auditor independence rules to facilitate issuer’s policy on incentive-based Regulatory Flexibility Analysis capital formation, in a manner compensation and mandating the Required: Yes. consistent with investor protection. clawback of such compensation in Agency Contact: Mark W. Green, Timetable: certain circumstances. Division of Corporation Finance,
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Securities and Exchange Commission, Legal Authority: 15 U.S.C. 77c(b); 15 Act Rule 701, the exemption from 100 F Street NE, Washington, DC U.S.C. 77s; 15 U.S.C. 77z–3; 15 U.S.C. registration for securities issued by non- 20549–0301, Phone: 202 551–3430, 78l; 15 U.S.C. 77o; 15 U.S.C. 77o; 15 reporting companies pursuant to Email: [email protected]. U.S.C. 77mm compensatory arrangements, and Form RIN: 3235–AL96 Abstract: As described in Release No. S–8, the registration statement for 500. Accredited Investor Definition 33–9741 (Mar. 25, 2015) [80 FR 21805 compensatory offerings by reporting (Apr. 20, 2015)], the Division staff will companies. E.O. 13771 Designation: Independent undertake to study and submit a report Timetable: agency. to the Commission on the impact of Legal Authority: 15 U.S.C. 77a et seq. Regulation A offerings on capital Action Date FR Cite Abstract: The Division is considering formation and investor protection. The recommending that the Commission Division is considering recommending ANPRM ...... 07/24/18 83 FR 34958 propose amendments to expand the ANPRM Comment 09/24/18 that the Commission propose definition of accredited investor under Period End. amendments to Regulation A to address Regulation D of the Securities Act of NPRM ...... 04/00/20 staff recommendations resulting from 1933. Timetable: the reviews of the regulation. Regulatory Flexibility Analysis Timetable: Required: Yes. Action Date FR Cite Agency Contact: Anne M. Krauskopf, Action Date FR Cite Division of Corporation Finance, NPRM ...... 09/00/20 Securities and Exchange Commission, NPRM ...... 09/00/20 100 F Street NE, Washington, DC 20549, Regulatory Flexibility Analysis Phone: 202 551–3500, Email: Required: Yes. Regulatory Flexibility Analysis Required: Yes. [email protected]. Agency Contact: Jennifer Zepralka, RIN: 3235–AM38 Division of Corporation Finance, Agency Contact: Jennifer Zepralka, Securities and Exchange Commission, Division of Corporation Finance, 505. Rule 14A–8 Amendments 100 F Street NE, Washington, DC 20549, Securities and Exchange Commission, E.O. 13771 Designation: Independent Phone: 202 551–3430, Email: zepralkaj@ 100 F Street NE, Washington, DC 20549, agency. sec.gov. Phone: 202 551–3430, Email: zepralkaj@ Legal Authority: Not Yet Determined RIN: 3235–AM19 sec.gov. Abstract: The Division is considering RIN: 3235–AM21 recommending that the Commission 501. Regulation Crowdfunding propose rule amendments regarding the Amendments 503. Harmonization of Exempt Offerings thresholds for shareholder proposals E.O. 13771 Designation: Independent under Rule 14a–8. agency. E.O. 13771 Designation: Independent Timetable: Legal Authority: 15 U.S.C. 77a et seq.; agency. 15 U.S.C. 78a et seq.; Pub. L. 112–106; Legal Authority: 15 U.S.C. 77a et seq. Action Date FR Cite Pub. L. 301–305 Abstract: The Division is considering Abstract: Staff completed, consistent recommending that the Commission NPRM ...... 04/00/20 with Release No. 33–9974 (Oct. 30, propose rule amendments to harmonize 2015) 80 FR 71387 (Nov. 16, 2015), a and streamline the Commission’s rules Regulatory Flexibility Analysis study and submitted a report to the for exempt offerings in order to enhance Required: Yes. Commission on the impact of their clarity and ease of use. Agency Contact: Dan Greenspan, Regulation Crowdfunding on capital Timetable: Division of Corporation Finance, formation and investor protection. The Securities and Exchange Commission, Division is considering recommending Action Date FR Cite 100 F Street NE, Washington, DC 20549, that the Commission propose Phone: 202 551–3623, Email: amendments to Regulation ANPRM ...... 06/26/19 84 FR 30460 [email protected]. ANPRM Comment 09/24/19 RIN: 3235–AM49 Crowdfunding to address staff Period End. recommendations resulting from the NPRM ...... 09/00/20 506. • Amendments to Form 13F Filer staff’s report. Threshold Timetable: Regulatory Flexibility Analysis E.O. 13771 Designation: Independent Required: Yes. Action Date FR Cite agency. Agency Contact: Jennifer Zepralka, Legal Authority: 15 U.S.C. 78c(b); 15 NPRM ...... 09/00/20 Division of Corporation Finance, U.S.C. 78m(f); 15 U.S.C. 78w; 15 U.S.C. Securities and Exchange Commission, 78x; 15 U.S.C. 78mm Regulatory Flexibility Analysis 100 F Street NE, Washington, DC 20549, Abstract: The Division is considering Required: Yes. Phone: 202 551–3430, Email: zepralkaj@ recommending that the Commission Agency Contact: Jennifer Zepralka, sec.gov. propose rule and related form Division of Corporation Finance, RIN: 3235–AM27 amendments regarding the thresholds Securities and Exchange Commission, 504. Amendments to Rule 701/ for Form 13F filers. 100 F Street NE, Washington, DC 20549, Form S–8 Timetable: Phone: 202 551–3430, Email: zepralkaj@ sec.gov. E.O. 13771 Designation: Independent Action Date FR Cite RIN: 3235–AM20 agency. Legal Authority: 15 U.S.C. 77bb NPRM ...... 09/00/20 502. Regulation A Amendments Abstract: The Division is considering E.O. 13771 Designation: Independent recommending that the Commission Regulatory Flexibility Analysis agency. propose rule amendments to Securities Required: Yes.
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Agency Contact: Mark Uyeda, Senior Abstract: The Division is considering that would have the effect of reducing Special Counsel, Division of Investment recommending that the Commission the number of registrants that are Management, Securities and Exchange adopt amendments to Rules 3–10 subject to the Sarbanes-Oxley Act Commission, 100 F Street NE, (guaranteed) and 3–16 (collateralized Section 404(b) attestation requirement. Washington, DC 20549, Phone: 202 551– with affiliate securities) of Regulation Timetable: 6775, Email: [email protected]. S–X. RIN: 3235–AM65 Timetable: Action Date FR Cite
Action Date FR Cite NPRM ...... 05/29/19 84 FR 24876 NPRM Comment 07/29/19 SECURITIES AND EXCHANGE NPRM ...... 10/02/18 83 FR 49630 Period End. COMMISSION (SEC) NPRM Comment 12/03/18 Final Action ...... 04/00/20 Period End. Division of Corporation Finance Final Action ...... 09/00/20 Regulatory Flexibility Analysis Final Rule Stage Required: Yes. Regulatory Flexibility Analysis Agency Contact: John Fieldsend, 507. Amendments to Financial Required: Yes. Division of Corporation Finance, Disclosures About Acquired Businesses Agency Contact: John Fieldsend, Securities and Exchange Commission, E.O. 13771 Designation: Independent Division of Corporation Finance, 100 F Street NE, Washington, DC 20549, agency. Securities and Exchange Commission, Phone: 202 551–3430, Email: Legal Authority: 15 U.S.C. 77g; 15 100 F Street NE, Washington, DC 20549, [email protected]. U.S.C. 77j; 15 U.S.C. 77s(a); 15 U.S.C. Phone: 202 551–3430, Email: RIN: 3235–AM41 772–3; 15 U.S.C. 78c(b); 15 U.S.C. 77l; [email protected]. 15 U.S.C. 77m; 15 U.S.C. 77o(d); 15 RIN: 3235–AM12 U.S.C. 77w; 15 U.S.C. 77mm 509. Extending the Testing the Waters SECURITIES AND EXCHANGE Abstract: The Division is considering Provision to Non-Emerging Growth COMMISSION (SEC) recommending that the Commission Companies adopt amendments to Regulation S–X Division of Corporation Finance E.O. 13771 Designation: Independent (Rule 3–05) that affect the disclosure of Long-Term Actions financial information of acquired agency. businesses. Legal Authority: 15 U.S.C. 77g; 15 511. Pay Versus Performance Timetable: U.S.C. 77j; 15 U.S.C. 77s; 15 U.S.C. 77z– E.O. 13771 Designation: Independent 3; 15 U.S.C. 80a–6; 15 U.S.C. 80a–24; 15 agency. Action Date FR Cite U.S.C. 80a–37 Legal Authority: Pub. L. 111–203, sec. Abstract: The Division is considering 953(a); 15 U.S.C. 78c(b); 15 U.S.C. 78n; ANPRM ...... 10/01/15 80 FR 59083 recommending that the Commission 15 U.S.C. 78w(a); 15 U.S.C. 78mm ANPRM Comment 11/30/15 adopt amendments to extend the testing Period End. Abstract: The Commission proposed of the waters provision to non-emerging rules to implement section 953(a) of the NPRM ...... 05/28/19 84 FR 24600 growth companies. NPRM Comment 07/29/19 Dodd-Frank Act, which added section Period End. Timetable: 14(i) to the Exchange Act to require Final Action ...... 09/00/20 issuers to disclose information that Action Date FR Cite shows the relationship between Regulatory Flexibility Analysis NPRM ...... 02/28/19 84 FR 6713 executive compensation actually paid Required: Yes. NPRM Comment 04/29/19 and the financial performance of the Agency Contact: Todd Hardiman, Period End. issuer. Division of Corporation Finance, Final Action ...... 12/00/19 Timetable: Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549, Regulatory Flexibility Analysis Action Date FR Cite Phone: 202 551–3516, Email: Required: Yes. [email protected]. Agency Contact: Maryse Mills- NPRM ...... 05/07/15 80 FR 26329 NPRM Comment 07/06/15 Patrick Gilmore, Deputy Chief Apenteng, Special Counsel, Office of Period End. Accountant, Division of Corporation Information Technologies and Services, Next Action Unde- Finance, Securities and Exchange Securities and Exchange Commission, termined. Commission, 100 F Street NE, Division of Corporation Finance, 100 F Washington, DC 20549, Phone: 202 551– Street NE, Washington, DC 20549, Regulatory Flexibility Analysis 3406, Email: [email protected]. Phone: 202 551–3457, Email: mills- Required: Yes. RIN: 3235–AL77 [email protected]. Agency Contact: Steven G. Hearne, RIN: 3235–AM23 508. Amendments to the Financial Division of Corporation Finance, Disclosures for Registered Debt Security 510. Accelerated Filer Definition Securities and Exchange Commission, Offerings 100 F Street NE, Washington, DC 20549, E.O. 13771 Designation: Independent Phone: 202 551–3430, Email: hearnes@ E.O. 13771 Designation: Independent agency. sec.gov. agency. Legal Authority: 15 U.S.C. 78e(h); 15 RIN: 3235–AL00 Legal Authority: 15 U.S.C. 77c; 15 U.S.C. 78l; 15 U.S.C. 78m; 15 U.S.C. U.S.C. 77f; 15 U.S.C. 77g; 15 U.S.C. 77j; 78o(d); 15 U.S.C. 78w(a) 512. Universal Proxy 15 U.S.C. 77h; 15 U.S.C. 77s(a); 15 Abstract: The Division is considering E.O. 13771 Designation: Independent U.S.C. 77z–3; 15 U.S.C. 78c(b); 15 U.S.C. recommending that the Commission agency. 78l; 15 U.S.C. 78m; 15 U.S.C. 78o(d); 15 adopt changes to the ‘‘accelerated filer’’ Legal Authority: 15 U.S.C. 78n; 15 U.S.C. 78w(a) definition in Exchange Act Rule 12b–2 U.S.C. 78w(a)
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Abstract: The Commission proposed 78dd(c); 15 U.S.C. 78ll; 15 U.S.C. 78mm; Securities and Exchange Commission, to amend the proxy rules to expand 15 U.S.C. 80a–20; 15 U.S.C. 80a–23; 15 100 F Street NE, Washington, DC 20549, shareholders’ ability to vote by proxy to U.S.C. 80a–29; 15 U.S.C. 80a–37; 15 Phone: 202 551–3430, Email: select among duly-nominated U.S.C. 80b–3; 15 U.S.C. 80b–4; 15 U.S.C. [email protected]. candidates in a contested election of 80b–11; 15 U.S.C. 7201 et seq.; 15 U.S.C. RIN: 3235–AM15 directors. 8302; 18 U.S.C. 1350; 12 U.S.C. Timetable: 5221(e)(3) Abstract: The Division is considering SECURITIES AND EXCHANGE Action Date FR Cite recommendations for the Commission to COMMISSION (SEC) address the U.S. District Court for the NPRM ...... 11/10/16 81 FR 79122 District of Columbia’s final decision NPRM Comment 01/09/17 Division of Corporation Finance (Nat’l Ass’n of Mfrs., et al. v. SEC, No. Period End. Completed Actions Next Action Unde- 13–CF–000635 (D.D.C. Apr. 3, 2017)) in termined. the litigation over the conflict minerals 516. Simplification of Disclosure rule. The district court set aside those Requirements for Emerging Growth Regulatory Flexibility Analysis portions of the rule that required Companies and Forward Incorporation Required: Yes. companies to report to the Commission by Reference on Form S–1 for Smaller Agency Contact: Ted Yu, Division of and state on their website that any of Reporting Companies Corporation Finance, Securities and their products ‘‘have not been found to E.O. 13771 Designation: Independent Exchange Commission, 100 F Street NE, be ‘DRC conflict free.’ ’’ agency. Washington, DC 20549, Phone: 202 551– Timetable: Legal Authority: 15 U.S.C. 77f; 15 3500, Email: [email protected]. RIN: 3235–AL84 Action Date FR Cite U.S.C. 77g; 15 U.S.C. 77h; 15 U.S.C. 77j; Pub. L. 114–94, secs. 71003 and 84001; 513. Corporate Board Diversity NPRM ...... 12/23/10 75 FR 80947 Pub. L. 112–106, sec. 102; 15 U.S.C. 77s E.O. 13771 Designation: Independent NPRM Comment 01/31/11 Abstract: An interim final rule was agency. Period End. adopted on 01/19/2016, and this item is Legal Authority: 15 U.S.C. 77c(b); 15 NPRM Comment 02/03/11 76 FR 6110 being withdrawn from the agenda. Period Ex- Timetable: U.S.C. 77f; 15 U.S.C. 77g; 15 U.S.C. 78l; tended. 15 U.S.C. 78m NPRM Comment 03/02/11 Action Date FR Cite Abstract: The Division is considering Period Ex- recommending that the Commission tended End. Interim Final Rule 01/19/16 81 FR 2743 propose amendments to the proxy rules Final Action ...... 09/12/12 77 FR 56273 Interim Final Rule 01/19/16 to require additional disclosure about Final Action Effec- 11/12/12 Effective. the diversity of board members and tive. Interim Final Rule 02/18/16 nominees. Next Action Unde- Comment Pe- Timetable: Next Action termined. riod End. Undetermined. Withdrawn ...... 08/22/19 Regulatory Flexibility Analysis Regulatory Flexibility Analysis Required: Yes. Required: Yes. Regulatory Flexibility Analysis Agency Contact: Felicia H. Kung, Agency Contact: John Fieldsend, Required: Yes. Division of Corporation Finance, Division of Corporation Finance, Agency Contact: Steven G. Hearne, Securities and Exchange Commission, Securities and Exchange Commission, Division of Corporation Finance, 100 F Street NE, Washington, DC 20549, 100 F Street NE, Washington, DC 20549, Securities and Exchange Commission, Phone: 202 551–3430, Email: kungf@ Phone: 202 551–3430, Email: 100 F Street NE, Washington, DC 20549, sec.gov. [email protected]. Phone: 202 551–3430, Email: hearnes@ RIN: 3235–AL91 RIN: 3235–AM14 sec.gov. 514. Conflict Minerals Amendments 515. Mandated Electronic Filings RIN: 3235–AL88 E.O. 13771 Designation: Independent E.O. 13771 Designation: Independent 517. Form 10–K Summary agency. agency. E.O. 13771 Designation: Independent Legal Authority: Sec. 1502, Pub. L. Legal Authority: 15 U.S.C. 77d; 15 agency. 111–203, 124 Stat. 1376 and 2213; 15 U.S.C. 77f; 15 U.S.C. 77g; 15 U.S.C. 77h; Legal Authority: Pub. L. 114–94; 15 U.S.C. 77c; 15 U.S.C. 77d; 15 U.S.C. 77g; 15 U.S.C. 77j; 15 U.S.C. 77s(a); 15 U.S.C. U.S.C. 78c; 15 U.S.C. 78l; 15 U.S.C. 15 U.S.C. 77j; 15 U.S.C. 77s; 15 U.S.C. 78c; 15 U.S.C. 78l; 15 U.S.C. 78m; 15 78m; 15 U.S.C. 78o; 15 U.S.C. 78w 77z–2; 15 U.S.C. 77z–3; 15 U.S.C. 77eee; U.S.C. 78n; 15 U.S.C. 78o(d); 15 U.S.C. Abstract: An interim final rule was 15 U.S.C. 77ggg; 15 U.S.C. 77jjj; 15 78p; 15 U.S.C. 78w(a); 15 U.S.C. 78ll adopted on 06/09/2016, and this item is U.S.C. 77kkk; 15 U.S.C. 77nnn; 15 Abstract: The Division is considering being withdrawn from the agenda. U.S.C. 77sss; 15 U.S.C. 77ttt; 15 U.S.C. recommending that the Commission Timetable: 78a et seq.; 15 U.S.C. 78c; 15 U.S.C. 78i; propose amendments to Regulation S–T 15 U.S.C. 78j; 15 U.S.C. 78j–1; 15 U.S.C. that would update the mandated Action Date FR Cite 78k; 15 U.S.C. 78k–1; 15 U.S.C. 78l; 15 electronic submissions requirements to U.S.C. 78m; 15 U.S.C. 78n; 15 U.S.C. include additional filings. Interim Final Rule 06/09/16 81 FR 37132 78n–1; 15 U.S.C. 78o; 15 U.S.C. 78o–4; Timetable: Next Action Interim Final Rule 06/09/16 15 U.S.C. 78o–8; 15 U.S.C. 78d; 15 Undetermined. Effective. U.S.C. 78e; 15 U.S.C. 78f; 15 U.S.C. 78g; Regulatory Flexibility Analysis Interim Final Rule 07/11/16 15 U.S.C. 78p; 15 U.S.C. 78q; 15 U.S.C. Required: Yes. Comment Pe- riod End. 78s; 15 U.S.C. 78u–5; 15 U.S.C. 78w; 15 Agency Contact: Sean Harrison, Withdrawn ...... 08/22/19 U.S.C. 78x; 15 U.S.C. 78dd(b); 15 U.S.C. Division of Corporation Finance,
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Regulatory Flexibility Analysis 12(a); 15 U.S.C. 80a–38(a); 15 U.S.C. Phone: 202 551–6805, Email: gainorm@ Required: Yes. 80a–8; 15 U.S.C. 80a–30; 15 U.S.C. 80a– sec.gov. Agency Contact: Sean Harrison, 38 RIN: 3235–AM29 Division of Corporation Finance, Abstract: The Division is considering Securities and Exchange Commission, 521. Offering Reform for Business recommending that the Commission re- Development Companies Under the 100 F Street NE, Washington, DC 20549, propose a new rule designed to enhance Phone: 202 551–3430, Email: Small Business Credit Availability Act the regulation of the use of derivatives and Closed-End Funds Under the [email protected]. by registered investment companies, RIN: 3235–AL89 Economic Growth, Regulatory Relief, including mutual funds, exchange- and Consumer Protection Act 518. Amendments To Implement FAST traded funds, closed-end funds, and Act Report business development companies. E.O. 13771 Designation: Independent Timetable: agency. E.O. 13771 Designation: Independent Legal Authority: 15 U.S.C. 77f to 77i; agency. Action Date FR Cite 15 U.S.C. 77s; 15 U.S.C. 77z–2 and 77z– Legal Authority: Pub. L. 114–94; 129 3; 15 U.S.C. 78b and 78c(b); 15 U.S.C. Stat. 1312 NPRM ...... 12/28/15 80 FR 80884 78i(a); 15 U.S.C. 78i; 15 U.S.C. 78l; 15 Abstract: The Commission adopted NPRM Comment 03/28/16 U.S.C. 78m to 78o; 15 U.S.C. 78q(a); 15 rule amendments to implement Period End. U.S.C. 78u–5; 15 U.S.C. 78w; 15 U.S.C. recommendations made in the staff’s Second NPRM .... 04/00/20 78ll; 15 U.S.C. 78mm; 15 U.S.C. 80a– 2016 Report on Modernization and 6(c); 15 U.S.C. 80a–8; 15 U.S.C. 80a– Simplification of Regulation S–K, a Regulatory Flexibility Analysis 20(a); 15 U.S.C. 80a–23 and 80a–24; 15 report to Congress required by section Required: Yes. U.S.C. 80a–29 and 80a–30; 15 U.S.C. 72003 of the FAST Act. As required by Agency Contact: Brian Johnson, 80a–36 and 80a–37; Pub. L. 115–141, the FAST Act, the report included Division of Investment Management, title VIII, sec. 803(b); Pub. L. 115–174, various recommendations on ways to Securities and Exchange Commission, sec. 509(a) modernize and simplify the disclosure 100 F Street NE, Washington, DC 20549, Abstract: The Division is considering requirements in Regulation S–K in a Phone: 202 551–6740, Email: recommending that the Commission manner that reduces the costs and [email protected]. adopt amendments to existing rules burdens on companies while still RIN: 3235–AL60 and/or adopt new rules—under the providing all material information to Securities Act of 1933 and the investors as well as ways to improve the Investment Company Act of 1940 to readability and navigability of SECURITIES AND EXCHANGE implement section 803 of the Small disclosure documents and discourage COMMISSION (SEC) Business Credit Availability Act and repetition and disclosure of immaterial section 509 of the Economic Growth, information. Division of Investment Management Regulatory Relief, and Consumer Timetable: Final Rule Stage Protection Act. Timetable: Action Date FR Cite 520. Fund of Funds Arrangements NPRM ...... 11/02/17 82 FR 50988 E.O. 13771 Designation: Independent Action Date FR Cite NPRM Comment 01/02/18 agency. NPRM ...... 04/10/19 84 FR 14448 Period End. Legal Authority: 15 U.S.C. 80a–8(b); Final Action ...... 04/02/19 84 FR 12674 NPRM Comment 06/10/19 15 U.S.C. 80a–6(c); 15 U.S.C. 80a– Period End. Final Action Effec- 05/02/19 12(d)(1)(G); 15 U.S.C. 80a–12(d)(1)(J); 15 tive. Final Action ...... 04/00/20 U.S.C. 80a–17(b); 15 U.S.C. 80a–29(a); Regulatory Flexibility Analysis 15 U.S.C. 80a–37(a) Regulatory Flexibility Analysis Required: Yes. Abstract: The Division is considering Required: Yes. Agency Contact: Dan Greenspan, recommending that the Commission Agency Contact: Brian Johnson, Division of Corporation Finance, adopt new rules and rule amendments Division of Investment Management, Securities and Exchange Commission, to allow funds to acquire shares of other Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549, funds (i.e., ‘‘fund of funds’’ 100 F Street NE, Washington, DC 20549, Phone: 202 551–3623, Email: arrangements), including arrangements Phone: 202 551–6740, Email: [email protected]. involving exchange-traded funds, [email protected]. RIN: 3235–AM00 without first obtaining exemptive orders RIN: 3235–AM31 from the Commission. Timetable:
SECURITIES AND EXCHANGE Action Date FR Cite SECURITIES AND EXCHANGE COMMISSION (SEC) COMMISSION (SEC) NPRM ...... 02/01/19 84 FR 1286 Division of Investment Management Division of Investment Management NPRM Comment 05/02/19 Proposed Rule Stage Period End. Long-Term Actions Final Action ...... 04/00/20 519. Use of Derivatives by Registered 522. Reporting of Proxy Votes on Investment Companies and Business Regulatory Flexibility Analysis Executive Compensation and Other Development Companies Required: Yes. Matters E.O. 13771 Designation: Independent Agency Contact: Melissa Gainor, E.O. 13771 Designation: Independent agency. Division of Investment Management, agency. Legal Authority: 15 U.S.C. 80a–6(c); Securities and Exchange Commission, Legal Authority: 15 U.S.C. 78m; 15 15 U.S.C. 80a–31(a); 15 U.S.C. 80a– 100 F Street NE, Washington, DC 20549, U.S.C. 78w(a); 15 U.S.C. 78mm; 15
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U.S.C. 78x; 15 U.S.C. 80a–8; 15 U.S.C. Abstract: The Division is considering 1934 to (1) Require registered 80a–29; 15 U.S.C. 80a–30; 15 U.S.C. recommending that the Commission investment advisers and registered 80a–37; 15 U.S.C. 80a–44; Pub. L. 111– propose targeted amendments to the broker-dealers to provide a brief 203, sec 951 family office rule under section relationship summary to retail investors Abstract: The Division is considering 202(a)(11) of the Investment Advisers and (2) reduce investor confusion in the recommending that the Commission re- Act of 1940. marketplace for firm services. propose rule amendments to implement Timetable: Next Action Timetable: section 951 of the Dodd-Frank Act. The Undetermined. Commission previously proposed Regulatory Flexibility Analysis Action Date FR Cite amendments to rules and Form N–PX Required: Yes. that would require institutional Agency Contact: Thoreau Adrian ANPRM ...... 03/07/13 78 FR 14848 investment managers subject to section Bartmann, Division of Investment ANPRM Comment 07/05/13 Period End. 13(f) of the Exchange Act to report how Management, Securities and Exchange NPRM ...... 05/23/18 83 FR 23848 they voted on any shareholder vote on Commission, 100 F Street NE, NPRM Comment 08/07/18 executive compensation or golden Washington, DC 20549, Phone: 202 551– Period End. parachutes pursuant to sections 14A(a) 6745, Email: [email protected]. Final Action ...... 07/12/19 84 FR 33492 and (b) of the Exchange Act. RIN: 3235–AM67 Final Action Effec- 09/10/19 Timetable: tive. 525. • Amendments to Rule 17A–7 Action Date FR Cite Under the Investment Company Act Regulatory Flexibility Analysis E.O. 13771 Designation: Independent Required: Yes. NPRM ...... 10/28/10 75 FR 66622 agency. Agency Contact: Emily Russell, NPRM Comment 11/18/10 Legal Authority: 15 U.S.C. 80a–6(c); Period End. Division of Trading and Markets, 15 U.S.C. 80a–10(f); 15 U.S.C. 80a– Securities and Exchange Commission, Second NPRM .... To Be Determined 17(d); 15 U.S.C. 80a–37(a) 100 F Street NE, Washington, DC 20549, Abstract: The Division is considering Phone: 202 551–5500, Email: russelle@ Regulatory Flexibility Analysis recommending that the Commission sec.gov. Required: Yes. propose amendments to rule 17a–7 Jennifer Porter, Division of Investment Agency Contact: Matthew under the Investment Company Act Management, Securities and Exchange DeLesDernier, Division of Investment concerning the exemption of certain Commission, 100 F Street NE, Management, Securities and Exchange purchase or sale transactions between Washington, DC 20549, Phone: 202 551– Commission, 100 F Street NE, an investment company and certain 6739, Email: [email protected]. Washington, DC 20549, Phone: 202 551– affiliated persons. RIN: 3235–AL27 6792, Email: [email protected]. Timetable: Next Action RIN: 3235–AK67 Undetermined. Regulatory Flexibility Analysis 523. • Amendments to the Custody Required: Yes. SECURITIES AND EXCHANGE Rules for Investment Companies Agency Contact: Jacob Krawitz, COMMISSION (SEC) E.O. 13771 Designation: Independent Branch Chief, Division of Investment Division of Trading and Markets agency. Management, Securities and Exchange Legal Authority: 15 U.S.C. 80a–6(c); Commission, 100 F Street NE, Long-Term Actions 15 U.S.C. 80a–17(f); 15 U.S.C. 80a–26; Washington, DC 20549, Phone: 202 551– 527. Removal of Certain References to 15 U.S.C. 80a–28; 15 U.S.C. 80a–29; 15 4673, Email: [email protected]. Credit Ratings Under the Securities U.S.C. 80a–30; 15 U.S.C. 80a–31; 15 RIN: 3235–AM69 Exchange Act of 1934 U.S.C. 80a–36; 15 U.S.C. 80a–37; 15 U.S.C. 80a–37(a) E.O. 13771 Designation: Independent Abstract: The Division is considering agency. recommending that the Commission SECURITIES AND EXCHANGE Legal Authority: Pub. L. 111–203, sec. propose amendments to rules COMMISSION (SEC) 939A concerning custody under the Division of Investment Management Abstract: Section 939A of the Dodd- Investment Company Act of 1940. Frank Act requires the Commission to Timetable: Next Action Completed Actions remove certain references to credit Undetermined. 526. Form CRS Relationship Summary; ratings from its regulations and to Regulatory Flexibility Analysis Amendments to Form ADV; Required substitute such standards of Required: Yes. Disclosures to Retail Customers and creditworthiness as the Commission Agency Contact: Jacob Krawitz, Restrictions on the Use of Certain determines to be appropriate. The Branch Chief, Division of Investment Names or Titles Commission amended certain rules and Management, Securities and Exchange one form under the Exchange Act Commission, 100 F Street NE, E.O. 13771 Designation: Independent applicable to broker-dealer financial Washington, DC 20549, Phone: 202 551– agency. responsibility and confirmation of 4673, Email: [email protected]. Legal Authority: 15 U.S.C. 80b–11(g); transactions. The Commission has not RIN: 3235–AM66 15 U.S.C. 78c; 15 U.S.C. 78j; 15 U.S.C. yet finalized amendments to certain • 78o; 15 U.S.C. 78o(c)(6); 15 U.S.C. rules regarding the distribution of 524. Amendments to the Family Office 78o(l); 15 U.S.C. 78q; 15 U.S.C. 78w; 15 Rule securities. U.S.C. 78mm Timetable: E.O. 13771 Designation: Independent Abstract: The Commission adopted agency. new and amended rules and forms Action Date FR Cite Legal Authority: 15 U.S.C. 80b– under the Investment Advisers Act of 2(a)(11)(G); 15 U.S.C. 80b–6a 1940 and the Securities Exchange Act of NPRM ...... 05/06/11 76 FR 26550
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Action Date FR Cite Action Date FR Cite U.S.C. 80a–37(a); 15 U.S.C. 80b–3; 15 U.S.C. 80b–11; 15 U.S.C. 7202; 15 U.S.C. NPRM Comment 07/05/11 NPRM ...... 05/09/18 83 FR 21574 7262 Period End. NPRM Comment 08/07/18 Abstract: The Commission amended Final Action ...... 01/08/14 79 FR 1522 Period End. rule 2–01(c)(1)(ii)(A) of Regulation S–X Final Action Effec- 07/07/14 Final Action ...... 07/12/19 84 FR 33318 regarding the independence of an tive. Final Action Effec- 09/10/19 Next Action Unde- tive. accountant when the accountant has a termined. lending relationship with an entity that Regulatory Flexibility Analysis holds equity securities of the Regulatory Flexibility Analysis Required: Yes. accountant’s audit client. The Required: Yes. Agency Contact: Lourdes Gonzalez, amendments focus the analysis on Agency Contact: John Guidroz, Assistant Chief Counsel, Sales Practices, beneficial ownership; replace the Division of Trading and Markets, Division of Trading and Markets, existing 10 percent bright-line Securities and Exchange Commission, Securities and Exchange Commission, shareholder ownership test with a 100 F Street NE, Washington, DC 20549, 100 F St. NE, Washington, DC 20549, ‘‘significant influence’’ test; add a Phone: 202 551–6439, Email: guidrozj@ Phone: 202 551–5580, Email: ‘‘known through reasonable inquiry’’ sec.gov. [email protected]. standard with respect to identifying RIN: 3235–AL14 RIN: 3235–AM35 beneficial owners of the audit client’s equity securities; and exclude from the definition of ‘‘audit client,’’ for a fund under audit, any other funds that SECURITIES AND EXCHANGE SECURITIES AND EXCHANGE otherwise would be considered affiliates COMMISSION (SEC) COMMISSION (SEC) of the audit client. Division of Trading and Markets Offices and Other Programs Timetable:
Completed Actions Completed Actions Action Date FR Cite 528. Regulation Best Interest 529. Auditor Independence With NPRM ...... 05/08/18 83 FR 20753 E.O. 13771 Designation: Independent Respect to Loans or Debtor-Creditor NPRM Comment 07/09/18 agency. Relationships Period End. Legal Authority: 15 U.S.C. 78c; 15 E.O. 13771 Designation: Independent Final Action ...... 07/05/19 84 FR 32040 U.S.C. 78j; 15 U.S.C. 78o; 15 U.S.C. 78q; agency. Final Action Effec- 10/03/19 15 U.S.C. 78w; 15 U.S.C. 78mm Legal Authority: 15 U.S.C. 77f; 15 tive. Abstract: The Commission adopted U.S.C. 77g; 15 U.S.C. 77h; 15 U.S.C. 77j; rules to establish a standard of conduct 15 U.S.C. 77s; 15 U.S.C. 77z–2; 15 Regulatory Flexibility Analysis for broker-dealers and natural persons U.S.C. 77z–3; 15 U.S.C. 77aa(25); 15 Required: Yes. who are associated persons of a broker- U.S.C. 77aa(26); 15 U.S.C. 77nn(25); 15 Agency Contact: Giles Taffle Cohen, dealer when making a recommendation U.S.C. 77nn(26); 15 U.S.C. 78c; 15 Office of Chief Accountant, Securities of any securities transaction or U.S.C. 78j–1; 15 U.S.C. 78l; 15 U.S.C. and Exchange Commission, 100 F Street investment strategy involving securities 78m; 15 U.S.C. 78n; 15 U.S.C. 78o(d); 15 NE, Washington, DC 20549, Phone: 202 to a retail customer, as well as to U.S.C. 78q; 15 U.S.C. 78u–5; 15 U.S.C. 551–2512, Email: [email protected]. implement related record-making and 78w; 15 U.S.C. 78ll; 15 U.S.C. 78mm; 15 RIN: 3235–AM01 recordkeeping obligations. U.S.C. 80a–8; 15 U.S.C. 80a–20; 15 [FR Doc. 2019–26563 Filed 12–23–19; 8:45 am] Timetable: U.S.C. 80a–29; 15 U.S.C. 80a–30; 15 BILLING CODE 8011–01–P
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Part XXX
Surface Transportation Board
Semiannual Regulatory Agenda
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SURFACE TRANSPORTATION BOARD to propose or promulgate, which is does not necessarily reflect the views of likely to have a significant economic any other individual Board Member. 49 CFR Ch. X impact on a substantial number of small However, section 602(d) of the RFA, 5 [STB Ex Parte No. 536 (Sub-No. 47)] entities; U.S.C. 602(d), provides: ‘‘Nothing in (2) A summary of the nature of any [section 602] precludes an agency from Regulatory Agenda; Semiannual such rule under consideration for each considering or acting on any matter not Regulatory Agenda subject area listed in the agenda included in a Regulatory Flexibility pursuant to paragraph (1), the objectives Agenda or requires an agency to AGENCY: Surface Transportation Board. and legal basis for the issuance of the consider or act on any matter listed in ACTION: Semiannual regulatory agenda. rule, and an approximate schedule for such agenda.’’ completing action on any rule for which SUMMARY: The Chairman of the Surface The Chairman is publishing the the agency has issued a general notice Transportation Board is publishing the agency’s Regulatory Flexibility Agenda of proposed rulemaking; and Regulatory Flexibility Agenda for fall for fall 2019 as part of the Unified (3) The name and telephone number 2019. Agenda of Federal Regulatory and of an agency official knowledgeable Deregulatory Actions (Unified Agenda). FOR FURTHER INFORMATION CONTACT: A about the items listed in paragraph (1). The Unified Agenda is coordinated by contact person is identified for each of Accordingly, a list of proceedings the Office of Management and Budget the rules listed below. appears below containing information (OMB), pursuant to Executive Orders SUPPLEMENTARY INFORMATION: The about subject areas in which the Board 12866 and 13563. The Board is Regulatory Flexibility Act (RFA), 5 is currently conducting rulemaking participating voluntarily in the program U.S.C. 601 et seq., sets forth a number proceedings or may institute such to assist OMB and has included of requirements for agency rulemaking. proceedings in the near future. It also rulemaking proceedings in the Unified Among other things, the RFA requires contains information about existing Agenda beyond those required by the that, semiannually, each agency shall regulations being reviewed to determine RFA. publish in the Federal Register a whether to propose modifications Regulatory Flexibility Agenda, which through rulemaking. Dated: July 26, 2019. shall contain: The agenda represents the Chairman’s By the Board, Chairman Begeman. (1) A brief description of the subject best estimate of rules that may be Jeffrey Herzig, area of any rule that the agency expects considered over the next 12 months, but Clearance Clerk.
SURFACE TRANSPORTATION BOARD—LONG-TERM ACTIONS
Regulation Sequence No. Title Identifier No.
530 ...... Review of Commodity, Boxcar, and TOFC/COFC Exemptions, EP 704 (Sub-No. 1) ...... 2140–AB29
SURFACE TRANSPORTATION BOARD March 19, 2019, the Board issued a Regulatory Flexibility Analysis (STB) decision waiving the prohibition on ex Required: Yes. Agency Contact: Amy Ziehm, Branch Long-Term Actions parte communications in this proceeding and providing a 90-day Chief, Office of Proceedings, Surface 530. Review of Commodity, Boxcar, and period for meetings with Board Transportation Board, 395 E Street SW, TOFC/COFC Exemptions, EP 704 (Sub- members. Washington, DC 20423–0001, Phone: No. 1) Timetable: 202 245–0391, Email: amy.ziehm@ E.O. 13771 Designation: Independent stb.gov. agency. Action Date FR Cite Francis O’Connor, Section Chief, Legal Authority: 49 U.S.C. 10502; 49 Chemical & Agricultural Transportation, U.S.C. 13301 NPRM ...... 03/28/16 81 FR 17125 Office of Economics, Surface Abstract: The Board proposed to NPRM Comment 07/26/16 Transportation Board, 395 E Street SW, revoke the class exemptions for the rail Period End. Washington, DC 20423–0001, Phone: transportation of: (1) Crushed or broken NPRM Reply 08/26/16 202 245–0331, Email: francis.o’connor@ stone or riprap; (2) hydraulic cement; Comment Pe- stb.gov. riod End. and (3) coke produced from coal, RIN: 2140–AB29 Next Action Unde- [FR Doc. 2019–26564 Filed 12–23–19; 8:45 am] primary iron or steel products, and iron termined. or steel scrap, wastes, or tailings. On BILLING CODE 4915–01–P
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Reader Aids Federal Register Vol. 84, No. 247 Thursday, December 26, 2019
CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING DECEMBER
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. 322...... 67243 Presidential Documents 3 CFR 324...... 67243 Executive orders and proclamations 741–6000 Proclamations: 334...... 67243 The United States Government Manual 741–6000 9968...... 66281 341...... 67243 9969...... 66283 Other Services 343a...... 67243 9970...... 66286 343b...... 67243 741–6020 Electronic and on-line services (voice) 9971...... 67657 392...... 67243 Privacy Act Compilation 741–6050 9972...... 68323 1208...... 69640 9973...... 69617 9 CFR ELECTRONIC RESEARCH Executive Orders: 13898...... 66059 Proposed Rules: World Wide Web 13899...... 68779 56...... 66631 13900...... 69983 145...... 66631 Full text of the daily Federal Register, CFR and other publications Administrative Orders: 146...... 66631 is located at: www.govinfo.gov. Notices: 147...... 66631 Federal Register information and research tools, including Public Notice of December 10 CFR Inspection List and electronic text are located at: 18, 2019 ...... 69981 www.federalregister.gov. 1...... 66561 5 CFR 2...... 66561, 68781 E-mail Proposed Rules: 37...... 66561 FEDREGTOC (Daily Federal Register Table of Contents Electronic 335...... 70906 40...... 66561 Mailing List) is an open e-mail service that provides subscribers 1630...... 68815 50...... 66561, 70399 with a digital form of the Federal Register Table of Contents. The 1632...... 68815 51...... 66561 digital form of the Federal Register Table of Contents includes 1650...... 68815 52...... 66561, 68781 HTML and PDF links to the full text of each document. 2424...... 70439 55...... 66561 71...... 66561 To join or leave, go to https://public.govdelivery.com/accounts/ 7 CFR 72 ...... 66561, 67827, 70400 USGPOOFR/subscriber/new, enter your email address, then 2...... 69295 73...... 66561, 67659 follow the instructions to join, leave, or manage your 273...... 66783 74...... 66561 subscription. 990...... 69295 100...... 66561 PENS (Public Law Electronic Notification Service) is an e-mail 1410...... 66813 140...... 66561 service that notifies subscribers of recently enacted laws. 1466...... 69272 150...... 66561 1486...... 69985 955...... 70402 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 1487...... 70393 and select Join or leave the list (or change settings); then follow Proposed Rules: 3555...... 70881 the instructions. 429...... 67106 Proposed Rules: 430 ...... 67106, 68060, 70842 FEDREGTOC and PENS are mailing lists only. We cannot 66...... 68816 431...... 66327 respond to specific inquiries. 205...... 67242 12 CFR Reference questions. Send questions and comments about the 1216...... 65929 Federal Register system to: [email protected] 1...... 69296 8 CFR 3...... 68019 The Federal Register staff cannot interpret specific documents or Proposed Rules: 5...... 69296 regulations. 103...... 67243 23...... 69296 106...... 67243 24...... 69296 FEDERAL REGISTER PAGES AND DATE, DECEMBER 204...... 67243 32...... 69296 208...... 69640 34...... 69296 65907–66062...... 2 70881–71296...... 26 211...... 67243 206...... 70887 66063–66280...... 3 212...... 67243 208...... 70887 66281–66560...... 4 214...... 67243 209...... 68325 66561–66812...... 5 216...... 67243 211...... 70887 66813–67168...... 6 223...... 67243 215...... 70887 67169–67342...... 9 235...... 67243 217...... 68019, 70887 67343–67656...... 10 236...... 67243 223...... 70887 67657–67826...... 11 240...... 67243 225...... 70887 67827–68018...... 12 244...... 67243 238...... 70887 245...... 67243 251...... 70887 68019–68324...... 13 245a...... 67243 Ch. III ...... 70413 68325–68780...... 16 248...... 67243 324...... 68019 68781–69294...... 17 264...... 67243 327...... 66833 69295–69616...... 18 274a...... 67243 351...... 66063 69617–69982...... 19 301...... 67243 624...... 68326 69983–70392...... 20 319...... 67243 Ch. VII...... 65907 70393–70880...... 23 320...... 67243 702...... 68781
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703...... 69298 416...... 69298 100...... 67375, 68044 52 ...... 66084, 66096, 66098, 1003...... 69993 Proposed Rules: 117...... 70426 66103, 66334, 66345, 66347, 1026...... 70410 402...... 70080 165 ...... 66069, 66840, 67187, 66352, 66361, 66363, 66366, Proposed Rules: 404...... 67394, 70080 67375, 68343, 69326, 69328, 66853, 68097, 68863, 69349, 43...... 70073 408...... 70080 70014, 70017, 70019, 70893 70092, 70109, 70130, 70913 217...... 67381 411...... 70080 Proposed Rules: 55...... 65938, 66084 244...... 70073 416...... 67394, 70080 117 ...... 69685, 69687, 70090 60...... 68069 252...... 67381 422...... 70080 147...... 69348 61...... 68069 303...... 68353 617...... 67681 165...... 68858, 68860 63 ...... 67889, 68069, 68870, 308...... 68353 618...... 67681 69182 331...... 66845 34 CFR 71...... 66084 373...... 70073 21 CFR 5...... 67865 78...... 66084 1005...... 67132 73...... 69620 Proposed Rules: 124...... 66084 1234...... 70073 310...... 68331 Ch. III ...... 67395 141...... 69695 1238...... 68350 807...... 68334 674...... 67778 142...... 69695 812...... 68334 675...... 67778 222...... 66084 13 CFR 814...... 68334 676...... 67778 257...... 65941 120...... 66287 882...... 70003 682...... 67778 271...... 70135 121...... 66561 1301...... 68340 685...... 67778 282...... 69696 Proposed Rules: Proposed Rules: 686...... 67778 320...... 70467 124...... 66647 1...... 70796 690...... 67778 372...... 66369 251...... 70796 692...... 67778 721...... 66855 14 CFR 814...... 68829 694...... 67778 1604...... 67899 25...... 67828 22 CFR 42 CFR 39 ...... 66063, 66579, 66582, 37 CFR 66838, 67169, 67171, 67174, 51...... 67184 2...... 68045, 69330 Proposed Rules: 67176, 67179, 67830, 67832, 120...... 70887 7...... 69330 121...... 70139 486...... 70628 67834, 67837, 67851, 67854, 24 CFR Proposed Rules: 68034, 68037, 68326, 69995, Ch. II ...... 66328 44 CFR 69997, 70000, 70415 Proposed Rules: 71 ...... 66066, 67858, 67860, 267...... 70073 38 CFR 64...... 65924, 68346 350...... 70435 68039, 68041, 68330, 69619 25 CFR 17...... 68046 91...... 67659, 67665 51...... 67868 45 CFR 97 ...... 67862, 67864, 70419, 224...... 69602 Proposed Rules: 1115...... 66319 70423 26 CFR 1...... 68065 1230...... 70902 Proposed Rules: 1 ...... 66968, 67370, 68042, 17...... 70908 2554...... 70902 39 ...... 65931, 65935, 66080, 68790, 69022, 69305 66082, 67246, 67248, 67251, 39 CFR 47 CFR 68060, 68063, 68363, 68365, Proposed Rules: 1 ...... 65937, 67046, 68833, 20...... 66072 1 ...... 66078, 66716, 66843 68368, 68370, 68374, 68376, Proposed Rules: 9...... 66716 68817, 68819, 68822, 68824, 69124, 70089, 70356 301...... 69124, 70462 111...... 69688 12...... 66716 69662, 70076, 70078 3010...... 67685 20...... 66716 71 ...... 67381, 67383, 67385, 28 CFR 3017...... 70466 22...... 66716 67880, 67881, 67884, 67886, 2...... 70013 3020...... 67685 25...... 66716 68379, 68381, 68383, 68385, 3050...... 67402, 67685 54...... 67220, 70026 68827, 69346 29 CFR 3055...... 67685 64...... 66716 15 CFR 102...... 69524, 70424 73...... 70037 548...... 68736 40 CFR 76...... 69342 744...... 66840, 69298 778...... 68736 9...... 66591, 66599 Proposed Rules: 902...... 67183 1910...... 68794 52 ...... 66074, 66075, 66316, 1...... 69696 Proposed Rules: 4022...... 68043 66612, 67189, 67191, 67196, 27...... 69351, 69696 7...... 70445 4044...... 67186, 68043 67378, 67873, 68049, 68050, 51...... 70484 69331, 70428, 70895 17 CFR Proposed Rules: 54...... 69697 10...... 67681 68...... 69834 61...... 70484 4...... 67343, 67355 90...... 67681 70...... 67200 69...... 70484 13...... 68787 103...... 66327, 67682 80...... 69335 73...... 70485, 70489 200...... 68550 401...... 68842 81...... 70897 74...... 70489 240...... 68550 516...... 67681 180 ...... 66616, 66620, 66626, 48 CFR 249...... 68550 531...... 67681 70021, 70023, 70429 Proposed Rules: 578...... 67681 260...... 67202 Ch. I...... 68314, 68319 1...... 69664 579...... 67681 261...... 67202 4...... 68314 23...... 69664 580...... 67681 264...... 67202 52...... 68314 50...... 70446 1614...... 67683 265...... 67202 501...... 69627 140...... 69664 268...... 67202 536...... 69627 246...... 70073 30 CFR 270...... 67202 552...... 69627 275...... 67518 902...... 66296 272...... 67875 1419...... 69343 279...... 67518 950...... 66309 273...... 67202 240...... 66458, 66518 282...... 69626 49 CFR 32 CFR 721...... 66591, 66599 10...... 67671 18 CFR 775...... 66586 Proposed Rules: 382...... 68052 Proposed Rules: Proposed Rules: 1...... 66084 383...... 68052 1304...... 67386 651...... 70328 22...... 66084 384...... 68052 23...... 66084 1152...... 66320 20 CFR 33 CFR 49...... 66084 Proposed Rules: 404...... 69298 52...... 68342 51...... 68069, 70092 24...... 69466
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172...... 70491 216...... 70040 68798 218...... 67404 173...... 70491 217...... 70274 660 ...... 65925, 65926, 67674, 600...... 68389 Ch. III ...... 68386 218...... 70712 68799, 70904 622...... 69715 571...... 69698 223...... 70048 679 ...... 65927, 67183, 70064, 648...... 68871 70436, 70438 572...... 70916 300...... 68057, 70040 679 ...... 66109, 66129, 67421 622 ...... 67236, 67674, 68058, Proposed Rules: 50 CFR 69715, 70904 17 ...... 67060, 69707, 69712, 17...... 69918 648 ...... 66630, 68348, 68797, 69713
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U.S. Government Publishing H.R. 1865/P.L. 116–94 Note: This service is strictly Office, Washington, DC 20402 Further Consolidated for E-mail notification of new LIST OF PUBLIC LAWS (phone, 202–512–1808). The Appropriations Act, 2020 (Dec. laws. The text of laws is not text will also be made 20, 2019; 133 Stat. 2534) This is a continuing list of available through this service. available on the Internet from public bills from the current Last List December 20, 2019 PENS cannot respond to GPO’s Federal Digital System session of Congress which specific inquiries sent to this (FDsys) at http://www.gpo.gov/ have become Federal laws. fdsys. Some laws may not yet address. This list is also available Public Laws Electronic be available. online at http:// Notification Service www.archives.gov/federal- S. 1790/P.L. 116–92 (PENS) register/laws. National Defense Authorization The text of laws is not Act for Fiscal Year 2020 (Dec. PENS is a free electronic mail published in the Federal 20, 2019; 133 Stat. 1198) notification service of newly Register but may be ordered H.R. 1158/P.L. 116–93 enacted public laws. To in ‘‘slip law’’ (individual Consolidated Appropriations subscribe, go to http:// pamphlet) form from the Act, 2020 (Dec. 20, 2019; 133 listserv.gsa.gov/archives/ Superintendent of Documents, Stat. 2317) publaws-l.html
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